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06-10-2024 City Council Agenda Packet
CITY OF FAIRHOPE CITY COUNCIL REGULAR AGENDA Monday, June 10, 2024 - 6:00 PM City Council Chamber Council Members Jack Burrell Corey Martin Jimmy Conyers Jay Robinson Kevin G. Boone Invocation and Pledge of Allegiance 1. Approve minutes of 28 May 2024 Regular City Council Meeting and minutes of 28 May 2024 Work Session 2. Report of the Mayor 3. Public Participation – Agenda Items – (3 minutes maximum) 4. Council Comments 5. Final Adoption - An Ordinance repealing Ordinance No. 1510 adopted April 14, 2014; and adopting a New Personnel Handbook for the City of Fairhope. (Introduced at the City Council Meeting on May 13, 2024.) 6. Final Adoption - An Ordinance to approve the Annexation of Territory within the City Limits of the City of Fairhope, Alabama, various Rights-of-Way within Montrose, from the Baldwin County Commission.(Introduced at the City Council Meeting on May 13, 2024.) 7. Ordinance - Annexation - Jason Tickle, property located on the East Side of Section Street, Approximately 875 feet South of Twin Beech Road, Fairhope, Alabama. Tax Parcel 05-46-09-29-0-000-047.000 (PIN Number 18518); containing 17.75 Acres, more or less. 8. Ordinance - An Ordinance to Repeal Ordinance No. 1551, as amended by Ordinance No. 1622 and 1743, and Codified as Chapter 2, Article III, Division 8 of the Fairhope Code of Ordinances; and Dissolve the City of Fairhope Historic Preservation Committee. 9. Resolution - That the City Council authorizes acceptance of a FEMA Hazard Mitigation Grant Program (HMGP) Grant for the City of Fairhope 1st Responders Safe Room Project (Grant #4563-0002) in the amount of $2,433,687.05; and authorizes Mayor Sherry Sullivan to sign all necessary documents. The City's share of this project is $270,409.67 (10%). In addition, Grant Management costs in the amount of $135,204.84 will be set aside through FEMA to contract with a FEMA knowledgeable grant management firm. 10. Resolution - That the City Council authorizes acceptance of an FAA Airport Infrastructure Grant (AIG) in the amount of $82,500.00 and an ALDOT grant of $4,588.00; and authorizes Mayor Sherry Sullivan to sign all necessary documents. The grants will pay construction costs for the parking lot at the new terminal building at the H.L. "Sonny" Callahan Airport. Page 1 of 368 City Council Regular Meeting June 10, 2024 Page - 2 - 11. Resolution - That the City Council authorizes the submission of a Pipeline and Hazardous Materials Safety Administration (PHMSA) Grant to USDOT for the FY2024 Natural Gas Distribution Infrastructure Safety and Modernization (NGDISM) Grant Program for Gas Pipe Replacement. The grant amount is approximately $15,000,000.00 million dollars and will cover the remaining four phases of the pipe replacement. 12. Resolution - That Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 1 for (RFQ PS24-003) Professional Engineering Services for the D'Olive Creek Crossing Gas Main Leak Repair with a cost of $3,300.00; and to award Change Order No. 1 to Sawgrass Consulting, LLC. The new contract total will be $25,200.00. 13. Resolution - That Mayor Sherry Sullivan is hereby authorized to execute a Contract with PipeSuite, a Division of Payne Management, Inc. for Professional Consulting Services for Natural Gas Pipeline Distribution Compliance (RFQ PS24-023) with a not-to-exceed amount of $53,160.00 annually. 14. Resolution - That the City of Fairhope approves the procurement of parts and installation for the UV Signa System at the Wastewater Treatment Plant from Trojan Technologies as the sole source and manufacturer. The cost is $41,048.95, plus freight and handling charges. The equipment is exempt from formal bidding per Code of Alabama 1975, Section 41-16-57(b)(1). 15. Resolution - That the City of Fairhope approves the procurement of a Third Eye Camera and GPS Tracking System for Sanitation Trucks that are on the Alabama Statewide Contract (Contract #MA230000003433) with Ingram Equipment Company; and therefore, does not have to be let out to bid. The total purchase amount not-to-exceed $63,946.68; and to approve the transfer of budget funds from Sanitation - Maintenance (Veh & Equip) to Sanitation - Purchases (Veh & Equip). 16. Resolution - That Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 1 for (Bid No. 24-039-2024-PWI-019) Pecan Building Warehouse Roof Replacement with a cost of $54,800.00; and to award Change Order No. 1 to Roof Doctors of Alabama, Inc.; and authorize the Treasurer to transfer $54,800.00 from the General Fund to the Water and Sewer Fund. The new contract total will be $266,364.75. 17. Resolution - That Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 1 for (Bid No. 24-020-2024-PWI-001) Pine Street One-Way Conversion and Parking Project with a cost of $31,295.00; and to award Change Order No. 1 to R.H. Deas Building Co.; and authorize the Treasurer to enter FY24 Budget Transfer of $31,295.00 from ADA Compliance Project savings (103-55887) to Pine St. Capital Improvements (103-55710). The new contract total will be $282,693.00. Page 2 of 368 City Council Regular Meeting June 10, 2024 Page - 3 - 18. Resolution - That the City Council approves the selection by the Evaluation Team for Professional Engineering (Coastal) Services for (RFQ PS24-020) for a Gulf of Mexico Energy Security Act (GOMESA) Grant Funded Capital Improvement Project - Magnolia Beach Restoration and Stabilization Project within the existing City Park to Goodwyn Mills Cawood; and authorize Mayor Sherry Sullivan to negotiate the not-to-exceed fee to be approved by Council. 19. Resolution - That Mayor Sherry Sullivan is hereby authorized to execute a contract for Extension No. 1 for (RFQ PS021-22) Consulting Urban Forester Related to the GOMESA Grant No. G-CFNP21CF to Fulgham's Inc. for one (1) year extension of the annual contract from January 20, 2024 to January 19, 2025 per the same terms and conditions of the original contract. 20. Resolution - Be it hereby Resolved that the Governing Body of the City of Fairhope hereby accepts the Statutory Warranty Deed from BYC, LLC for certain property that will serve as a Sewer Lift Station. The City Clerk is authorized to record said Deed in the Probate Records of Baldwin County and the Treasurer is directed to pay said monetary sum as indicated in the Deed. The parcel is approximately .08 acres and a copy is attached hereto for reference. 21. Resolution - That Mayor Sherry Sullivan is hereby authorized to execute a Construction Easement for work to be done on the Planters Pointe Lift Station; and authorize the Mayor to sign all necessary documents. 22. Resolution - That the City of Fairhope hereby authorizes Mayor Sherry Sullivan to execute the proposal from Granicus as sole source for the annual fee of $4,850.42. 23. Resolution - That the City of Fairhope approves the purchase of 144 cartons of NARCAN® Nasal Spray from Emergent BioSolutions as the sole source for a not-to-exceed cost of $4,752.00; and authorizes the use of funds from the McKesson Alabama Settlement Agreement. 24. Public Participation – (3 minutes maximum) 25. Adjourn Next City Council Regular Meeting - Monday, June 24, 2024, 6:00 p.m. - City Council Chamber Page 3 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-114 FROM: Jenny Opal Wilson, ASSISTANT CITY CLERK SUBJECT: Approve Minutes of May 28, 2024 AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Approve minutes of 28 May 2024 Regular City Council Meeting and minutes of 28 May 2024 Work Session. BACKGROUND INFORMATION: Regular City Council Meeting Minutes, May 28, 2024 Work Session Minutes, May 28, 2024 BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 4 of 368 STATE OF ALABAMA )( : COUNTY OF BALDWIN )( The City Council, City of Fairhope, met in regular session at 6:00 p.m., Fairhope Municipal Complex Council Chamber, 161 North Section Street, Fairhope, Alabama 36532, on Monday, 28 May 2024. Present were Council President Pro Tempore Jack Burrell, Councilmembers: Jay Robinson, and Kevin Boone; and Mayor Sherry Sullivan, City Attorney Chris Williams, and Assistant City Clerk Jenny Opal Wilson. Council President Corey Martin was absent; and Councilmember Jimmy Conyers; and City Attorney Marcus E. McDowell; and City Clerk Lisa A. Hanks. There being a quorum present, Council President Pro Tempore Jack Burrell called the meeting to order at 4:43 p.m. The invocation was given by Pastor Pat Davey of Eastern Shore Presbyterian Church and the Pledge of Allegiance was recited. Council President Pro Tempore Burrell thank Pastor Pat Davey. Council President Pro Tempore Jack Burrell asked Council for motion to amend agenda and bring Item No. 23 Executive after Item No. 2 Report of the Mayor and before Item No. 3 Public Participation – Agenda Items. Councilmember Jay Robinson moved to amend the agenda, seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. Council President Pro Tempore Jack Burrell address Item No. 1 and asked for motion to approve the minutes of the 13 May 2024 Regular Meeting; and minutes of the 13 May 2024 Work Session. Councilmember Jay Robinson moved to approve the minutes. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. Council President Pro Tempore Jack Burrell addressed Item No. 2 Report of the Mayor. Mayor Sullivan had no report. Council President Pro Tempore Jack Burrell addressed Item No. 23 Executive Session that he received a letter at the request of City Attorney Chris Williams for the City Council to rise from the meeting to go into Executive Session to discuss the legal ramifications of and legal options for pending litigation, controversies not yet being litigated but imminently likely to be litigated or imminently likely to be litigated if the governmental body pursues a proposed course of action. The approximate time to be in Executive Session is one (1) hour. Councilmember Jay Robinson moved to go into Executive Session. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. Exited the dais at 4:47 p.m. Returned at 5:52 p.m. Page 5 of 368 28 May 2024 Council President Pro Tempore Jack Burrell acknowledged he would move forward with items to accommodate Item No. 5 Public Hearing scheduled at 6:00 p.m. Council President Pro Tempore Jack Burrell addressed Item No. 4 Council Comments. Councilmember Jay Robinson discussed we hosted two (2) All Star Tournaments in Fairhope this past weekend for six (6) year olds and ten (10) year olds. I heard tournaments went well and fields look great. Kudos to Pat White and your group. I hope we can host more tournaments in the future. Councilmember Kevin Boone discussed the Employee Luncheon at the Bay catered by Bill-E’s for appreciation to our employees and the work they do for our fine city. Council President Pro Tempore Burrell commented Bill-E’s did a great job. Council President Pro Tempore Burrell asked Mayor Sherry Sullivan to give a report on Memorial Day events. Mayor Sullivan discussed the American Legion hosted a Memorial Day program, Baldwin Pops performed a concert on the bluff, and the Elks Lodge hosted an event. We appreciate all of the Community Organizations hosting events in remembrance of Memorial Day in honor of our servicemembers that have made that sacrifice and their families. Council President Pro Tempore Burrell thanked Mayor Sullivan. Council President Pro Tempore Jack Burrell addressed Item No. 6. Councilmember Jay Robinson moved for final adoption of an Ordinance amending Ordinance No. 1504 and Ordinance No. 1632 Authorizing and Granting the Second Addendum to DirecTV, LLC to Video Services Agreement. (Introduced at the City Council Meeting on May 13, 2024.) Seconded by Councilmember Kevin Boone, motion for final adoption passed by the following voice votes: AYE – Burrell, Robinson, Boone. NAY - None. Council President Pro Tempore Jack Burrell addressed Item No. 7. Council President Pro Tempore Burrell asked for motion to table the Final Adoption of an Ordinance repealing Ordinance No. 1510 adopted April 14, 2014; and adopting a New Personnel Handbook for the City of Fairhope. (Introduced at the City Council Meeting on May 13, 2024.) Mayor Sherry Sullivan request to table ordinance as she is working with staff to finalize the comments before next meeting or later if required. Councilmember Kevin Boone moved to table the final adoption of ordinance. Seconded by Councilmember Jay Robinson. Motion passed unanimously by voice vote. Council President Pro Tempore Jack Burrell addressed Item No. 8. Councilmember Jay Robinson introduced in writing an Ordinance to approve the annexation of territory within the city limits of the City of Fairhope, Alabama, various rights-of way within Montrose, from the Baldwin County Commission. Hunter Simmons, Planning and Zoning Manager gave brief on Ordinance and answered questions if needed. Council President Pro Tempore Burrell addressed due to lack of a motion for immediate Page 6 of 368 28 May 2024 consideration, this ordinance will layover until the June 10, 2024 City Council meeting. Council President Pro Tempore Jack Burrell addressed Item No. 3 Public Participation – Agenda Items – (3 minutes maximum). No public participation. Council President Pro Tempore Jack Burrell addressed Item No. 5 Public Hearing for Lounge Liquor License by Michael Manas, Ramp Enterprises, Inc., d/b/a Cottage Hill Package by the Bay, 9869 State Highway 104 Suite B and C, Fairhope, AL 36532. A Public Hearing was held as advertised on the request for a Lounge Liquor License, located at 9869 State Highway 104 Suite B and C, Fairhope, Alabama. Council President Pro Tempore Burrell addressed Chief Stephanie Hollinghead for comment on application. Chief Hollinghead stated application in order. The public hearing was opened at 6:02 p.m. No one present opposed the proposed Lounge Liquor License. The public hearing closed at 6:03 p.m. Councilmember Jay Robinson moved to approve the issuance of the license. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. Council President Pro Tempore Jack Burrell addressed Item No. 9. Hunter Simmons, Planning and Zoning Manager addressed City Council to explain Site Plan Review and Approval – Request of the Applicant, Jade Consulting, LLC, acting on behalf of the Owner, Two Hands Design & Development LLC, for Site Plan Approval of Hill Top – Lot 29. The property is approximately 1.131 acres and is zone PUD – Planned Unit Development. The property is located at 18655 Section Street. PPIN#: 389630. (Planning Commission unanimously recommends approval of SR 24.01.) Staff recommends conditional Approval of Case SR 24.01 with the following condition: 1) Signage plan shall conform to the Sign Ordinance. Planning Commission approved unanimously on May 6, 2024. Hunter recognized applicant present. Councilmember Burrell thanked participants. Councilmember Kevin Boone moved to approve the Site Plan property owned by Two Hands Design & Development LLC listed above. Seconded by Councilmember Jay Robinson, motion passed unanimously by voice vote. Council President Pro Tempore Jack Burrell addressed Item No. 10. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that the City Council authorizes acceptance of the USDOT Safe Streets for All (SS4A) grant for $140,000.00; and authorizes Mayor Sherry Sullivan to sign all necessary documents. The goal of this project is to develop a Comprehensive Safety Action Plan with the City limits to prevent roadway fatalities and serious injuries for all users. The City’s match is $60,000.00. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. Page 7 of 368 28 May 2024 RESOLUTION NO. 5072-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that the City Council authorizes acceptance of the USDOT Safe Streets for All (SS4A) grant for $140,000.00; and authorizes Mayor Sherry Sullivan to sign all documents. The goal of this project is to develop a Comprehensive Safety Action Plan within the City limits to prevent roadway fatalities and serious injuries for all users. The City’s match is $60,000.00. Adopted on this 28th day of May, 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 11. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution to rescind Resolution No. 5020-24 awarding Bid No. 24-023 Citywide Tree Maintenance Annual Contract; and to authorize the re- bid of this purchase under Code of Alabama 1975; Section 41-16-57(d). Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5073-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [I] That the City Council to rescind Resolution No. 5020-24 awarding Bid No. 24-023 Citywide Tree Maintenance Annual Contract and authorize the re-bid of this purchase under Code of Alabama 1975, Section 41-16-57(d). Page 8 of 368 28 May 2024 ADOPTED ON THIS 28TH DAY OF MAY 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 12. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution to award (Bid No. 24-045-2024-PWI-009) for Resurfacing of Section Street from Fels Avenue to Bayou Drive to Asphalt Services, Inc. with a total bid proposal not-to-exceed $552,287.47. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5074-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope did request, receive, and open bids to procure services for (Bid No. 24-045-2024-PWI-009) for Resurfacing of Section Street from Fels Avenue to Bayou Drive for the Public Works Department at 555 South Section Street, City of Fairhope offices, Fairhope, Alabama. [2] At the appointed time and place, bids were received and tabulated as follows: Please see attached Bid Tabulation (Bid No. 24-045-2024-PWI-009) Resurfacing of Section Street from Fels Avenue to Bayou Drive [3] After evaluating the bids with required specifications, Asphalt Services, Inc. is now awarded (Bid No. 24-045-2024-PWI-009) for Resurfacing of Section Street from Fels Avenue to Bayou Drive for the Public Works Department with a bid proposal not-to-exceed $552,287.47. Page 9 of 368 28 May 2024 DULY ADOPTED THIS 28TH DAY OF MAY 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 13. Councilmember Kevin Boone introduced in writing, and moved for the adoption of the following resolution, a resolution that Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 2 for (Bid No. 036-22) Pump Station and Force Main Maintenance – Phase II with a cost of $18,630.00; and to award Change Order No. 2 to A-Long Boring, Inc. The new contract total will be $4,883,310.00. Seconded by Councilmember Robinson, motion passed unanimously by voice vote. Page 10 of 368 28 May 2024 RESOLUTION NO. 5075-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 2 for (Bid No. 036-22) Pump Station and Force Main Maintenance – Phase II with a cost of $18,630.00; and to award Change Order No. 2 to A-Long Boring, Inc. The new contract total will be $4,883,310.00. ADOPTED ON THIS 28TH DAY OF MAY 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 14. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that the City Council approves the selection by Mayor Sherry Sullivan for Professional Consulting Services for (RFQ PS24-023) for Natural Gas Pipeline Distribution Compliance to PipeSuite, a Division of Payne Management, Inc.; and authorizes Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5076-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City Council approves the selection by Mayor Sherry Sullivan for Professional Consulting Services for (RFQ PS24-023) for Natural Gas Pipeline Distribution Compliance to PipeSuite, a Division of Payne Management, Inc.; and authorize Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. Page 11 of 368 28 May 2024 DULY ADOPTED THIS 28TH DAY OF MAY, 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 15. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution to approve the procurement of roof replacement for the Football Fieldhouse at Municipal Stadium from Roof Doctors for a not-to- exceed cost of $36,750.00; and to approve the transfer of budget funds in Capital Improvements for the project. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5077-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope approves the procurement of roof replacement for the Football Fieldhouse at Municipal Stadium from Roof Doctors for a not-to-exceed cost of $36,750.00; and to approve the transfer of budget funds in Capital Improvements for the project. ADOPTED ON THIS 28TH DAY OF MAY 2024 Page 12 of 368 28 May 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 16. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that Mayor Sherry Sullivan is hereby authorized to execute a Contract with Global Solutions & Data Services, LLC for Go-Between Support for the City of Fairhope and Tyler Technologies and other supporting applications for (RFQ PS24-022) with a not-to-exceed amount of $40,000.00; and Treasur y to transfer up to $40,000.00 from IT Salaries FY24 Budget to IT Professional Services to cover cost of support. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5078-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That Mayor Sherry Sullivan is hereby authorized to execute a Contract with Global Solutions & Data Services, LLC for Go-Between Support for the City of Fairhope and Tyler Technologies and other supporting applications for (RFQ PS24- 022) with a not-to-exceed amount of $40,000.00; and Treasury to transfer up to $40,000.00 from IT Salaries FY24 Budget to IT Professional Services to cover cost of support. DULY ADOPTED THIS 28TH DAY OF MAY, 2024 Page 13 of 368 28 May 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 17. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that the City of Fairhope approves the procurement and installation of shelving units for the Library Second Floor Renovation that are on the TIPS Cooperative Contract (Contract #230301) with Aurora c/o Innerspaice Architectural Interiors; and therefore, does not have to be let out to bid. Council President Pro Tempore Burrell explained this is a library expense funded by the Library for Council approval. The total purchase amount of $80,893.52, plus additional freight as needed. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5079-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope approves the procurement and installation of shelving units for the Library Second Floor Renovation that are on the TIPS Cooperative Contract (Contract #230301) with Aurora c/o Innerspaice Architectural Interiors; and therefore, does not have to be let out to bid. The total purchase amount of $80,893.52, plus additional freight as needed. ADOPTED ON THIS 28TH DAY OF MAY 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 14 of 368 28 May 2024 Council President Pro Tempore Jack Burrell addressed Item No. 18. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that the City of Fairhope approves the procurement and installation of shelving units for the Library Second Floor Renovation that are on the Alabama Statewide Contract (Contract #MA220000002763) with Affordable Interior Systems MA c/o Innerspaice Architectural Interiors; and therefore does, not have to be let out to bid. The total purchase amount of $38,388.50, plus additional freight as needed. Council President Pro Tempore Burrell explained this is a library expense funded by the Library for Council approval. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5080-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope approves the procurement and installation of shelving units for the Library Second Floor Renovation that are on the Alabama Statewide Contract (Contract #MA220000002763) with Affordable Interior Systems MA c/o Innerspaice Architectural Interiors; and therefore, does not have to be let out to bid. The total purchase amount of $38,388.50, plus additional freight as needed. Page 15 of 368 28 May 2024 ADOPTED ON THIS 28TH DAY OF MAY 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 16 of 368 28 May 2024 Council President Pro Tempore Jack Burrell addressed Item No. 19. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that certain items are declared surplus and the Mayor and the City Treasurer are hereby authorized and directed to dispose of personal property owned by the City of Fairhope by one of the three methods listed on the resolution. Council President Pro Tempore Burrell explained this is Library surplus for Council approval. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5081-24 WHEREAS, the City of Fairhope, Alabama, has certain items of personal property which are no longer needed for public or municipal purposes; and WHEREAS, Section 11-43-56 of the Code of Alabama of 1975 authorizes the municipal governing body to dispose of unneeded personal property; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF FAIRHOPE, ALABAMA, AS FOLLOWS: SECTION 1. That the following personal property owned by the City of Fairhope, Alabama, is not needed for public or municipal purposes, and hereby declared surplus: [SEE ATTACHED LIST OF EQUIPMENT] SECTION 2. That the Mayor and City Treasurer are hereby authorized and directed to dispose of the personal property owned by the City of Fairhope, Alabama, described in Section 1, above, by one of the following methods: a. Receiving bids for such property (“via GovDeals”). All such property shall be sold to the highest bidder, provided, however, that the City Council shall grant the authority to the Mayor to reject all bids when, in her opinion, she deems the bids to be less than adequate consideration for the personal property. b. Sold for scrap or recycle at the highest offered value. c. Disposal via landfill. ADOPTED AND APPROVED THIS 28TH DAY OF MAY, 2024 Page 17 of 368 28 May 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 18 of 368 28 May 2024 Council President Pro Tempore Jack Burrell addressed Item No. 20. Councilmember Jay Robinson introduced in writing, and moved for the adoption of the following resolution, a resolution that the City Council approves the City of Fairhope Capital Asset Policy as submitted for adoption. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. RESOLUTION NO. 5082-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that the City Council accepts the City of Fairhope Capital Asset Policy as submitted for adoption. DULY ADPOTED ON THIS 28TH DAY OF MAY, 2024 ____________________________________ Jack Burrell, Council President Pro Tempore Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Council President Pro Tempore Jack Burrell addressed Item No. 21. City Council reviewed an application for Beer/Wine On/Off License by Michelle Prouty Johns, Corner Copier Gardens LLC, d/b/a Corner Copia Gardens located at 13477 State Highway 181, Fairhope, AL 36532. Council President Pro Tempore Burrell addressed Chief Stephanie Hollinghead on application in order. Chief Hollinghead confirmed. Councilmember Jay Robinson moved to approve the issuance of the license. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. Council President Pro Tempore Jack Burrell addressed Item No. 22 Public Participation – (3 minutes maximum). No public participation. Councilmember Burrell addressed Item No. 24 to adjourn meeting. Councilmember Jay Robinson motion to adjourn meeting. Seconded by Councilmember Kevin Boone, motion passed unanimously by voice vote. There being no further business to come before the City Council, the meeting was duly adjourned at 6:19 p.m. Page 19 of 368 28 May 2024 ____________________________________ Jack Burrell, Council President Pro Tempore _________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 20 of 368 STATE OF ALABAMA ) ( : COUNTY OF BALDWIN ) ( The City Council met in a Work Session at 4:30 p.m., Fairhope Municipal Complex Council Chamber, 161 North Section Street, Fairhope, Alabama 36532, on Monday, 28 May 2024. Present were Council President Pro Tempore Jack Burrell, Councilmembers: Jay Robinson and Kevin Boone; and Mayor Sherry Sullivan, City Attorney Chris Williams, and Assistant City Clerk Jenny Opal Wilson. Council President Corey Martin was absent; and Councilmember Jimmy Conyers; and City Attorney Marcus E. McDowell; and City Clerk Lisa Hanks. Council President Pro Tempore Jack Burrell called the meeting to order at 4:31 p.m. The following topics were discussed: Council President Pro Tempore Jack Burrell gave brief that the Executive Session would begin prior to 6:00 p.m. this evening; and asked Staff to be brief on Agenda Items in the Work Session. Agenda Items can be further discussed if needed this evening in Council Meeting, The first item on the Agenda was a Committee updates. Council had no Committee updates. The second item on the Agenda was the Department Head Updates. • Wes Boyett, Gas Superintendent addressed Item No. 14; and answered questions if needed. • Richard Johnson, City Engineer addressed Item No. 12, and answered questions if needed. • Chief Stephanie Hollinghead addressed Item No. 5 and Item No. 21 and answered questions if needed. • Pat White, Director of Recreation addressed Item No. 15 and answered questions if needed. • Daryl Morefield, Water and Wastewater Superintendent addressed item No. 13 and answered questions if needed. • George Ladd, Public Works Director addressed Item No. 11 and answered questions if needed. Page 21 of 368 Tuesday, May 28, 2024 Page -2- • Nicole Love, Grants Coordinator addressed Item No. 10 and answered questions if needed. • Hunter Simmons, Planning and Zoning Manager addressed Item No. 8 and Item No. 9 and answered questions if needed. • Mayor Sherry Sullivan addressed Items No. 6, No. 16, No. 17, No. 18, and No. 19 and answered questions if needed. • City Treasurer Kim Creech addressed Item No. 20 and answered questions if needed. There being no further business to come before the City Council, the meeting was duly adjourned at 4:43 p.m. ____________________________________ Jack Burrell, Council President Pro Tempore ________________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 22 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-433 FROM: Hannah Noonan, HUMAN RESOURCES DIRECTOR SUBJECT: An Ordinance Repealing Ordinance No. 1510 adopted April 14, 2014; and adopting a New Personnel Handbook for the City of Fairhope AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Final adoption of Ordinance repealing Ordinance No. 1510 adopted April 14, 2014; and adopting a New Personnel Handbook for the City of Fairhope. BACKGROUND INFORMATION: BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 23 of 368 ORDINANCE NO. ____ AN ORDINANCE TO PROVIDE PERSONNEL RULES STATING THE CITY’S EMPLOYMENT RULES, POLICIES AND PROCEDURES, AND GENERALLY DESCRIBE EMPLOYMENT BENEFITS FOR THE CITY OF FAIRHOPE BY REPEALING ORDINANCE NO. 1510 ADOPTED APRIL 14, 2014 BE IT ORDAINED BY THE CITY OF FAIRHOPE GOVERNING BODY OF THE CITY OF FAIRHOPE, FAIRHOPE, ALABAMA, as follows: Section One. The City of Fairhope “Personnel Rules, policies and procedures – 2024”, now on file in the Offices of the Human Resources Director and the City Clerk, soon to be printed in booklet form, is hereby adopted as the rules and regulations governing personnel actions of the City of Fairhope. Section Two. Any ordinance, resolution, or part(s) thereof, in conflict with said “Personnel Rules, Policies, and Procedures – 2024”, is hereby repealed. Section Three. The sections, paragraphs, sentences, clauses and phrases of this ordinance are severable, and if any phrase, clause, sentence, paragraph or section of this ordinance, or of “Personnel Rules, Policies, and Procedures – 2024”, shall be declared unconstitutional by a court of competent jurisdiction, then such ruling shall not affect any other paragraphs and sections, since the same would have been enacted by the municipality council without the incorporation of any such unconstitutional phrase, clause, sentence, paragraph or section. Section Four. This Ordinance shall take effect immediately upon its due adoption and publication as required by law. ADOPTED THIS 10TH DAY OF JUNE, 2024 _____________________________ Corey Martin, Council President Attest: _______________________________ Jenny Opal Wilson, CMC Assistant City Clerk ADOPTED THIS 10TH DAY OF JUNE, 2024 _____________________________ Sherry Sullivan, Mayor Page 24 of 368 i INTRODUCTION We are pleased to introduce the City of Fairhope’s new and revised Employee Handbook (“Personnel Rules”) which were adopted by the Fairhope City Council in Ordinance No. effective June 10, 2024. This handbook has been designed to outline and summarize basic personnel policies, employee benefits, employee responsibilities, and employee rights. This handbook is intended to be a useful tool for all City employees. Compliance with the Personnel Rules, departmental rules and regulations, and any other City policy or procedure is mandatory for all employees. The following individuals are not subject to protections as Classified Employees under this handbook. ● Elected officials; ● Members of appointed Boards, Commissions, and Committees; ● Appointed contract employees or independent contractors; ● Volunteer employees; and ● City Attorney, City Prosecutor and/or other firms, individuals, or agencies on retainer with the City. This handbook provides general guidelines about the City of Fairhope’s policies and procedures for employees. None of the guidelines in this handbook are intended, nor shall they be construed, to give rise to contractual rights or obligations, or to be construed as a guarantee of employment for any specific period of time or any specific type of work. These guidelines are subject to modification, amendment, deviation, or revocation by the Fairhope City Council at any time, without advance notice. As the Chief Executive Officer of the City, the Mayor is generally the appointing or hiring authority for City employees. As provided under Section I of this handbook, the City Council is the appointing authority for the City’s appointed officials. Except as otherwise provided by Alabama statute, the Mayor has the authority to manage, discipline, and dismiss City employees. At the Mayor’s discretion, the Mayor may delegate specific authority related to the management, discipline, or dismissal of City employees to department heads. Except by written agreement signed by the Mayor and approved by the City Council, no department head, manager, supervisor, or other City representative has the authority to make any promise or representation about an employee’s continued employment with the City or to make any promise or representation that varies from the rules contained in this handbook. Each department of the City, with the approval of the Mayor, may develop additional policies and procedures relating to their department. Additional policies and procedures may be more restrictive than the provisions of this handbook but may not be less restrictive. The Mayor and Human Resources shall have a copy of any departmental policies and procedures. It is the intention of the City of Fairhope to adhere to all applicable state and federal laws, rules, and regulations. Any personnel policy found to be in conflict with a state or federal law will be changed to ensure compliance with the law. This handbook revokes and supersedes all prior handbooks, personnel rules, personnel policies, amendments, and any policy or communication related to personnel rules and policies. It is your Page 25 of 368 ii responsibility to ensure you have the most up-to-date version of the handbook. All questions pertaining to information found in this handbook should be referred to the City’s director of Human Resources. The City of Fairhope is an Equal Opportunity Employer Page 26 of 368 TABLE OF CONTENTS INTRODUCTION .......................................................................................................................... i I. Classification of Employees .......................................................................................................1 A. Classification of Employees .............................................................................................1 B. Exempt and Non-Exempt Employees ..............................................................................2 C. Job Classifications ............................................................................................................3 D. Employment for Classified Positions ...............................................................................3 E. Probationary Employees ...................................................................................................5 F. Reemployment of Former Employees ..............................................................................6 II. Compensation of Employees .....................................................................................................7 A. Wage and Salary Administration .....................................................................................7 B. Attendance ........................................................................................................................8 C. Work Hours and Time Records ........................................................................................9 D. Breaks and Lunch Periods ..............................................................................................11 E. Working Before or After Regular Hours ........................................................................11 F. Overtime .........................................................................................................................11 G. Compensatory Time .......................................................................................................12 H. On-Call Employees and Stand-By Employees ...............................................................13 I. Emergency Call-In ...........................................................................................................14 J. Hurricane Operations Plan for City Employees ..............................................................14 K. Additional Pay During Emergencies ..............................................................................15 L. Special Events .................................................................................................................16 M. Travel Time ...................................................................................................................16 N. Military Leave Pay .........................................................................................................17 O. Pay Periods and Direct Deposit ......................................................................................17 P. Deductions from Pay.......................................................................................................17 Q. Safe Harbor Policy .........................................................................................................17 R. Garnishments and Levies ...............................................................................................18 III. Equal Employment and Employee Relations Policy ..............................................................19 A. Equal Employment Opportunity Policy and Procedures................................................19 B. Non-Discrimination in City Programs ............................................................................21 C. Open Door Policy/Dispute Resolution ...........................................................................22 D. Anti-Retaliation ..............................................................................................................22 E. Workplace Violence Prevention .....................................................................................22 F. Americans with Disabilities (ADA) ................................................................................23 G. Pregnancy Non-Discrimination ......................................................................................24 H. Health Insurance Portability and Accountability Act (HIPPA) .....................................24 I. Whistleblower Protection ...............................................................................................24 J. Uniformed Services Employment and Reemployment Rights Act (USERRA) .............24 K. Military Leave ...............................................................................................................26 IV. General Personnel Policies ....................................................................................................27 A. Personnel and Medical Files ..........................................................................................27 B. Fraternization ..................................................................................................................28 C. Nepotism .........................................................................................................................28 D. Dress Code ......................................................................................................................29 Page 27 of 368 E. Tobacco Use/Smoke-Free Workplace ............................................................................30 F. Worksite Standards .........................................................................................................30 G. Social Media Policy ........................................................................................................31 H. Professional Development and Training ........................................................................31 I. Performance Evaluations ................................................................................................32 J. Travel Expense Reimbursement ......................................................................................32 K. Monitoring and Searches ................................................................................................34 L. Personal Property ...........................................................................................................34 M. Use of City Property .......................................................................................................35 N. Computer Use ................................................................................................................35 O. Restricted Use of Wireless Communication Devices ....................................................36 P. Solicitation .....................................................................................................................36 Q. Inclement Weather and/or a Declared Emergency ........................................................36 R. Cross-Training ................................................................................................................38 S. Promotions ......................................................................................................................38 T. Transfers .........................................................................................................................38 U. Demotions .......................................................................................................................39 V. Temporary Assignments ................................................................................................39 W. Personnel Board ............................................................................................................40 V. Employee Benefits ..................................................................................................................41 A. Group Health Insurance Benefits ...................................................................................41 B. Notice for Individuals Declining Health Coverage ........................................................41 C. Dental Insurance Benefits ...............................................................................................41 D. Identification Cards ........................................................................................................42 E. Annual Enrollment/Transfer Period ...............................................................................42 F. Benefit Premiums/Payroll Deductions ............................................................................42 G. Continuation of Benefits During a Leave of Absence ...................................................42 H. Consolidated Omnibus Budget Reconciliation Act (COBRA) ......................................43 I. Life Insurance Benefits ....................................................................................................43 J. Change in Status ..............................................................................................................43 K. Retirement Benefits ........................................................................................................44 L. Disability Retirement ......................................................................................................44 M. Disability Insurance .......................................................................................................44 N. Recreation Facilities Benefits .........................................................................................45 O. Longevity Pay ................................................................................................................45 P. Incentives for Recruiting New Employees .....................................................................45 VI. Leave Policies ........................................................................................................................46 A. Official Holidays ............................................................................................................46 B. Vacation Leave ...............................................................................................................47 C. Sick Leave ......................................................................................................................49 D. Family Medical Leave Act (FMLA) ..............................................................................50 E. Bereavement Leave ........................................................................................................53 F. Administrative Leave ......................................................................................................54 G. Leave of Absence Without Pay ......................................................................................54 H. Political Leave of Absence .............................................................................................56 I. Expiration of Leave of Absence .....................................................................................56 Page 28 of 368 VII. Employee Separations ..........................................................................................................57 A. Resignations ...................................................................................................................57 B. Reduction in Force .........................................................................................................58 C. Retirement ......................................................................................................................58 D. Disability ........................................................................................................................58 E. Death ...............................................................................................................................58 F. Termination .....................................................................................................................59 G. Compensation Upon Separation from Employment ......................................................59 VIII. Workplace Rules of Conduct and Progressive Discipline ...................................................60 A. Progressive Discipline Procedures .................................................................................61 B. Administrative Leave with Pay Due to Potential Disciplinary Action ...........................63 C. Suspension Without Pay .................................................................................................63 D. Involuntary Demotions for Cause ..................................................................................63 E. Terminations ...................................................................................................................64 F. Pre-Disciplinary Appeals Procedures for Adverse Action ............................................65 G. Post-Disciplinary Appeals Procedure for Adverse Action .............................................65 H. Limitation on Disciplinary Appeals ...............................................................................67 IX. Code of Ethics ........................................................................................................................68 A. Ethical Conduct ..............................................................................................................68 B. Statement of Economic Interests ....................................................................................68 C. Political Activity .............................................................................................................68 D. Secondary Employment ..................................................................................................69 E. Reporting Arrests and Off-Work Accidents ...................................................................70 X. Workers’ Compensation ..........................................................................................................71 A. Reporting On-the-Job Injuries ........................................................................................71 B. Medical Treatment ..........................................................................................................72 C. Workers’ Compensation Payments ................................................................................72 D. Transitional Duty............................................................................................................73 XI. Drug and Alcohol Policy .......................................................................................................78 A. Alcohol and Drugs – Drug-Free Workplace Policy .......................................................78 B. Definitions ......................................................................................................................80 C. Persons Subject to Testing ..............................................................................................82 D. Safety-Sensitive Employees ...........................................................................................83 E. Necessity of Compliance with Testing Requirements ....................................................84 F. Off-Duty Contact ............................................................................................................85 G. Prescription Drugs ..........................................................................................................86 H. Persons Subject to Testing .............................................................................................86 I. Reasonable Cause ............................................................................................................87 J. Random Testing ...............................................................................................................87 K. Post-Accident Testing ....................................................................................................88 L. General Testing Procedures ............................................................................................89 M. Substances Tested For ...................................................................................................90 N. Collection Sites ..............................................................................................................90 O. Collection Procedures ....................................................................................................90 P. Alcohol Testing Procedures ............................................................................................92 Q. Evaluation and Return of Results ...................................................................................92 Page 29 of 368 R. Request for Retest ...........................................................................................................92 S. Release of Test Results ...................................................................................................92 T. Retention of Records ......................................................................................................93 U. Employee Education and Training .................................................................................94 V. Employment Assessment ...............................................................................................94 W. Employee Assistance Program (EAP) ...........................................................................94 X. Investigation/Searches ....................................................................................................95 Y. System Contacts .............................................................................................................95 XII. Use of City Vehicles .............................................................................................................96 A. General Policies and Procedures ....................................................................................96 B. Driver Qualifications ......................................................................................................96 C. Safety Rules ....................................................................................................................98 D. Assignment of Vehicles .................................................................................................98 E. Vehicle Accident Procedures ..........................................................................................99 F. Post-Accident Substance Abuse Testing ......................................................................100 Page 30 of 368 1 I. Classification of Employees A. Classification of Employees 1. Appointed Officials: This includes the City Clerk, City Treasurer, and Chief of Police. The City Council shall be the appointing authority for these appointed officials. The City Council shall appoint these officials at its first regular meeting following the general election of Council members, or as soon thereafter as practicable, and these appointed officials shall continue to hold office until the next general election and thereafter until their successors are qualified and appointed. Unless designated otherwise by the City Council, appointed officials shall be covered under the Personnel Rules; however, appointed officials do not have access to the pre-disciplinary or post-disciplinary procedures in Section VIII. Appointed officials may be issued a verbal or written warning or a counseling memorandum by the Mayor for a violation of the rules of conduct in Section VIII. As provided under Alabama Code §11-43-160, the City Council may suspend or remove an appointed official during such official’s term of office for “cause,” after a hearing before the Council, by two-thirds vote of the elected members of the Council. “Cause” shall include incompetency, malfeasance, misfeasance or non-feasance in office, and for conduct detrimental to good order or discipline, including habitual neglect of duty. Appointed officials may be removed from office by the Mayor as provided under Alabama Code §11-43-81. 2. Municipal Judge: The Municipal Judge shall be a licensed attorney admitted to the practice of law in the state of Alabama. The City Council shall be the appointing authority for the Municipal Judge who shall serve in a part-time role for a two-year term of office. The Municipal Judge is not covered under these Personnel Rules. At the end of the two-year term, the City Council, in its sole discretion, may reappoint the Municipal Judge for another term or may appoint another person to fill such position. As provided under Alabama Code §11-43-160, the City Council may suspend or remove the Municipal Judge during their term of office “for cause,” after a hearing before the Council, by two-thirds vote of the elected members of the Council. “Cause” shall include incompetency, malfeasance, misfeasance or non-feasance in office, and for conduct detrimental to good order or discipline, including habitual neglect of duty. The Municipal Judge may be removed from office by the Mayor as provided under Alabama Code §11-43-81. 3. Municipal Magistrates: Municipal Magistrates are classified and are covered under the Personnel Rules. Magistrates are designated by the City Council to administer oaths and issue arrest warrants for violation of Alabama State laws and City of Fairhope ordinances and to approve appearance bonds for persons arrested as provided under Alabama law. The City Council’s approval of the job classification and pay range for those employees designated as Municipal Magistrates constitutes the City Council’s designation of these employees to serve as Magistrates under Alabama law. 4. City Attorney and City Prosecutor: The City Attorney and City Prosecutor are not covered under the Personnel Rules. The Mayor shall hire and/or retain the City Attorney and City Prosecutor (including special appointments of outside legal counsel as needed), subject to the approval of the City Council. The City Attorney and City Prosecutor do not have a term of office. The City Attorney and City Prosecutor may be removed by the City Council, or by the Mayor with the approval of the City Council, for any reason. Page 31 of 368 2 5. Department Heads: Department heads, including superintendents and directors, are classified employees covered under the Personnel Rules and are responsible for managing the operations of one or more City departments. Department heads are subject to dismissal by the Mayor at their sole discretion and do not have access to the pre-disciplinary or post-disciplinary procedures in Section VIII. 6. Managers and Supervisors: Managers and supervisors are classified employees covered under the Personnel Rules and are delegated the responsibility and authority by the Mayor to manage or direct the daily work of other employees under the supervision of a department head. 7. Classified Employee: An individual who is assigned to a regular position authorized by the City Council, whose salary is paid with funds allocated by the City Council, and whose employment initially includes a probationary period. During this time such probationary employee is not a classified employee. 8. Probationary Employee: An employee assigned to a classified position who has not achieved permanent status by satisfactorily completing their probationary period. See further details in Paragraph E below. 9. Temporary Employee: An individual who is employed to perform special functions, to perform emergency functions, to serve in periods of excessive workloads, or as a replacement for a classified employee who is on an approved leave. Temporary employment will not normally exceed six consecutive months. Temporary employees are not entitled to participate in any City- provided benefits and are not entitled to protections as classified employees. Service as a temporary employee does not count as continuous years of service. 10. Full-time Employee: Any individual employed by the City who is regularly scheduled to work at least 30 hours per work week. Full-time law enforcement and corrections officers work a rotating shift schedule consisting of seven 12-hour shifts during an established 14-day work period. 11. Part-time Employee: Any individual employed by the City who is regularly scheduled to work not more than an average of 29 hours per work week. Part-time Employees are not eligible for any other benefit except for retirement if the employee works more than 20 hours per week. Part-time Employees who are receiving retirement benefits through RSA will not be eligible for any additional retirement benefits. Part-time service will not count as continuous years of service in regard to seniority/tenure with the City if a part- time Employee is later employed in a full-time classified position or appointed official status. B. Exempt and Non-exempt Employees 1. Non-exempt employees are covered by the overtime provisions of the Fair Labor Standards Act and will receive overtime pay or comp time at the rate of one and one-half times for all time actually worked beyond 40 hours in one work week. Time off such as holidays, sick leave, and annual leave does not count as time worked. All work time, including regular hours and overtime, must be recorded and approved by the employee’s supervisor. Page 32 of 368 3 2. Exempt employees are not covered by the overtime provisions of the Fair Labor Standards Act and are expected to work the hours required to meet their job responsibilities. 3. Classifying a position as exempt or non-exempt is based on the salary of the position as well as the job duties established by the Department of Labor. Responsibility for classifying City positions as exempt or non-exempt is determined on the requirements of the Fair Labor Standards Act and upon approval by the Mayor. C. Job Classifications 1. Each position within the City is classified in a job classification under the City’s Compensation and Job Classification Plan based on an analysis of the duties and responsibilities of each position and requirements of education, training, experience, skills, knowledge, and abilities necessary for the position. A job description is maintained for each position including the job duties, job responsibilities, job qualifications, position classification, pay grade, and pay range for the position. When a new or revised job description is prepared, the job will be evaluated to determine the classification by the Human Resources Director and then submitted to the Mayor and City Council for approval. The Human Resources Director will conduct periodic reviews of the job classifications and submit to the Mayor and City Council any recommended changes. New employees or employees transferring or being promoted to new positions shall receive a copy of the new position description. All Classified positions and position descriptions shall be approved and funded by the City Council. 2. Position descriptions do not necessarily cover every task or duty that might be assigned, and additional responsibilities may be assigned as necessary. The Human Resources Director keeps position descriptions on file. D. Employment for Classified Positions 1. The City hires and promotes applicants and employees with the best qualifications for available jobs. Both initial employment with the City and promotions are based upon merit, including education, experience, skills, effort, attendance, cooperation, job performance, and disciplinary records. The department head will prepare and submit a written request to fill the position to the Human Resources Director, who will forward the request to the City Treasurer and to the Mayor. Except for appointed officials, the Mayor must approve all hiring and promotion decisions. 2. The Human Resources Director will maintain up-to-date written job descriptions for all positions. 3. If a position becomes available, or if a new job classification and pay grade is approved by the City Council and the job is created, the department head will prepare and submit a written request to advertise the position to the Human Resources Director, who will forward the request to the Mayor. The Mayor must approve the request before the position is posted on employee bulletin boards and/or advertised. Positions will generally be posted for a minimum of one week. Page 33 of 368 4 4. Employment applications are accepted only for available positions. All applications must be fully completed, signed, and dated by the applicant to be considered. Resumes may be submitted in addition to the application, but a completed application is required. Any applicant providing false, misleading, or materially incomplete information is subject to immediate disqualification or dismissal if already hired. 5. The Human Resources Director will establish eligibility lists of qualified applicants as needed to ensure qualified individuals are available to fill vacancies in a timely manner. When an eligibility list is established, the list will be used to fill subsequent vacancies in comparable jobs. A Police Department list may be used for a period up to twelve (12) months after effective date. For all other City departments and jobs, no eligibility list will be valid for more than six (6) months. 6. No final employment offer shall be effective until the prospective employee has completed and passed all applicable pre-employment screenings and/or testing required for the position. These screenings may include medical examinations, background checks, driver’s license verification, credit checks, and pre-employment drug testing. 7. Residence within the City police jurisdiction generally is not a condition of employment. However, residents may be afforded preference if, in the judgment of the Mayor, comparative qualifications are relatively equal. Residence within the police jurisdiction may be required for positions that require “on-call” status and for positions for which a City employee is authorized to drive a City-owned vehicle to their residence for official City business (e.g., police officers.) See Use of City Vehicles, Section XII. 8. The City hires only United States citizens and non-citizens who are eligible to work in the United States under U.S. Immigration laws. As a condition of employment, each person offered a job is required to complete and sign a Department of Homeland Security Form I-9 and to submit approved document(s) to verify the individual’s identical and legal eligibility to work in the United States. The City of Fairhope will complete the E-Verify certification process on each new hire as required by Alabama law. 9. With the approval of the Mayor, temporary employees may be hired to meet the City’s needs. Temporary employees must sign a “Temporary Employee Agreement.” Temporary employees are not eligible for employment benefits except those required by law (e.g., workers compensation insurance). 10. The City of Fairhope is a drug-free and tobacco-free workplace. Applicants who are conditionally offered employment for safety-sensitive positions with the City will be tested for controlled substances as provided under the City’s Zero Tolerance Substance Abuse Policy. An applicant who tests positive for controlled substances is ineligible for employment. 11. The City may accept individuals who are referred by the courts to perform community service jobs for the City. These individuals are not City employees and are not covered under the Personnel Rules. 12. The City may use state work-release inmates and municipal jail trustees to assist in Page 34 of 368 5 providing City services. A regular full-time City employee will supervise all inmates or trustees at all times. These individuals are not City employees and are not covered under these Personnel Rules. E. Probationary Employees 1. The probationary period is intended to give new and rehired employees the opportunity to demonstrate their ability to achieve a satisfactory level of performance. The City uses this working period to evaluate employee capabilities, work habits, and overall performance. Probationary employees are encouraged to ask questions so that they will have a clear understanding of the job and performance expectations. All probationary employees shall receive an orientation to advise them of the policies of the City. Each probationary employee shall complete all necessary forms, sign for a copy of this handbook, and attend all required orientation sessions. 2. During the probationary period, an employee will earn annual leave and sick leave. Employees are not authorized to use annual leave until the satisfactory completion of their probationary period. Employees may use accrued sick leave in accordance with the “Sick Leave Policy”. 3. For all employees, except Law Enforcement Officers, the first six consecutive months of employment in the position for which the employee is hired and is performing their job duties is considered the probationary period. During this time, an employee is an “at will employee” and may be terminated, with or without cause, without the right of appeal. The six-month probationary period may be extended up to an additional six months if additional training is required. 4. For Law Enforcement Officers, Corrections Officers, and employees in Dispatch, the first 12 consecutive months of employment in the position for which the employee is hired and is performing their job duties is considered the probationary period. During this time, an employee is an “at will employee” and may be terminated, with or without cause, without the right of appeal. The 12-month probationary period may be extended up to an additional six months if additional training is required. 5. During the last 10 days of an employee’s probationary period, the employee’s supervisor or department head will complete an evaluation of the employee’s work. The evaluation will include a statement that the employee’s service has been satisfactory or unsatisfactory. Employees who receive a satisfactory evaluation will be retained as a classified employee. Employees who receive an unsatisfactory evaluation will be terminated. Probationary employees who are being retained will be notified in writing by their department head of the completion of their probationary period and designation as a classified employee. Probationary employees who are being terminated will receive written notice from the Mayor that their employment is terminated. A copy of the retention or termination letter, along with a copy of the final probationary period evaluation, will be maintained by the Human Resources Director in the employee’s personnel file. Probationary Employees do not have any right to appeal their termination. Page 35 of 368 6 6. If a Classified Employee transfers to another position or department, they may begin a new working probationary period. These employees who have transferred to a new position will be allowed to use their leave during this working probationary period. If the employee is unable to satisfactorily perform the function of their new position, they may request to be transferred to their previous position if an opening is available or to another available classified position. 7. For any pay increases during or after the probationary period, the department head must submit the required form to request a pay increase, which must be approved by the Mayor. The request for the pay increase must have been documented and approved on the Personnel Action Request form at the time an offer of employment or transfer is extended to a candidate. F. Reemployment of Former Employees If a former employee applies for reemployment, they will be evaluated based on past job performance and work record with the City, the circumstances surrounding termination of the former employee’s previous employment, and the former employee's qualifications for the new position. The City generally will not rehire former employees who were dismissed for misconduct or unsatisfactory job performance or who are classified as a “Voluntary Quit” under Job Abandonment, Section II, B. If a former employee who left the City in good standing is rehired to a vacant position after a break in service of less than 180 days, the Department Head may request to the Mayor that the pay of the employee be established at the same relative rate in the pay range of the pay grade level for the job as it was before the employee’s break in service, as long as the return rate of pay is not below the minimum of the grade range for the job to which the employee is assigned at rehire. Former employees rehired by the City will be considered a new hire for all purposes except that any vested retirement service credit in the Retirement Systems of Alabama (RSA) will be maintained in accordance with the RSA rules. Page 36 of 368 7 II. Compensation of Employees A. Wage and Salary Administration The City of Fairhope intends to provide equal compensation for work of equivalent responsibility and pay according to work performance and/or outstanding service. Compensation is based upon the experience, knowledge, complexity, potential work hazards, and responsibilities for each position. Employees shall be paid a salary or wage rate within the pay range of the job classification based upon the City’s Compensation and Job Classification Plan. Generally, new employees will start employment at the minimum rate in the pay range for the job classification. The Mayor has the final authority to approve entry-level pay for newly hired or promoted employees not to exceed the midpoint of the wage/salary range on the Pay Scale provided the funds are available in the City’s personnel budget. The City Council has the final authority to approve entry-level pay for newly hired appointed/unclassified positions. Employees may be eligible for pay increases including cost of living adjustments, salary changes, or promotional pay only when approved by the Mayor and City Council. Pay increases are based on satisfactory job performance, including attendance and disciplinary record, and on the availability of funds. If an employee's department head recommends deferral of a pay increase because the employee’s performance is unsatisfactory, the Mayor may defer a scheduled pay increase for a specified time or until the employee's job performance is satisfactory. 1. Commercial Driver’s License: If an hourly, non-exempt employee obtains a Commercial Driver’s License (CDL), at the request of or with the permission of the employee’s department head, to facilitate a current job performance or to qualify the employee for a job that requires a CDL, the employee will receive a one dollar ($1.00) per hour pay increase to be effective the first of the pay period following receipt of the license. 2. Certifications and Training: Any hourly, non-exempt employee will receive a pay increase of fifty cents (.50¢) to one dollar ($1.00) per hour, per certification (a maximum of two certifications within any one fiscal year, and a maximum of ten certifications total) for any certification deemed beneficial to their job and approved by their department head and the Mayor to be effective the first of the pay period following completion of the course or training. Any certification and/or training paid for by the City will result in a contract with the employee for a month of service for each $100.00 spent by the City on classes, certification fees, training, etc. 3. Hourly Marina staff, Quail Creek Snack Bar and Beverage Cart Attendants: Pay rates for these employees are based on the hourly wage established for the position and tips from patrons. All tips must be reported on forms provided by the City Payroll Administrator and forwarded to the Administrator each week for state and federal tax purposes and to be paid to the employees as income. 4. Quail Creek Golf Pro, Assistant Golf Pro, City Tennis Pro, and Fitness Instructors: These employees are allowed in their sole discretion to give lessons to patrons, as requested, outside the normal work schedule. Such lessons are not a part of the employee’s job duties for the City and are deemed to be an approved outside private business activity. Page 37 of 368 8 B. Attendance 1. All employees are expected to work their hours as scheduled. Employees who are unable to report to work as scheduled must notify their supervisor before the start of their scheduled starting time if possible or, in the event of an unexpected emergency or incident, no more than 30 minutes after the employee’s scheduled work time. The employee should advise the supervisor of the reason for the absence or tardiness and when the employee expects to return to work. If an absence continues beyond one scheduled workday, the employee must report to the supervisor each scheduled workday as discussed above unless the employee has been instructed otherwise by their supervisor or the employee is on approved leave of absence of specified duration. An employee who doesn’t report to work as scheduled will be considered absent or tardy. 2. Time off (planned or unplanned) must be communicated and approved by the employee’s supervisor. If an employee misses three consecutive days of work and properly communicates the absence, they may be required to furnish a doctor’s excuse and/or a return-to- work form. The department head reserves the right to request a doctor’s excuse for an absence and may further define specific departmental requirements. 3. Failing to report to work and not calling to report the absence is a no-call/no-show and is a serious matter. If an employee contacts their supervisor and indicates they will be late but does not report to work as planned or does not further communicate the inability to report to work, that is be considered a no-call/no-show. Supervisors are expected to report any no-call/no-show events to their department head. The first instance of a no-call/no-show will result in a written warning. The second separate offense will result in a final warning. A third offense may result in the termination of employment with no additional disciplinary steps. The department head may consider a no-call/no-show event that extends beyond two consecutive days as job abandonment and therefore may result in the employee’s voluntary resignation of employment effective on day three of the no-call/no-show occurrence. This may also be applicable if an employee is on an approved leave and does not return on the planned return date without notifying their department head or supervisor. 4. Requests for planned absences should be submitted to the employee’s supervisor five days or more in advance whenever possible. Prior coordination may not be feasible in the case of emergency or sudden illness. In these rare cases, the employee must notify their supervisor as soon as possible. An employee should communicate medical, dental, or personal/family member appointments to their supervisor in advance whenever possible. Reasonable time away from work for such appointments may be granted with prior approval and notification. 5. Attendance is monitored and evaluated for patterns of absenteeism and tardiness. Absences, even if compensated, may be considered excessive if the absences disrupt workflow, cause missed work objectives, result in reduced performance, or result in failure to meet contract commitments. If the employee misses one or more days of work without approval or proper notification, the employee may be subject to disciplinary action. Each work week, the department head will maintain and provide to the Human Resources Department an attendance record for each employee in their department, which will include the reasons employees give for missing work. Page 38 of 368 9 6. Excessive absenteeism or tardiness is a ground for discipline, including termination. Generally, an excused absence for a single reason (i.e., a five-day illness) will be treated as a single excused absence. Each day of an unexcused absence shall be deemed a separate unexcused absence. In determining whether an employee’s absenteeism is “excessive” during any 52-week period, the following guidelines apply: a. Three episodes of unplanned tardiness or unplanned early departures for any reason will be treated as one unexcused absence. b. Five unplanned absences that are unexcused during a 52-week period will result in a written disciplinary warning. c. Six unplanned absences that are unexcused during a 52-week period will result in an unpaid suspension. d. Seven unplanned absences that are unexcused during a 52-week period will result in dismissal. e. Ten unplanned absences whether excused or unexcused during a 52-week period will result in an unpaid suspension. f. Thirteen or more unplanned absences whether excused or unexcused during a 52- week period may subject the employee to disciplinary action, up to and including dismissal. For the purposes of these guidelines, an “unexcused absence” shall be counted as an “unplanned excused absence” in determining whether discipline will be imposed for excessive excused absenteeism. The determination of whether an absence is excused is at the discretion of the department Director in consultation with the Human Resources Director. 7. Department heads, supervisors, or employees should notify the Human Resources Director immediately when an employee is anticipated to miss or has missed three consecutive workdays due to an illness, injury, or hospitalization for themselves or a family member, or failure to show for work without contacting their supervisor. Following the third consecutive day of missed work, if applicable, FMLA paperwork or employment correspondence will be sent to the mailing or email address on file. C. Work Hours and Time Records 1. The normal workweek for a full-time employee consists of 40 hours depending on the job classification and work location, and for a part-time employee no more than 29 hours a week on average. The department head will inform each employee of the required work hours. 2. Hourly (non-exempt) employees will be responsible for completing a time record with the beginning and ending work times, including lunch. This is necessary for payroll calculation of the employee’s earnings. These records will be maintained by the Human Resources Department. Each employee must verify the hours worked are complete and must accurately reflect all regular and overtime hours worked, any absences, any late arrivals, any early departures, and all meal breaks. The employee should submit the completed time to their supervisor for verification and approval. When the employee receives each paycheck, the employee must also verify that they were paid correctly for all regular and overtime hours worked each week. Page 39 of 368 10 3. Hourly employees shall not work any hours that are not authorized by their supervisor or department head. Employees are prohibited from performing any work “off-the-clock,” meaning work that the employee performs but does not report or inaccurately reports. Any employee violating this policy is subject to disciplinary action, up to and including termination. 4. All salaried (exempt) employees will receive a salary that is intended to compensate them for all the hours they may work for the City. Accordingly, all salaried employees are expected to accomplish their duties irrespective of the time or days required to do so. Salaried exempt employees must advise their immediate supervisor, Human Resources, or the Payroll Administrator of vacation days or sick days taken. Salaried exempt employees’ time cannot be reduced unless it is for one or more full workdays. Under federal law, an employee’s salary is subject to deductions as follows: a. Full day absences for sickness, disability, or personal reasons; b. Partial day absences for sickness, disability, or personal reasons when permission hasn't been given, accrued leave has been exhausted, or the employee has been granted leave without pay by the Mayor and or City Council; c. Full day disciplinary or safety suspensions; d. Family and Medical Leave absences (either full or partial day absences); e. To offset amounts received as payment for jury pay, witness fees, or military pay; or f. The first or last week of employment in the event the employee works less than a full week. g. An employee’s salary may also be reduced for deductions of federal, state, or local taxes; Social Security taxes; the employee’s portion of health insurance, dental insurance, life insurance, or benefits; or voluntary contributions to a retirement plan. 5. Employees have the right to examine and verify their personal time record prior to supervisor approval. 6. It is a violation of the City's policy for any employee to falsify a time record or to alter another employee's time record. It is also a serious violation of City policy for any employee or manager to instruct another employee to incorrectly or falsely report hours worked or alter another employee's time record to under- or over-report hours worked. If any supervisor or employee instructs another employee to (1) incorrectly or falsely under- or over-report an employee’s hours worked, or (2) alter another employee's time records to inaccurately or falsely report that employee's hours worked, the employee should report it immediately to the Human Resources Director. 7. A workday may not be shortened by “working through” or reducing the lunch period on a voluntary basis, nor may an employee voluntarily begin work before or after their regularly scheduled hours for the purpose of accumulating overtime. Every adjustment to the work schedule requires advance approval from the employee’s immediate supervisor. Page 40 of 368 11 D. Breaks and Lunch Periods 1. Employees generally receive one 15-minute paid break during the morning. Supervisors will arrange the time of the break to ensure City business and services are not unduly interrupted. 2. Breaks cannot be combined with meal periods to extend the meal period, and employees may not leave work early in lieu of taking their break. 3. Meal periods are scheduled by Department Heads. Scheduled meal periods may vary depending on department workloads. Employees will be completely relieved from duty during the scheduled meal period which shall be at least 30 minutes and not more than 60 minutes. Meal periods are unpaid and an employee may not work during the scheduled meal break unless the Department Head instructs or authorizes the employee to work. If an employee is instructed or authorized to work during their meal period including being directed to return to work during their meal period, the employee’s immediate supervisor or Department Head must promptly email the Payroll Administrator or City Accountant or their designee, who are authorized to override the automatic deduction to ensure the meal period is treated as hours worked for payroll purposes. 4. Non-exempt employees (or hourly employees) may have an automatic deduction from their regularly scheduled work hours each day for the unpaid meal period of at least 30 minutes and no longer than 60 minutes. This includes Public Works and Public Utilities employees who spend their workday off-site or moving about the City; Police Department support staff; and Police Department administrative personnel working regular eight-hour shifts. If an employee is directed to return to work during their meal period and is interrupted by the employee’s immediate supervisor of Department Head, the employee is responsible for ensuring that the Department Head removes the automatic lunch deduction from the timecard for the respective day. 5. Employees working extra shifts or special events (parades for example) are required to take at least a one-half hour unpaid meal period after their regularly scheduled workday and before beginning the extra shift. E. Working Before or After Regular Hours Employees may not voluntarily begin work early, or work after hours, to extend the workday for the purpose of accumulating overtime. An employee may begin work early, or work after hours, for the purpose of making up time missed within the work week only with prior approval from the employee’s supervisor or department head. F. Overtime 1. Approval for Extra Work: Any work that exceeds a non-exempt employee's normal scheduled workday must be approved prior to the work being performed. Such work will be approved in accordance with guidelines established by the department head and approved by the Mayor. Any non-budgeted overtime must be approved by the Mayor. Page 41 of 368 12 2. Overtime Worked: a. Non-Exempt Employees: When a non-exempt employee, except for Police Department law enforcement and corrections officers, works more than 40 hours in a work week, the employee will normally be paid overtime pay for all hours worked in excess of 40 hours. Such pay will be computed at one and one-half times the regular rate of pay for all hours worked over 40 hours. Sick leave, vacation leave, and holiday pay are not included in the calculation of hours worked for overtime pay. However, the employee may be provided compensatory time in accordance with Paragraph G below. b. Law Enforcement and Corrections Officers: When a non-exempt law enforcement or corrections officer works more than 86 hours in a two-week work period, the employee will normally be paid overtime pay for all hours in excess of 86 hours. Such pay will be computed at one and one-half times the regular rate of pay for all hours worked over 86 hours. However, the employee may be provided compensatory time in accordance with Paragraph G. below. c. Exempt Employees: Exempt, salaried employees such as department heads, are paid for performing specific jobs, not for the number of hours worked. Accordingly, exempt salaried employees are not paid extra for overtime work. With prior approval of the Mayor, an exempt salaried employee may be granted time off if particular assignments require significant extra work. The Human Resources Director shall review the actual job duties and responsibilities of all exempt employees and shall ensure employees classified as exempt satisfy the requirements for the exemption under federal wage-hour law. In the event of a declared emergency affecting the City, the Mayor is authorized to utilize exempt salaried employees to respond and to provide aid to the City during the emergency. The designated salaried employees shall receive overtime pay at the rate of one and one-half times their “calculated hourly wage” for each hour worked in excess of 40 hours during the work week in which the employees perform the emergency service for the City. The employee’s “calculated hourly wage” shall be determined by dividing the exempt salaried employee’s annual salary by 2,080. G. Compensatory Time 1. Under certain conditions approved by the Department Head, non-exempt employees may earn compensatory time in lieu of overtime pay for hours worked over 40 hours in a work week. Compensatory time is earned at a rate of one and one-half times the hours worked over 40 hours. The maximum accumulation of compensatory time is 64 hours. Any additional hours of time worked over 40 hours in a work week must be paid as overtime pay. An employee may request to use compensatory time on a subsequent date unless doing so would unduly disrupt the operations of the City or the department in which the employee works. The employee will be paid overtime if they are unable to use compensatory time. 2. Non-exempt law enforcement and corrections officers may earn compensatory time in lieu of overtime pay. The maximum accumulation of compensatory time for a law enforcement or Page 42 of 368 13 corrections officer is 96 hours. Any additional hours of compensatory time worked must be paid as overtime pay. Compensatory time will be computed at one and one-half times the overtime hours worked. Employees may use compensatory time by submitting a request to the Police Chief at least seven days before the requested time off. The request will be granted unless doing so would unduly disrupt essential police operations. Upon termination of employment with the City, accrued compensatory time will be paid at the employee’s then current rate of pay. H. On-Call and Stand-by Employees Effective October 1, 2024, certain employees will be designated as on-call or stand-by depending on the nature of their position and their assigned department. The pay structure for each designation is outlined in this policy. 1. Certain employees, dependent on their designated role in the City, may be required to report to work outside of normal business hours, on the weekend, and/or on holidays. On-call and stand-by time will be considered hours worked when an employee is required to restrict their personal activities such that the employee cannot use the time effectively for their own purposes. Employees on leave are not subject to be on call. In accordance with Personnel Policy I.D.7 “Classification of Employees, Employment for Classified Positions: Residency Requirements”, residence within the City police jurisdiction may be required for positions that require “on-call” status. An employee may not be considered for on-call status based on their residency. 2. Each week, certain employees are placed on standby status. Employees on standby are the first to be called to duty in an emergency to perform City services during non- business hours. Employees on stand-by will be paid at the overtime rate for eight hours each day or the actual time worked, whichever is greater, for each weekend day or holiday the employee is “on stand-by.” The employee will be compensated as stated under Paragraph I below if actually called in for emergency duty on a weekday. Employees who respond to a call and are able to handle the matter by telephone or instant messaging are to be paid for the actual time worked. All time must be documented. 3. Departments which are required to maintain a stand-by list include, but may not be limited to, Gas, Water, Wastewater, and Electric Utilities; Facility Maintenance; Public Works; and IT. 4. Each week, certain employees are placed on on-call status. Employees on-call are called in to perform City services during non-business hours. These employees may be called in as part of their normal job duties or due to an emergency. Employees placed on on-call status will be paid a weekly stipend of $100 via payroll, subject to budget availability as adopted by the City Council each Fiscal Year. The employee will be compensated as stated under Paragraph I below if actually called in for work outside of normal business hours. Employees who respond to a call and are able to handle the matter by telephone or instant messaging are to be paid for the actual time worked. All time must be documented. Page 43 of 368 14 5. Positions and Departments which are required to maintain an on-call list include, but are not limited to, Police Dispatch; Municipal Court Magistrates; Customer Service Representatives; Communications; and Warehouse staff. 6. An employee in a position that requires them to be called back into work after working hours is required to respond to all emails or voicemail messages within a reasonable time of receipt. Employees on stand-by are to stay within a reasonable driving time from the office. Employees who are on stand-by shall not use alcoholic beverages or any drugs or medications that may impair the employee or affect the employee’s performance. I. Emergency Call-In 1. All employees are subject to be called in to work during an emergency or as otherwise needed by the City to provide essential services to the public. A refusal to respond to a call-in is a ground for discipline, up to and including termination. 2. Employees called in to duty will be paid a minimum of two hours or the actual number of hours worked, whichever is greater, at the overtime rate. Emergency call-in pay is at the overtime rate even if the employee does not work in excess of 40 hours during the workweek. J. Hurricane Operations Plan for City Employees 1. In the instance of an incoming storm event, communication with City of Fairhope employees is critical to the continuation of services immediately following landfall. IT IS MANDATORY FOR ALL EMPLOYEES TO REPORT TO WORK WHEN TRAVEL RESTRICTIONS ARE LIFTED AFTER LANDFALL. Employees will be assigned to post-storm teams that will be responsible for handling immediate response to City infrastructure, public works, management, and community needs. 2. Communication timing includes: • 48 hours before landfall: Directors/ Supervisors must communicate post-storm responsibilities to employees as well as guidelines for when to travel and where to report. As part of this communication, employees should be urged to get their homes secured and prepared for the storm, including making arrangements for their family’s post-storm so the mandatory work schedule can be followed. • 24 hours before landfall: City Leadership should email the messages to all employees reinforcing the message Directors/Supervisors sent the previous day. This communication should include where each post-storm hurricane team should report when it is safe to travel. • Immediately following damage/road assessment: Communication should be sent out again reminding employees of where to report. Directors/Supervisors should also plan to communicate this information directly to their employees, through text or email. 3. It is mandatory for employees to check in before starting work. Locations for employees to check in include: Page 44 of 368 15 • Civic Center: Feeding Team • Recreation Center: Point of Distribution (POD) Team • Public Works: Call Center, Communications, all Public Works/Utility Helpers • Nix Center: Volunteer Reception Center (VRC) Team K. Additional Pay During Emergencies 1. Emergency Administrative Pay. In the event of a state of emergency affecting the City as declared by Federal, State, County, or City government and ratified by the Mayor and/or such other competent authority, the Mayor may order the total or partial closure of a single City worksite or multiple City worksites or the total or partial cancelation of a City activity or multiple activities. If an employee is unable to work or instructed not to work due to the declared emergency closing of the employee’s worksite or cancelation of City activity, the City will provide emergency administrative pay to the employee for each day (or partial day) not worked. For employees who are typically expected to work 2080 hours or 2184 hours in a year, the maximum emergency administrative pay will be eight (8) hours for the day. Emergency administrative pay will be paid at the employee’s usual rate of pay applicable at the time of payment. Emergency administrative pay will not count as hours worked for purposes of any non- exempt employee’s overtime premium pay eligibility determination. This policy does not apply to exempt employees, unless the exempt employee is off work due to an emergency closing for an entire workweek. 2. Additional Emergency Duty Pay For Exempt Employees. In the event of a state of emergency affecting the City as declared by Federal, State, County, or City government and ratified by the Mayor and/or such other competent authority, the Mayor may utilize exempt employees to aid the City’s emergency response during extended work hours beyond the employees’ usual schedules. In the event of such a declared state of emergency, beginning when such state of emergency is declared and ending when such state of emergency is lifted, or as authorized by the Mayor, an exempt employee required to work beyond the employee’s usual scheduled hours or to attend work at times not ordinarily required of the employee will receive additional emergency duty pay for hours worked in response to the emergency beyond the usual schedule or outside of times not ordinarily required. The total amount of emergency duty pay for exempt employees is capped at eight (8) hours for each 24-hour period for employees who are typically expected to work 2080 hours The pay for this additional emergency duty will be equal to the exempt employee's "calculated hourly rate" which will be determined by dividing the exempt employee's annual salary by 2080, or 2184 depending on the employee's typical annual schedule. Depending on the severity of the state of emergency or the amount of time needed for the exempt employee to remain at their normal work site, the Mayor may also allow the exempt employee to accrue vacation hours at the rate of one hour for each hour worked in excess of the capped, paid eight (8) hours in a 24-hour period. However, the vacation hours accrued may not exceed eight (8) hours in a 24-hour period and must be used within 180 days or be forfeited. 3. Additional Hazardous Weather/Emergency Duty Pay for Non-Exempt Employees. Depending on the circumstances, under conditions described in and during the time frame Page 45 of 368 16 designated in Section 9.1, two types of hazardous weather/emergency premium pay for non- exempt employees may be provided if the hazardous weather or emergency conditions affect multiple City worksites and/or multiple City activities. If hazardous weather or emergency affects only a single City worksite or activity, and employees are instructed to work at an alternative worksite or provided alternative duties, no additional premium will be paid for such work. For example, if a fire damages the Library, and Library employees are relocated to work at City Hall, no additional premium pay will be provided. If a non-exempt employee is required to work as previously scheduled or required to report for unscheduled work or required to report earlier than scheduled or depart work later than scheduled despite hazardous weather or emergency conditions affecting multiple City worksites or activities as provided in Section 9.1, the non-exempt employee will be paid (1) an additional premium equal to one-half (½) times the employee’s pay rate for time actually worked during the employee’s regularly scheduled shift, and (2) an additional premium equal to the employee’s pay rate for time worked beyond the hours previously scheduled for the employee. For example, a non-exempt employee paid at $15.00 per hour who is scheduled to work an eight (8) shift and who is required to actually work ten (10) hours will be paid $22.50/hour during the regularly scheduled eight (8) hours and $30/hour for the two (2) additional hours worked. The overtime pay rate for any hours worked over forty (40) during the same workweek will be adjusted accordingly. 4. Exempt & Non-Exempt Employees Assigned to Provide Mutual Aid: Under the conditions described above but where the exempt employee is providing mutual aid to another utility and where an agreement between the two parties has been signed, the exempt employee acting as an official emergency worker shall be compensated as stated above upon departing Fairhope Public Utilities. They shall return to their normal rate of pay upon returning to Fairhope Public Utilities. If the host utility is paying a higher overtime multiplier, upon agreement between both parties, Fairhope Public Utilities employees will be compensated the same as the host utility. Under the conditions described above but where the non-exempt employee is providing mutual aid to another utility and where an agreement between the two parties has been signed, the exempt employee acting as an official emergency worker shall be compensated as stated above upon departing Fairhope Public Utilities. They shall return to their normal rate of pay upon returning to Fairhope Public Utilities. If the host utility is paying a higher overtime multiplier, upon agreement between both parties, Fairhope Public Utilities employees will be compensated the same as the host utility. L. Special Events There are many special events in the City of Fairhope (parades, Arts & Crafts and Spring Fever Chase, etc.,) throughout the year that require employees’ work schedules to be adjusted to prepare for and complete the special events. Department heads plan for these events and schedule employees to work accordingly. M. Travel Time An employee who is required to travel on official City business, to attend a training course related to the employee’s job, or to attend a job-related conference or meeting authorized by the Mayor, Page 46 of 368 17 will be paid their regular rate of pay for the time spent on these required activities and will be paid for required travel time if the travel time significantly exceeds the employee’s normal commute to and from work. N. Military Leave Pay Eligible employees who are placed on military leave in accordance with Section III. M. Military Leave will receive the standard rate of pay they would have received if they had reported to work and were not on military leave. O. Pay Periods and Direct Deposit 1. The City’s regular workweek begins at 12:00 a.m. on Monday and ends at 11:59 p.m. on the following Sunday of each week. The established 14-day work period for law enforcement and corrections officers begins at 6:00 AM on Monday and ends at 6:00 AM Monday, fourteen days later. Employees are paid every other Friday for the two workweeks ending the preceding Sunday/Monday. Under certain circumstances, such as a holiday falling on Friday, paychecks may be distributed early. If an unforeseen emergency occurs, paychecks may be delayed. (The term “paychecks” includes payment by direct deposit.) 2. All non-exempt, part-time employees are scheduled to work no more than 29 hours on average within the workweek that begins at 12:00 a.m. on Monday and ends at 11:59 p.m. on the following Sunday of each week. An employee’s average hours per week will be calculated during the first week of January, April, July, and October. 3. Direct deposit is mandatory for all employees or for any new hire. Deposits will be made directly to the financial institution of the employee’s choice. Any changes to the employee’s direct deposit account should be reported to the Human Resources Department. Supporting documentation for direct deposit changes must be submitted in person and will not be processed if supplied via fax or email. 4. Pay advances are not allowed under any circumstances. P. Deductions from Pay The City will withhold from the employee’s paycheck those deductions required by law such as state and federal taxes, FICA, garnishments, etc. and any other voluntary deductions authorized by the employee in writing and approved by the City. Q. Safe Harbor Policy 1. It is the policy and practice of the City to accurately compensate employees and to do so in compliance with all applicable state and federal laws. To ensure that the employee is paid properly for all time worked and that no improper deductions are made, the employee must correctly record all work time and review their paychecks promptly to identify and to report all Page 47 of 368 18 errors. 2. The City makes every effort to ensure all employees are paid correctly. When mistakes do happen, and are called to our attention, we will promptly make any corrections necessary. Each employee should review their pay stub when received to make sure it is correct. If a mistake has occurred or if there are any questions, please immediately report this to the Human Resources Department. Employees will not be subject to any retaliation for asking questions about or reporting mistakes in their compensation. R. Garnishments and Levies In the event that garnishment or similar proceedings are instituted against an employee, the City will deduct the required amount from the employee’s paycheck. All correspondence related to a garnishment or levy should be sent to the Human Resources Department. Page 48 of 368 19 III. Equal Employment and Employee Relations Policies A. Equal Employment Opportunity Policy and Procedures It is the policy of the City of Fairhope to provide equal employment opportunities to all individuals without regard to race, color, religion, sex/gender (including pregnancy, childbirth, and other related medical conditions), gender identity, sexual orientation, national origin, age, physical or mental disability, genetic information, veteran or uniformed service-member status, or any category protected by federal, state, or local law. This policy relates to all phases of employment, including but not limited to recruiting, employment, placement, promotion, transfer, demotion, leaves of absence, layoff, recall, reduction of workforce and termination, rates of pay or other forms of compensation, benefits, disciplinary or corrective actions, selection for training, the use of facilities, and participation in all City-sponsored employee activities. Provisions in applicable law providing for bona fide occupational qualifications, business necessity, or age limitations will be adhered to by the company where appropriate. The City of Fairhope hereby establishes and reaffirms its commitment to a clearly defined Equal Employment Opportunity Program (EEOP) as set forth by the following guidelines: 1. Equal opportunity for all our citizens is a historic American ideal, and it is the policy of the City of Fairhope to maintain equal employment opportunity in the public services position of City government by considering job applicants and employees for hiring and advancement on the basis of job-pertinent individual differences and not on the basis of the extraneous factors such as race, religious creed, color, national origin, ancestry, sex, marital status, medical condition, age, or disability. The objective of this program is to continue to ensure nondiscrimination in all employment-related decisions. 2. The City is committed to creating a workplace free from the unlawful harassment, including but not limited to sexual harassment, of employees by other employees and officials, or the unlawful harassment of its officials and employees by its vendors or visitors. Likewise, the City will not accept the unlawful harassment of a vendor or visitors by any employee of the City. This policy includes harassment because of race, sex, religious creed, color, national origin, ancestry, gender identity, sexual orientation, disability or medical condition, age, or any other basis protected under Title VII. 3. The City expects all employees, including department managers and supervisors, to respect fellow employees and treat co-employees and subordinates in a professional manner. The City will not tolerate any form of harassment in the workplace. Examples of prohibited harassment include, but are not limited to offensive, insulting or demeaning remarks; gestures; jokes, pranks, slurs, email, pictures or cartoons and the like that reflect upon stereotypes. 4. The City requires all employees to maintain a professional workplace that is free of sexual harassment. Sexual harassment is generally defined as unwanted or unwelcome sexual advances, propositions, or physical contact of a sexual nature where such conduct is perceived to be a condition of employment, is used as the basis of an employment decision, which unreasonably Page 49 of 368 20 interferes with the individual’s job performance or creates an environment that is intimidating, hostile or offensive. Verbal or physical conduct of a sexual nature that could contribute to a hostile work environment is expressly prohibited by any person employed by the City or by anyone interacting with City employees. Examples of prohibited conduct include, but are not limited to the use of profane or vulgar language; unwelcome sexual flirtations, advances, or propositions; sexually oriented or suggestive jokes or comments; sexually degrading words including slang; physical contact of a sexual nature; or comments suggesting that an employee will receive favorable treatment in exchange for sexual favors or acts. 5. The City encourages employees to address harassment, including sexual harassment, or discrimination directly when it occurs. Any incident of harassment or discrimination shall be reported immediately to the employee’s supervisor, department head, or the Human Resources Director. 6. All supervisors, managers, and department heads have the responsibility to address any observed or reported harassment, discrimination, or retaliation and shall immediately stop such conduct. 7. All managers, supervisors, and Department Heads have the responsibility to report observed or reported harassment, discrimination, or retaliation to the Human Resources Director even if no employee initiates a complaint. Failure to do so may result in disciplinary action. 8. If an employee or applicant feels they have been a victim of harassment or discrimination, the employee shall file a written complaint. Complaints by employees should be addressed to the employee’s supervisor, department head, or the Human Resources Director. Complaints by applicants shall be filed directly with the Human Resources Director. 9. If the complaint involves the Human Resources Director, the employee or applicant shall report their complaint to the Mayor. 10. If the complaint involves the Mayor, it will be forwarded to the City Council for investigation and action. If a complaint involves a member of the City Council, it will be forwarded to the Mayor for presentation to the City Council for action. In such cases the City Council will appoint a Council member or members to investigate the complaint. 11. The complaint should contain the following: a. Date(s), time(s), and location(s) of the incident(s) that took place; b. Description of each incident, including a statement as to any physical contact made and as to what was said and/or done; c. Name(s) of witnesses, if any; and d. The names of anyone with whom incident/incidences have been discussed. A record of the complaint and findings will become a part of the complaint investigation records and the file will be maintained separately from your personnel file. Page 50 of 368 21 12. All complaints for discrimination and/or harassment, including sexual harassment, will be investigated by the Human Resources Director or their designee and the results of the investigation will be reported to the complaining party. Investigation of a discrimination, harassment, or sexual harassment complaint may include but is not limited to interviewing the complaining and accused parties as well as other employees and/or vendors necessary to obtain sufficient information upon which to make an assessment of the situation. While the City will make every effort to be sensitive to privacy issues, there is no guarantee of confidentiality. Retaliation and/or discrimination against an employee who complains of discrimination or harassment is strictly prohibited and also may be a violation of federal law. 13. The Human Resources Director is principally responsible for investigating discrimination, harassment, and sexual harassment complaints. When appropriate, the Human Resources Director may explore informal means to resolve these complaints. Informal dispute resolution procedures may include but are not limited to counseling the alleged violator or serving as a mediator between the two parties. When the matter cannot be resolved informally, the Human Resources Director or their designee may prepare a written report of the investigation and a recommendation. Recommendations can include discipline for the violator as well as the restoration of any employment terms, conditions, or opportunities the complainant lost or was denied because of the discrimination and/or harassment. 14. Any employee who is found to have engaged in any form of discrimination or harassment of another employee will be subject to appropriate disciplinary action, up to and including termination. 15. If any form of discrimination or harassment persists or re-occurs, the employee has the responsibility to report the occurrence or re-occurrence to their supervisor, department head, or the Human Resources Director as soon as possible. If an employee is not satisfied with the results or action(s) taken as a result of their initial complaint, then the employee must report their complaint to the Mayor. 16. Any questions or concerns employees or prospective employees may have regarding the City’s equal opportunity policy or any possible or alleged discrimination and/or harassment, including sexual harassment, in the workplace should bring these issues to the attention of their department head or the Human Resources Director. Employees may raise legitimate concerns and make good faith reports without fear of reprisal. An investigation will be conducted following any report of any such violation. B. Non-Discrimination in City Programs No person who meets the eligibility requirements for a program, activity, or service provided by the City of Fairhope shall be subjected to discrimination under such program, activity, or service because of their race, color, religion, sex, national origin, age, citizenship, or disability. The City requires all employees to assist and to cooperate in fulfilling this commitment. Page 51 of 368 22 C. Open Door Policy/Dispute Resolution 1. The City is committed to a work environment where all people are treated with respect and dignity. Employees that have an issue with a co-worker are encouraged to try and resolve the problem themselves. If a resolution cannot be agreed upon, one or both employees should report the problem to their supervisor(s). Employees that have an issue with their supervisor should report the problem to their department head or the Human Resources Director. 2. Employees must promptly report harmful events, policy violations, or security concerns to their supervisor or department head. Any reported allegations will be promptly investigated and will remain confidential to the extent permitted by the circumstances. Should the problem persist or recur, the employee should report this to their department head or the Human Resources Director as soon as possible. 3. No employee will be retaliated against for acting in good faith or reporting a potential issue or for assisting in the investigation of a possible issue. If at any time during the process or investigation, the City concludes that an employee has filed a claim in bad faith, has refused to cooperate in an investigation of an issue, or has provided false information regarding an issue, disciplinary action, up to and including termination, may be taken. D. Anti-Retaliation 1. The City is committed to providing a work environment in which employees may register complaints about alleged discrimination, harassment, or other problems without fear of retaliation. The City strictly prohibits retaliation against any employee because they have opposed any unlawful employment practices or because they have made a charge or has testified, assisted, or participated in any manner in an investigation, proceeding, or hearing regarding such alleged practices. 2. Any employee who wants to report an incident of retaliation should promptly report the matter to their department head or the Human Resources Director. Employees can raise concerns and make reports without fear of reprisal or retribution. Anyone engaging in retaliation will be subject to disciplinary action, up to and including immediate termination of employment. E. Workplace Violence Prevention 1. The City is committed to maintaining a safe environment and preventing workplace violence. All employees should be treated with courtesy and respect at all times. To ensure a safe workplace, employees may not carry weapons of any kind into the workplace or while performing their duties for the City. This includes but is not limited to a firearm for which an employee has a valid permit. The only exception is law enforcement officers whose job requires possession of weapons. 2. Conduct that threatens, intimidates, or coerces another employee, a customer, or a member of the public at any time, including off-duty periods, will not be tolerated. Prohibited conduct includes but is not limited to the following: Page 52 of 368 23 a. Physically or verbally threatening another individual; b. The intentional destruction or threat of destruction of City property or a co- employee’s property while at work; c. Harassing or threatening phone calls or written communications; d. Stalking; e. Advocating or threatening the illegal use of weapons or bombs; f. Threats or attempts to commit suicide; g. Fighting; h. Horseplay; i. Bullying; j. Excessive profanity; or k. Advocating or threatening revenge based upon a workplace occurrence. 3. All threats of violence, violent acts, potentially volatile situations, and all conduct prohibited by this policy should be reported as soon as possible to the supervisor. This includes threats by employees, as well as threats by clients, vendors, solicitors, or other members of the public. Reports should be as specific and detailed as possible. Additionally, any emergency, crisis, or situation posing imminent danger should be immediately reported to 911. As soon as practical, employees should notify their department head or the Human Resources Director. 4. The City will promptly and thoroughly investigate all reports. The identity of the individual making a report will be protected as much as is practical. No person will be subject to retaliation or reprisal because of making a report. In order to maintain workplace safety and the integrity of its investigation, the City may place employees on administrative leave, with or without pay, pending investigation. Employees charged with a crime may be placed on administrative leave without pay for a maximum of ten days for investigation. 5. Anyone determined to be responsible for threats of violence, violent acts, or other conduct that is in violation of these guidelines will be subject to prompt disciplinary action, up to and including termination of employment. 6. The City encourages employees to bring their disputes or differences with other employees to the attention of their manager before the situation escalates into potential violence. The City is eager to assist in the resolution of employee disputes and will not discipline employees for raising such concerns. F. Americans with Disabilities (ADA) 1. The City of Fairhope complies with the Americans with Disabilities Act which prohibits discrimination on the basis of disability. 2. The City is committed to providing reasonable accommodations to qualified individuals with disabilities, unless it would impose an undue hardship on the employer. If an employee has a disability, they may request a reasonable accommodation at any time during the application process or during the period of employment. The employee, the employee’s health professional, or any other representative acting on behalf of the employee may request an Page 53 of 368 24 accommodation. This may be done verbally or by completing a reasonable accommodation request form. This form may be obtained from the Human Resources Director. 3. Reasonable documentation from an appropriate healthcare or rehabilitation professional may be required to establish that an employee has an ADA disability, and that the disability necessitates a reasonable accommodation. G. Pregnancy Non-Discrimination 1. The City will provide reasonable accommodations to employees with known limitations related to pregnancy, childbirth, or related medical conditions unless the accommodation will cause the City an undue hardship. Employees who are pregnant will be treated like any other employee with a temporary illness or disability. 2. For up to one year after a child’s birth, any employee who is breastfeeding her child will be provided reasonable break times as needed to express breast milk. The City will work to provide a designated room or area with privacy which is comfortable for this purpose. It is the responsibility of the employee to coordinate the safe storage of expressed breast milk. Any breast milk stored in a refrigerator at a City facility must be labeled with the name of the employee and date and removed for home storage within a week of expressing. Any employee storing milk in the refrigerator assumes all responsibility for the safety of the milk and the risk of harm for any reason, including improper storage or refrigeration and tampering. Nursing mothers wishing to use a private area for breast pumping must contact the Human Resources Director to make arrangements. Breaks of 20 minutes or more in length will be unpaid and will need to be recorded. H. Health Insurance Portability and Accountability Act (HIPAA) The City complies with the Health Insurance Portability and Accountability Act of 1996 (HIPAA) and follows guidelines involving the protected health information of employees, dependents, and patients. Contact the Human Resources Director for a copy of the Company’s Health Insurance Portability and Accountability Act of 1996 policy. I. Whistleblower Protection The City does not penalize or discriminate against employees on the basis of their reporting a believed violation or objecting to a directive to or refusing to violate applicable law. Employees will not be penalized for acting on any rights protected by law. J. Uniformed Services Employment and Reemployment Rights Act (USERRA) 1. Pursuant to the Uniformed Services Employment and Reemployment Rights Act (“USERRA”), All persons employed by the City are entitled to up to five years of military leave without pay for any service in the various Uniformed Services of the United States, including but not limited to enlistment, training, and active duty. Employees may be entitled to additional leave Page 54 of 368 25 for periods of initial service lasting more than five years, periodic training duty, and involuntary active duty recalls and extensions. Paid leave, including sick leave and annual leave, may be substituted for all or part of this unpaid military leave. Employees must provide as much advance notice of their impending service as reasonable. Employees should provide this notice to the Human Resources Director. 2. All employee benefits will be continued without a break in coverage during the service period for employees serving 30 or fewer days. Employees serving 31 days or more may elect to continue health care coverage for up to 24 months at their own cost. Upon returning to work, all benefits will be restored to the employee without a waiting period or break in coverage. While employees do not accrue annual or sick leave while on USERRA leave, the rate at which such leave will accrue when the employee returns to work will be the same as if the employee had never taken leave. 3. Employees returning from a period of service are generally entitled to be placed back into the same position that they would have occupied had they not taken military leave. If the period of service is 30 days or less, then the employee should report back to work no later than the beginning of the first workday after the completion of the period of service, allowing for travel time and at least eight hours rest; or, if such a date is impossible or unreasonable, as soon as possible. If the period of service is 31 days or more, the employee must submit an application for reemployment. In those cases, where the period of service was for between 31 and 180 days, the application must be submitted no later than 14 days after the completion of service. When the service was longer than 180 days, the application must be submitted no later than 90 days after the completion of service. For periods of service lasting longer than 30 days, the employee may be required to submit supporting documentation. Service members who return with disabilities, illnesses, or injuries accrued in the course of their service may be entitled to extensions of these deadlines and/or accommodation for their conditions. 4. In addition to the unpaid leave available pursuant to USERRA, any employee who is a member of the National Guard of Alabama or Reserve Officer or Enlisted Person in the Army, Navy, Marine Corps, or Air Force Reserve shall be granted leave with pay for the purpose of attending an encampment for training when so ordered. The maximum amount of leave with pay shall not exceed 168 hours in any calendar year. 5. No employee or prospective employee will be subjected to any form of discrimination or harassment whatsoever on the basis of that person’s membership in, or obligation to perform service for, any of the Uniformed Services of the United States. Specifically, no person will be denied employment, reemployment, promotion, or other benefit of employment on the basis of such membership. Furthermore, no person will be subjected to retaliation because such person has exercised their rights under this policy or because they have assisted another person in exercising their rights under this policy. If any employee believes that they have been subjected to discrimination in violation of this policy, the employee should follow the guidelines for reporting discrimination and harassment contained in Section A above. Page 55 of 368 26 K. Military Leave 1. Employees who are active members of the Alabama National Guard, Naval Militia or the Alabama State Guard organized in lieu of the National Guard, or any other reserve component of the armed forces of the United States, shall be entitled to military leave of absence from their respective civil duties and occupations on all days that they are engaged in field or coast defense or other training or on other service ordered under the National Defense Act, or of the federal laws governing the United States Reserves, without loss of pay, time, seniority, annual leave, or sick leave. An employee receiving authorization for leave with pay will be paid in accordance with Ala. Code §31-2-13, or such other applicable law. 2. As a result of the employee’s membership in any of the named military reserve organizations, the employee is allowed to receive up to 168 working hours (21 working days) per calendar year of paid military leave when absent from work because of performance of duty or training in the military reserve. If an eligible employee is on military leave when a scheduled holiday occurs, the holiday pay will prevail, and the day will not be charged against the military leave account. 3. An employee who is called to active duty with the Armed Forces of the United States may request annual or personal leave, if available, or leave without pay. Upon their release from military service, the employee shall be re-instated by the City in a position that is no lower in grade or pay than that in which they is physically and mentally suited to perform, provided the employee makes application for re-employment to the City within 30 days following honorable separation from the Armed Forces of the United States and their absence for military service did not exceed the original service period. 4. There is no waiting period to be eligible for military leave. This applies to both probationary and non-probationary employees. 5. An eligible employee who plans to use military leave for training during the year must notify their department head and the Human Resources Director of their projected schedule. Employees are requested to provide copies of their military orders to the Human Resources Director within five days of receiving the orders. Page 56 of 368 27 IV. General Personnel Policies A. Personnel and Medical Files 1. The City will safeguard the privacy of its employees and confidentiality of employee records by securing all information maintained in the personnel and medical (electronic and paper) files, collecting only necessary data, and allowing only those authorized to access the file for legitimate business purposes. Access to personnel and medical files by current and former employees will be provided upon written request, at least 24 hours in advance, to the Human Resources Director. Employees will not be allowed to copy any portion of a file except as required by law. 2. Department heads and supervisors are not allowed to maintain any type of employee personnel file or medical records file on employees within their department. 3. Employees should promptly report to the Human Resources Department any changes in their address, contact number, marital status, dependents, insurance beneficiaries, or any change affecting Social Security records. 4. The City uses a neutral reference policy. Employers or individuals seeking references about an employee or former employee will only be provided with the dates of service and last position held. Requests for references should be submitted to the Human Resources Director. 5. The City does not give employment references on employees or former employees. No department head, manager, supervisor, or other City employee or representative is authorized to give an employment reference on behalf of the City or to release any other information about a person’s employment with the City except as stated above. 6. Personnel information will be disclosed according to the requirements of public records laws, and it is the intent of the City to notify affected employees of requests for information or access to their personnel files. 7. The following records of government employees will not be open for inspection by members of the public: unpublished telephone numbers; bank account information; Social Security numbers; Driver’s license information, unless driving a vehicle is a part of the employee’s duties or incidental to the performance of the job; and the same information about an employee’s immediate family members. 8. The Human Resources Director is the only person authorized to disclose information, and any phone calls or written inquiries seeking such information shall be directed to them. 9. The City will provide employee information to outside agencies as requested in writing and only when accompanied by the employee-signed authorization for release of the information. Page 57 of 368 28 B. Fraternization An employee may not directly or indirectly supervise another employee with whom they have an intimate relationship. During work hours, employees are expected to keep personal exchanges limited so that others are not distracted or offended by such exchanges. Contact that would in any way be deemed inappropriate by a reasonable person performing work duties or on City premises, is prohibited. If a supervisory and a non-supervisory employee begin to date or become involved in a romantic relationship, one of the two employees will be required to resign or be dismissed. The employees involved will be allowed to decide which employee will resign. If neither employee voluntarily resigns, the City will dismiss one of the two employees based on the City’s business needs. Factors to be considered include the particular skills and experience of the employees involved, and the comparative difficulty of replacing the employees. Failure to report intimate relationships may result in disciplinary action, up to and including termination. C. Nepotism 1. Relatives of employees will be eligible for employment, but they must compete for jobs on the same terms and conditions as other applicants. 2. The spouse of the Mayor, a City Council member, or a department head will not be hired for any position with the City. The spouses of other City employees will not be hired to work in the same department as their spouse. 3. Employees are not permitted to directly supervise a relative. Direct or immediate supervision includes but is not limited to any participation in the hiring decision, promotional decision, work assignment decision, shift assignment decision, disciplinary decision, or the evaluation process of another employee. The City will refuse to transfer, demote, or promote an employee if the employment change results in the employee coming into a supervisory or subordinate position to a relative. The City will refuse to hire a job applicant if the applicant would be in a supervisor or subordinate position toward an existing employee who is the applicant’s relative. 4. No two or more relatives are permitted to work in the same City division if the related employees would be subject to direct or indirect supervision of the same supervisor or manager with the division’s chain of command. The City will refuse to transfer, demote, or promote an employee if the employment change results in the employee working in the same division as a relative. The City will refuse to hire a job applicant if the applicant’s relative works in the same division in which the applicant is seeking employment. 5. No employee may participate in or attempt to influence employment or other decisions involving a relative or seek to influence, pressure, or cause others to do so. An employee must not use authority or position with the City to benefit or to disadvantage a relative who is currently employer or who is an applicant for a City job, regardless of the department in which the relative works or is seeking employment. 6. For purposes of this section of the Employee Handbook, “relatives” is defined as a Page 58 of 368 29 spouse, child, stepchild, parent, step-parent, parent-in-law, grandparent, brother, sister, step- sibling aunt, uncle, nephew, niece, relative or person who lives in the household of a current employee, or a person with whom the employee or applicant is involved in a romantic, sexual, or dating relationship. This would also include the employee’s spouse’s or partner’s relatives of these relationships. These relationships may exist whether by blood, adoption, or marriage. 7. Any existing but previously undisclosed “relative” relationship or situation must be disclosed immediately to the Human Resources Director or Mayor. Every job applicant is expected to disclose whether a relative works for the City. If a relative relationship is created between two employees during their employment, the employees involved must immediately disclose the new relative relationship to the Human Resources Director or Mayor. 8. If two employees become immediate or extended family through marriage during employment and if, in the Mayor's judgment, one of the foregoing circumstances exist, one of the employees will be offered a transfer to a vacant job if one is available. The City will select the employee for transfer based on qualifications, experience, and length of service with the City. If a job is not available, the employees will have 30 days to decide which employee will resign. If the employees do not decide, the City will decide which employee to retain based on the jobs performed by each employee and the skills and training required to perform the jobs, on the needs of the City and on the difficulty of replacement. 9. Employees who currently directly supervise a relative or who currently work in the same City division and are subject to direct or indirect supervision by the same supervisor or manager with the division’s chain of command are exempt from these rules. If the employee leaves the City’s employment and is rehired, they will be subject to these rules. D. Dress Code 1. The City of Fairhope seeks to project a positive image and to promote professionalism in the workplace. Employees are required to dress in an appropriate manner consistent with the specific job duties to which they are assigned and to exercise good judgment. Most importantly, employees should be mindful of the safety risks associated with their job and remember that they are a representative of the City of Fairhope and should dress in such a manner which is conservative and professional. 2. Employees in most departments are provided with City uniforms. The uniforms with a City seal or logo are the property of the City and must be returned upon termination of employment. It is the responsibility of each employee to ensure that their uniform is maintained and properly laundered. 3. During business hours or whenever an employee represents the City, they should be clean, well groomed, and wear appropriate clothes and footwear. Examples of inappropriate clothing include, but are not limited to, blue jeans with holes, rips, tears, etc. which expose an inappropriate amount of skin; t-shirts which are not part of the official City of Fairhope Uniform; and shorts. Employees are discouraged from wearing flip flops or other open-toed shoes if their job requires any sort of physical labor. 4. Generally, and so long as the requirements listed above are met, employees may take Page 59 of 368 30 advantage of “Casual Fridays”. On Casual Fridays, employees may wear work-appropriate blue jeans and/or City of Fairhope t-shirts. Otherwise, all other aspects of the Dress Code policy are expected to be followed. 5. If an employee’s department head or supervisor finds that the employee’s personal appearance is inappropriate, they will be asked to leave work and return properly dressed and groomed. If an employee is asked to leave, they will not be paid for the time away from work. 6. Where necessary, the City may make reasonable accommodation to this policy for a person with a disability. 7. Offensive body odor and poor personal hygiene is not professionally acceptable. 8. Perfume, cologne, and aftershave lotion should be used moderately or avoided altogether as some individuals may be sensitive to strong fragrances. 9. Clothing that is revealing or that contains offensive drawings, designs, or wording is not allowed. E. Tobacco Use/Smoke-Free Workplace The City is a smoke- and tobacco-free workplace including the use of e-cigarettes and vaping. No smoking, use of other tobacco products, e-cigarettes, vaping, or other forms of smokeless tobacco are permitted in City facilities or in City vehicles. Smoking is prohibited within 25 feet outside of any enclosed area where smoking is prohibited to ensure that tobacco smoke does not enter the area through entrances, windows, ventilation systems, or other means. Smoking is prohibited at City playgrounds which includes any park or recreational area that is designed in part to be used by children and that has play or sports equipment installed or that has been designated or landscaped for play or sports activities. Smoking is also prohibited at City sports venues, including but not limited to sports pavilions, stadiums, athletic fields, and tennis courts and other similar City-owned or leased places where members of the public assemble to engage in physical exercise, participate in athletic competition, or watch sports or other events. Employees may smoke outside while on City premises only in designated areas during breaks. No additional breaks are allowed for smoking. When smoking or otherwise using tobacco or similar products outside, dispose of any litter properly in the receptacles provided for that purpose. F. Worksite Standards On most days there are visitors and citizens in the City buildings and offices. The City’s surroundings should always reflect a professional appearance. Employees should maintain a neat and professional worksite. Eating at your worksite is allowed but should be done in a discrete manner that will not allow damage to City equipment and property. Employees should also ensure that meeting and common areas are clean and presentable after use. Page 60 of 368 31 G. Social Media Policy This policy covers the use of various social media platforms and programs, including but not limited to blogs, X formerly known as Twitter, LinkedIn, Facebook, news site comment areas, and product or service review sites like city Search, Yelp, YouTube, etc. 1. Content made pursuant to your employment with the City posted on social media by City employees, whether on- or off-duty, is not protected by the First Amendment and could result in disciplinary action, up to and including termination. 2. Nothing in this policy is intended to prohibit, nor should it be interpreted as prohibiting, employees from engaging in free speech. Employees are free to express themselves as private citizens on social media sites as long as their content does not impair professional relationships in the workplace, impede the performance of their job duties, or negatively affect the public perception of the City of Fairhope. Keep in mind that any of your conduct that adversely affects your job performance, the performance of fellow employees, or our business associates who work on behalf or alongside the City, may result in disciplinary action, up to and including termination. 3. Employees shall not disclose confidential or other inside information about the City, its citizens, its employees, or its taxpayers that the employee learns during the course of employment. You should assume that people, including co-workers, supervisors, and citizens, as well as their family members, are reading your postings. Employees should refrain from utilizing personal use of social media during their workday. 4. Violations of this policy may result in discipline, up to and including termination of employment. If you have questions or need further guidance, please contact the Human Resources Director. H. Professional Development and Training 1. The City encourages employees to increase their skills and knowledge to enhance their contributions to the City. Department heads are responsible for developing employees’ job skills through in-service training, identifying outside training programs that may enhance job skills and notifying employees of these programs, and making recommendations whether the City should provide financial assistance for employees to attend these programs. 2. To be eligible for reimbursement, employees must request in writing to their Department Head approval to take the class/course. The request should contain the name of the class/course, the scope of information to be taught, and the cost of the course. 3. Upon approval of the Department Head, the request should be submitted to the Mayor for approval. 4. Upon approval of the department head and Mayor, the City may provide partial or full payment for training workshops and seminars that are directly related to City employment, including any training necessary to obtain or maintain required licenses or certifications. Whether Page 61 of 368 32 training time is paid or unpaid depends on the nature of the training, the needs of the City, and the availability of funds. 5. If an employee’s job requires completion of the class/course or certification and the employee is unsuccessful in completion, the employee may be demoted or separated from the City’s employment. I. Performance Evaluations 1. Each employee will be evaluated by their supervisor and department head prior to completion of the probationary period and during each calendar year thereafter. The evaluation will be reviewed with the employee and must be signed by the employee to acknowledge the evaluation and review. The completed evaluation will be forwarded to the Human Resources Director to be placed in the employee’s personnel file. A copy of the most recent performance evaluation must accompany any request for merit pay raises. 2. If an employee disagrees with their performance evaluation, the employee may note such disagreement on the form and may request to review the evaluation with the Human Resources Director. 3. Performance evaluations may be used as a factor in determining training requirements, pay increases, promotions, transfers, layoffs, and dismissals. The Human Resources Director is responsible for developing and monitoring the performance evaluation program. J. Travel Expense Reimbursement 1. Any training courses must be approved by the Department Head or Mayor prior to any travel and/or commitment of funds. Education and training opportunities shall be considered on the basis of merit to the city and allocated resources. Training seminars, conventions, etc. shall be appropriate to the level of responsibility and job requirements. Requests for training, conferences, meetings, or other official functions for employees which do not require overnight accommodations, must be approved by the Department Head. Travel requiring overnight accommodations must be approved by the Mayor and City Treasurer by submitting a Travel Authorization Request Form. 2. The City does not provide cash advances for employees. With the exception of those travel related expenses that can be charged to the City’s departmental credit cards, the traveling employee should pay all travel costs and seek reimbursement after the travel is completed. Travel expenses must be authorized. The traveling employee will be held responsible for all non- authorized expenses. Excessive or unjustifiable costs are not acceptable and will not be reimbursed. The individual requesting reimbursement from the City is responsible for ensuring their expenses and related reimbursement are properly authorized, comply with all applicable policies, and are supported with necessary receipts and documentation. 3. City-owned vehicles should be used for travel when feasible. Use of City Vehicles rules in Section XII must be followed. A rental vehicle should be obtained if no City vehicle is Page 62 of 368 33 available. The rental car is to be an economy or compact model. The City does not pay for insurance on a rental car. Personal automobiles are not to be used for out-of-town travel unless authorized by the Department Head and Mayor only if a City of Fairhope vehicle or rental vehicle are unavailable or when the employee takes personal time before or after a conference or meeting. Itemized receipts are required for reimbursement of any car costs including gasoline. A City credit card should be used when possible. 4. The City will reimburse for the authorized use of personal automobiles for travel to and during authorized training or meeting events at the current Internal Revenue Service (IRS) per- mile allowance rate. Mileage must be documented with either a record of odometer readings prior to and after the trip or by a copy of a Google Map or Map Quest page showing mileage from departure location address to the destination location address. Mileage will not be reimbursed if there was no prior approval by the Department Head. 5. Airline reservations should be obtained at the lowest fare possible, within reason, and without causing undue hardship to the traveling employee. Travel must be by the most expeditious and direct route that is practical and commensurate with the nature and purpose of the traveling employee’s assignment. Coach or standard seating is required and the City will reimburse the cost of one checked bag. Situations requiring more than one checked bag, i.e., for presentation materials, etc., require City Treasurer approval. Airline tickets may be charged to the City’s departmental credit card after the Travel Authorization Request Form is approved. 6. Lodging is an allowable expense when the employee is attending a conference, meeting or training that requires a travel time not conducive to traveling to and from the destination in the same day (greater than 75 miles one way from the City) or an exception approved by the Mayor. Personal funds or City credit cards may be used. When paying with personal funds, an itemized, original invoice showing a zero balance from the hotel is required for reimbursement. 7. Parking expenses should be kept to a minimum and will be reimbursed with proper documentation. Self-parking at hotels shall be utilized, if available. Valet parking is only allowed if it is the only option available. The employee shall pay the difference for any additional cost of covered parking or valet service when other options are readily available. For parking at airports, employees must choose the most economical option for parking. 8. In-state meals are limited to $55.00 per day and out-of-state meals are limited to $65.00 per day. If the out-of-state Federal per diem rate is higher than $65.00 per day, that rate will be used. Gratuities or tips are not to exceed 20% for meals. Itemized receipts must be turned in for reimbursement which shall not include alcoholic beverages. Where conference registration or training fees include one or more meals, only those meals not covered by such fees shall be reimbursed by the City. Snacks between meals will not be reimbursed unless they are paid in lieu of a meal. 9. Reimbursement is not provided for meals when attending a local conference within 75 miles one way from the City. However, if meals are not provided by a local conference that requires a full-day attendance, the City will reimburse the employee for the meals not to exceed $25.00 including gratuities or tips. Page 63 of 368 34 10. If lodging or a flight is cancelled by the employee for reasons other than illness, family death, being called into work, or a weather emergency determined by the City, the employee will pay the cancellation fees and return the airline fare to the City. Verification of the illness, death, or request to work is required by means of a doctor’s statement or other supporting documentation. 11. An employee travel expense voucher must be submitted to the City Treasurer’s office within five business days after returning from the trip. Itemized, original receipts should be submitted on all expenditures. Credit card slips alone are not sufficient documentation. All travel is subject to review and audit. By requesting funds through the City, the traveling employee agrees to only use the money as intended according to this policy. 12. City funds or authorized credit cards should not be used for personal purchases or any type of personal expenditure. Personal items include, but are not limited to the following: a. Expenses of spouse, family, or other persons not directly employed by the City; b. Alcoholic beverages; c. Fines for parking or traffic violations; d. Airline or other trip insurance not approved in advance; e. Loss or damaged personal property; f. Personal entertainment, i.e., sporting events, in-room movies, etc.; g. Laundry; h. Baggage overweight fees; i. Personal care items; and j. Personal cellular phone charges. 13. Traveling employees who choose to extend a business trip for personal reasons either before or after business is conducted, will be responsible for all non-business-related charges. Expenses which preceded or are after the conference dates, with reasonable time allowed for travel, will be considered personal and disallowed unless documented as to the business purpose. “Reasonable time” is defined as one day travel each way if the conference begins before 5:00 p.m. and ends after 2:00 p.m. If net savings can be obtained by staying an extra day to obtain lower airfare, this calculation should be clearly shown in order to gain approval for the extra day’s expenditures. Airfare and lodging can be included in this calculation, but meals will not be allowed and must be paid for by the employee. K. Monitoring and Searches All City property is subject to monitoring and review at all times. This includes but is not limited to desks, lockers, City computers, and City vehicles. The City retains the right to search computers, files, or emails, even if they are protected by a password. Any employee that attempts to obtain or alter a password for the purpose of accessing restricted files will be subject to disciplinary action, up to and including termination. L. Personal Property The City does not assume responsibility for any personal property located on its premises. Page 64 of 368 35 Employees are to use their own discretion when choosing to bring personal property into the office and do so at their own risk. Employees are discouraged from bringing large amounts of cash or other personal valuables to work. Additionally, employees may not bring or display in the office any property that may be viewed as inappropriate or offensive to others. M. Use of City Property Use of City telephones for local personal phone calls should be kept to a minimum, long-distance personal calls are prohibited. City property, including equipment and supplies, should be used by employees for City business only. The use of personal locks on any City property is strictly forbidden. No City property may be used to house personal files or items. No City equipment, including computers, photocopiers, postage, office supplies, or printers may be used for personal business. As such, an employee should not use personal property to conduct City business. An employee's misuse of City property, telephones, equipment, or supplies will result in disciplinary action, up to and including termination. N. Computer Use 1. In conducting City business, the City relies on internal and external e-mail, the internet and various computer software programs to access information necessary to perform City work effectively. This communication technology is the City’s property and is intended for City business use only. 2. Only software approved by the City may be installed on City computers. City software may not be copied or used in a manner that would violate the City’s software license. With the exception of the City’s IT personnel authorized by the Mayor, employees shall not download or otherwise install any software on City computers, modify any computer hardware components, change any standard set up or configuration of any City computer. 3. Access to the City of Fairhope IT systems is controlled by the user of User IDs, passwords, and/or tokens. All User IDs and passwords are to be uniquely assigned to named individuals and consequently, individuals are accountable for all actions on the City of Fairhope’s IT systems. Individuals must not: • Allow anyone else to use their User ID/token and password on any City of Fairhope IT system. • Leave their user accounts logged in at an unattended and unlocked computer. • Use someone else’s User ID and password to access City of Fairhope’s IT systems. • Leave their password unprotected (for example, writing it down). • Perform any unauthorized changes to City of Fairhope’s IT systems or information, attempt to access data that they are not authorized to use or access or exceed the limits of their authorization or specific business need to interrogate the system or data. • Connect any non-City of Fairhope device to the City of Fairhope network or IT systems. • Store City of Fairhope data on any non-City of Fairhope device or cloud storage Page 65 of 368 36 service (iCloud, Google Drive, etc.) 4. Employees have no personal right of privacy with respect to use of the City’s e-mail system or internet access. The City may review, audit and download e-mail messages that employees send and/or receive and may review employees’ use of the internet. Any such review, audit or download of data must be approved in writing by the Mayor. Any such review approved by the Mayor shall be forwarded to the IT Director. 5. If an employee receives an e-mail from an unknown source or sender, the employee must delete the e-mail promptly to prevent viruses. 6. Only authorized employees may use City computers. Sending or receiving personal e-mail messages and accessing the internet for personal use is prohibited. 7. Employees shall not use any City communication equipment or computer system, including e-mail, to communicate any information (including words, pictures, cartoons, etc.) that would violate Section III Equal Employment and Employee Relations Policies or Section VIII Workplace Rules of Conduct. 8. All employees who have a City email account must complete Cyber Security training on the schedule determined by the IT Director in order to maintain their access to City email. O. Restricted Use of Wireless Communication Devices Without written authorization, employees may not use personal wireless communication devices to engage in any form of instant messaging for the purpose of conducting City business with the exception of the authorized use of Instant Messaging provided by the City of Fairhope. Examples of personal communication devices include smart phones, iPhones, iPads, Kindle devices, laptops, notebooks, and other similarly equipped wireless devices. Engaging in any form of instant messaging while driving a vehicle is a violation of Alabama law and City of Fairhope Ordinance No. 1446 and is prohibited in City-owned vehicles, and in personal vehicles while working for the City. P. Solicitation 1. Solicitations by City employees made to other City employees are permitted only in non-work areas and during non-work hours. 2. Non-work areas include lobbies, hallways, elevators, stairs, sidewalks, parking areas, patios, lunchrooms, or other areas not regularly scheduled for work activities. Non-work hours include lunch periods, approved breaks, and before and after scheduled work hours. 3. The City does not restrict employee’s involvement in activities such as United Way or Relay for Life. The City will allow employees to solicit funds for City-sanctioned events and activities, such as sending flowers to sick or bereaved co-workers or collecting funds for City- sponsored events. Page 66 of 368 37 4. Persons who are not employees or elected officials of the City will not be permitted on City property except for City related reasons. Access to City property and work sites for the purpose of making solicitations of any kind is specifically denied unless approved in writing beforehand by the Human Resources Director or City Clerk. The presence of any unauthorized person(s) on City property should be reported immediately by employees to their Department Head. Q. Inclement Weather and/or a Declared Emergency 1. Inclement Weather and/or a Declared Emergency without Official Closing a. Inclement weather usually does not warrant closing of City offices. Absence due to inclement weather and/or a declared emergency requires an employee to make a personal judgment pertaining to their safety in traveling to and from work. Loss of work time for this reason is charged to the employee’s accrued compensatory leave or annual leave. If an employee has no accrued paid leave, then the time is charged as leave without pay. If an employee is placed on leave without pay due to inclement weather, the employee may be allowed to make up the missed time if work is available. b. When inclement weather prevents employees who work out-of-doors from performing work outside, they will be given other duties that can be performed indoors. If the employee does not wish to perform the alternative duty, they may request annual leave which may or may not be granted. If an employee requests not to perform the alternative duty and does not have any accrued compensatory leave or annual leave, the employee may be given time off without pay. 2. Official Closings Due to Inclement Weather and/or a Declared Emergency: The Mayor and City Council will decide if City offices will be closed on normal workdays during inclement weather and/or a declared emergency. If the Mayor decides to close one or all of the City offices, employees may use administrative leave to bring them to their regularly scheduled work hours for the day. Employees who are out on annual, sick, or any other type of leave or have requested leave for the day of closing will be charged with the leave requested. Closing information will be given to the major media outlets via press release and published on social media, however, it is the responsibility of the employee to contact their supervisor or department head if the employee is uncertain as to the situation. 3. The Human Resources Director will also contact the department heads to inform them of the closing and each department will have a notification process. If an employee has any questions about an official closing, the immediate supervisor should be contacted. 4. The Mayor will also determine whether certain “critical emergency service personnel” must report to work during inclement weather and/or a declared emergency. Such personnel may include but are not limited to employees from the Police Department, Public Utilities, and Public Works. 5. If other employees are needed to assist with services, they will be contacted by a Page 67 of 368 38 supervisor. If an employee is not required to work during inclement weather and/or a declared emergency closing, they will receive administrative pay for the regularly scheduled working hours during the period of closing. If an employee is called to work and refuses to come in during the inclement weather/declared emergency closing, the employee will not receive administrative leave and will be charged with leave without pay. 6. If an employee is not scheduled to work during an inclement weather/declared emergency closing, the employee will not be paid for the closing. 7. If an employee is on annual, sick, or any other leave with pay during the declared times of closing, they will be required to use the previously scheduled leave and will not receive administrative leave with pay. 8. If an employee is on annual leave with pay during the declared times of closing and they is asked to report to work, they will be paid for the times worked plus the hours of annual leave previously scheduled, or the employee can elect to be paid for the times worked and retain their annual leave for use at a later date. R. Cross-Training To promote efficiency within an office, employees may be required to cross-train and perform tasks contained in the position description of an employee's position that have not previously been performed by the employee in lieu of, or in addition to, the tasks generally assigned to the employee. No salary or salary range adjustments are made for cross-training or the performance of these tasks. The City reserves the right to change job assignments and duties. S. Promotions 1. The City encourages current employees to apply for vacant City positions for which they are qualified. Promotions and transfers are based on qualifications and documented performance. If, in the judgment of the Mayor or department head, the qualifications and documented performance are relatively equal, length of service will be a factor in determining which employee is promoted. 2. Promotion does not ensure continued employment in the new position and there is no guarantee the employee will be allowed to return to their former position if the employee is unsuccessful in the new job. Employees who are promoted are not eligible to apply for another job within the City for a period of 12 months unless the Mayor approves the request. 3. Upon selection for a promotion, an employee will receive an increase in pay. Generally, the employee will receive an increase in pay up to 10% above the current rate of pay. In the event the employee is moving to a job assigned to a higher grade in the pay scale, the employee will receive either a 5%-10% pay increase as determined by the Department Head, or the minimum rate of the new grade, whichever is greater. The effective date of transfer must always fall at the beginning of a new pay period. Page 68 of 368 39 4. The City recognizes that there are promotion situations that may require additional pay considerations beyond what is normally allowed. When these situations occur, it will be the Department Head’s responsibility to make a pay rate recommendation and to document the individual’s qualifications and any other exceptional circumstances surrounding the promotion decision. The Mayor can review the information and determine if the pay rate recommendation is appropriate. Should the pay requirements further exceed the midpoint of the wage/salary range, the Mayor may request the City Council to review the qualifications and approve a pay rate between the midpoint and the maximum point of the wage/salary range. If a pay rate is approved by the Mayor, it must still remain within the budgeted amount for the position. T. Transfers 1. If an employee wishes to transfer to another job within the City, the employee should submit an application for the desired position. The employee must be qualified for the position and transfers are not automatic. Employees will compete with all other applicants for the vacant position. An employee is only eligible to transfer if they have been in their current position for at least three months, if their most recent evaluation was at a satisfactory level or higher, and if they have had no disciplinary actions in the past three months. If the new position is in a lower classification/pay grade, the transfer will be considered a demotion and pay may be reduced. Lateral transfers within the same pay grade do not include a pay increase. An employee who requests and is granted a transfer is not eligible to apply for another transfer within the City for a period of 12 months unless the Mayor approves the request. 2. An employee may be involuntarily transferred or demoted to another position to meet the needs of the City, for disciplinary reasons, if the employee’s job performance is unsatisfactory, or if the employee’s position is being abolished and they would otherwise be separated from employment. The pay of an employee reassigned pursuant to this policy will be altered to the pay for the position in which they are being reassigned. There is no right to appeal a transfer/demotion if the employee’s position is being abolished. 3. If an employee is selected as an internal applicant for a voluntary transfer or promotion to a vacant position, the Human Resources Director, current Department Head, and new Department Head will coordinate the effective date of the employee’s transfer. The employee selected must provide two weeks’ notice to the current Department Head before the transfer effective date. The current Department Head may allow earlier reassignment or require the employee to work the full notice period; however, the current Department Head may not allow the employee to work beyond the two-week notice period. 4. The effective date of transfer must always fall at the beginning of a new pay period. The Mayor or Human Resources Director may shorten or lengthen the employee’s notice period to ensure the transfer effective date falls at the beginning of a new pay period and is in the best business interest of the City. U. Demotions A “demotion” is a change from one position to a position in a lower pay grade. Employees may Page 69 of 368 40 be demoted based upon job performance, for disciplinary reasons, or based upon the needs of the City. If an employee is involuntarily demoted, the employee will be paid according to the job classification and pay grade for the new position. The effective date of a demotion must always fall at the beginning of a new pay period. V. Temporary Assignments The appointing authority has the discretion to place any employee on temporary assignment in another position for such purposes as training, accomplishing special projects, filling temporary vacancies, or other similar reasons. Normally, a temporary assignment will not exceed ninety (90) continuous calendar days. However, the appointing authority has the discretion to extend this period for up to ninety (90) additional calendar days. During a temporary assignment, an employee’s eligibility for overtime pay may change depending on whether the exempt or non-exempt classification of the temporary assignment job is different from the employee’s usual job. An employee’s pay rate will not change during a temporary assignment to a position with equal or lower pay rate. During a temporary assignment to a position with a higher pay rate than the employee’s regular position, the employee’s pay will not change during the first fifteen (15) working days of the temporary assignment. If the employee remains in the position with a higher pay rate for more than fifteen (15) continuously scheduled workdays, for the remainder of the assignment, the employee’s pay rate will be adjusted to the minimum/entry-level of the new grade range for the temporarily assigned job, or the employee will be paid five percent (5%) higher than the regular pay rate, whichever is higher. Upon completion of the temporary assignment, the employee’s pay will revert back to the pay rate of the employee’s regular position. W. Personnel Board 1. Selection of Members: The Personnel Board is an independent board comprised of five City residents appointed by the Mayor and confirmed by the City Council. Members serve five- year staggered terms, with one new member appointed or reappointed each year. 2. Qualification of Members: Persons appointed to the Board must be qualified voters of the City and must reside within the City limits prior to appointment and during their entire term. A person may not be a member of the Board while employed by the City, while holding an appointed or elected office within the City, or while running for an elected City office. 3. Removals and Vacancies: If a member of the Board is absent from three meetings without being excused by the Chair of the Personnel Board, the member may be removed by the Mayor, and the Mayor shall appoint a replacement for the duration of the replaced member’s term. A member of the Board may be removed for just cause by majority vote of the City Council. The decision of the City Council shall be final. 4. A person appointed to fill a vacancy created by the removal or resignation of a Board Page 70 of 368 41 member prior to the expiration of the member’s term shall hold the position on the Board for the remainder of the unexpired term. 5. Duties: The Board shall by majority vote elect a Chairperson and may establish its own rules of procedure. Three or more members shall be deemed a quorum. Upon request by the Mayor or the City Council, the Personnel Board may investigate, review, and recommend changes or additions to personnel rules, policies, and procedures for submission to the Mayor and the City Council. Three members of the Personnel Board shall be designated by the Chairperson on a case- by-case basis to serve on the impartial Hearing Review Board. Page 71 of 368 42 V. Employee Benefits A. Group Health Insurance Benefits 1. Full-time employees, probationary employees, elected officials, and their dependents are eligible to participate in the City’s group health insurance program. The City contributes toward the employee’s premium in an amount authorized by the City Council and the employee must pay the balance of the premium by payroll deduction. 2. Employees must enroll for coverage within 30 days of employment or an eligible qualifying event. Complete benefit packets are provided at the new hire orientation. 3. The City reserves the right in its sole discretion to change the health insurance program and the insurance carrier without prior notice to affected employees. Covered employees will receive notice of the change as soon as practicable. A description of the group health insurance program, including eligibility requirements, insurance coverages, deductibles, and co-pays, is included in the insurance booklet provided by the group health insurance carrier and provided to each covered employee by the Human Resources Department. 4. If an employee takes a leave of absence or is separated from the City, the continuation of coverage will be in accordance with the terms of each policy and federal law. An employee will be required to reimburse the City for any month in which they are in a non-pay status for more than ten working days unless otherwise provided by federal law. B. Notice for Individuals Declining Health Coverage 1. The Health Insurance Portability and Accountability Act of 1996 (HIPAA) requires group health plans and issuers to advise an employee and an employee’s dependents of enrollment rights when declining health coverage. 2. If an employee is declining enrollment for health plan benefits for themself, their dependents, or both because of other health insurance coverage, the employee may, in the future, be able to enroll in this plan, provided that they request enrollment within 30 days after the other coverage ends. 3. In addition, if an employee has a new dependent as a result of marriage, birth, adoption, or placement for adoption, they may be able to enroll themselves, their dependents, or both, provided that they request enrollment within 30 days after the marriage, birth, adoption, or placement for adoption. C. Dental Insurance Benefits The City does not contribute toward insurance premiums for dental insurance for employees or retirees. Dental insurance is available on a voluntary basis to employees with full premium paid by the employee by payroll deduction. Page 72 of 368 43 D. Identification Cards If an employee enrolls in health or dental coverage, identification cards will be mailed to their home address. E. Annual Enrollment/Transfer Period Health plans, benefit designs, eligibility rules, and premiums are subject to change each plan year based on the previous year’s claims experience. Announcements concerning changes for the upcoming plan year are made during the annual enrollment period each fall. Employees are required to review notices, home mailings, and department memos for information about the benefits for the upcoming year. F. Benefit Premiums/Payroll Deductions 1. Employees are responsible for reviewing their paycheck to ensure the appropriate benefit deductions have been taken. Deductions from the employee’s paycheck will begin the first pay period of the month prior to the coverage start date. Health, dental, and life insurance deductions will be taken out of 24 pay periods per year. There will be two pay periods each year in which no insurance deductions will be taken. 2. If an employee misses a paycheck due to work absence or unpaid time, then the missed deductions will be taken out of the next paycheck immediately upon return or employee may pay the City Treasurer the amount due each pay period. G. Continuation of Benefits During a Leave of Absence 1. An eligible employee may be granted a leave of absence without pay under the City’s policies covering Family and Medical Leave in Section III, J and Military Leave in Section III, M, and under Leave Without Pay in Section VI, F. Generally, an employee will not be granted a leave of absence in excess of six months. Thereafter, reemployment would be subject to the availability of a job the employee is able and qualified to perform. 2. During an unpaid leave of absence in excess of thirty days, the employee will not accumulate paid vacation or paid sick leave after the initial 30 days. Except as provided under the Family and Medical Leave in Section III, J, the City will not continue to provide group health insurance after the first 30 days of an unpaid leave of absence. After 30 days, the employee may continue group health insurance coverage for the employee and their eligible dependents at the employee’s expense as provided under COBRA. Page 73 of 368 44 H. Consolidated Omnibus Budget Reconciliation Act (COBRA) 1. If an employee loses coverage due to a termination of employment, a reduction in work hours, or other qualifying event, the employee and employee’s covered dependents may be eligible to continue coverage through COBRA. 2. For a full explanation of COBRA terms and eligibility, contact the Human Resources Department or refer to the “General COBRA Notice” received at time of enrollment. 3. Employees may remain on City benefits until all FMLA, sick, and annual leave have been exhausted. At which time the employee exhausts a qualified leave, their coverage under the City’s insurance plan will be terminated and they will be offered continuation of benefits under COBRA. I. Life Insurance Benefits 1. Regular full-time employees, probationary employees, elected and full-time appointed officials, are eligible to participate in the City’s group life insurance program with a benefit of basic life insurance which includes accidental death and dismemberment insurance. The City pays the premium in its entirety. 2. The City reserves the right in its soles discretion to change the group life insurance program and the group life insurance carrier without prior notice to affected employees. Covered employees will receive notice of the change as soon as practical. 3. Complete information on the group life insurance program, including eligibility requirements and insurance coverages, is included in the insurance booklet provided by the group life insurance carrier, and provided to each covered employee by the Human Resources Department. 4. A voluntary life insurance benefit of $500,000 not to exceed five times an employee's annual base salary is offered by the group life insurance carrier to regular full-time employees, probationary employees, elected and full-time appointed officials. The premium for this benefit is paid by the employee. J. Change in Status Employees are required to report in writing personal changes and/or changes in work status to the Human Resources Director within 30 days of any status change. This includes: • Dependent status change; • Address change; • Marriage or divorce; • Birth or adoption of a child; • Reduction in work hours; or Page 74 of 368 45 • Any other change that could affect benefit plan eligibility. K. Retirement Benefits 1. Full-time employees and part-time employees who regularly work 20 or more hours each week must participate in the retirement program under the Retirement Systems of Alabama (RSA). Eligibility, benefits, and contribution rates are established by RSA. 2. Employees who wish to retire shall notify their department head and the Human Resources Director at least three months prior to their date of retirement. Information on RSA benefits is available from the Human Resources Department and RSA. 3. Due to the complexity of each individual retirement account, the employee should contact the Human Resources Department with any questions or contact: Retirement Systems Building 135 South Union Street Montgomery, AL 36130-4101 1-877-517-0020 4. Employees hired prior to Oct 1, 2010, who are eligible for retirement from the City under the RSA Retirement Plan, and who are at least 55 years old or have at least 30 years of service with the City, may be eligible to continue the same group health insurance benefits as employees. The retired employee must pay 10% of the insurance premium each month. A retired employee will not be eligible for this group health care benefit if they are employed by another employer and is eligible for health care benefits from that employer. The retired employee’s eligibility to continue the group health insurance after retirement shall terminate when the retired employee becomes eligible for coverage under Medicare. Upon retirement, the Human Resources Department will provide additional information on this RSA retiree benefit. 5. The City makes contributions on behalf of all eligible employees to the Social Security System in addition to the individual contributions made by the employee through FICA payroll deductions. 6. The City offers police officers, who retire after 10 years or more of honorable service and in good standing with the City, their badges and pistols as a part of their retirement benefits. L. Disability Retirement Employees who participate in the Retirement Systems of Alabama and have completed 10 years of service and become disabled as defined by the plan, may be eligible to receive a disability benefit subject to all applicable requirements. M. Disability Insurance 1. The City provides short-term and long-term disability insurance to elected officials, full- time employees, full-time appointed employees, and probationary employees. The monthly Page 75 of 368 46 premium may be split between the City and the employee, or the premium may be charged in full to one of the parties. 2. The City reserves the right in its sole discretion to change the disability insurance program and the disability insurance carrier without prior notice to affected employees. Covered employees will receive notice of the change as soon as practicable. Complete information on the disability insurance program, including eligibility requirements and insurance coverages, is included in the insurance booklet provided by the disability insurance carrier and provided to each covered employee by the Human Resources Department. N. Recreation Facilities Benefits Regular full-time employees and retirees are eligible for discounted fees to use the City’s public pool, Recreation Center, and Quail Creek Golf Course. The City Council determines the amount of the discount and any guidelines for use of these facilities at the discounted fees. O. Longevity Pay The City provides longevity pay for regular full-time employees who have completed the required probationary period and for full-time appointed officials. Employees are eligible for longevity pay each year based on the employee’s years of service from the last hire date. Employees must be actively employed by the City to accumulate longevity pay and do not accumulate longevity pay while on an unpaid leave of absences in excess of 30 days. Full-time employees and full-time appointed officials are eligible for longevity pay as follows: Years of Service as of October 1st Payment One to four years $ 250.00 Five years to 14 years $ 500.00 Fifteen or more years $1,000.00 Part-time non-seasonal employees with a minimum of one year’s service as of October 1st are eligible for longevity pay of $100.00. Longevity pay will be paid to eligible employees in December of each year. P. Incentives for Recruiting New Employees The City provides incentives for current employees who recruit/refer new employees who are hired. A current employee who recruits/refers a new employee will be paid $250 after the new employee is employed for six months and will be paid an additional $250 after the new employee is employed for one year for a total of $500 if the new employee remains employed for one year. The incentive payment will be added to the recruiting/referring employee’s longevity pay in December. Page 76 of 368 47 VI. Leave Policies A. Official Holidays 1. Eligibility: All full-time employees are eligible for holiday pay for authorized paid holidays. 2. Scheduled Holidays: The City observes the following as paid holidays for full-time employees: • New Year's Day: January 1st • Martin Luther King's Birthday: Third Monday in January • Mardi Gras Day • Memorial Day: Last Monday in May • Juneteenth Day: June 19th • Independence Day: July 4th • Labor Day: First Monday in September • Veteran's Day: November 11th • Thanksgiving Day: Fourth Thursday in November • Day after Thanksgiving • Christmas Eve: December 24th • Christmas Day: December 25th The City Council may grant additional days off. 3. If the approved holiday falls on a Saturday, the holiday will be observed on the preceding Friday. If the approved holiday falls on a Sunday, the holiday will be observed on the following Monday. 4. Work on Holidays: Employees who are required to work on a holiday will be paid a premium rate equal to one and one-half times their regular rate of pay for all hours worked on the holiday. Hours worked on the actual holiday will count towards any overtime calculation. 5. Holiday Substitution: If there is no undue hardship on the City’s operations or services or on other employees, a non-exempt employee who works extended hours beyond their usual work schedule during the week of the Mardi Gras holiday may request to take an alternate day in lieu of the Mardi Gras holiday. In the event the employee requests to take the alternate day, the employee shall (i) report to work on the Mardi Gras Day, receive compensation at their regular pay rate, forfeit the Holiday Premium Pay, and (ii) not report to work on the alternate day and receive holiday pay for that day. The employee will be required to use the alternate holiday within six (6) months of Mardi Gras Day. Holiday substitution is not permitted for any other City holiday on which employees are required to work. The Department Head will make the final decision concerning whether the employee qualifies for a holiday substitution, and whether the employee will work or not on the substituted holiday. The Page 77 of 368 48 Department Head will be responsible for ensuring that there is sufficient work to be performed on the holiday, regardless of other City operations and services. The employee must submit a written request to substitute the holiday no later than 5:00pm on the Friday before Mardi Gras day. 6. Preceding and Succeeding Workdays: To be entitled to receive holiday pay for an authorized holiday, an eligible employee must be present at work, or on approved leave with pay, on the scheduled workday immediately preceding and following the paid holiday. If the employee is in a non-pay or partial pay status for either the day before or the day after a holiday, the employee will not be eligible for holiday pay. 7. Holiday Pay in Lieu of Sick or Annual Leave: If an eligible employee is on approved sick or annual leave when an approved paid holiday occurs, such time will be paid as holiday pay and not charged as sick or annual leave. 8. Birthday Leave: Full-time classified employees with at least one year of service may take their birthday as a paid day off. With prior permission of the department head, the birthday paid leave may be taken at any time during the calendar year but may not be carried to the next leave year. B. Vacation Leave 1. All appointed and full-time classified employees will earn annual leave with pay in accordance with these guidelines. Newly hired employees or employees who have transferred from regular part-time status to regular full-time status will not be authorized to use leave until they have completed the required probationary period and been granted regular status. If a newly hired or appointed employee does not successfully complete the required probationary period, they will not be paid for any accrued leave at separation. If a full-time employee transfers to a part- time status, they will be paid for accrued annual leave on their next payroll check. 2. Accrual of Vacation Leave: Leave is accrued beginning on the employee’s hire date. Accordingly, each employee’s leave year begins on the anniversary of their hire date. For employees scheduled to work at least 40 hours per week: All eligible employees scheduled to work at least 40 hours per week will earn annual leave according to the schedule below: Completed Years of Continuous Service Hours of Vacation Leave Earned 0 years to 5 years 80 hours per year 6 thru 10 years 100 hours per year 10 years to 14 years 120 hours per year 15 years to 24 years 160 hours per year 25 years and over 200 hours per year 3. Proration of Vacation Leave Credit: Vacation leave credits will be earned by an eligible employee for each pay period in which they are eligible to earn annual leave. However, an employee will not earn any leave credit for any month in which they are in a non-pay status in excess of 30 days. Page 78 of 368 49 4. Use of Vacation Leave: Vacation leave is considered to be a benefit to an employee, and they are expected to take the earned leave each leave year. Eligible employees are encouraged to take at least one full week off as vacation. The remaining hours can be taken separately in one- hour increments. Vacation leave cannot be carried over from one leave year to the next leave year. 5. Scheduling of Vacation Leave: While the City seeks to grant vacation leave on the dates the employee requests, circumstances may arise that necessitate denying a vacation request or withdrawing approval of a request previously granted. The employee should schedule vacation through their supervisor and department head. Vacation requests should be completed and submitted at least two weeks before the requested vacation date(s). Each department head is responsible for scheduling employee's vacation without undue disruption to City operations and services. Employees may be denied permission to take vacation if the dates requested will, in the judgment of the department head, unduly disrupt operations. The length of continuous service generally will determine granting requests for vacation leave if two or more employees timely request the same dates and, in the judgment of the department head, the City cannot grant all requests. Vacation will not be granted in excess of accumulated vacation eligibility. Requests for more than 80 hours of vacation leave to be taken at one time must be approved by the Mayor. 6. No Advances: Vacation leave will not be advanced to any employee. 7. Maximum leave time per week: Employees will only be allowed to use vacation leave to cover absences they have up to the amount of time they are regularly scheduled to work. For example, an employee who is regularly scheduled to work 40 hours and works ten hours on Monday, nine hours on Tuesday, and eight hours on Wednesday before taking vacation leave on Thursday and Friday will be paid 27 hours for the time they worked and 13 hours of vacation leave. 8. The City recognizes that there may be times where an employee is not able to use all of the vacation hours earned during the 12-month accrual period and that an employee may wish to receive a form of cash payment one time each year rather than use vacation time. To offer flexibility to City employees, effective October 1, 2024, the City will offer a Vacation Buy-Back option to full-time employees. Vacation Buy-Back will be available one time per accrual year. An employee scheduled to work 2080 hours per year may sell up to 40 hours per year; an employee scheduled to work 2184 hours per year may sell up to 42 hours per year. Employees must submit a written request to sell unused vacation time to the City. The written request must be submitted to the Human Resources Director no less than 30 days before the end of the accrual year. The request will then be approved by the City Treasurer and the Mayor. Employees will have the option to buy-back vacation quarterly, and the buy-back will be processed via payroll on the last check of the quarter. For the purpose of vacation buy-back, payroll processing will fall at the end of March, June, September, and December. To qualify for the Buy-Back program, employees must meet the following eligibility criteria: Page 79 of 368 50 a. Must have at least one (1) year of full-time service; and b. Must have used at least half of their vacation accrual in the previous 12 months. Vacation time may be sold back to the City in increments of eight (8) hours and will be sold at the current hourly rate of pay. For exempt employees, the current hourly rate will be determined by dividing the annual salary by 2,080 hours. After final approval, the Human Resources Director will communicate the hours to be paid to the Payroll Administrator. The amount paid will be subject to retirement contribution and payroll tax withholdings. 9. Pay Upon Separation: Employees who resign in good standing with two weeks prior notice of resignation, who retire, or who are dismissed for reasons other than misconduct, will be paid for unused accumulated vacation leave. If an employee dies, unused accumulated vacation will be paid to the employee’s spouse or as otherwise allowed by law. C. Sick Leave Sick leave is a benefit provided to full-time Appointed and Classified Employees, including employees in their probationary period. It is provided to ensure that eligible employees who are unable to work due to illness or injury do not feel compelled to do so for financial reasons. 1. Accrual of Sick Leave: Full-time appointed and classified employees will earn sick leave credit at the rate of 4.0 hours for each pay period the employee is actively employed. Employees do not accumulate paid sick leave during a leave of absence without pay in excess of 30 days. There is no maximum number of hours an employee may accumulate. 2. Non-Pay Status: Eligible employees will not earn any sick leave credit during a leave of absence without pay in excess of 30 days. 3. Use of Sick Leave: Sick leave with pay will be granted to an eligible employee for any of the following types of reasons: a. When an employee is unable to work due to personal illness, injury incurred off- duty, or when the employee’s presence may endanger the health of fellow workers; b. Keeping a doctor, dentist, chiropractor, or optometrist appointment; c. Any impairment related to pregnancy and/or actual confinement. A female employee who requests time away from work for pregnancy, maternity, and childbirth will be treated equally to other employees with other forms of disability or sickness who request leave; or d. Serious illness of a member of the immediate family (for purposes of this section, immediate family includes the employee's spouse, dependent children including stepchildren, and parents). 4. General Requirements for Use: To be granted sick leave, an employee should notify their supervisor before the start of their scheduled starting time if possible, or in the event of and unexpected illness, no more than 30 minutes after the employee’s scheduled work time. Failure to Page 80 of 368 51 do so may be cause for denial of sick leave for the period of absence. Denial of sick leave will result in the employee being charged with vacation leave or placed in some non-pay status at the discretion of their supervisor. Employees who use all of their accumulated sick leave and require additional time off work due to illness or injury will be required to use any accumulated vacation leave and may request a leave of absence without pay after exhausting these benefits. See Leave Without Pay, Section F below. 5. Requirements for Extended Use: For a period of absence of three or more consecutive working days, or anytime at the request of the department head, the employee may be required to submit a medical report signed by a licensed physician stating that they has been incapacitated for work for the period of absence and when it is anticipated that the employee will again be physically able to perform work duties. The department head, in consultation with the Human Resources Director and Mayor, may also require an employee returning to work after a sickness or injury to undergo a medical examination to determine whether or not the employee is able to return to work. Such examination, when required, will be paid for by the City and will be conducted by a physician or physicians as designated by the City. If an employee is out on sick leave for three or more consecutive working days and qualifies for protection under the Family and Medical Leave Act (FMLA), the supervisor is responsible for notifying the Human Resources Director who is responsible for ensuring that all FMLA guidelines are followed. 6. Fraudulent Use Prohibited: Any unjustified or fraudulent use of sick leave may result in loss of pay, the leave being charged as annual leave, and/or punishment by disciplinary action (to include dismissal when appropriate). 7. Maximum leave time per week: Employees will only be allowed to use annual leave to cover absences they have up to the amount of time they are regularly scheduled to work. For example, an employee who is regularly scheduled to work 40 hours and works ten hours on Monday, nine hours on Tuesday, and eight hours on Wednesday before taking annual leave on Thursday and Friday will be paid 27 hours for the time they worked and 13 hours of sick leave. Sick leave must be used in one (1) hour increments. 8. No Advances: Sick leave will not be advanced to any employee. Sick leave donations are not allowed. 9. Separation: Employees will be paid for their unused accumulated sick leave time when the employee separates from City service for any reason other than for retirement under the RSA retirement program. An employee who is eligible for retirement under the RSA retirement program who retires in good standing has the option to convert unused sick leave to retirement service or will be paid in a lump sum payment for unused sick leave as follows: a. An employee with at least 10 years of service to the City, but less than 20 years of service, will be paid 50% of their unused accumulated sick leave up to a maximum of 960 hours. b. An employee with 20 years of more of service to the City will be paid 100% of their unused accumulated sick leave up to a maximum of 960 hours. c. An employee who is unable to continue working for the City as a result of a Page 81 of 368 52 permanent and total disability will be paid 100% of their unused accumulated sick leave up to a maximum of 960 hours, upon termination of employment for that reason. D. FMLA The City offers leave under the Family Medical Leave Act (FMLA) for eligible employees. 1. Eligibility: If an employee has worked for at least one year and for 1,250 hours in the preceding 12 months, they are eligible to take up to 12 weeks of unpaid leave when the absence is necessitated by any of the following circumstances: a. The birth or placement of a child for adoption or foster care 1; b. The employee’s own serious health condition that prevents them from performing the essential functions of the job; or c. Serious health conditions of a child, parent, or spouse if the employee is needed to help provide care. 2. Qualifying exigencies related to a spouse, child, or parent’s active military duty are included as follows: short-notice deployment, military events and activities, childcare and school activities, financial and legal arrangements, counseling, rest and recuperation, and post- deployment activities. 3. Employees are entitled to a total of 26 unpaid weeks of leave in a particular 12-month period to care for a spouse, child, parent, or next of kin suffering from a serious illness or injury incurred in the line of military duty. Note that all FMLA leave is cumulative, so that leave taken for other reasons during the year will be deducted from this additional entitlement. 4. Certification: If an employee requests leave for their own serious health condition, or to care for the serious condition of a child, parent, or spouse, the employee will be required to provide the Human Resources Director certification by a treating healthcare provider. Healthcare Provider Certification Forms are available from the Human Resources Director. 5. All FMLA leave must be certified by an appropriate health care provider. Certification forms will be provided within five business days of the employee’s notification of the need for leave and must be returned within 15 calendar days of receipt. If additional information is requested by the Human Resources Director, it must be provided within seven calendar days of the request. Note that the City may directly contact an employee’s health care provider in order to verify or clarify the need for leave. It may also require a second opinion at its own expense. FAILURE TO COMPLY WITH THE CERTIFICATION REQUIREMENTS MAY RESULT IN PARTIAL OR COMPLETE DENIAL OF FMLA LEAVE. 6. Measuring: The City has chosen the “rolling” 12-month period measured backward 1 If a father and mother both work for the City, a cumulative total of 12 weeks of FMLA leave may be used between the two employees under this provision of the FMLA. Page 82 of 368 53 from the date an employee uses any FMLA leave. Under the “rolling” 12-month period, each time an employee takes FMLA leave the remaining leave entitlement would be the balance of the 12 weeks which has not been used during the immediately preceding 12 months. Example: An employee requests three weeks of FMLA leave to begin on July 31st. The City looks back 12 months (from July 31st back to the previous August 1st) to see if any FMLA leave has been used. The employee is entitled to 12 weeks if no leave has been used in that period or the remaining balance up to 12 weeks. 7. When an employee is on FMLA leave, they must periodically report (if possible) to their department head or the Human Resources Director on their status and indicate the return-to- work date. Appropriate forms must be submitted to the Human Resources Director to initiate family leave or to return the employee to active status. 8. Intermittent or Reduced-Time Leave: FMLA leave can be taken on an intermittent or reduced-time basis under certain circumstances. 9. Only the amount of leave actually taken while on intermittent/reduced schedule leave may be charged as FMLA leave. If an employee needs intermittent/reduced schedule leave for planned medical treatment, they must work with their supervisor to schedule the leave so it does not unduly disrupt the department’s operations, subject to the approval of the employee’s healthcare provider. 10. Serious Health Condition: "Serious Health Condition" is defined as an illness, injury, impairment, or physical or mental condition that involves: a. Any period of incapacity or treatment connected with inpatient care (i.e., an overnight stay) in a hospital, hospice, or residential medical care facility; b. A period of incapacity requiring absence of more than three calendar days from work that also involves continuing treatment by (or under the supervision of) a healthcare provider; c. Any period of incapacity due to pregnancy or for prenatal care; d. Any period of incapacity (or resulting treatment) due to a chronic serious health condition (e.g. asthma, diabetes, epilepsy, etc.); e. A period of incapacity that is permanent or long-term due to a condition for which treatment may not be effective (e.g., Alzheimer's, stroke, terminal diseases, dialysis, etc.); f. Any absences to receive multiple treatments (including any period of recovery) by, or on referral by, a healthcare provider for a condition that likely would result in incapacity of more than three consecutive days if left untreated (e.g., chemotherapy, physical therapy, dialysis, etc.). 11. Health Insurance Premiums: During FMLA leave, the City will continue to pay its portion of the health insurance premiums, and the employee must continue to pay their portion of the premium. The employee’s contribution of health insurance premiums should be paid continually according to the City’s bi-weekly pay periods. Employees may remain on City benefits until Page 83 of 368 54 all FMLA has been exhausted. 12. If an employee does not return to work at the end of FMLA leave, they will be required to reimburse the City for payment of health insurance premiums, unless the employee does not return because of the presence of a serious health condition which prevents them from performing the job or circumstances beyond the employee’s control. The employee may then choose to elect COBRA coverage. Sufficient notice shall be given to the employee at the end of FMLA when and if this event occurs. 13. The employee will be responsible for any other elected benefit contributions while out on FMLA. 14. Accrued Leave: Employees are required to use available sick and annual leave during FMLA leave. Accrued leave and FMLA leave are used at the same time – the employee does not take accrued leave first and then take FMLA. Employees will be required to use/exhaust any available sick leave, before using annual leave. 15. The portion of the family leave of absence which is annual leave time and/or sick leave will be with pay according to the City’s policies regarding annual leave and sick leave. 16. During FMLA leave, the employee will not accrue employment benefits (such as annual leave and sick leave), if they are in an unpaid status. Employment benefits accrued up to the day on which the family leave of absence begins will not be lost. Any holidays that occur during FMLA will not be paid if the employee is in an unpaid status. 17. Return to Work: If the employee returns to work from FMLA leave before or on the business day following the expiration of the 12 weeks, the employee is entitled to return to their job or an equivalent position without loss of benefits or pay. 18. Applications: Applications for FMLA leave must be submitted in writing. Applications should be submitted at least 30 days before the leave is to start, or as soon as possible if leave is not foreseeable. Employees should provide their department head or the Human Resources Director with an appropriate medical certification when FMLA is requested. 19. In the event you are unable to return from approved family and medical leave due to your own serious health condition, you may qualify for additional leave. You should contact the Human Resources Director prior to the expiration of your approved family and medical leave if you believe you will need additional leave for your own health condition. If you are enrolled in our group health insurance plan and are approved for additional leave, you will be eligible to continue your group health insurance plan under COBRA. E. Bereavement Leave Paid leave may be granted up to 24 hours off for the death of an employee’s spouse, child, stepchild, parent, stepparent, sibling, stepsibling, mother-in-law, father-in-law, grandparent, grandchild, or relative who lives in the household with the employee. Eight (8) hours of Page 84 of 368 55 bereavement leave will be granted to attend the funeral of an employee’s aunt, uncle, niece, or nephew. If additional time is required, the employee may request vacation leave or leave without pay. F. Administrative Leave Appointed and classified employees may be granted administrative leave with pay in accordance with the following guidelines provided the absence is on a normally scheduled workday for the employees. The number of hours of leave granted for each day will not exceed the number of hours the employee would normally have been scheduled to work for that day. Administrative leave will not be charged against the annual or sick leave of an employee who earns such leave. The following types of administrative leave are provided by the City: 1. Civil/Legal: Leave will be granted to eligible employees for jury duty, court attendance as a witness in a case not involving personal litigation, or to vote in a municipal, county, state, or federal election. The necessary time off to vote shall not exceed one hour and will only be granted when the hours of work the employee is scheduled to work are at least two hours after the opening of the polls and end at least one hour prior to the closing of the polls. Leave for voting will normally be granted at the start or end of a workday. Precinct election officials will be granted leave on days they are scheduled to work voting polls. When an employee is granted leave for jury duty or court attendance, they will return to work immediately upon release by the court. Upon receipt of a jury/court summons, notice must immediately be given to the supervisor and the Human Resources Director. 2. On-Duty Court Appearances: Attendance in court by employees who are acting in an official capacity will not be considered as administrative leave but as regular work time. The provisions of any law or City policy that requires any fees provided an employee who is attending court in an official capacity to be turned in to the City will be observed. In other situations, any fees paid to employees will be retained by the employee in addition to administrative leave pay. 3. City Investigation or Pending Disciplinary Action: An employee may be placed on administrative leave, with or without pay, by the Mayor during a City investigation into alleged acts of misconduct or until a final determination is made regarding proposed disciplinary action. G. Leave of Absence Without Pay 1. The City may provide a leave of absence without pay for up to 120 days with the written approval of the Human Resources Director and Mayor if the leave is for a justifiable reason and the leave will not cause an undue hardship on the City. Employees granted a leave of absence without pay must understand the City may recall the employee to return to work before the end of the leave of absence period if the City’s workload requires the recall. Employees who fail to report for duty promptly when recalled or at the end of the leave of absence without pay period will be considered to have voluntarily resigned their employment. 2. A leave of absence without pay may be taken only if all accrued vacation and sick Page 85 of 368 56 leave has been exhausted. However, if an employee has exhausted all vacation, they may not use sick leave unless they meet the requirements set out for use of sick leave as set out above in Section C above. 3. An employee who is unable to perform their essential job duties, with or without reasonable accommodation, without posing a direct threat to the health or safety of the employee or others as a result of an illness, injury, or other disability, including an illness, injury, or disability covered under worker’s compensation, may be granted a leave of absence without pay. The leave may be granted if the leave would enable the employee to return to their job and perform the essential job duties, with or without a reasonable accommodation, and without posing a direct threat to the health or safety of the employee or others. 4. After the first 30 days of a leave of absence without pay, the employee will not accumulate paid vacation or paid sick leave during the leave, and the employee will no longer be eligible for group health insurance coverage except as provided under the Family and Medical Leave policy in Section III, J. Covered employees have the right to continue group health insurance coverage under COBRA. Employees will be required to reimburse the City for any costs paid by the City on the employee’s behalf during an unpaid leave of absence. 5. Generally, only full-time appointed employees and classified employees are eligible for a leave of absence without pay. An exception may be made for an employee who is not eligible for FMLA leave or an employee afforded a leave of absence as a reasonable accommodation for a disability. 6. An employee in a leave-without-pay status will not accrue credit toward longevity or pay increases. 7. Employees must submit a written request for a leave of absence as far in advance as possible. The request should state the reason for the leave and the anticipated inclusive dates the employee will be absent. If the employee is unable to submit a written request for leave in advance, the request must be submitted as soon as practicable after the leave begins. 8. Employees desiring leave without pay under the Family and Medical Leave Act must comply with the Family and Medical Leave Act policy. When an employee is in a leave-without- pay status and has used all Family Medical Leave and accumulated leave time, they shall no longer be eligible to remain on the City's insurance plan but may be allowed to continue coverage through COBRA (Consolidated Omnibus Budget Reconciliation Act of 1985, Public Law 99-272, Title X). 9. If an employee returns to work following an unpaid leave of absence, the employee will be reinstated to the position held at the time the leave of absence without pay was granted or to a similar position, if the previous position is no longer available. 10. There may be changes in employee benefits during a leave of absence. Please contact the Human Resources Department to determine what changes may be experienced. 11. Employees returning to work following an unpaid leave of absence may be required to submit to a fitness for duty examination prior to beginning their work duties. Page 86 of 368 57 H. Political Leave of Absence 1. A City employee desiring to campaign for political office must be placed on a leave of absence without pay beginning on the date they qualify until “the date on which the election results are certified, the employee is no longer a candidate, or there are no other candidates on the ballot” (Section 17-1-1, Code of Alabama 1975). A non-exempt employee may choose to use any accrued compensatory time. 2. If the employee is elected, the employee will resign from their classified or appointed position with the City and assume elected office. If the employee is defeated for political office, the employee may, within five working days, be reinstated to their former position or one of comparable rank and pay. An employee may elect to be paid for any accumulated vacation leave upon beginning the leave of absence without pay to campaign for public office. No City employee or official shall campaign or otherwise engage in political activity in support of or against any candidate or any cause during normal working hours or while being in normal-pay status (on-the- clock) for employees. No employee shall be rewarded or penalized in any way for authorized political leave. I. Expiration of Leave of Absence When a leave of absence expires, the employee will be reinstated to the position they held at the time the leave was granted or to a similar position if the previous position is no longer available. However, the employee is not guaranteed a position if there has been a Reduction in Force (RIF) in the employee’s department and they would have been separated due to the RIF. Under such circumstances, the guidelines pertaining to RIF actions will apply. Page 87 of 368 58 VII. Employee Separations A. Resignations 1. If an employee wants to resign their position, they should notify their immediate supervisor or department head in writing no less than ten working days before the expected resignation date. If an appointed official, the Municipal Judge, the City Attorney, or the City Prosecutor wants to resign their position, they should notify the Mayor and City Council in writing no less than ten working days before the expected resignation date. Failure to provide such a notice will be recorded in the employee’s personnel file and may constitute grounds for “no- rehire.” Employees who resign shall schedule an appointment with the Human Resources Director in order to complete an exit interview. At the time of the separation and prior to final payment, all records, assets, and other items of City property in the employee's custody shall be transferred to the employee's supervisor or Human Resources Director. Any amount due and owed to the City by the employee because of shortage in the above shall be withheld from the employee's final check. 2. An employee who has given notice of their resignation may not use sick leave or vacation leave without prior approval from their Department Head. 3. After an employee gives notice and prior to the expiration of the ten working days, the Mayor can release the employee from the job, provided that all state and federal legal requirements are met. If the Mayor releases the employee prior to the ten working days, the employee will not be paid for the rest of that period and has no grievance rights. 4. Up to seven days after the effective date of resignation, the employee may withdraw their request to resign. The Mayor must approve the withdrawal. If the employee’s request for withdrawal of the resignation is denied, the employee will be separated on the effective date of the resignation. If the employee’s request to withdraw the resignation is approved, the employee will suffer no loss of service, benefits, entitlements, or pay. 5. Any unauthorized or unjustified absence from work for a period of three consecutive working days may be considered as a voluntary resignation. 6. The City reserves the right to make deductions from an employee’s paycheck for failure to return City equipment or uniforms (upon leaving employment). The employee’s final check will include all annual leave payout (if applicable) and will be processed by the next pay day following the date of termination. 7. An exit interview may be conducted with employees before their last scheduled workday in order to inform the employee of their rights pertaining to retirement, COBRA, or any other information necessary. The Human Resources department will contact the employee to schedule a time for the exit interview. Page 88 of 368 59 B. Reduction in Force 1. Whenever it becomes necessary, through lack of funds, curtailment of work, reorganization, or for other causes, to reduce the number of employees in a given department, the Mayor with the approval of the City Council shall determine the procedure for layoff or a reduction in the workforce (RIF). Typically, employees assigned to a job that has been identified in a RIF will be separated based upon their work status, the critical nature of each position in the department, and their work performance; however, the Mayor and City Council will determine the procedure to be used. 2. If an employee is discharged because of a reduction in force, as determined by the Mayor and City Council, they are considered separated from employment unless another position is offered and the employee accepts another position. 3. The Mayor may propose when a reduction in force is warranted and which employee(s) will be released, and the City Council shall make the decision whether to approve or deny the reduction in force, subject to any modifications deemed necessary by the City Council in its discretion. If an employee loses their job through a reduction in force, the employee may apply for other posted positions now or in the future. 4. A reduction in force is a separation of employment. The progressive discipline process is not followed when there is a reduction in force, and the appeals process is not available since it is not deemed a disciplinary action. C. Retirement 1. When an employee meets the eligibility requirements set forth by the Retirement Systems of Alabama, they may elect to retire and receive benefits earned under the provisions of the retirement program. An employee who wishes to retire should notify the Human Resources Director of the planned retirement and shall provide a written Notice of Retirement to the Human Resources Director no less than 30 days prior to the requested effective date and no more than 90 days prior to the requested effective date. An employee who has given notice of their resignation may not use sick leave or vacation leave without prior approval from their Department Head. D. Disability Any employee may be separated when the employee cannot perform the essential functions of their job because of an extended physical or mental impairment. The City will endeavor to reasonably accommodate the employee pursuant to Section III, F. Americans with Disabilities Act. For detailed information on Disability Insurance see Section V, N. Disability Insurance. E. Death Separation is effective as of the date of death of the employee. All compensation due to the employee as of that date will be paid to the estate of the employee, except for such sums that must Page 89 of 368 60 be paid as required by law. Any indebtedness owed to the City will be withheld from the employee’s final compensation, unless waived by the City Council. F. Termination 1. An employee may be terminated for violation of the City’s Workplace Rules of Conduct. For detailed information see Section VIII. 2. An exit interview may be conducted with employees before their last scheduled workday in order to inform the employee of their rights pertaining to retirement, COBRA, or any other information necessary. The Human Resources Department will contact the employee to schedule a time for the exit interview. G. Compensation Upon Separation from Employment Upon separation from employment, the employee will receive the following compensation on the next regularly scheduled payday. 1. Regular pay for all hours worked up to the time of separation. 2. Employees who resign in good standing with two weeks prior written notice of resignation, who retire, or who are dismissed for reasons other than misconduct, will be paid accumulated unused vacation time. 3. Employees who are eligible to earn compensatory time will be paid accumulated compensatory time up to the maximum accrual amount at the employee's regular base rate of pay. 4. Employees who retire under the RSA retirement program may be paid for accumulated unused paid sick leave as provided under Section VI, C. Employees whose employment ends for any other reason, including a voluntary resignation, will not be paid for accumulated unused paid sick leave upon separation. 5. The City will deduct from the employee’s final paycheck any amount owed to the City. No employee will receive their final paycheck until the employee returns City uniforms and equipment, including keys to vehicles, offices, and pad locks, etc. In addition, the employee’s supervisor must be informed of any computer passwords allowing access to databases and programs on City computers. Page 90 of 368 61 VIII. Workplace Rules of Conduct and Progressive Discipline All City employees must represent the City in a professional, courteous, efficient, and helpful manner. The City has established minimum standards of personal conduct, including: • Respect and courtesy in dealing with the public and with fellow employees; • Adherence to City policies, procedures, safety rules, and safe work practices; • Compliance with directions from supervisors; • Preserving and protecting the City's equipment, grounds, facilities, and resources; and • Providing quality and cost-efficient services to all residents of the City of Fairhope. To ensure orderly operations and provide the best possible work environment, the City has established, and may amend, general work rules. Although it is not possible to list all the forms of behavior that are considered unacceptable in the workplace, the following are examples of the types of infractions which can result in disciplinary action, up to and including termination. In order to avoid such severe consequences, employees should use simple common sense, read and understand this list of examples, and ask management before engaging in any questionable activity. • Insubordination or lack of cooperation, including but not limited to failing to follow instructions or to perform work as requested. • Failing to meet reasonable standards of efficiency and productivity or otherwise unsatisfactory job performance and/or repeated substandard work. • Unauthorized or excessive absences (including failure to report for work, late arrival, early departure, or unauthorized absence from duty) from work. • Excessive break time or repeatedly attending to personal affairs on work time. • Sleeping or giving the appearance of sleeping while on City property or during the time in which the employee is supposed to be working. • Failure to prepare and submit required reports and/or records in a timely manner. • Abusing, damaging, wasting, stealing, inappropriately using, removing, or possessing City property, records, or the property of other employees. • Falsifying the employment application or making misrepresentations on any other personnel records. • Falsifying City reports or committing fraud with regard to any records (including time records, expense accounts, absence excuse, etc.). • Fighting, threatening violence, or otherwise starting a disturbance on City premises or while performing job duties including but not limited to verbal abuse, name calling, using profanity towards, or assaulting or intimidating a City employee or non- employee. • Reporting to work in a condition unfit to perform their duties, including reporting to work with measurable amounts of illegal drugs, intoxicants, or controlled substances in the employee’s system or being under the influence of alcohol, drugs, or controlled substances. • Unauthorized possession of explosives, firearms, weapons, or other dangerous instrumentalities of any kind while on the job or in work areas. Page 91 of 368 62 • Unauthorized use of an employee’s position with the City for personal gain or advantage, including accepting unlawful gratuities or bribes. • Loitering in work areas during non-working times or disrupting City business or the work of other employees. • Failure to properly secure City facilities or property. • Possessing, consuming, or selling alcohol, illicit drugs, or controlled substances on City premises or while performing job duties and/or any violation of the City’s Drug-Free Workplace Policy. • Violating a City safety, health, or fire rule, policy, or practice; or creating or contributing to unhealthy or unsanitary conditions. • Boisterous or disruptive activity or horseplay in the workplace. • Misconduct leading to damage of City property. • Unauthorized disclosure of confidential City information. • Unauthorized solicitation or distribution on City property in violation of Section IV, O. • Sexual, racial, or other unlawful harassment or any violation of the Rules of Conduct and Harassment policies. • Failure to fully cooperate in any City investigation. • Failure to notify the City of wrongdoing of co-workers or for violation of any rules, regulations, or law. • Failure to promptly notify the employee’s supervisor of an accident. • Making false or unduly derogatory statements or engaging in actions or activities that reasonably would be expected to damage the integrity or reputation of the City or its employees. • Gambling on City property. • Abuse of phone or other communication systems. • Abuse or misuse of the City’s telephone system, computer system, or data. • Entering a restricted area without authorization. • Not being truthful or attempting to mislead or evade a direct question or inquiry from any supervisor or City official. • Multiple or repeated violations of workplace rules of conduct. • Repeated refusal to perform work as assigned. • Conduct unbecoming a City employee while on duty. • Conviction (including a guilty plea) of a felony, or any crime that involves moral turpitude, or any crime that is related to the employee’s job with the City, or repeated misdemeanor convictions, including traffic citations. • Recording an on-the-job conversation involving City employees. • A violation of any other City policy established in this handbook or under any Departmental Rules. The above list is not all-encompassing or all-inclusive. A. Progressive Discipline Procedures 1. In cases where an employee displays inappropriate conduct or poor performance, and Page 92 of 368 63 the activity does not call for automatic termination, the City follows a progressive discipline process. This is a system that consists of corrective action, documentation, and adverse action. The Mayor must be notified in advance of any disciplinary action beyond an employee counseling or written warning. 2. The steps of progressive discipline may include: a. Employee Counseling: The first step is usually an employee counseling from the supervisor or department head with the employee to identify the problem and to state the corrective action needed. The supervisor or department head documents this step, including dates, times, and details of incidents of improper conduct or poor performance and the date the employee counseling was given. The supervisor or department head sends this documentation to the Human Resources Director who will review it and place it in the employee’s personnel file. The employee may submit a separate written statement for the file, if desired. b. Written Warning: The second step in the process is usually a written warning with specific examples cited. The department head prepares the “Notice of Disciplinary Action” form that states a specific time frame in which the employee must improve and gives the consequences for failure to improve. The original form is forwarded to the Human Resources Director for review and placement in the employee’s personnel file and a copy is given to the employee. The employee may submit a separate written statement for the file, if desired. c. Adverse Action: If attempts at corrective action fail to produce satisfactory results, some form of adverse action may be taken. The term “adverse action” means action involving suspension without pay, involuntary demotion for cause, or termination. Before any adverse action becomes effective, the department head must obtain written approval from the Mayor. The department head is to document the adverse action, including dates, times, and details of incidents or improper conduct and the date the adverse action was imposed. The documentation is to be signed by the employee and the Mayor and sent to the Human Resources Director who will review it and place it in the employee’s personnel file. The employee may submit a separate written statement for the file, if desired. An adverse action may be appealed to the Personnel Board if the employee meets the eligibility criteria for Personnel Board review. See Pre-Disciplinary Appeals Procedures for Adverse Action and Post-Disciplinary Appeals Procedures for Adverse Action for additional information. 3. Any employee who receives two documented warnings for any reason within a 12- month period may be subject to termination, unless automatic termination is justified. Depending on the circumstances surrounding a disciplinary action, any step of progressive discipline may be skipped and disciplinary action, up to and including termination, may be utilized at any time. Furthermore, past performance and disciplinary action may be considered when determining disciplinary action to be taken. 4. In the event that the Mayor determines that a request for disciplinary action is not appropriate under the circumstances, or in the event that a supervisor or department head fails to Page 93 of 368 64 take appropriate disciplinary action against an employee, the Mayor may, in their discretion, initiate new or additional disciplinary action against an employee which may be subject to the pre- disciplinary hearing and appeals process set forth below. 5. In the event that a classified employee is serving as an acting or interim department head, and in the event disciplinary action is required against the acting or interim department head, the Mayor may, in their discretion, initiate disciplinary action against the employee which may be subject to the pre-disciplinary hearing and appeals process set forth below. B. Administrative Leave with Pay Due to Potential Disciplinary Action An employee may be placed on administrative leave with pay by the Mayor for up to one pay period during the course of an investigation to determine whether any disciplinary action should be initiated against the employee. The Mayor may approve up to an additional pay period to complete the investigation. C. Suspensions Without Pay 1. The department head, in consultation with the Mayor, may suspend an employee without pay as part of disciplinary action for up to two pay periods. 2. Employees may not use vacation leave or sick leave while on suspension. 3. The progressive discipline process will be followed prior to suspension unless the situation warrants automatic suspension. 4. The department head is to document the suspension without pay, including dates, times, and details of incidents or improper conduct and the dates of the involuntary suspension. The documentation is to be reviewed by the Human Resources Director and then sent to the Mayor for approval. The Mayor may approve, modify, or disapprove the proposed discipline. The department head will review the disciplinary action with the employee who should sign the disciplinary form. The completed form shall be sent to the Human Resources Director who will place it in the employee’s personnel file and a copy shall be given to the employee. The employee may submit a separate written statement for the file, if desired. 5. If the Mayor approves suspension without pay, the Department Director will determine the date and time frame of the suspension. The suspension period must fall within 10 working days of final approval of the adverse action. D. Involuntary Demotions for Cause 1. Involuntary Demotion for Cause: An involuntary demotion for cause is an assignment to a job at a lesser basic pay rate. An involuntary demotion may be made for cause, including but not limited to violations of rules, failure to perform job duties adequately, misconduct, or neglect of duty. The progressive discipline process will be followed prior to demotion. All employees involuntarily demoted for cause will receive at least a 5% pay decrease effective upon their Page 94 of 368 65 demotion. 2. A department head, in consultation with the Mayor, may involuntarily demote an employee for cause. 3. The department head is to document the involuntary demotion, including dates, times, and details of incidents or improper conduct and the date the adverse action was imposed. The documentation is to be reviewed by the Human Resources Director and then sent to the Mayor for approval. The Mayor may approve, modify, or disapprove the proposed discipline. The Department Head will review the disciplinary action with the employee who should sign the disciplinary form. The completed form shall be sent to the Human Resources Director who will place it in the Employee’s personnel file and a copy shall be given to the employee. The employee may submit a separate written statement for the file, if desired. E. Terminations 1. Immediate termination may be made for cause, including but not limited to an employee’s action or behavior that constitutes: a. Insubordination (refusal to follow supervisor’s instructions); b. Endangering their own health or safety or the health or safety of other employees or citizens; c. Theft, vandalism, or willful destruction of City or co-employee property; d. Making fraudulent statements on employee applications or job records; e. Any violation of the City Alcohol and Drug Policy; f. Conviction of a felony offense or of a crime involving moral turpitude; g. Conviction of an offense that affects the employee’s ability to perform their job duties or insurability, including but not limited to loss or suspension of licenses or other credentials; or h. Any other infraction when termination is determined to be in the best interest of the City. 2. Terminations that follow the progressive discipline process are permitted for reasons that include, but are not limited to: a. Misconduct; b. Willful neglect of duties; c. Absence from work without authorization or notification; d. Failure to perform job duties; e. Repeated tardiness or absence; f. Violation of departmental rules; g. Email abuse; or h. Internet abuse. Page 95 of 368 66 3. Any employee who fails to correct deficiencies after two documented warnings may be subject to termination, unless automatic termination is justified. 4. A department head may initiate a termination by documenting the reason for the proposed termination, including dates, times, and details of incidents or improper conduct and any previous disciplinary actions. The documentation is to be reviewed by the Human Resources Director and then sent to the Mayor for approval. The Mayor may approve, modify, or disapprove the proposed discipline. The department head will review the disciplinary action with the employee who should sign the disciplinary form. The completed form shall be sent to the Human Resources Director who will place it in the employee’s personnel file and a copy shall be given to the employee. The employee may submit a separate written statement for the file if desired. F. Pre-Disciplinary Appeals Procedures for Adverse Action 1. Before a classified employee may be suspended without pay, involuntarily demoted for cause, or terminated, the employee shall have the opportunity to have the proposed disciplinary action reviewed by the Mayor. The Human Resources Director shall notify the employee in writing that they propose disciplinary action in the form of suspension without pay, involuntary demotion for cause, or termination and the grounds for such proposed action. The employee will then have one working day to request in writing to the Human Resources Director a pre-disciplinary hearing before the Mayor or their designee. 2. If the employee does not request a hearing, the proposed discipline will become effective at the end of the one working day period. 3. Should the employee request such a pre-disciplinary hearing, the Mayor or their designee will inform the employee of the date and time of such hearing which will be held within three working days of the request, unless the Mayor allows additional time. The employee may be placed on administrative leave with pay until the time of the pre-disciplinary hearing. The hearing will be informal in nature. The employee may have a representative of their choosing present at their own expense. 4. Within three working days after the pre-disciplinary hearing, the Mayor or their designee will issue a decision on proposed adverse action. An employee or the supervisor may then appeal this decision as set forth below. G. Post-Disciplinary Appeals Procedure for Adverse Action 1. An employee or supervisor who wishes to appeal the decision of an adverse action following a pre-disciplinary hearing must submit a written notice of appeal to the Human Resources Director requesting a hearing within two working days of the decision. 2. The written request must state the reason(s) the employee believes the disciplinary action to be unfair or unwarranted. If the employee believes a specific City policy or procedure in the Personnel Rules has not been followed or has been applied incorrectly, the employee should identify the policy or procedure. The employee must sign and date the request. If the employee fails to deliver, within two business days from the date they receives the decision from the pre- Page 96 of 368 67 disciplinary hearing, a written request for a hearing, the employee shall be deemed to have waived their right to a post-disciplinary review and hearing and the disciplinary decision shall be final and the discipline shall be imposed. 3. Within two working days of receiving the appeal, the Human Resources Director shall forward the request to the relevant department head, the Mayor, and the Chairperson of the City’s Personnel Board. 4. The Chairperson of the Personnel Board shall appoint three members from the City’s Personnel Board (one of whom may be the Chair) to serve as the Hearing Review Board and shall schedule the hearing as soon as practicable. The employee shall be provided with written notice of the time, date, and place of the hearing. 5. The employee, the department head, and any supervisor who participated in the decision to recommend the proposed discipline shall attend the hearing. The City and the employee may be represented by legal counsel. The employee is solely responsible for selecting and retaining their legal counsel at their own expense. At the hearing, the City shall present the reasons for the disciplinary decision and shall present any witnesses and documentary evidence to support the stated reason(s). The employee or the employee’s representative shall have the opportunity to cross-examine any witnesses offered by the City. The employee or the employee’s representative shall also have the right to call witnesses, including the employee, to respond to the stated reason(s) for the disciplinary decision and to offer any documentary evidence the employee wishes to present. The City’s representative shall have the opportunity to cross-examine any witnesses offered by the employee. The hearing shall be informal, and the rules of evidence and the rules of discovery applicable in court proceedings shall not apply to the post-disciplinary hearing. 6. Following the post-disciplinary hearing, the Hearing Review Board shall make the decision whether discipline should be imposed and, if so, the nature of the discipline to be imposed. The Hearing Review Board may approve the discipline recommended by the department head and approved by the Mayor, impose lesser discipline, or make the decision that discipline should not be imposed. 7. The Hearing Review Board shall issue a written decision, which shall state the discipline to be imposed, if any, and a brief statement of the reason(s) for the decision. The decision of a Hearing Review Board shall be by a majority vote of the appointed Board members. The decision should not recite the evidence presented at the hearing or disclose the names of any witnesses who testified at the hearing. The Hearing Review Board shall provide a copy of the decision to the employee, the department head, and the Human Resources Director within five days after the post-disciplinary hearing unless the time is extended by the Hearing Review Board for a good reason. If discipline is imposed, a copy of the decision shall be maintained in the employee’s personnel file. If the Hearing Review Board makes the decision to impose lesser or no discipline, the employee shall be paid accordingly for any time missed from work. The decision of the Hearing Review Board is final. 8. The post-disciplinary hearing is a quasi-judicial pre-disciplinary hearing and may involve the good name or character of the employee subject to proposed discipline. The Board Page 97 of 368 68 shall comply with the Alabama Open Meetings law, including the provisions on executive sessions. H. Limitation on Disciplinary Appeals 1. Appointed officials (City Clerk, City Treasurer, and Chief of Police) may be issued a verbal or written warning by the Mayor but are subject to suspension without pay, involuntary demotion for cause, or termination only by the City Council. These appointed officials do not have access to the pre-disciplinary appeal or post-disciplinary appeal hearings. 2. Probationary, Temporary, and Part-Time Employees: Probationary, temporary, and part-time employees are subject to disciplinary action but do not have access to the pre- disciplinary appeal or post-disciplinary appeal hearings. 3. Department Heads: Department heads are subject to disciplinary action by the Mayor under these rules but do not have access to the pre-disciplinary appeal or post-disciplinary appeal hearings. 4. The City’s Disciplinary Appeals system provides a standard process for investigation and resolution of an eligible employee’s appeal of serious disciplinary action. The City’s Disciplinary Appeals system is not intended, and will not be used for the following reasons: a. To resolve personal differences among employees; b. To appeal written warnings; c. To appeal pay reductions which are part of a general plan to reduce salaries and wages to all employees; d. To appeal non-selection for a position when staffing procedures have been followed; or e. To appeal the contents of approved and published City resolutions, ordinances, or other legal action. Page 98 of 368 69 IX. Code of Ethics A. Ethical Conduct 1. It is the policy of the City of Fairhope to uphold, promote, and demand the highest standards of ethics from all employees and officials, whether elected or appointed. Accordingly, all City employees should maintain the utmost standards of personal integrity, truthfulness, honesty, and fairness in carrying out their public duties; avoid any improprieties in their roles as public servants; and never use their City position or powers for improper personal gain. 2. Every employee of the City is a “public employee”. The citizens entrust every employee with the responsibility of carrying on business beneficial to the citizens. 3. Employees of the City are subject to the provision of the Alabama Ethics Law (codified at §§36-25-1, et.seq., Code of Alabama 1975, as amended from time to time) (sometimes referred to as the “Alabama Ethics Law” or the “Ethics Law”) and the decisions and enforcement of the Alabama Ethics Commission. Employees may visit the Ethics Commission’s website to acquire further information of interest at www.ethics.alabama.gov. B. Statement of Economic Interests Some employees will have to complete an annual questionnaire for the Alabama Ethics Commission. The Human Resources Director will provide these employees with the required forms upon request. These employees are responsible for filing the reports in a timely manner. Section 36-25-4.2 states that “[a]ll public employees required to file the Statement of Economic Interests required by Section 36-25-14, shall participate in an online educational review of the Alabama Ethics Law provided on the official website of the Alabama Ethics Commission. Employees hired after January 1, 2011, shall have 90 days to comply with this subsection.” C. Political Activity 1. Employees may individually exercise their right to vote and privately express their views as a citizen, including becoming a candidate for public office. However, an employee shall not engage in political activities during their work time. Without limitation, the City expressly prohibits employees from soliciting political financial contributions, distributing political literature, or wearing political buttons or similar insignia during their work time. Employees who are issued uniforms by the City are prohibited from wearing their uniforms while engaging in political activities. 2. The City also prohibits employees from distributing political literature or printed or other material of any kind in working areas at any time. Employees may not use any equipment owned by the City, including but not limited to copiers and fax machines, to engage in political activities. 3. This prohibition against soliciting other employees for political purposes covers the Page 99 of 368 70 City’s telephonic and computer equipment. Thus, no employee is permitted to use the City’s electronic mail, the internet, voicemail, telephones, computers, or other related equipment for the purpose of soliciting others for political activities or for preparing, duplicating, or distributing political literature or other material to other employees or non-employees. 4. Except for elected City officials, no employee of the City shall be a candidate for an elected City office while actively employed by the City. An employee will be granted a leave of absence without pay and will be required to use paid accumulated vacation and sick leave to engage in this activity. 5. The limitations in this policy do not affect an employee’s rights to become or to continue to be a member of a political party, to attend political meetings, or to participate in political campaigns involving national, state, county, or local candidates or issues during non- working hours, or to vote for the candidate of their choice without interference or coercion of any kind. 6. Employees of the City shall not be subjected to any form or discrimination or adverse employment action because of their political activity of affiliation, (unless such activity is prohibited by this policy). No employee, elected official, or appointed official of the City shall in any way coerce, attempt to coerce, or pressure any City employee to take part in any political campaign, or to vote for, support, or contribute to any candidate or cause. No employee, elected official, or appointed official shall solicit any kind of political campaign contribution from other employees who work for such official or supervisory employee in a subordinate capacity. 7. The Human Resources Director is available to answer any questions regarding proper employee political activity. This policy does not authorize a City employee to engage in political activity in violation of federal or state law. D. Secondary Employment 1. City employees shall not engage in any outside employment which, in the judgment of the Mayor, adversely affects their work performance as an employee of the City or creates a conflict of interest. Examples included but are not limited to outside employment that prevents the employee from being available for work, is conducted during the employee’s regular work hours, utilizes or may cause to be utilized City equipment or property, involves performing work or promoting the interests of an entity that has contracts with or does business with the City, or may reasonably be perceived by members of the public as a conflict of interest or otherwise a discredit to public service. 2. If an employee engages in other employment, they must notify their department head in writing stating the name of the employer, the nature of work or business, specific duties, and hours worked per week. The department head will send a copy of these statements to the Human Resources Director for placement in the employee’s personnel file. The department head will also send a copy of these statements to the Mayor for approval of the secondary employment. 3. The employee shall at all times give first priority to the performance of their City job. Page 100 of 368 71 City work schedules will not be adjusted to accommodate non-City work schedules. E. Reporting Arrests and Off-Work Accidents 1. Any employee of the City who has been arrested for any reason must report the arrest and surrounding circumstances to their immediate supervisor within one day of returning to work. Failure to comply with this policy may result in disciplinary action, up to and including termination. Supervisors are required to forward the information to the department head who shall notify the Mayor and Human Resources Director. 2. Any employee of the City who drives a vehicle for the City as part of their work assignment, must report any motor vehicle accident or major moving violation including speeding, reckless driving, or driving under the influence violations to their immediate supervisor within one day of returning to work. Failure to comply with this policy may result in disciplinary action, up to and including termination. Supervisors are required to forward the information to the Department Head who shall notify the Mayor and Human Resources Director. 3. Any employee arrested for a crime may be placed on administrative leave with pay by the Mayor pending an investigation to determine whether the alleged conduct resulting in the arrest is a violation of City policy and, if so, whether disciplinary action should be initiated by the City. Page 101 of 368 72 X. Workers’ Compensation A. Reporting On-the-Job Injuries 1. All employees are protected under the State of Alabama’s Workers’ Compensation Law for injuries and occupational diseases that result “out of and in the course of employment.” This includes injuries that take place when the employee is performing tasks they were hired to perform at times and in places where they were hired to work. 2. For all life-threatening injuries or illnesses, please notify 911. 3. If an employee requires emergency medical treatment for “life threatening” injuries, they should use the emergency room at the local hospital. Only one visit to the emergency room will be covered by Workers’ Compensation for each work-related incident. The Human Resources Director should immediately be made aware of the injury. 4. If an employee experiences an on-the-job, non-life-threatening injury or illness, they are required to: a. Report the incident to their supervisor immediately. b. Provide written notification of how the injury occurred to the supervisor within 24 hours. c. Provide information to the supervisor so that the supervisor can notify the Human Resources Director, or their designee, who will complete the Alabama First Report of Injury. d. All initial non-life threatening medical visits are to be coordinated through the Human Resources Director, or their designee. All life-threatening injuries should be taken to the nearest hospital. 5. After the employee’s claim has been received by the Human Resources Director, it will be submitted to the Mayor and to a Workers’ Compensation claims adjuster. The Workers’ Compensation Adjuster will determine whether it is approved. The employee will be notified if a problem arises in the process of making that decision. 6. If a Workers’ Compensation claim is rejected as a Workers’ Compensation injury, it may be applied to the employee’s medical insurance. 7. The goal is to process Workers’ Compensation claims as quickly and as fairly as possible while providing the employee with the best medical care possible. The length of time required for approval will vary for each claim. 8. Most employees who have an on-the-job injury will be required to receive a Post- Accident Drug Screen immediately after the reported incident. 9. Official medical records in regard to Workers’ Compensation and Drug Screen Testing Page 102 of 368 73 should only be maintained by the Human Resources Director. At no time should any medical information (personally identifiable information) be retained at any location other than in the Human Resources Department unless written consent has been otherwise given. B. Medical Treatment 1. Following the initial medical treatment/appointment, all related follow-up visits for treatment should be with the initial medical provider or the current medical provider for the City of Fairhope. 2. If there is a follow-up appointment required after the initial visit to the emergency room, then the follow-up visit MUST be scheduled with the current medical provider for the City. The employee’s Workers’ Compensation case manager will assist the Human Resources Director in scheduling this appointment for the employee. The employee is not authorized to return to the emergency room for follow-up treatment (i.e., removal of stitches, change of injury dressings, etc.). 3. Every employee injured on the job is required to: a. Keep all scheduled appointments with physicians/therapist as scheduled; b. Be aware that the City has a Transitional Duty Program; c. Notify their supervisor immediately if the physician advises the employee not to return to work or to work with restrictions and when they release the employee to full duty; and d. Provide Human Resources with a copy of the Return to Work and/or Work Restriction Form(s) received from the physician so that it may be retained in the employee Workers’ Compensation file. 4. Prescription medications should be filed under Workers’ Compensation and should not be put on the employee’s personal insurance. 5. If the employee’s authorized treating physician releases the employee to return to work with specific temporary restrictions (i.e., transitional duty) and the City can provide a job within the recommended restrictions, they must return to work and attempt the transitional duty. Transitional duty is offered at the will of the City and is only offered on a temporary basis. 6. The employee’s authorized physician determines what transitional duty work is appropriate. If clarification of transitional duty restrictions is needed, the Human Resources Director should be contacted. Failure to report for the assigned Transitional Duty work as authorized may result in the employee having to use their sick or leave time to cover the employee’s absence. An employee may qualify for benefits if the City cannot provide a job within the restrictions given by the authorized physician. C. Workers’ Compensation Payments 1. The employee will be paid a full day’s pay for the day of the injury. The following Page 103 of 368 74 three days can be charged to annual leave, sick leave, or leave without pay. These “following three” days will be reimbursed under the Workers’ Compensation benefits after the employee remains off work for a period of 21 calendar days. If an employee remains off of work for a period of 21 days, they must reimburse the City for the “following three” days that was paid to the employee. 2. The only check an employee who has filed for Workers’ Compensation benefits will receive is a check received from the Workers’ Compensation insurance carrier for the City. 3. While on Workers’ Compensation leave, the employee may be placed in a leave- without-pay status. The employee will not accumulate annual or sick leave while on Workers’ Compensation leave. 4. All individual health insurance premiums paid by the City for an employee will remain in force and continue to be paid by the City. All employees are required to continue to pay their portion of health insurance premiums. Employees will be issued an invoice from the City. 5. If, while on Workers’ Compensation leave, the employee wishes to continue dependent coverage or other items that are customarily deducted from their paycheck, the employee must contact the Human Resources Department for payment procedures. If payments are not submitted in a timely manner, coverages are subject to cancellation. 6. An employee (who has depleted their sick leave, annual leave, and FMLA) out on Workers’ Compensation leave, who has reached “Maximum Medical Improvement (MMI),” shall be terminated if they do not return to work. D. Transitional Duty 1. The Temporary Transitional Duty Policy is intended to support injured and ill employees who have temporary restrictions due to work-related injuries and are expected to return to their regular assignments following recovery. This policy and procedure do not cover employees with permanent restrictions and is offered at the will of the City and may be terminated at any time. Each case presented for possible Temporary Transitional Duty will be evaluated on a case-by-case basis by the Mayor, Human Resources Director, and department head. 2. Eligible Personnel: The guidelines for eligible personnel are as follows: a. Any probationary or permanent employee of the City is eligible for consideration of a Temporary Transitional Duty Assignment; b. A City of Fairhope Medical Evaluation form note detailing the employee’s temporary work restrictions is required to be eligible for a Temporary Transitional Duty Assignment; c. Work restrictions are defined as physician-specified work activities that are limited Page 104 of 368 75 due to an occupational illness or injury, regardless of whether the employee has lost time from work or not (e.g., limited hours, limited functions, need for equipment, etc.); d. The employee must provide the Medical Evaluation Form to the Human Resources Department identifying temporary work restrictions or time off, within one business day of the employee’s receipt of the note; e. The supervisor is then responsible to notify the relevant department head of the request for Temporary Transitional Duty; and f. The relevant department head or supervisor is responsible for coordinating with the Human Resources Director to authorize Temporary Transitional Duty. 3. Non-Eligible Personnel: The following are personnel who are ineligible: a. Contractors, volunteers, inmates, interns, or temporary employees; b. Employees who have a common, contagious illness (e.g. cough, cold, or flu) or an injury that has no impact on the ability to perform their regular job duties (e.g. an employee who works sitting at a desk and has a sprained ankle); c. Employees on non-medical leave (e.g. military, bonding, etc.); or d. Employees who have permanent restrictions that do not fall within the normal scope of their job activities. 4. Identify Potential Eligible Employees: The guidelines used to identify potential eligible employees are as follows: a. The supervisor shall identify an employee who has been, or will be, off work due to an occupational injury or illness; b. The employee shall self-identify by providing temporary work restrictions to their supervisor; c. Clarification of restrictions may be needed; and d. The relevant department head, the Mayor, and the Human Resources Director shall review medical records to identify potentially eligible employees. This determination will be made on a case-by-case basis, while considering the best interests of the employee and the City during the evaluation. 5. Assess Work Restrictions and Develop Assignment: The department should make every effort within five working days, or as early as possible, to do the following: a. Provide a Temporary Transitional Duty Assignment, if feasible, for all work- related injuries. The appointing authority must send the proposed Temporary Transitional Duty Assignment and its duration to the Human Resources Director; b. Request assistance in the development of the Temporary Transitional Duty Assignment. Assistance from the Human Resources Director may include clarification from the medical provider, a need for equipment beyond internal resource availability, assessment of possible alternate job duties or special Page 105 of 368 76 projects, or an assessment of the appropriateness of the modification; and c. Notify the Human Resources Director if at any time the department is unable to provide a Temporary Transitional Duty Assignment. 6. Communication of Assignment to Employee: a. The department head or their designee will discuss the Temporary Transitional Duty Assignment with the employee. b. Assignments are determined based upon the employee’s temporary work restrictions, skills, the duration of time required for the assignment, and the needs of the department. The employee will act in accordance with the duties assigned in a Temporary Transitional Duty Assignment. c. The refusal to do so may result in the loss of Workers’ Compensation wage replacement benefits, in accordance with state law or long-term disability benefits. 7. Completion of Transitional Duty Form: The relevant department head or their designee is responsible for the following: 8. Completing the Temporary Transitional Duty Assignment Form (TTD) along with the Human Resources Director; 9. Sending a copy of the TTD Form to the immediate supervisor and the Human Resources Director; 10. Making certain that the employee begins their work in that assignment once the TTD letter is completed; 11. Meeting with the Human Resources Director for a discussion of the Temporary Transitional Duty Assignment; and 12. Meeting with the employee for a discussion of the Temporary Transitional Duty Assignment. 13. Work Restrictions and Assignment Modification: The relevant department head or their designee is responsible for: a. Monitoring the assignment and the employee for compliance; b. Re-assessing the assignment upon any change of temporary work restrictions or as the needs of the department change. This will also require a new TTD letter. c. If the temporary work restrictions change at any time during the current assignment, the employee is responsible for providing to the department designee, within one business day, any medical documentation detailing the revised temporary work restrictions. 14. Duration of Assignment: Page 106 of 368 77 a. The duration of the Temporary Transitional Duty Assignment for occupational illnesses or injuries will be up to 90 days, as the needs of the department allow; b. For any change in duration or temporary work restrictions, the department must complete a new Letter of Temporary Transitional Duty Assignment; and c. The duration shall not exceed 90 days from the original date of the Temporary Transitional Duty Assignment without approval from the relevant Department Head and Mayor in consultation with the Human Resources Director. 15. Extension of Assignment: Extensions may be considered for occupational illness or injury. An extension beyond 90 days may be granted with approval from the relevant department head, the Mayor, and the Human Resources Director. In no event shall Temporary Transitional Duty Assignments exceed 365 days for an occupational illness or injury. 16. Extension Requirements: In order for an extension to be considered, the following requirements must be met: a. The department and the employee both request an extension; b. The employee has made progress in transitioning back to the regular assignment during their 90-day Temporary Transitional Duty Assignment; and c. The extension is for a specific, short period of time due to the employee’s medical physician indicating that the employee is progressing as expected toward returning to work in their regular assignment. 17. Transitional Duty Assignment Termination. 18. The Temporary Transitional Duty Assignment will terminate at any time if the needs of the department change or when a department determines that the employee is not acting in accordance with the stated restrictions or is unable to perform the duties as assigned within the stated restrictions. 19. The Temporary Transitional Duty Assignment will terminate at any time if the physician: a. Releases the employee to full duty without restrictions; b. Removes the employee from work; or c. Indicates the employee has permanent restrictions. 20. Where restrictions are permanent, the relevant department head or their designee should refer to the Mayor and Human Resources Director for additional guidance and directives. 21. The Temporary Transitional Duty Assignment automatically terminates at the end of the approved assignment unless an extension has been requested and approved per the policy. If the department is terminating the Temporary Transitional Duty Assignment prior to the agreed upon end date, the Department Head shall give the employee as much notice as possible. Early agreement termination must be approved by the relevant department head, the Mayor, and the Human Resources Director. Page 107 of 368 78 22. Dispute Resolution. In the case of disputes regarding the denial of a Temporary Transitional Duty Assignment or the denial of an extension of a Transitional Duty Assignment, the employee or department may follow the grievance procedure as shown in Section III.A Equal Employment Opportunity Policy and Procedures. Page 108 of 368 79 XI. Drug and Alcohol Policy A. Alcohol and Drugs – Drug-Free Workplace Policy 1. The City of Fairhope is committed to providing a safe working environment for all employees while serving the citizens of Fairhope. The City recognizes that any employee who improperly uses intoxicating substances, including drugs and alcohol, poses a serious threat to their self, their coworkers, and to the public in general. Even small quantities of narcotics, abused prescription or over-the-counter drugs, or alcohol can impair judgment and reflexes. This impairment can have dire results, particularly for employees operating vehicles or potentially dangerous equipment. It is therefore the policy of the City of Fairhope that all employees or any person performing any kind of work for the City must report to work completely free from alcohol, illegal or unauthorized drugs, or any other substances that may have a mind-altering or intoxicating effect or otherwise impair the employee’s judgment, reaction times, or functioning. 2. The City also prohibits all employees from using, possessing, manufacturing, distributing, or making arrangements to distribute alcohol, illegal or unauthorized drugs, or any other intoxicating substances while at work or on or about any City property. 3. In order to avoid creating safety problems and violating this policy, employees must inform their supervisor when they are legitimately taking any medication, including prescription drugs or over-the-counter medications, which affects their ability to work. An employee whose job performance may be affected by such medications may be required to provide a fitness-for- duty certification before being allowed to resume their job duties. 4. Any employee who violates this policy in any way shall be immediately removed from their job duties and shall be subject to discipline, up to and including immediate termination. 5. No part of this policy shall be construed to create a contract of continued employment or to confer upon any employee or applicant a property interest in their employment. The City maintains the right to change this policy at any time without notice. To the extent that any portion or provision of this policy and procedure conflicts with any applicable federal or state laws or regulation, such federal or state laws or regulations will be controlling. Further provisions of this policy, specifically including but not limited to testing procedures, are subject to change in order to remain consistent with the United States Department of Transportation regulations. It is the City’s intent that it be allowed to choose any testing method that is approved by the United States Department of Transportation. 6. The City has designated the Human Resources Director as the Drug Program Coordinator. If you have any questions or concerns regarding this policy or its application, please contact the Human Resources Department. 7. The Federal Drug and Alcohol Clearinghouse herein referred to as “Clearinghouse” Page 109 of 368 80 manages an electronic database that tracks all covered employees with commercial driver’s licenses who have tested positive for prohibited drugs or alcohol use, as well as refusals to take required drug tests and other drug and alcohol violations. Additionally, when a covered employee driver has been found to be in violation and then completes the required return-to-duty process, this information will also be recorded in the Clearinghouse. The Clearinghouse is Required by Federal Law The City is required to populate the Clearinghouse with the following information: • Employees' DOT drug and alcohol violations under Part 382 of the Federal Motor Carrier Safety Regulations as part of the hiring process; and • Posting to the Clearinghouse all prohibited driver activity, who has tested positive for prohibited drugs or alcohol use, refusals to take required drug tests, and other drug and alcohol violations; and • The requirement to query the Clearinghouse annually for information relating to prohibited drug and alcohol testing behavior by the employee; and • Verification of a CDL driver's completed steps in the DOT return-to-duty process (if applicable). Covered DOT Employee Drivers Need to Know Their Rights and Responsibilities If a covered DOT employee changes companies, they will have to register in the Clearinghouse in order to give permission for the new hiring motor carrier to make queries into their clearinghouse testing information. All companies are required to enter selected information into the Clearinghouse, as listed in Section 382.601(b)(12). The following is the best-practices information that all employees should understand: • All types of inquiries companies will perform consistent with (Section 382.701); • Employee driver procedures on signing up for access to the Clearinghouse; • Covered employees will be provided information on how they may obtain a copy of their Clearinghouse records (Sections 382.707, 382.709); • Procedures for correcting information in the database (Section 382.717); • Awareness that state licensing authorities (DMVs) will have access to the database (Section 382.725); and • Clarification on an employee's obligation to notify a current employer(s) (in writing) of DOT testing violations occurring under a different employer (Section 382.415) It is important to understand that all covered DOT employee drivers must give their permission to access their Clearinghouse drug and alcohol information. Which means if the covered employee refuses to allow access to the Clearinghouse, it will result in removal of the employee from their duties and disciplinary action, up to and including termination. Lastly, all covered employee drivers have a right to review their Clearinghouse information, and if the driver finds a discrepancy or disagrees with the records, they are encouraged to write to FMCSA and dispute any issues in question and potentially correct any incorrect records. All these Page 110 of 368 81 processes are easily defined and available online at /https://clearinghouse.fmcsa.dot.gov/ 8. Employees of the City’s Gas Department are subject to departmental drug and alcohol policy requirements. B. Definitions 1. “Accident” means any on-the-job accident. “Accident” includes vehicular accidents as well as any acts or omission causing an accident or injury to any person or damage to any equipment or property belonging to the City. 2. “Administrator” means the person or entity that implements drug testing on employees and applicants. 3. “Alcohol” means distilled or fermented beverage containing ethyl alcohol, including but not limited to beer and wine. 4. “Chain of Custody” means procedures implemented by the City of Fairhope for the identification and integrity of each urine specimen. The City requires the person responsible for policy implementation to track the handling and storage of each urine specimen from the point of specimen collection to final disposition of the specimen. These procedures include an appropriate drug testing chain of custody form to be used from time of collection to receipt by the testing laboratory. Chain of custody forms shall document the date and purpose of each time a specimen is handled or transferred and shall identify every individual in the chain of custody. 5. “City” means the City of Fairhope, Alabama. 6. “Clearinghouse” means FMCSA Commercial Driver’s License Drug and Alcohol Clearinghouse. It is a secure online database that gives employers, the FMCSA, State Driver Licensing Agencies (SDLAs), and state law enforcement personnel real-time information about commercial driver’s license (CDL) and commercial learner’s permit (CLP) holders’ drug and alcohol program violations. The Clearinghouse enables employers to identify drivers who commit a drug and alcohol program violation while working for one employer but who fail to subsequently inform another employer (as required by current regulations). 7. “Collector” means a person who instructs and assists tested employees and applicants for eligible positions at a collection site and who receives and makes an initial examination of the urine specimens. The collector shall have successfully completed training to carry out this function or shall be a licensed medical professional or technician who shall be provided instructions for collection under this procedure and certifies completion as required herein. In any case, where a collection is observed or monitored by non-medical personnel, the collector shall be a person of the same gender as the employee or applicant. 8. “Collection Site” means a place designated by the City where employees present themselves for the purpose of providing a specimen of their urine to be analyzed for the presence of specified controlled substances and alcohol. The site will possess necessary personnel, Page 111 of 368 82 materials, equipment facilities, and supervision to provide for the collection, security, temporary storage, and transportation or shipment of the samples to a laboratory. 9. “Controlled Substance” means any substance defined or classified as a controlled substance according to federal or state law. Title II of the Comprehensive Drug Abuse Prevention Act of 1970 (Controlled Substance Act), as it is amended from time to time, provides the basic standard. Controlled substances include but are not limited to any and all forms of marijuana and its derivatives regardless of how obtained and any stimulants or hallucinogens that are subject to legal prohibitions or restriction on their sale, purchase, transfer, use or possession. 10. “DOT Employee” is an employee who is subject to the rules and regulations of the United States Department of Transportation regarding drug and alcohol testing because of the job duties that they perform. 11. “Drug Program Coordinator” is the person designated by the Mayor to ensure compliance with this Policy, including but not limited to ensuring that proper testing procedures are followed, ensuring that the lab(s) used by the City are properly certified, and ensuring that the Medical Review Officer is properly credentialed. The Human Resources Director is designated as the Drug Program Coordinator. 12. “Employer Premises” includes all property owned, leased, used, or under the control of the City, including but not limited to the job site of any employee, structures, building offices, facilities, vehicles and equipment, or transportation to and from those locations while in the course and scope of City employment. 13. “Employee” means any and all employees of the City of Fairhope. 14. “Illegal/Unauthorized Drug” means any drug (1) which is legally obtainable but has not been legally obtained or, even if legally obtained, is not being used in accordance with instructions given either by a physician or, if over-the counter, on the drug’s label; or (2) all illegal drugs, including but not limited to methamphetamine, cocaine, heroin, marijuana etc. 15. “Intoxicating Substance” means any substance, whether legal or illegal, that may have an intoxicating or mind-altering effect when ingested, snorted, smoked, or otherwise introduced into the body. Intoxicating substances include but are not limited to “bath salts,” nitrous oxide, glues, solvents, cannabidiol (CBD) derivatives, or herbs or other plants such as salvia. 16. “Legal Drug” means prescribed drugs and over-the-counter drugs which have been legally obtained and are being used appropriately for their intended purpose in accordance with directions given either on the label or by an employee’s treating physician. 17. “Medical Marijuana” refers to marijuana or any of its derivatives that is prescribed in accordance with the laws of a State. 18. “Medical Review Officer” (MRO) means a licensed physician (medical doctor) responsible for receiving laboratory results generated by the City’s drug testing program. The MRO shall have knowledge of substance abuse disorders and have appropriate medical training Page 112 of 368 83 to interpret and evaluate an individual’s confirmed positive test result, together with their medical history and any other relevant biomedical information. 19. “Possession” means actual or constructive care, custody, control, or immediate access. 20. “Random Selection Process” is the process used to ensure that each employee holding a safety-sensitive position has an equal chance of being drug-tested every time that random drug tests are conducted. This process means that some employees may be tested multiple times in any given year. 21. “Reasonable Cause” means that the City believes the actions, appearance, or conduct of an employee on duty are indicative of the use of a controlled substance or alcohol. 22. “Safety-Sensitive Employees” are those persons who are subject to random drug and alcohol testing. These employees include but are not limited to persons who inspect, service, repair, or maintain a vehicle or other heavy equipment; operate or load a vehicle or heavy equipment; use tools, including both power and hand tools, that have the capacity to injure any person; and those who are authorized to carry weapons of any kind. An employee is engaged in a safety-sensitive function at all times from the time that an employee begins to work or is required to be in readiness to work until the time they are relieved from work and all responsibility for performing work. A list of all positions that are designated as “safety sensitive” is maintained by the Human Resources Director. 23. “Under the Influence” means being unable to perform work in a safe and productive manner; being in a physical or mental condition which creates a risk to the safety and well-being of the individual, other employees, or the public; and/or having any laboratory evidence of the presence of drugs, alcohol, or prohibited or controlled substance in the employee’s body. C. Persons Subject to Testing Pursuant to the City’s Policy and Procedures, employees will undergo testing as follows. 1. Pre-Employment Testing: All employees applying for a position that has been designated as safety-sensitive will be required to submit to a pre-employment drug and alcohol test before a final offer of employment is extended. All pre-testing offers of employment to such persons are explicitly conditioned on the employee successfully taking and passing the drug and alcohol test. Pre-employment testing will also be done when an employee transfers from a non- safety-sensitive position to a safety-sensitive position. 2. Random Testing: All employees holding safety-sensitive positions will be subject to testing on a random basis without advance notice to them. 3. Reasonable Cause Testing: The City may schedule a drug/alcohol test when behavioral observations indicate to the employee’s supervisor that any employee may be involved in illegal use of a controlled substance, use of alcohol, or abuse of legal drugs. Before testing, the employee’s supervisor shall either contact the department head or another supervisor to observe Page 113 of 368 84 the employee’s behavior and to concur with the decision to test the employee or review the employee’s behavior with the employee’s department head to obtain concurrence with the decision to test the employee. The employee shall be promptly escorted to the collection site for testing by the employee’s supervisor or designee. 4. Employees arrested or convicted for the off-the-job use or possession of illegal or controlled substances shall undergo testing to assist the City in determining fitness for duty. If the employee tests positive, the City may discharge the employee. 5. Post-Accident Testing: All employees are required to report all injury- or damage- related accidents and submit to a post-accident drug/alcohol test as set out in this policy. Each employee whose performance either contributed to the accident or cannot be completely discounted as a contributing factor to the accident shall be subject to testing. The employee’s supervisor or their designee shall schedule the drug screening test immediately following a reportable incident or a reportable accident. 6. Return-To-Duty Testing: If an employee has violated the prohibited drug and alcohol rules, they must take and pass a drug and alcohol test before returning to work. Further, any employee who has violated the prohibited drug and alcohol rules is required to take a drug and/or alcohol test before returning to safety-sensitive functions for any DOT-regulated employer and is also subject to unannounced follow-up testing at least six times in the first 12 months following a return to active safety-sensitive service. 7. Any and all drug testing conducted by the City will not be used to identify the existence of any disability. 8. In the event there is reasonable suspicion of a violation of this policy, the City also reserves the right to search all property; cabinets; tool boxes; vehicles, including personal vehicles brought onto City property; or any other property on the City’s property, under control of any employee, or in the personal vehicle of any employee and located on the City’s property and used by said employee in commuting to work or in that employee’s duty as an employee. D. Safety-Sensitive Employees 1. Employees are considered to be “safety-sensitive” when their job duties regularly require them to engage in activities that have the potential to cause physical injury to themselves or others or to cause serious property damage. Such activities include, but are not limited to: a. Maintaining or repairing motor vehicles or heavy equipment, including but not limited to bulldozers, tractors, and riding mowers. b. Maintaining or repairing tools that have the capacity to seriously injure the user or another person, including but not limiting to chainsaws or weed eaters. c. Regularly operating motor vehicles or heavy equipment as part of their job duties, including equipment such as tractors or riding mowers for which licensure is not required by the State of Alabama. d. Regularly operating tools that have the capacity to seriously injure the user or Page 114 of 368 85 another person. e. Loading and unloading vehicles or heavy equipment. f. Any activity related to the safe operation of a mass transit system, including dispatching vehicles. g. Carrying any weapon, or object for the purpose of performing job duties that could reasonably be used as a weapon, including but not limited to firearms, knives, machetes, blades, tasers, or batons. h. Answering emergency calls and/or directing the provision of emergency services. i. Providing emergency medical services. 2. A list of positions that have been designated as safety-sensitive by the City is available for view with the Human Resources Director. Some safety-sensitive positions are specifically subject to regulation by the Department of Transportation (DOT). These positions are indicated by an asterisk. An accredited testing laboratory will maintain two different random testing pools, including one pool for persons specifically subject to regulation by DOT and one pool for all other safety-sensitive employees. 3. All employees are subject to drug and alcohol testing when there is reasonable cause to believe that they have violated this policy and after any accident involving physical injury or serious property damage. However, employees who have been designated as safety-sensitive are also subject to pre-employment testing and random testing. Random drug tests can be performed any time a safety-sensitive employee is on duty. An alcohol test can be performed when the safety- sensitive employee is performing a safety-sensitive duty, just before or just after the performance of a safety-sensitive duty. 4. Medical marijuana prescribed pursuant to State law is not a valid explanation for a positive test result for a safety-sensitive employee. Employees may not perform safety-sensitive functions while taking medical marijuana. Employees who are prescribed medical marijuana in accordance with State law must inform their Employer of their prescription prior to first use. Reasonable accommodations will be made for an employee who complies with this procedure, depending on the individual circumstances; however, failure to properly report may result in termination for cause. 5. In addition, employees occupying positions deemed to be “safety-sensitive” must promptly report any arrests, charges, or convictions for drug- or alcohol- related criminal offenses, including both misdemeanors and felonies, to their supervisor. Failure to report such arrests, charges, or convictions may be grounds for discipline, up to and including immediate dismissal. E. Necessity of Compliance with Testing Requirements 1. All employees are subject to reasonable suspicion and post-accident testing as a condition of their employment. In addition, all safety-sensitive employees will be subject to pre- employment and random drug and alcohol testing by way of urine, breath, or any other method approved by the Department of Transportation as a condition of employment. Page 115 of 368 86 2. Any employee who refuses to take a drug and/or alcohol test to which they are properly subject shall be considered to have a verified positive test result. An employee who has a verified positive test result, including by refusal, shall be immediately removed from their duties and may be subject to immediate termination. In addition, any employee subject to DOT regulations will receive educational and rehabilitative information and a referral to a Substance Abuse Professional. Refusals can include a variety of behaviors, including the following. a. Failure to appear for any test (except for pre-employment) within a reasonable time as determined by the Mayor. b. Failure to remain at the testing site until the testing process is complete. c. Failure to provide a urine specimen for any required drug test. d. Failure to permit the observation or monitoring of the specimen collection when required to do so. e. Failure to provide a sufficient amount of urine when directed without an adequate medical explanation for this failure. f. Failure to take a second test when directed to do so by the City or collector. g. Failure to undergo a medical examination when directed to do so by the MRO or the Mayor. h. Failure to cooperate with any part of the testing process (e.g., refuse to empty pockets when directed by the collector, behave in a confrontational way that disrupts the collection process, or fail to wash hands after being directed to do so by the collector). i. Failure to follow the observer’s instructions during an observed collection, including instructions to raise clothing above the waist, lower clothing and underpants, and to turn around to permit the observer to determine if there is any type of prosthetic or other device that could be used to interfere with the collection process. j. Possess or wear a prosthetic or other device that could be used to interfere with the collection process. k. Admit to the collector or MRO that the specimen has been adulterated or substituted. l. Failure to sign step two of the alcohol test form. m. Leaving the scene of an accident without a valid reason before post-accident tests have been completed. Failure to remain "readily available." 3. Extenuating circumstances such as being called to or involved in an emergency may cause an employee to be unable to complete a drug or alcohol test. These circumstances will be reviewed on a case-by-case basis. F. Off-Duty Contact Off-the-job use of drugs, alcohol, or any other prohibited substance which results in impaired work performance, including but not limited to absenteeism, tardiness, poor work product, or harm to the City’s image, tasks, or government is prohibited. Employees should realize that these Page 116 of 368 87 regulations prohibit all illicit drug use, on and off duty. G. Prescription Drugs The proper use of medication prescribed by a physician is not prohibited; except that safety- sensitive employees may not use medical marijuana; however, the City prohibits the misuse of prescribed and/or over-the-counter medications or other intoxicating substances and requires all employees using drugs at the direction of a physician to notify the City’s Medical Review Officer (MRO) or their Drug Program Coordinator/Human Resources Director, when these drugs may affect their job performance, such as by causing drowsiness, dizziness, or otherwise interfered with performance or cognition. Employees may not perform safety-sensitive functions while using any controlled substances, unless the employee’s physician certifies that the substances will not adversely affect the employee’s ability to perform their job. All employees should also be aware that the use of such medications will not excuse misconduct or violations of policy; however, depending on the circumstances, an employee may be entitled to a reasonable accommodation if they inform their supervisor of their need to use such substances prior to an incident. Employees should be aware that there is a risk that the use of certain supplements and topical lotions, oils, creams, etc., including but not limited to products containing CBD oils, may cause a positive drug test result. The use of such products may not provide a medical justification for a positive test result. H. Persons Subject to Testing 1. All safety-sensitive applicants shall undergo urine drug testing using either urinalysis or any other method approved by the Department of Transportation prior to performing safety- sensitive duties. This requirement also affects employees who are not in safety-sensitive positions who seek reclassification into a safety-sensitive position. Receipt by the City of a negative test result is required prior to performing safety-sensitive duties in a covered position. A cancelled test result is not acceptable and must be retaken. If the applicant has a positive pre-employment drug test, they cannot be hired for a safety-sensitive position. 2. A negative result on a pre-employment test by a job applicant is valid for thirty days. If a current covered employee has not performed a safety-sensitive duty for 90 days or longer and has been removed from the random pool, the employee must submit to a new pre-employment test and receive a negative result before resuming safety-sensitive duties. 3. Any person who is subject to DOT testing will be required to undergo pre-employment testing if they have been removed from the DOT random testing pool for more than 30 days. 4. An MRO may report negative pre-employment test results for individuals who are unable to provide sufficient volume due to permanent disability but has a medical evaluation that indicates no chemical evidence of illegal drug use. 5. All applicants for safety-sensitive positions will be notified in writing that they will be required to undergo pre-employment/reclassification drug testing prior to their employment and Page 117 of 368 88 that they will be subject to drug and alcohol testing throughout the period of their employment. Applicants will acknowledge in writing their understanding of these provisions for their application and employment. The City will retain on file the negative drug test results of all new hires. 6. In addition to undergoing pre-employment testing, applicants for a safety-sensitive position will be asked to sign forms for release of information from any previous employer for whom the applicant performed safety-sensitive functions. Failure to sign this form will result in not being hired. When a covered applicant has previously failed a pre-employment drug test with a prior employer, the employee must present proof of having successfully completed a referral, evaluation, and treatment plan. I. Reasonable Cause 1. All employees (whether or not safety-sensitive) will be required to submit to screening whenever a supervisor observes circumstances which provide reasonable cause to believe an employee has used a controlled substance or has otherwise violated the substance abuse rules. Examples of circumstances that may establish reasonable cause to warrant testing include supervisor observation, co-worker complaints, performance decline, attendance or behavior changes, involvement in workplace or vehicular accident or other actions which indicate a possible error in judgment or negligence, or other violations of the drug or other City policy. Before testing the employee, the department head shall be contacted to observe the employee’s behavior and to concur with the decision to test the employee or the observing supervisor will review the employee’s behavior with the department head, either face-to-face or via telephone, to obtain concurrence with the decision to test the employee. The observations of the employee’s conduct shall be documented on the City’s Incident Report and Testing Request Form within 24 hours of the observed behavior or before the results of the test are released, whichever is earlier. 2. Upon the reasonable suspicion determination being made, the employee shall be immediately transported to a collection site for the collection of a urine sample. The employee shall be counseled not to drive a vehicle and a supervisor shall provide transportation for the employee to the collection site. 3. All persons designated to make a determination that reasonable suspicion exists to require an employee to undergo testing under this provision shall receive at least 60 minutes of training on both alcohol and controlled substance use. The training shall cover the physical, behavioral, speech, and performance indicators of probable alcohol misuse and use of controlled substances. 4. Any employee refusing to submit to reasonable suspicion testing or any employee having a positive drug and/or alcohol test will be terminated. J. Random Testing 1. The City will conduct random, unannounced screening of all designated employees at unannounced times throughout the year. An accredited laboratory will maintain two computerized Page 118 of 368 89 random testing pools including one DOT pool and one non-DOT pool. There will be no maximum number of samples that any one individual will be required to provide during the testing schedule in either pool. 2. Employees will be required to report to the designated collection site for testing as soon as possible, but in no case later than two hours following notification. Failure to report for drug/alcohol screening within two hours of notification will be treated as a positive test result. K. Post-Accident Testing 1. Employees are required to immediately notify the Drug Program Coordinator/Human Resources Director or designee of any accident resulting in injury or damage to any City property or personnel. 2. Each employee whose performance either contributed to the accident or cannot be completely discounted as a contributing factor to an accident shall provide a urine specimen to be tested for the use of controlled substances and/or alcohol as soon as possible after the accident, but in no case later than eight hours for alcohol testing and 32 hours for drug testing. 3. Employees will be required to undergo drug and alcohol testing using urine, breath, or any other method approved by the Department of Transportation if they are involved in an accident that results in a fatality. A post-accident test will also be conducted in situations where there is no fatality but the following occurs: (1) an individual requires immediate transport to a medical treatment facility as a result of collision or non-collision; (2) any time one or more vehicles incur disabling damage that prevents any of the vehicles involved from leaving the scene of the occurrence in its usual manner in daylight after simple repairs; or (3) with respect to any occurrence in which a vehicle including a mass transit vehicle (rail car, trolley car, trolley bus, or vessel) is removed from operation. In a non-fatal accident as previously described, post-accident testing will be conducted unless the operator’s performance (and any other covered employees whose performance could have contributed to the accident) can be completely discounted as a contributing factor to the accident as determined by the Mayor or their designee using the best information at the time of the decision. In addition, drug screening and alcohol screening will be required for any driver receiving a citation for any moving violation resulting from an accident. 4. After notification of any accident, the City will arrange for the employee to be taken as soon as practicable to the collection site designated by the City. The supervisor or designee will schedule the employee and assure that they are tested the same day as the reportable accident, if possible. 5. If an employee is injured, unconscious, or otherwise unable to evidence consent to the drug test, all reasonable steps must be taken to obtain a urine sample. A supervisor may elect not to test under these circumstances, but such a decision must be made based upon information received as a result of an investigation of the accident. Nothing in this document should be construed to require the delay of necessary medical attention for injured people following an accident or prohibit a driver from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident or to obtain necessary emergency medical care. Page 119 of 368 90 6. Any employee subject to post-accident testing must refrain from consuming alcohol or taking any controlled substance for eight hours following an accident or until they submit to an alcohol test, whichever comes first. As stated above, the employee will be tested not to exceed eight hours following an accident for alcohol and not to exceed 32 hours post-accident for drug testing. If there is a delay of greater than two hours for an alcohol test, a reason must be given in writing, retained in a file for possible later referral, and the employer must still attempt to administer an alcohol test for up to eight hours following the accident or until the employee undergoes a post-accident alcohol test. 7. An employee who is subject to post-accident testing must remain available and follow these guidelines or the City may consider the employee to have refused to submit to testing. 8. The Mayor will discipline or terminate any employee who fails to report an accident or submit to substance screening where required by law or this policy. The Drug Program Coordinator/Human Resources Director shall ensure that an accident report is filed in compliance with City policy and applicable laws and regulations. L. General Testing Procedures 1. The City will contract with a properly certified testing laboratory that will ensure that all proper testing procedures are followed in accordance with this Policy and all applicable laws. The following is a list of the general procedures that will be followed for all drug and alcohol testing, regardless of the reason why the test is being performed. a. All testing procedures, including collections, will be performed by certified technicians and/or laboratories. b. Upon arrival at the collection site, the employee must provide proof of identification. The employee will be required to read and sign the Controlled Substance Testing Consent form provided by the City. The signature shall be witnessed by the collector. Acceptable proof of identification shall be a current driver’s license with photo, other form of picture identification, or identification by a City representative. c. The employee shall complete a Drug Testing Custody and Control form. d. The Drug Program Coordinator/Human Resources Director shall notify the employee directly of the results of any positive drug test in order to give the employee an opportunity to challenge the findings. The City may, but shall not be required to, reanalyze the employee’s original sample to clarify the findings. e. Controlled substance testing must follow split sample procedures. Under this provision, an employee whose urine sample has tested positive for a controlled substance has the option of having the other portion of the split sample tested at another laboratory. The employee must notify the City within 72 hours after notification of a positive sample that they desire a retest under this provision. f. If a split sample test produces a negative result or if the second portion is not available, the test is considered negative, and no sanctions will be imposed. g. All persons who receive information regarding City drug tests shall maintain this information on a confidential basis. Page 120 of 368 91 h. In the event that the United States Department of Transportation approves additional and/or alternative testing methods, devices, or procedures, including but not limited to Oral Fluid Testing, the City reserves the right to utilize such methods, devices, or procedures as allowed in the applicable regulations. 2. Both the City and the laboratory shall rely, when practical, on the guidance of the Federal Department of Transportation’s procedures for transportation workplace drug testing programs. M. Substances Tested For 1. DOT employees will regularly be tested for: a. Marijuana (THC Metabolite); b. Cocaine; c. Amphetamines (including amphetamine, methamphetamine, MDMA, and MDA); d. Opiates (including codeine, morphine, heroin, hydrocodone, hydromorphone, oxycodone, and oxymorphone); e. Phencyclidine (PCP); and f. Alcohol 2. Non-DOT employees may be tested for other substances without advance notice. DOT employees may also be separately tested for other substances without advance notice by the City for safety purposes. Such tests will be coordinated with the Drug Program Coordinator/Human Resources Director. N. Collection Sites The City will designate a collection site in a reasonably accessible location. O. Collection Procedures Drug testing is conducted by analyzing an employee’s urine specimen. The analysis is performed at laboratories certified and monitored by the Department of Health and Human Services (DHHS). The employee provides a urine specimen in a location that affords privacy. The collector seals and labels the specimen, completes a chain of custody document, and prepares the specimen and accompanying paperwork for shipment to a drug-testing laboratory. The specimen collection procedures and chain of custody ensure the specimen’s security, proper identification, and integrity is not compromised. 1. Split specimen procedures: a. Each urine specimen is subdivided into two bottles labeled as a “primary” and a “split” specimen; b. Both bottles are sent to a laboratory; c. Only “primary” specimen is opened and used for analysis; Page 121 of 368 92 d. “Split” specimen remains sealed and stored at the laboratory; e. If the “primary” specimen confirms the presence of illegal, controlled substances, the employee has 72 hours to request in writing the “split” specimen be sent to another DHHS certified laboratory for analysis; f. If it is positive for one or more of the drugs, then a continuation test is performed for each drug using state-of-the-art gas chromatography/mass spectrometry (“GC/MS”) analysis; and g. GC/MS confirmation insures that over-the-counter medications or prescriptions are not reported as positive results. h. Any portion of a sample provided during the collection event will be discarded if an employee fails to provide a sufficient specimen by the end of the three-hour wait period. 2. Direct Observation. a. Observed collections are required in a number of situations for DOT employees. Any employee subject to a drug test may also be required to undergo observed collection. The purpose of direct observation is to guard against employee attempts to mask the testing process. Observed collections are required in the following circumstances: i. All return-to-duty tests; ii. All follow-up tests; iii. Anytime the employee is directed to provide another specimen because the temperature on the original specimen was out of the accepted temperature range of 90 – 100 degrees Fahrenheit; iv. Anytime the employee is directed to provide another specimen because the original specimen appears to have been tampered with; v. Anytime a collector observes materials brought to the collection site or the employee’s conduct clearly indicates an attempt to tamper with a specimen; vi. Anytime the employee is directed to provide another specimen because the laboratory reported to the MRO that the original specimen was invalid and the MRO determines that there is not an adequate medical explanation for the result; or vii. Anytime the employee is directed to provide another specimen because the MRO determined that the original specimen was positive, adulterated or substituted, but had to be cancelled because the test of the split specimen could not be performed. b. The employee who is being observed will be required to raise their shirt, blouse or dress/skirt as appropriate, above the waist, lower clothing and underpants, and turn around completely at the direction of the observer in order to show that they are not wearing any prosthetic device. c. When necessary, City representative or medical personnel may obtain a specimen outside of a designated collection site (such as the emergency room following an accident investigation, etc.). Page 122 of 368 93 P. Alcohol Testing Procedures 1. All employees are prohibited from possessing, drinking or being impaired or intoxicated by alcohol while at work or on duty. In addition, safety-sensitive employees are prohibited from consuming any alcohol four hours prior to going on duty. A Blood Alcohol Content (BAC) of 0.04 will be accepted as presumptive evidence of intoxication. 2. Any employee may be subject to alcohol testing either for reasonable suspicion or post- accident. Safety-sensitive employees are also subject to random alcohol testing. Random testing will be conducted just before, during, or after the employee has performed a safety-sensitive function. Safety-sensitive employees with a BAC of 0.02 will be immediately removed from their safety-sensitive duties for a period of at least 24 hours. 3. All alcohol tests will be conducted by a properly trained person using evidentiary breath testing devices approved by the National Highway Traffic Safety Administration. Any result showing greater than a 0.02 BAC will be repeated. Q. Evaluation and Return of Results The MRO will be responsible for reviewing the quantified test results of employees and confirming that the individuals testing positive have used drugs in violation of policy. Prior to making a final decision, the MRO shall give the individuals testing positive an opportunity to discuss the result either face-to-face or over the telephone. If the test result is negative dilute, the MRO may decide that the employee must take another test. If this second test results in a negative dilute result, the test will ordinarily be considered to be a negative and no additional testing will be required unless the MRO so directs. The MRO shall then promptly tell the Drug Program Coordinator/Human Resources Director which employees or applicants test positive. R. Request for Retest An employee may submit a written request for a retest of the original specimen within 72 hours of receipt of the final test results. Requests must be submitted in writing to the Drug Program Coordinator/Human Resources Director. The employee may be required to pay the associated costs of retest in advance but will be reimbursed if the result of the retest is negative. S. Release of Test Results 1. Except where otherwise specifically required by law, employee drug testing results and records are maintained under strict confidentiality by the City, the drug testing laboratory, and the Medical Review Officer. They cannot be released to others without the written consent of the employee. Exceptions to this confidentiality are limited to DOT agencies when license or certification actions are required or to the decision-maker in arbitration, litigation, or administrative proceedings arising from a positive drug test. Page 123 of 368 94 2. However, all employees will be required to execute a consent/release form permitting the City to release test results and related information to the Department of Industrial Relations or other relevant government agency. Applicants for safety-sensitive positions will also be required to execute a consent/release form permitting the City to review records of previous drug and alcohol testing information. T. Retention of Records 1. All records will be maintained so as to preserve confidentiality and prevent unauthorized persons from accessing, releasing, or tampering with records. The following records will be maintained. a. Records related to the collection process, including: i. Collection logbooks, if used; ii. Documents relating to the random selection process; iii. Documents generated in connection with decisions to administer reasonable suspicion drug or alcohol tests; iv. Documents generated in connection with decisions on post-accident drug and alcohol testing; and v. MRO documents verifying existence of a medical explanation of the inability of an employee to provide adequate urine or breath sample. b. Records related to test results: i. The employer's copy of the custody and control form; ii. Documents related to the refusal of any employee to submit to a test; and iii. Documents presented by an employee to dispute the result of a test. iv. Records related to referral and return to duty and follow-up testing, including records of any DOT employee’s entry into and completion of the treatment program recommended by the substance abuse professional. c. Records related to employee training: i. Training materials on drug use awareness and alcohol misuse, including a copy of the employer's policy on prohibited drug use and alcohol misuse; ii. Names of employees attending training on prohibited drug use and alcohol misuse and the dates and times of such training; iii. Documentation of training provided to supervisors for the purpose of qualifying the supervisors to make a determination concerning the need for drug and alcohol testing based on reasonable suspicion; and iv. Certification that any training conducted under this part complies with the requirements for such training. v. Copies of any annual MIS reports submitted to FTA. d. The following records will be maintained for no less than five years: Page 124 of 368 95 i. records of verified positive drug or alcohol test results; ii. documentation of refusals to take required drug or alcohol tests; iii. referrals to the substance abuse professional; and iv. copies of annual MIS reports submitted to FTA v. The following records will be maintained for no less than two years: vi. records related to the collection process and vii. employee training. e. The following records will be maintained for no less than one year: i. records of negative drug or alcohol test results, with the exception that all post- accident testing records will be maintained for at least three years after an accident. U. Employee Education and Training The City will provide written information on drug/alcohol use and treatment resources to safety- sensitive employees. The City will provide training for employees on the dangers of controlled substance use annually. All supervisors of safety-sensitive employees must also attend one hour of training on the signs and symptoms of drug abuse. The training is necessary to assist supervisors in making appropriate determinations for reasonable suspicion testing and decisions regarding work assignments. V. Employment Assessment Any safety-sensitive employee or applicant who tests positive for the presence of illegal drugs and/or alcohol above the minimum thresholds set forth in 49 CFR Part 40, as amended or has refused to submit to a drug or alcohol test (except in the case of an applicant) will be referred to a Substance Abuse Professional (SAP). A SAP can be a licensed physician (Medical Doctor or Doctor of Osteopathy) or a licensed or certified psychologist, social worker, or employee assistance professional with knowledge of and clinical experience in the diagnosis and treatment of drug- and alcohol- related disorders or an addiction counselor certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission. The SAP will follow the protocols and meet the requirements defined in 49 CFR part 40. All employees and applicants will be given contact information for a USDOT qualified SAP if they test positive. W. Employee Assistance Program (EAP) 1. The City’s EAP shall include: a. Education and training for employees regarding drugs and alcohol; and b. Education and training for supervisors regarding drugs and alcohol, including: 1. Effects and consequences of substance use on personal health, safety and work; 2. Manifestations and behavioral causes that may indicate substance use; 3. Documentation of training provided; and 4. A written statement on file and available at the Human Resources Office outlining Page 125 of 368 96 the EAP. 2. Prior to a drug or alcohol test being administered to an employee if the employee reports they have a substance abuse problem, they may be offered assistance. Any disciplinary action that is decided will be based on the totality of the circumstances surrounding the event, the City’s Substance Abuse Policy, and the past work history of the employee. Actions may or may not include a Last Chance Assistance Agreement, referral to and evaluation by a substance abuse counselor, or termination. 3. The Drug Program Coordinator/Human Resources Director or their designee should be contacted for further guidance. X. Investigation/Searches 1. Where a supervisor has reasonable cause to suspect that an employee has violated the substance abuse policy, they may inspect vehicles which an employee brings on the City’s property, lockers, work areas, desks, purses, briefcases, toolboxes, or other belongings and at locations where City related activities are being conducted without prior notice in order to ensure a work environment free of prohibited substances. An employee may be asked to be present and remove a personal lock. Where the employee is not present or refuses to remove a personal lock, the Drug Program Coordinator/Human Resources Director will do so for them. The City may release any illegal or controlled drugs or paraphernalia to appropriate law enforcement authorities. 2. All searches should be coordinated with the Drug Program Coordinator/Human Resources Director or their designee. Y. System Contacts Any questions regarding this policy or any other aspect of the drug-free and alcohol-free transit program should contact the City’s designated Drug Program Coordinator: Title: Human Resources Director Address: P.O. Drawer 429 Fairhope, AL 36533 Page 126 of 368 97 XII. Use of City Vehicles The use of a City vehicle is a privilege and is not a right of City employees. The City reserves the right to revoke the use of a City vehicle at any time and from any City employee. These procedures are not all inclusive but are put forth in a good faith effort by the City to ensure the safety and well-being of all City employees and provide the minimum standards for drivers of City vehicles. A. General Policies and Procedures 1. Only employees authorized by their department head and insured under the City’s vehicle insurance policy may drive a City vehicle. 2. City employees or other drivers specifically authorized by the Mayor or City Council may be authorized to drive or operate City vehicles and/or equipment for official City business with reasonable consideration of use for meals or other items in accordance with Alabama Ethics Laws, while in the course of performing business on behalf of the City. 3. To operate a City vehicle, the employee must have a current valid driver’s license in their possession at any time the employee drives a City vehicle. 4. Employees may not loan a City vehicle to any person without their department head’s authorization. 5. Passengers who are not on official business should not be transported in most circumstances, unless such passengers are direct family members of the employee and the Mayor has given authorization for the family member to ride in the City vehicle. 6. Gasoline is to be used for City vehicles and equipment only. Any employee violating this policy may receive disciplinary action, including but not limited to termination of employment and/or be subject to prosecution under the Alabama Ethics Law. 7. Smoking is not allowed in City vehicles. This includes e-cigarettes, vaping, and smokeless tobacco. Smoking in a City vehicle may result in disciplinary action. B. Driver Qualifications 1. Each driver of any City-owned vehicle must have and maintain a valid driver’s license. Any employee who drives as a part of their job duties must report the suspension, revocation, or loss of their driver’s license to their immediate supervisor on the date this occurs or on the next date the employee works or is scheduled to work. 2. It is the City’s policy for employment that every employee should submit and successfully pass a motor vehicle record (MVR) check. This MVR policy applies both to drivers of City-owned vehicles as well as employees using personal vehicles in the course of City business. Employees subject to this policy are subject to an annual review (at a minimum) of their motor vehicle driving record (MVR) with the Alabama Department of Public Safety. Those Page 127 of 368 98 employees found to be high risk or who have failed to report violations and/or accidents to the City or who are excluded from coverage by the City’s vehicle insurance carrier will have their vehicle driving privileges revoked, resulting in possible demotion or dismissal for employees in positions where vehicular transportation is deemed an essential job function. 3. MVRs will be examined prior to the start of employment and are subject to be examined periodically thereafter. Any job offer made to an employee or potential employee candidate for a position with driving duties shall be contingent upon an MVR meeting the required standards. 4. If at any time the employee of the City is required to drive as part of their job duties, then the employee must notify their supervisor of any citation, arrest, conviction, suspension, or revocation (whether temporary or permanent) in regards to any DUI, Substance Abuse or Motor Vehicle (Traffic) Violations, or Accidents whether on or off duty, before 9 a.m. on the next business day. Failure to notify the supervisor may result in disciplinary action, up to but not limited to termination. It is the supervisor’s responsibility to immediately notify their Department Head. The Department Head is responsible for immediately notifying the Safety Coordinator of any such related event. 5. Employees will not qualify for a City vehicle if, during the last 60 months, the driver had any of the following experiences: a. Been convicted of a felony; b. Been convicted for the sale, handling, distributing, or illegal use of drugs or any controlled substance; c. Had automobile insurance canceled, declined, or not renewed by their insurance company due to fault of the employee; d. Had driver’s license suspended or revoked; or e. Been involved in two or more “chargeable” accidents which resulted in a citation being issued. 6. If required, an employee must meet special operator licensing requirements as necessary: a. Class “A” Operators License: allows the employee to operate vehicles which tow trailers or other vehicles with a gross vehicle weight rating (GVWR) over 10,000 lbs. A Class "A" license also allows the employee to operate Class B and C vehicles; b. Class “B” Operators License: allows the employee to operate single vehicles with a GVWR of 26,001 lbs. or more or a gross combination weight rating (GCWR) of 26,001 lbs. or more, towing trailers/vehicles rated at 10,000 lbs. GVWR or less. A Class "B" license also allows the operation of Class C vehicles; and c. Class “C” Operators License: allows the employee to operate vehicles under 26,001 lbs. GVWR, that would normally not require a commercial driver’s license (CDL); except when they are designed to transport 16 or more persons including the driver; or that carry 15 or less people (including the driver) transporting children to or from school and home regularly for compensation or carry hazardous materials in Page 128 of 368 99 amounts requiring it to be placard. Applicable endorsements are required. C. Safety Rules 1. The use of a City vehicle or personal vehicle while performing work duties while under the influence of intoxicants and other drugs (which could impair driving ability) is forbidden and is sufficient cause for discipline up to and including termination of employment. 2. Employees driving City vehicles are required to obey all motor vehicle laws and regulations. Employees must operate the vehicle in a safe and courteous manner and follow all safety related policies and procedures while operating City-owned vehicles. 3. Possession, transportation, or consumption of alcohol or illegal drugs by anyone in a City vehicle is strictly prohibited. 4. Cell phone use in commercial vehicles will be restricted. Drivers are prohibited from using even one hand to hold a mobile phone to conduct a voice communication. Drivers are not allowed to dial or answer a mobile phone by pressing more than a single button. Reaching for a mobile phone in a manner that requires the driver to maneuver so that they are no longer in a seated, belted, or driving position is also prohibited. Drivers may use a wireless communication device as a global positioning or navigation system to receive driving directions which have been pre-programmed with the desired coordinates. The programming of coordinates while operating a vehicle remains a violation of this section. Drivers may receive or send texts if parked on the shoulder of the highway, road, or street. 5. No driver shall operate a City vehicle or personal vehicle while performing work duties when their ability to do so safely has been impaired by illness, fatigue, injury, or medication. 6. All drivers and passengers operating or riding in a City vehicle are required to wear seat belts or other available personal restraints required by law, even if air bags are available. 7. No unauthorized personnel are allowed to ride in City vehicles. 8. Drivers are responsible for the security of City vehicles assigned to them. The vehicle engine must be shut off, ignition keys removed, and vehicle doors locked whenever the vehicle is left unattended. 9. Headlights shall be used two hours before sunset and until two hours after sunrise or during inclement weather or at any time when an estimated distance of 500 feet ahead of the vehicle cannot be clearly seen. D. Assignment of Vehicles 1. Certain employees will be assigned City vehicles for use in their positions and are authorized to drive the vehicle to and from work. “Take-home” vehicles are authorized based on the needs of the City and only for employees living inside the City’s police jurisdiction. Police Page 129 of 368 100 Officers who live outside the police jurisdiction but within a 15-mile radius of the City of Fairhope police station and in Baldwin County, Alabama, may be authorized by the Chief of Police and Mayor to take home a City police vehicle to respond to calls for police assistance within the City of Fairhope’s police jurisdiction. Except for commuting to and from work, City vehicles may only be used for City business. 2. City vehicles are normally assigned to an individual at the start of their work period and are the employee’s responsibility until the completion of the assigned work period when the vehicle is returned. 3. Employees should inspect the City-owned vehicle on a daily basis (i.e. oil, tires, transmission fluid, etc.). It is the responsibility of the City employee to keep their assigned vehicle clean (inside and outside). 4. It is the responsibility of the driver to make sure that the City-owned vehicle is equipped with proof of insurance, current registration, and gas card. These items are issued to the vehicle, not the driver, and must not be removed under any circumstances. 5. If the employee is going on vacation or will be off work for any length of time, the employee’s supervisor may require the employee to park the City-owned vehicle at the workplace. 6. City employees authorized to use their personal vehicles for periodic City business may be reimbursed for mileage at the rate established by the Internal Revenue Service, as approved by the City Council. 7. The City will not pay for any traffic tickets or parking fines of an employee operating a City-owned vehicle, nor will the City pay if the employee is authorized to use their personal vehicle on City business. An employee found guilty of moving violations while in City vehicles may be subject to disciplinary action. All such related fines received by the employee are their personal responsibility. 8. An employee receiving a travel allowance and using a personal car for City business assumes liability for bodily injuries or property damage arising out of an accident occurring in connection with operation of their personal vehicle. E. Vehicle Accident Procedures Regardless of the situation, the following procedures must be followed in the event of an accident or incident with any City-owned vehicle or property: 1. Immediate notification of proper law enforcement agency for accident investigation and report as applicable. 2. Immediate notification of the employee’s supervisor or Department Head. Page 130 of 368 101 3. Notification of the Safety Coordinator within 24 hours of the accident/incident. 4. Prepare a City Vehicle Accident Report. This, along with a copy of the law enforcement report as applicable, should be turned into the Safety Coordinator within 24 hours of the accident/incident. 5. If necessary, a First Report of Injury must be submitted to the Human Resources Director within 24 hours of the accident/incident. 6. Securing accident repair estimates and approval of actual repairs is the responsibility of the City Clerk’s office. 7. In the event of an accident in a City vehicle or while on official City business: a. Do not admit negligence or liability. b. Do not discuss the accident with anyone except appropriate law enforcement personnel and/or official City representatives. c. Get the name, address, and phone number of any injured person and any witness if possible. d. Exchange vehicle identification and City insurance name and policy numbers with other drivers or law enforcement personnel, if applicable. e. Take a photograph of the scene of the accident, if possible. f. If needed, notify 911 for requested ambulance, fire department, and law enforcement personnel. g. Law enforcement should be notified if the accident involves another vehicle or a pedestrian. h. Complete the City Accident Report in regard to this accident/incident and turn all information over to the supervisor within 24 hours of the accident/incident. F. Post-Accident Substance Abuse Testing 1. See Section X. Workers’ Compensation for further guidance involving an accident, incident, or injury. 2. If it is suspected that an employee is impaired by alcohol and/or drugs at any time while on duty or while operating a City-owned vehicle or equipment, then efforts will be made to safely remove that employee from the workplace and/or City vehicle or any personal vehicle being used for City business. 3. Prior to a drug or alcohol test being administered to an employee if the employee reports they have a substance abuse problem, they may be offered assistance. Any disciplinary action that is decided will be based on the totality of the circumstances surrounding the event, the City’s Substance Abuse Policy, and the past work history of the employee. Actions may or may not include a Last Chance Assistance Agreement, referral to and evaluation by a substance abuse counselor, or termination. For additional substance abuse guidelines, you must refer to the City’s Substance Abuse Policy or contact the Human Resources Director. Page 131 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-434 FROM: Hunter Simmons – PLANNING AND ZONING MANAGER SUBJECT: Ordinance to Approve the Annexation of Territory within the City Limits of the City of Fairhope, Alabama, Various Rights-of-Way within Montrose, from the Baldwin County Commission AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Adopt Ordinance BACKGROUND INFORMATION: See attached Ordinance and attachments. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 132 of 368 ORDINANCE NO. AN ORDINANCE TO APPROVE THE ANNEXATION OF TERRITORY WITHIN THE CITY LIMITS OF THE CITY OF FAIRHOPE, ALABAMA (BALDWIN COUNTY COMMISSION) WHEREAS, 2nd Street from Chapman Street south approximately 2,100 feet to the end of right of way, 3rd Street from Adams Street south approximately 2,800 feet to the end of right-of- way, Ledyard Street from Main Street to U.S. Highway 98, Taylor Street from 3rd Street to U.S. Highway 98, Chapman Street from 2nd Street to U.S. Highway 98, and Adams Street from 3rd Street to U.S Highway 98, are rights-of-way inside or abutting the corporate limits of the City of Fairhope (collectively described herein as the “Fairhope Roads”); and WHEREAS, an accurate description of the Fairhope Roads, together with a map thereof showing their relationship to the corporate limits of the City of Fairhope, is attached hereto as Exhibit “A” and incorporated herein; and WHEREAS, some portions of the Fairhope Roads have been County-maintained streets for a period of at least one (1) year prior to the effective date of this instrument; and WHEREAS, the character and nature of the Fairhope Roads varies, as certain portions are either (i) maintained by the City of Fairhope, (ii) bounded on both sides by the corporate limits of the City of Fairhope as a result of annexation of territory after July 7, 1995, (iii) bounded on one side by the corporate limits of Fairhope, or (iv) located within the City of Fairhope but responsibility is vested in the County; and WHEREAS, due to the varying nature and character of the Fairhope Roads, the City of Fairhope shall assume maintenance of the County-maintained asphalt streets of 3rd Street as shown on Exhibit “A” as it currently lies; and WHEREAS, the City of Fairhope desires to annex and assume responsibility for the Fairhope Roads in order to facilitate the orderly development and maintenance of this area and its corporate limits; and WHEREAS, in order to accomplish the City of Fairhope’s desire to annex and assume responsibility for the Fairhope Roads in accordance with Code of Alabama, §11-49-80(b), (c) and (d), the Baldwin County Commission passed a resolution on September 20, 2022, authorizing the annexation and transfer of responsibility for the Fairhope Roads to the City of Fairhope, a copy of which is attached hereto as Exhibit “B”; and WHEREAS, said resolution did petition the City of Fairhope for annexation and contained the signature of the owner of the described territory and a map of the Fairhope Roads showing their relationship to the corporate limits of the City of Fairhope; and WHEREAS, the City Council of the City of Fairhope has determined that it is in the public interest that the Fairhope Roads be annexed into the City of Fairhope and that all legal requirements for annexing the Fairhope Roads have been met pursuant to Code of Alabama, §§11-42-20 to 24. NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF FAIRHOPE, ALABAMA, AS FOLLOWS: Section 1. The City Council of the City of Fairhope, Alabama, finds and declares as the legislative body thereof that it is in the best interest of the citizens of the City, and the citizens of the affected area, to annex and bring the territory described herein as the Fairhope Roads into the corporate limits of the City of Fairhope, and to assume responsibility for those portions of the Page 133 of 368 Ordinance No. Page -2- Fairhope Roads, if any, that are already within the corporate limits of the City of Fairhope pursuant to Code of Alabama, §§11-49-80(b), (c), and (d), and 11-42-20 to 24. Section 2. The boundary lines of the City of Fairhope, Alabama, be, and the same are hereby altered or rearranged so as to include all of the territory heretofore encompassed by the corporate limits of the City of Fairhope, Alabama, and in addition thereto the following described territory, to-wit: A part of Grant Section 43, Township 5 South, Range 2 East and part of the west one half of Section 32, Township 5 South, Range 2 East, Baldwin County, Alabama and being more fully described as follows: 2nd Street from the north intersection of 2nd street and Chapman Street, thence run southerly to approximately 663 feet south of Ledyard Street. 3rd Street from north intersection of Adams Street, thence run southerly approximately 2,800 feet to the end of said right of way. Ledyard Street from the east right of way line of Main Street, thence run easterly approximately 1,795 feet to the west right of way line of U S Highway 98, Taylor Street from the east right of way line of 3rd Street, thence run easterly approximately 535 feet to the west right of way line of U S Highway 98. Chapman Street from the east right of way line of 2nd Street, thence run easterly approximately 1,335 feet to the west right of way line of U S Highway 98. Adams Street from the east right of way line of 3rd Street, thence run easterly approximately 620 feet to the west right of way line of U S Highway 98. Said right of way set out in Deed Book E, page 388 in the Probate Records, Baldwin County, Alabama. Section 3. The territory described in this ordinance shall become a part of and lie within the corporate limits of the City of Fairhope, Alabama, upon publication of this ordinance. Section 4. To the extent that portions of the Fairhope Roads, if any, are already within the corporate limits of the City of Fairhope, but responsibility is vested in the County, the City of Fairhope hereby assumes responsibility of said portions of the Fairhope Roads pursuant to Code of Alabama, §11-49-80(b), in addition to their annexation or re-annexation as described herein. In accordance with Code of Alabama, §11-49-81, the City of Fairhope’s assumption of responsibility for the Fairhope Roads is in exchange for the payment of One Hundred Dollars ($100.00) from the County. The Baldwin County Commission and the City of Fairhope agree that said consideration is a reasonable charge for being relieved of the burden of the control, management, supervision, repair, maintenance and improvement of the roads described herein. Section 5. Nothing in this Ordinance requires the City of Fairhope to add, construct, or install new or additional asphalt or roadway surfaces to the Fairhope Roads beyond the existing County-maintained asphalt streets as they currently lie; or for the City of Fairhope to maintain existing private drives, paths, or trails. Section 6. This ordinance shall be published as provided by law, and a certified copy of the same, together with a certified copy of the resolution and petition of the Baldwin County Commission, shall be filed with the Probate Judge of Baldwin County, Alabama. Section 7. If any part, section or subdivision of this ordinance shall be held to be illegal, invalid, or unenforceable for any reason, such ordinance shall not be held or construed to invalidate or impair the remaining provisions of this ordinance, which shall continue in full force and effect notwithstanding such holding. Page 134 of 368 Ordinance No. Page -3- ADOPTED THIS THE 10TH DAY OF JUNE, 2024 COREY MARTIN Council President Attest: JENNY OPAL WILSON, CMC Assistant City Clerk ADOPTED THIS THE 10TH DAY OF JUNE, 2024 SHERRY SULLIVAN Mayor Page 135 of 368 T a y lo r S tC h a p m a n S tA d a m s S t3r d St L e d y a rd S t2nd StMain St 2nd St S ib le y S t3r d St A d a m s S tC h a p m a n S tF o r e s t P a r k D r M o n tro se W o o d s D rFair hope £¤98 /Exh i bi t ATransfer of M a int e na n c e Ag r e em en t03507001,0 50 1,4 00Fe et 2nd Stre et f rom C ha pman Stre etSouth app roxi mat ely 2,10 0 ft to the e nd of th e RO W 3rd Stre et f rom A dams Str eetSouth Appro xi ma te ly 2 ,800 f tto the e nd of R OW Ledy ard Stre et f romMain St ree t to U .S . Highw ay 9 8 Taylor Str eet from3rd Stre et t o U.S. H ig hway 98 Cha pman Stre et f rom2nd Stre et t o U .S. H igh way 9 8 Ada ms St ree t fr om 3rd Stre et t o U.S. H ig hway 98 Legend Fairhop e US HW YS Tr ans f e r R oad s 911 R oad s County Ma inta ined Roa ds Pa ved A pa rt of G rant Se ct ion 4 3, Towns hip 5 Sout h, Ra nge 2 Eas t and pa rt of t he we st one h alf of Se ct ion 3 2, Towns hip 5 Sout h,Ra nge 2 Eas t,Ba ldw in C ount y, Ala bama an d b eing mo re fully desc ribed as fol lo ws: 2 nd Stre et f rom t he nor th int ers ec tion of 2nd s tre et an d C ha pman Stre et, then ce run s outhe rly to ap proximat ely 66 3 fe et sout h o f Ledy ard Str eet . 3 rd St ree t fr om nor th int ers ec tion of A dams St ree t, t hen ce run sout herly ap proximat ely 2,80 0 fe et t o t he end of sa id right of way. Le dya rd St ree t fr om t he eas t right of w ay line of Mai n Stre et , t henc e runeasterly a pprox i ma te ly 1 ,7 95 f ee t to the wes t righ t of wa y line o f U S Highwa y 98 , Ta yl or St ree t fro m t he ea st right of way line of 3 rd St ree t, the nce run e ast erly a pprox im a tel y 5 35feet tot he we st right of wa y line of U S H ighwa y 98. Cha pman Stre et f rom the e ast rig ht of wa y line of 2 nd Stre et, the nce run ea ste rly approx ima te ly 1 ,3 35 f ee t to th e wes t right ofway line of U S H ig hway 9 8. A dam s St reet from the e ast r igh t of wa y line o f 3rd Str eet , t henc e run eas te rly appro xima te ly 6 20 f ee t to th e wes t righ t of wa y line o f U S Highwa y 98 . Said right of way set out in D ee d Book E, page 388 , Tow n of Mont rose , as r eco rded in the Prob ate R ec ords , Ba ldw in C ount y, Ala bama. Page 136 of 368 Page 137 of 368 Page 138 of 368 Page 139 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-435 FROM: Jenny Opal Wilson, ASSISTANT CITY CLERK SUBJECT: Ordinance - Annexation – Jason Tickle, property located on the East Side of Section Street, Approximately 875 feet South of Twin Beech Road, Fairhope, Alabama, Tax Parcel 05-46-09-29-0-000-047.000 (PIN Number 18518); containing 17.75 Acres, more or less. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Adopt Ordinance for Annexation. BACKGROUND INFORMATION: Petition for Annexation. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 140 of 368 ORDINANCE NO. _____ WHEREAS, Jason Tickle, the owner of the hereinafter described property, did, in writing, petition the City of Fairhope, a municipal corporation, for annexation under Section 11-42-21 of the Code of Alabama, 1975, as amended; and WHEREAS, a map of said property is attached to said Petition as an exhibit; NOW, THEREFORE BE IT ORDAINED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that the following described property, lying contiguous to the corporate limits of the City of Fairhope, Alabama; and not within the corporate limits or the police jurisdiction of any other municipality; be and the same is hereby annexed to the City of Fairhope, Alabama, to-wit: Property is located at 0 Section Street, Fairhope, Alabama. LEGAL DESCRIPTION: PARCEL ID: 05-46-09-29-0-000-047.000 PPIN # 18518 A PORTION OF THE SOUTH HALF OF THE NORTHWEST QUARTER OF THE NORTHWEST QUARTER OF SECTION 29, TOWNSHIP 6 SOUTH, RANGE 2 EAST, BALDWIN COUNTY, ALABAMA MORE PARTICULARLY DESCRIBED AS FOLLOWS: COMMENCING AT THE NORTHWEST CORNER OF SECTION 29, TOWNSHIP 6 SOUTH, RANGE 2 EAST, BALDWIN COUNTY, ALABAMA; THENCE RUN SOUTH 870.53 FEET; THENCE RUN NORTH 89°-59' EAST A DISTANCE OF 40.00 FEET TO A CAPPED REBAR (CA10675) ON THE EAST RIGHT-OF-WAY LINE OF S. SECTION STREET {80' R/W), SAID POINT BEING THE POINT OF BEGINNING OF THE FOLLOWING DESCRIBED PARCEL: THENCE RUN SOUTH 89°- 54'-03" EAST A DISTANCE OF 336.86 FEET TO AN AXLE; THENCE RUN NORTH 00°-04'-49" WEST A DISTANCE OF 210.05 FEET TO A CAPPED REBAR (CA10675) ON THE NORTH LINE OF THE SOUTH HALF OF THE NORTHWEST QUARTER OF THE NORTHWEST QUARTER OF SAID SECTION 29; THENCE NORTH 89°-36'-00" EAST ALONG SAID NORTH LINE A DISTANCE OF 944.23 FEET TO A CAPPED REBAR (WATTIER) AT THE NORTHEAST CORNER OF THE SOUTH HALF OF THE NORTHWEST QUARTER OF THE NORTHWEST QUARTER OF SAID SECTION 29; THENCE RUN SOUTH 00°-05'-52" WEST ALONG THE EAST LINE OF SAID THE SOUTH HALF OF THE NORTHWEST QUARTER OF THE NORTHWEST QUARTER OF SAID SECTION 29 A DISTANCE 660.41 FEET TO A 5/8" REBAR AT THE SOUTHEAST CORNER OF THE SOUTH HALF OF THE NORTHWEST QUARTER OF THE NORTHWEST QUARTER OF SAID SECTION 29; THENCE RUN SOUTH 89°-45'-46" WEST ALONG THE SOUTH LINE OF THE SOUTH HALF OF THE NORTHWEST QUARTER OF THE NORTHWEST QUARTER OF SAID SECTION 29 A DISTANCE OF 807.59 FEET TO A 5/8" REBAR; THENCE RUN SOUTH 89°-37-58" WEST ALONG SAID SOUTH LINE A DISTANCE OF 472.82 FEET TO A CAPPED REBAR (WATTIER) ON THE EAST RIGHT-OF-WAY LINE OF SAID S. SECTION STREET; THENCE RUN NORTH 00°-05'-44" EAST ALONG SAID EAST RIGHT-OF-WAY LINE A DISTANCE OF 450.73 FEET TO THE POINT OF BEGINNING. THE DESCRIBED PARCEL CONTAINS 17.75 ACRES, MORE OR LESS, AND IS THE SAME PROPERTY DESCRIBED IN THE WARRANTY DEED RECORDED IN INSTRUMENT 2033428 OF THE RECORDS IN THE OFFICE OF THE JUDGE OF PROBATE, BALDWIN COUNTY, ALABAMA. This property shall be zoned R-1, Low Density Single-Family Residential District. BE IT FURTHER ORDAINED that a certified copy of this Ordinance, with a copy of the Petition and the exhibit, be recorded in the Office of the Probate Judge, Baldwin County, Alabama. This Ordinance shall take effect immediately upon its due adoption and publication as required by law. Page 141 of 368 Ordinance No. ______ Page – 2- Adopted and approved this 10th day of June, 2024 By:_____________________________ Corey Martin, Council President Attest: By: ___________________________ Jenny Opal Wilson, CMC Assistant City Clerk Adopted and approved this 10th day of June, 2024 By:___________________________ Sherry Sullivan, Mayor Page 142 of 368 Rev ised 06/2006 CITY OF FAIRHOPE P.O. DRAWER 429 FAIRHOPE, AL 36533 251/928-2136 STATE OF ALABAMA COUNlY OF BALDWIN PETITION FOR ANNEXATION )( )( We, the undersigned PETITIONER(S), owner(s) of the lands in fee simple de scribed in the a ttached EXHIBIT A , such property being without the Corporate Limits of the City of Fairhope , Alabama . but being contiguous to the said Corporate Limits; and such prope1ty not ly ing w ithin the corporate limits or police jurisdiction of an y other municipality. do , by th es e presents, hereb y petition the City of Fairhope, a municipal corporation, th at s aid prope1ty be annexed into the City of Fairhope, Alabama. The subject land is delineated on the map attached hereto as EXHIBIT B . Thi s petition is filed under authority of Section 11-42-21 , Code of Alabama 19 75, as amended . This petition is for R-1 Zoning 0 The condition of the Petition is that zoning be established as _______ _ Concurrent with Annexation . (Zoning Requ est) I s thi s property colon y property ___ Yes ___ N o. If this property is colony property the Fairhope Single Tax Office mu st sign as a petitioner . \ d J Jason Tickle Signa'1;~~ -P-rin_t_p_e-ti-ti-on_e_r_'_s _n_am_e _____ _ Signature of Petitioner Print petitioner 's name Signature of Petitioner Print petitioner 's name Physical Address of property being annexed: _S_o_u_t_h_S_e_ct_io_n_V_i_lla_g_e _______ _ Petitioner 's Clment Physical Address: 23389 Main Street Montrose , Alabama 36532 Petitioner 's Cunent Mailing Address: 23389 Main Street Montrose , Alabama 36532 Telephone umber(s): (251) 278-5533 -~-~---------------------Home Work County Tax Parcel Number : 05-46-09-29-0-000-047.000 ----------------------- Backroom : Users :mra y:Library :Mail :P0P - .;";-"o/..ho.-nAnn ,.,..(ro"':ll.0 7 1:''0 na.t·Tl\Jtlf"'\V .-.,h.nv ·t:'U T 1:'n ~<" f"n t" tho "'a rn.i rn.o,1,t+a,-h ·O o f 1t..;,..." f",._-"'""ov ,t,..,.. Page 143 of 368 D Revised 06/2006 U.S JUSTI CE DEPARTMENT INF ORMATIO N Size ofprope1ty (acres or square feet) __ 17_._75_ac ___________ _ D If propeliy is occupied, give number of housing units_n_o~, _v_aca_n_t _____ _ D Number of Persons residing in each unit, and their race __ o _______ _ D If propeliy is unoccupied, give proposed use __ S_i_n_g_le_F_a_m_i_ly ______ _ D If property is being developed as a subdivi sion, give subdivision name D Number of lots within proposed subdivision _____________ _ a Notary Public in and for said State and County, hereby certify that Jason Tickle whose name(s) is/are signed to the forgoing Petition and who is /are known to me, this day appeared before me and, being first duly sworn, , 1111 i<J~Ipiowledge that he /she/they have voluntarily executed this Petition on this day same bears date . ,,, ,,, ,,, ..J\CKEJ?.s-11~ ·'2r,+/.... .JY) ~' ~«,_ .. · · •• • · • .. +~ ~-:.. Given under my Hand and Seal thi -~--day of j....:...1.M , 20.2L_. i::J/'t\OTARr\.~~ }r', , . I~ = : -•~eal5: = ~JJ. v~~ (LA,~~ -•. · = Notary Public ~ ~ ··i Pusuc / 15' ~ .. -v.,<\ >. • g;:... 5 pk b ~ ~",.,' .. ,. ..,._,,, : . . .. . . . . ~ ,,-e (.)c,l, I,., 11,1 '-;'"'1 STATE~,,,,, My commission expires ,I!' er , ,,,,., 11\\ ------------------------------------- I , ______________ a Notary Public in and for said State and County, hereby certify that ____________ whose name(s) is/are signed to the forgoing Petition and who is/are known to me , this day appeared before me and , being first duly sworn , acknowledge that he /she/they have vo llllltarily executed this Petition on this day same bears date . Given under my Hand and Seal this ___ day of _____ , 20 __ , (Seal) Notruy Public My commission expires ________ _ I , ______________ a Notary Public in and for said State ru1d County, hereby certify that ____________ whose name(s) is /are signed to the forgoing Petition and who is/are known to me, this day appeared before me and , being first duly sworn, acknowledge that he/she/they have voluntarily executed this Petition on this day same beru·s date. Given under my Hand and Seal this ___ day of _____ , 20 __ , (Seal) Notary Public My commission expires ________ _ Backroom:Users :mray:Library :Mail :POP- '"'"0/..ho,-,Ann ,..,../ronlJ.071:::-c;;-Q na..♦-Tl\Ttlf"\V "'hr.v-1:UT kn1"n'lr-f'nr tha n ra. .-n,im.a,~tto,-h ·Dohhnn f',._. onnov An.r Page 144 of 368 CALYX CIRSECTION STTWIN BEECH RD PETIOLE DR HELENAPORTERLNPETIOLE DR P E T IOLEDR H YACI NTH S TCALYXCIR GERANIUMDR BRACY LNMALONE RDDENTON LNDENTO NRDBELL RDHANKINS LNLegend RoadParcelZoningDistrictPUD - Planned Unit DevelopmentTR - Tourist Resort ^ µ Exhibit A Jason TickleAnnexation and Zoning to R-1Parcel Number: 05-46-09-29-0-000-047.000 PPIN: 18518Parcel Number: 05-46-09-29-0-000-047.000 Page 145 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-442 FROM: Sherry Sullivan, MAYOR SUBJECT: Ordinance to Repeal Ordinance No. 1551, as amended by Ordinance No. 1622 and 1743, and Codified as Chapter 2, Article III, Division 8 of the Fairhope Code of Ordinances; and Dissolve the City of Fairhope Historic Preservation Committee. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Adoption of Ordinance BACKGROUND INFORMATION: Ordinance to Repeal Ordinance No. 1551, as amended by Ordinance No. 1622 and 1743, and Codified as Chapter 2, Article III, Division 8 of the Fairhope Code of Ordinances; and Dissolve the City of Fairhope Historic Preservation Committee. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 146 of 368 ORDINANCE NO. _______ AN ORDINANCE TO REPEAL ORDINANCE NO. 1551, AS AMENDED BY ORDINANCE NO. 1622 AND 1743, AND CODIFIED AS CHAPTER 2, ARTICLE III, DIVISION 8 OF THE FAIRHOPE CODE OF ORDINANCES; AND DISSOLVE THE CITY OF FAIRHOPE HISTORIC PRESERVATION COMMITTEE. WHEREAS, the City of Fairhope, Alabama (the “City”), established the Fairhope Historic Preservation Committee (the “Committee”); WHEREAS, the City Council of the City of Fairhope, Alabama (the “City Council”) adopted Ordinance No. 1551 establishing the Bylaws of the Fairhope Historic Preservation Committee (the “Bylaws”); WHEREAS, the City Council subsequently adopted Ordinance No. 1622, which amended the Bylaws by providing for the meetings of the Committee; WHEREAS, the City Council further adopted Ordinance No. 1743 amending the Bylaws to provide for the Committee’s Mission; WHEREAS, the City adopted Ordinance No. 1797 and established the Fairhope Historic Preservation Commission (“the Commission”) pursuant to Alabama Code § 11 - 68-1 et seq.; WHEREAS, the City no longer has a need for the Committee, and the City Council desires to dissolve the Committee and transfer any funds raised or claimed by the Committee for the use of the Commission; WHEREAS, the Committee is an unincorporated board that is not separate from the municipality itself; and WHEREAS, as the authorizing governing body, the City Council is vested with the power to dissolve the Committee; BE IT ORDAINED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Section 1. The Fairhope Historic Preservation Committee is hereby dissolved. Section 2. The Commission hereby assumes the Committee’s duties and outstanding obligations, if any. Section 3. Any funds, real property or personal property belonging to the Committee shall be conveyed to the City and used by the Commission in accordance with Sections 11-68-1 through 11-68-15 of the Code of Alabama (1975). Section 4. The provisions, sections, paragraphs, sentences, clauses, phrases, and parts thereof of this Ordinance are severable, and if any provision, section, paragraph, sentence, clause, phrase, or part thereof of this Ordinance shall be declared unconstitutional or invalid by a court of competent jurisdiction, then such ruling shall not affect any other provision, section, paragraph, sentence, clause, phrase, or part thereof, since the same would have been enacted by the Council without the incorporation of any such unconstitutional or invalid provision, section, paragraph, sentence, clause, phrase, or part thereof. Section 5. This Ordinance shall go into effect upon its passage and publication as provided by law. Page 147 of 368 Ordinance No. ______ Page -2- Adopted and Approved this 10th day of June, 2024. Corey Martin Council President ATTEST: Jenny Opal Wilson, CMC Assistant City Clerk Adopted and Approved this the 10th day of June, 2024. Sherry Sullivan Mayor ATTEST: Jenny Opal Wilson, CMC Assistant City Clerk CERTIFICATE OF CLERK I, Lisa A. Hanks, MMC, City Clerk of the City of Fairhope, Alabama, do hereby certify that the above and foregoing copy of Ordinance No. ________ is a true and correct copy of such Ordinance that was duly adopted by the City Council of Fairhope, Alabama, on the 10th day of June, 2024, as same appears in the official records of said City. Jenny Opal Wilson, CMC Assistant City Clerk Page 148 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-424 FROM: Richard Johnson, CITY ENGINEER SUBJECT: Acceptance of FEMA HMGP Grant for City of Fairhope 1st Responders Safe Room. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Approval BACKGROUND INFORMATION: The City of Fairhope proposes to construct a new 82' x 66', 4,072 square foot community safe room for the City's first responders. The saferoom will have a net usable space of 1,556 square feet to accommodate 77 occupants. The structure will provide protection from up to 200mph winds for a period not to exceed 24 hours. When facility is not in use as a saleroom, it will function as a meeting and training room. The saferoom will be constructed in compliance with FEMA and all necessary ADA, federal, state and local standards. The total amount of the project is $2,704,096.72 with the FEMA portion being $2,433,687.05 and the City's portion being $270,409.67 (10%). FEMA has also set aside $135,204.84 in Subrecipient Management Costs (SRMC). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $ $ $ FY24 Budget includes $650,000.00 for Safe Room, with City's portion originally estimated at $65,000.00 for first year expense of overall project original estimate of $1,300,000.00 over two years. FY25 Budget will account for updated overall cost of project and grant funds to be received along with the City's portion of $270,409.67. GRANT: FEMA HMGP Page 149 of 368 LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 150 of 368 RESOLUTION NO. ______ AUTHORIZE ACCEPTANCE OF A FEMA HAZARD MITIGATION GRANT PROGRAM (HMGP) GRANT FOR THE CITY OF FAIRHOPE 1ST RESPONDERS SAFE ROOM PROJECT (GRANT #4563-0002) BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF FAIRHOPE, ALABAMA, [1] That the City Council hereby authorizes acceptance of a FEMA Hazard Mitigation Grant Program (HMGP) Grant for the City of Fairhope 1st Responders Safe Room Project (Grant #4563-0002 in the amount of $2,433,687.05; and authorizes Mayor Sherry Sullivan to sign all necessary documents. The City’s share of this project is $270,409.67 (10%). In addition, Grant Management costs in the amount of $135,2024.84 will be set aside through FEMA to contract with a FEMA knowledgeable grant management firm. DULY ADOPTED THIS 10TH DAY OF JUNE 2024 _______________________________ Corey Martin, Council President ATTEST: ______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 151 of 368 Atlanta, GA 30341 U. S. Department of Homeland Security Region 4 3005 Chamblee Tucker Road May 20, 2024 Jeff Smitherman, Director Alabama Emergency Management Agency 5898 County Road 41 Clanton, AL 35046-2160 Attention: Michael Johnson, State Hazard Mitigation Officer Reference: Hazard Mitigation Grant Program (HMGP) Project 4563-0002 City of Fairhope 1st Responders Safe Room Project Approval (Correction) Dear Mr. Smitherman: This letter corrects the previous letter dated May 13, 2024. The HMGP funding amount, the federal share, the brand name of the generator, and the compliance guidance version years have been corrected to reflect what is currently shown. We are pleased to inform you that the project referenced above has been approved for HMGP funding in the amount of $2,704,096.72 with a federal share of $2,433,687.05 (90%) and a non- federal share of $270,409.67 (10%). In addition, Subrecipient Management Costs (SRMC) in the amount of $135,204.84 is set aside for the subrecipient. Financial approval documents for the award are enclosed for your records. The following is the approved Statement of Work (SOW) for the above referenced project: The City of Fairhope proposes to construct a new 82’x 66’; 4,072 sq ft community saferoom for the city’s 1st responders. The saferoom will have a net usable space of 1,556 sq ft to accommodate 77 occupants. The structure will provide protection from up to 200mph winds for a period not to exceed 24 hours. When the facility is not in use as a saferoom, it will function as a meeting and training room. The backup power supply will be provided by a 125kw, dual fuel generator. The saferoom will be constructed in compliance with the version of FEMA P361(2021), ICC 500 (2020) and all necessary ADA, federal, state and local standards. Site Location: Address City State ZIP Code Latitude Longitude 1. Pecan Ave Fairhope AL 36532 30.508617 -87.899841 Special Conditions required on implementation of Projects: • CZMA CONDITION: The Sub-recipient is responsible for obtaining any required AL Coastal Zone Management permits/waivers. Compliance with the requirements constitutes compliance with AL Coastal Zone Consistency. Failure to comply with these conditions may jeopardize FEMA funding; verification of compliance will be required at project closeout. • In the event that ground-disturbing work uncovers significant archaeological materials, such as Page 152 of 368 stone arrowheads, ceramics, or early building foundations, or if work uncovers human burials or human remains, ground disturbing activities will immediately be stopped within a 300-foot radius and the materials protected. The State Historic Preservation Officer and the Choctaw Nation Historic Preservation Department will be contacted as soon as possible and given an opportunity to provide input before construction resumes. NHPA Condition: • If any archaeological or cultural materials are discovered during the project undertaking, neither the construction team nor the applicant will disclose this information to the public or the media in any manner, including social media. Discoveries of archaeological and historic materials will be kept private and confidential. • If human remains or intact archaeological features or deposits (e.g. arrowheads, pottery, glass, metal, etc.) are uncovered, work in the vicinity of the discovery will stop immediately and all reasonable measures to avoid or minimize harm to the finds will be taken. The subrecipient will ensure that archaeological discoveries are secured in place, that access to the sensitive area is restricted, and that all reasonable measures are taken to avoid further disturbance of the discoveries. The subrecipient's contractor will provide immediate notice of such discoveries to the applicant. The subrecipient shall contact the Alabama Historical Commission and FEMA within 24 hours of the discovery. Work in the vicinity of the discovery may not resume until FEMA has completed consultation with SHPO, Tribes, and other consulting parties as necessary. In the event that unmarked human remains are encountered during permitted activities; all work shall stop immediately, and the proper authorities notified in accordance with Alabama Statutes, Section 13A-7-23.1. • Any changes to the approved scope of work will require submission to, and evaluation and approval by, the State and FEMA, prior to initiation of any work, for compliance with Section 106. • Final draft of archaeological survey report must be submitted to FEMA EHP prior to project closeout. Standard Conditions • Any change to the approved scope of work will require re-evaluation for compliance with NEPA and other Laws and Executive Orders. • This review does not address all federal, state and local requirements. Acceptance of federal funding requires recipient to comply with all federal, state and local laws. Failure to obtain all appropriate federal, state and local environmental permits and clearances may jeopardize federal funding. • If ground disturbing activities occur during construction, applicant will monitor ground disturbance and if any potential archeological resources are discovered, will immediately cease construction in that area and notify the State and FEMA. Quarterly Progress Reporting: • Per 44 CFR 206.438(c), recipients must provide a quarterly progress report to FEMA indicating the status and completion date for each project funded. The report should also include any problems or circumstances affecting completion dates, scope of work, or project cost that may result in non-compliance with the approved grant conditions. Please include this HMGP project in your future quarterly reports. Page 153 of 368 Scope of Work Changes: The recipient must obtain prior approval from FEMA before implementing changes to the approved project SOW. Per the Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, 2 CFR 200: • The Recipient must obtain prior written approval for any budget revision which would result in a need for additional funds. • A change in the scope of work must be approved by FEMA in advance regardless of the budget implications. • The Recipient must notify FEMA as soon as significant developments become known, such as delays or adverse conditions that might raise costs or delay completion, or favorable conditions allowing lower cost or earlier completion. Period of Performance: FEMA does not establish activity completion timeframes for individual subawards. Recipients are responsible for ensuring that all approved activities are completed by the end of the grant Period of Performance (POP). The POP for DR-4563 is 06/20/2025. Any extensions of the grant POP must be submitted to FEMA 60 days prior to the expiration date. Project Closure: In accordance with 44 CFR, Section 206.438(d) the Governor’s Authorized Representative (GAR) is required to “certify that reported costs were incurred in the performance of eligible work, that the approved work was completed, and that the mitigation measure is in compliance with the provisions of the FEMA-State Agreement.” Therefore, to close this project, the GAR shall send a letter requesting closure to include the above certifications, as well as the following: • Date work on the project was fully completed. • Date of the recipient’s final site inspection for the project • Total final project cost, with the Federal and Non-Federal share • Identified cost underrun (Fed and non-Fed share) as applicable. • Documentation that any conditions of the grant have been complied with, to include programmatic, environmental, and/or other conditions as identified in the award letter or Record of Environmental Consideration (REC) • Certification from a licensed Professional Engineer or a Registered Architect, that the safe room and all items that contribute to the operation of the safe room have been constructed to meet or exceed FEMA Publication 361 for community safe rooms including but not limited to the foundation and safe room anchoring requirements, doors, windows, exterior above-ground generators and attendant fuel sources, electrical or passive ventilation, communications equipment, signage, steps, stairs, elevators, lifts and eligible below ground electrical lines. • Documentation that demonstrates the required hazard insurance has been secured if located within the FEMA identified Special Flood Hazard Area. • Photographs of the structure. • Final latitude and longitude of the safe room with an accuracy of +/- 20 meters. • A copy of the Recipient’s final site inspection report. The obligation report is enclosed for your records. Management reports are available in NEMIS. The obligated funds are available for withdrawal from Payment Management System on sub- account 4563DRALP00000025. Page 154 of 368 If you have any questions, please contact your state hazard mitigation specialist. Sincerely, SHEMEEKA H JOHNSON Digitally signed by SHEMEEKA H JOHNSON Date: 2024.05.20 14:22:54 -04'00' Shemeeka H. Johnson, Chief Disaster Implementation Branch Mitigation Division Enclosure(s): Obligation Report Supplemental Record of Environmental Considerations Page 155 of 368 - 2 R 5/2/2024 1:21 PM FEDERAL EMERGENCY MANAGEMENT AGENCY HMGP-OB-01 HAZARD MITIGATION GRANT PROGRAM Obligation Disaster No FEMA Project No Amendment No State Application ID Action No Supplemental No State Recipient 4563 0 7 1 7 AL Statewide Subrecipient: Fairhope Subrecipient FIPS Code: 003-25240 Project Title : City of Fairhope Safe Room for Disaster Responders Total Amount Previously Allocated $2,433,687.05 Total Amount Previously Obligated $2,433,687.05 Total Amount Pending Obligation $0.00 Total Amount Available for New Obligation $0.00 Project Amount Subrecipient Management Cost Amount Total Obligation IFMIS Date IFMIS Status FY 05/02/2024 Accept 2024 Comments Date: 05/02/2024 User Id: KRATLIFF Comment: (4563-0002-R (Appl ID 7) Obligate $2,433,687.05 and $135,204.84 Management Cost per State's application request dated 03/18/20 POP ¿ 06/20/2025. Included in (May 2024) Spend Plan Date: 05/02/2024 User Id: DBURKETT Comment: 4563-0002-R-DR-AL-HM Fairhope Grant POP 06/20/2025 Application 7 City of Fairhope Safe Room for Disaster Responders Allocat included in the May Spend Plan Federal share $2,433,687.05 SRMC $135,204.84 total obligation $2,568,891.89 Supplement 7 appro HMO. Authorization Preparer Name: KAREN RATLIFF Preparation Date: 05/02/2024 HMO Authorization Name: DEBORAH BURKETT HMO Authorization Date: 05/02/2024 Page 1 of 1 $2,568,891.89 $135,204.84 $2,433,687.05 Page 156 of 368 04/04/2024 18:34:35 FEDERAL EMERGENCY MANAGEMENT AGENCY RECORD OF ENVIRONMENTAL CONSIDERATION (REC) REC-01 Project HMGP-4563-0002-AL (1) Title: City of Fairhope Community Saferoom NEPA DETERMINATION Non Compliant Flag: No EA Draft Date: EA Final Date: EA Public Notice Date: EA Fonsi EIS Notice of Intent EIS ROD Date: Level: CATEX Comment SOW: City of Fairhope, Baldwin County, AL, Build new 82'x66' community saferoom with generator at TBD Pecan Ave. Fairhope, AL 36532 (30.508617, -87.899841). - vyin - 04/04/2024 17:47:31 GMT CATEX CATEGORIES Catex Category Code Description Selected *n8 (*n8) Federal Assistance for New Construction Activities of Less Than One Acre in Undisturbed or Undeveloped Areas. Federal assistance for new construction and associated site preparation activities in undisturbed or undeveloped areas when the activities comprise less than one acre and follow best management practices to control noise, water, and air pollution. This category does not apply to new construction in undisturbed or undeveloped floodplains, wetlands, or seaward of the limit of moderate wave action (or V zone when the limit of moderate wave action has not been identified). This CATEX covers the range of activities typically necessary for new construction, including field work (e.g. borings, site inspection) and temporary staging and use of construction equipment and vehicles. Yes *n18 (*n18) Federal Assistance for Construction or Installation of Structures, Facilities, or Equipment to Ensure Continuity of Operations. Federal assistance for the construction or installation of measures for the purpose of ensuring the continuity of operations during incidents such as emergencies, disasters, flooding, and power outages involving less than one acre of ground disturbance. Examples include the installation of generators, installation of storage tanks of up to 10,000 gallons, installation of pumps, construction of structures to house emergency equipment, and utility line installation. This CATEX covers associated ground disturbing activities, such as trenching, excavation, and vegetation removal of less than one acre, as well as modification of existing structures. Yes EXTRAORDINARY Extraordinary Circumstance Code Description Selected ? No Extraordinary Circumstances were selected ENVIRONMENTAL LAW / EXECUTIVE ORDER Environmental Law/ Executive Order Clean Air Act (CAA) Status Completed Description Comment Project will not result in permanent air emissions - Review concluded Coastal Barrier Resources Act (CBRA) Completed Project is not on or connected to CBRA Unit or otherwise protected area - NOTE: All times are GMT using a 24-hour clock. Page 1 of 4 Page 157 of 368 04/04/2024 18:34:35 FEDERAL EMERGENCY MANAGEMENT AGENCY RECORD OF ENVIRONMENTAL CONSIDERATION (REC) REC-01 Project HMGP-4563-0002-AL (1) Title: City of Fairhope Community Saferoom Environmental Law/ Executive Order Status Description Comment Review concluded Clean Water Act (CWA) Completed Project would not affect any water of the U.S. - Review concluded Coastal Zone Management Act (CZMA) Completed Project is located in a coastal zone area and/or affects the coastal zone CZMA: See condition. - vyin - 04/04/2024 17:48:43 GMT Completed State administering agency requires consistency review - Review concluded Executive Order 11988 - Completed No effect on floodplain/flood levels and EO 11988: Project is located in an Unshaded X Floodplains project outside floodplain - Review concluded zone per Baldwin County FIRM Panels 01003C0644M dated 04/19/2019. - vyin - 04/04/2024 17:50:09 GMT Executive Order 11990 - Wetlands Completed No effects on wetlands and project outside wetlands - Review concluded EO 11990: Project is not located in wetlands per review of USFWS National Wetlands Inventory (NWI) mapper, accessed 04/04/2024. - vyin - 04/04/2024 17:50:23 GMT Executive Order 12898 - Environmental Justice for Low Income and Minority Populations Completed No Low income or minority population in, near or affected by the project - Review concluded EO 12898: This project has been determined to have limited or no potential to adversely affect minority or low-income populations according to Exemption II.u. in Step 1 of the EO 12898 Interim Guidance on 04/04/2024. FEMA has no further EO 12898 responsibilities with regard to these activities." - vyin - 04/04/2024 17:50:39 GMT Endangered Species Act (ESA) Completed Listed species and/or designated critical habitat present in areas affected directly or indirectly by the federal action ESA: Per review of Alabama USFWS website listing of threatened and endangered species for Baldwin County, accessed 04/04/2024. - vyin - 04/04/2024 17:48:12 GMT Completed No effect to species or designated critical habitat (See comments for justification) - Review concluded Farmland Protection Policy Act (FPPA) Completed Project does not affect designated prime or unique farmland - Review concluded Fish and Wildlife Coordination Act (FWCA) Completed Project does not affect, control, or modify a waterway/body of water - Review concluded Migratory Bird Treaty Act (MBTA) Completed Project located within a flyway zone NOTE: All times are GMT using a 24-hour clock. Page 2 of 4 Page 158 of 368 04/04/2024 18:34:35 FEDERAL EMERGENCY MANAGEMENT AGENCY RECORD OF ENVIRONMENTAL CONSIDERATION (REC) REC-01 Project HMGP-4563-0002-AL (1) Title: City of Fairhope Community Saferoom Environmental Law/ Executive Order Status Completed Description Comment Project does not have potential to take migratory birds - Review concluded Magnuson-Stevens Fishery Conservation and Management Act (MSA) Completed Project not located in or near Essential Fish Habitat - Review concluded National Historic Preservation Act (NHPA) Completed Standard Section 106 review NHPA: Per the executed Programmatic Agreement for Alabama executed November 06, 2020 and modified October 26, 2022, the project required consultation resulting in No Historic Properties Affected. Consultation was sent to SHPO; THPO (Alabama-Coushatta Tribe of Texas, Choctaw Nation of Oklahoma, Coushatta Tribe of Louisiana, Jena Band of Choctaw Indians, Kialegee Tribal Town, Mississippi Band of Choctaw Indians, Muscogee (Creek) Nation, Poarch Band of Creek Indians, Seminole Nation of Oklahoma, Shawnee Tribe, Thlopthlocco Tribal Town) on 08/02/2023. SHPO; THPO (Choctaw Nation of Oklahoma, Mississippi Band of Choctaw Indians) response received 03/10/2024. See conditions. - ewelker1 - 03/14/2024 22:58:04 GMT Completed Building or structure 50 years or older or listed on the National Register in the project area and activity not exempt from review Completed Determination of No Historic Properties Affected (FEMA finding/SHPO/THPO concurrence attached) - Review concluded Completed Project affects undisturbed ground Completed Project area has potential for presence of archeological resources Completed Determination of no historic properties affected (FEMA finding/SHPO/THPO concurrence attached) - Review concluded Wild and Scenic Rivers Act (WSR) Completed Project is not along and does not affect Wild and Scenic River - Review concluded CONDITIONS NOTE: All times are GMT using a 24-hour clock. Page 3 of 4 Page 159 of 368 04/04/2024 18:34:35 FEDERAL EMERGENCY MANAGEMENT AGENCY RECORD OF ENVIRONMENTAL CONSIDERATION (REC) REC-01 Project HMGP-4563-0002-AL (1) Title: City of Fairhope Community Saferoom Special Conditions required on implementation of Projects: CZMA CONDITION: The Sub-recipient is responsible for obtaining any required AL Coastal Zone Management permits/waivers. Compliance with the requirements constitutes compliance with AL Coastal Zone Consistency. Failure to comply with these conditions may jeopardize FEMA funding; verification of compliance will be required at project closeout. Source of condition: Coastal Zone Management Act (CZMA) Monitoring Required: No In the event that ground-disturbing work uncovers significant archaeological materials, such as stone arrowheads, ceramics, or early building foundations, or if work uncovers human burials or human remains, ground disturbing activities will immediately be stopped within a 300-foot radius and the materials protected. The State Historic Preservation Officer and the Choctaw Nation Historic Preservation Department will be contacted as soon as possible, and given an opportunity to provide input before construction resumes. Source of condition: National Historic Preservation Act (NHPA) Monitoring Required: No If any archaeological or cultural materials are discovered during the project undertaking, neither the construction team nor the applicant will disclose this information to the public or the media in any manner, including social media. Discoveries of archaeological and historic materials will be kept private and confidential. Source of condition: National Historic Preservation Act (NHPA) Monitoring Required: No If human remains or intact archaeological features or deposits (e.g. arrowheads, pottery, glass, metal, etc.) are uncovered, work in the vicinity of the discovery will stop immediately and all reasonable measures to avoid or minimize harm to the finds will be taken. The subrecipient will ensure that archaeological discoveries are secured in place, that access to the sensitive area is restricted, and that all reasonable measures are taken to avoid further disturbance of the discoveries. The subrecipient's contractor will provide immediate notice of such discoveries to the applicant. The subrecipient shall contact the Alabama Historical Commission and FEMA within 24 hours of the discovery. Work in the vicinity of the discovery may not resume until FEMA has completed consultation with SHPO, Tribes, and other consulting parties as necessary. In the event that unmarked human remains are encountered during permitted activities; all work shall stop immediately, and the proper authorities notified in accordance with Alabama Statutes, Section 13A-7-23.1. Source of condition: National Historic Preservation Act (NHPA) Monitoring Required: No Any changes to the approved scope of work will require submission to, and evaluation and approval by, the State and FEMA, prior to initiation of any work, for compliance with Section 106. Source of condition: National Historic Preservation Act (NHPA) Monitoring Required: No Final draft of archaeological survey report must be submitted to FEMA EHP prior to project closeout. Source of condition: National Historic Preservation Act (NHPA) Monitoring Required: No Standard Conditions: Any change to the approved scope of work will require re-evaluation for compliance with NEPA and other Laws and Executive Orders. This review does not address all federal, state and local requirements. Acceptance of federal funding requires recipient to comply with all federal, state and local laws. Failure to obtain all appropriate federal, state and local environmental permits and clearances may jeopardize federal funding. If ground disturbing activities occur during construction, applicant will monitor ground disturbance and if any potential archeological resources are discovered, will immediately cease construction in that area and notify the State and FEMA. NOTE: All times are GMT using a 24-hour clock. Page 4 of 4 Page 160 of 368 HAZARD MITIGATION GRANT PROGRAM CFDA #97.047 HMGP 4563-0002 City of Fairhope 1st Responders Safe Room State-Sub-recipient Disaster Assistance Agreement This agreement between the State of Alabama (the “State”) and the City of Fairhope will be effective on the date signed by the State and the Sub-recipient. It shall apply to all assistance funds provided by or through the State to the Sub-recipient as a result of a presidentially declared disaster occurring within the State of Alabama. The designated representative of the Sub-recipient certifies that: 1. The Sub-recipient has appointed by resolution a sub-recipient’s local agent/designated representative to act on the jurisdiction’s behalf [attach a copy of the resolution to the application]. 2. He/She has legal authority to apply for federal assistance on behalf of the Sub-recipient. 3. The Sub-recipient will provide all necessary financial and managerial resources to meet the terms and conditions of receiving federal and state disaster assistance. 4. The Sub-recipient will use the disaster assistance funds solely for the purposes for which these funds are provided and as approved by the Governor's Authorized Representative/State EMA Director or his or her designee. Allowable costs shall be determined in accordance with the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 44 CFR §206 and 2 CFR Part 200. 5. The payments for approved projects will be on a cost reimbursement basis and subject to receipt and approval of invoices. 6. The Sub-recipient is aware that there is no state funding available for mitigation cost sharing and that the Sub-recipient will be required to provide the full non-federal share for such mitigation activities. 7. The Sub-recipient agrees to provide the necessary local share of funding for completion of the project. 8. The Sub-recipient will establish and maintain a proper accounting system to record expenditure of disaster assistance funds in accordance with generally accepted accounting standards or as directed by the Governor's Authorized Representative/State EMA Director or his or her designee. 9. The Sub-recipient will comply with one of the following (as appropriate for the type of sub- recipient) for all audit requirements: 2 CFR (Part 200.501 and 200.501). 10. The local cost share funding will be available within the specified time. 11. The Sub-recipient will give all state and federal agencies designated by the Governor's Authorized Representative/State EMA Director or his or her designee access to and the right to examine all books, records, papers and other documents related to use of disaster assistance funds. Page 161 of 368 12. The Sub-recipient will maintain all documentation relating to the project for three (3) years from the date of the Final SF 425 submitted to FEMA from AEMA. The SF 425 is the final expenditure report sent to FEMA from AEMA to close out the entire grant. 13. The Sub-recipient will return to the state, within 15 days of such request by the Governor's Authorized Representative/State EMA Director or his or her designee, any funds which are not supported by audit or other federal or state review of documentation maintained by the Sub- recipient for three (3) years from the date of the Final SF 425 submitted to FEMA from AEMA. The SF 425 is the final expenditure report sent to FEMA from AEMA to close out the entire grant. 14. The Sub-recipient will comply with all applicable codes and standards relative to this project and agrees to provide maintenance, as appropriate. 15. The Sub-recipient will comply with all applicable provisions of federal and state laws, Executive Orders and regulations governing this program. 16. The Sub-recipient will comply with the Lead-Based Paint Poisoning Prevention Act which prohibits the use of lead based paint in the construction or rehabilitation of residence structures. 17. The Sub-recipient will begin project work within 90 days of approval of the award and complete all items of work within the specified period of performance (ending June 25, 2025) unless an extension is granted to extend the time frame. 18. The Sub-recipient will comply with all federal and state statutes and regulations relating to non - discrimination including, but not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88- 352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683 and 1685-1686) which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794) which prohibit discrimination on the basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107) which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 93-255) as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to nondiscrimination in the sale rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made, and (j) the requirements on any other nondiscrimination statute(s) which may apply to the application. 19. The Sub-recipient will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally assisted programs. 20. The Sub-recipient will comply with provisions of the Hatch Act limiting the political activities of public employees. Page 162 of 368 21. The Sub-recipient will comply, as applicable, with provisions of the Davis-Bacon Act relating to labor standards. 22. The Sub-recipient will comply with the National Flood Insurance Program requirements, including, but not limited to, Section 102(a) of the Flood Disaster Protection Act of 1973. 23. The Sub-recipient will not enter into cost-plus-percentage-of-cost contracts for completion of Hazard Mitigation Grant projects. 24. The Sub-recipient will comply with all environmental standards including but not limited to: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.O. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (f) conformity of federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.O. 93-205). 25. The Sub-recipient will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. 26. The Sub-recipient will comply with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and preservation of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.). 27. The Sub-recipient will not enter into any contract, with respect to this award, with a condition for payment to the contractor being the receipt of state or federal funds by the Sub-recipient. 28. The Sub-recipient will not enter into any contract with any party, which is debarred or suspended, from participating in federal assistance programs. 29. The project’s scope-of-work will not be changed without prior written approval from FEMA. 30. The Sub-recipient will not dispose of, modify the use of, or change the terms of the real property title, or interest in the site or facilities without permission and instructions from FEMA. The Sub- recipient will record the federal interest in the title of real property in accordance FEMA directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds to assure nondiscrimination during the useful life of the project. 31. The Sub-recipient will comply with the requirements of FEMA with regard to the drafting, reviewing, and approval of construction plans and specifications. 32. The Sub-recipient will provide and maintain competent and adequate engineering supervision at the construction site to ensure that the completed project conforms with the approved plans and specifications and will furnish progress reports and such other information as may be required by FEMA or the State. Page 163 of 368 33. The Sub-recipient will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest or personal gain. 34. The Sub-recipient will promptly reimburse the State in the event of a reduction in the approved amount described in the project application the amount of the reduction. If the Sub-recipient fails to promptly reimburse the State, the State may withhold from this award or any other federal award administered by the State which is awarded to the Sub-recipient any amounts owed to the State. 35. The Sub-recipient certifies to the best of its knowledge and belief that it and its principals: A. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from cover transactions by any Federal department or agency; B. Have not within a 3-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or Local) transaction or contract under a public transaction; or violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification of destruction of records, making false statement, or receiving stolen property; C. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal, State, or Local) with commission of any of the offenses enumerated in paragraph B of this certification; and D. Have not within a 3-year period preceding this application or proposal had one or more public transactions (Federal, State, and Local) terminated for cause or default. I understand that a false statement on this certification may be grounds for rejection of this proposal or termination of the award. In addition, under 18 U.S.C. §1001, a false statement may result in a fine of up to $10,000 or imprisonment for up to 5 years, or both. 36. The Sub-recipient certifies that it will provide a drug-free workplace by: A. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Sub-recipient’s workplace and specifying the actions that will be taken against employees for violation of such prohibition; B. Establishing a drug-free awareness program to inform employees about: (i) The dangers of drug abuse in the workplace; (ii) The Sub-recipient’s policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed on employees for drug abuse violations occurring in the workplace; C. Making it a requirement that each employee to be engaged in the performance of the project be given a copy of the statement required by paragraph (A); D. Notifying each employee in the statement required by paragraph (A) that, as a condition of employment under the award, the employee must: (i) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than 5 days after such conviction; E. Notifying the Award Official within 10 days after receiving notice under subparagraph (D)(ii) from an employee or otherwise receiving actual notice of such conviction; F. Taking one of the following actions, within 30 days of receiving notice under subparagraph (D)(ii), with respect to any employee who is so convicted: Page 164 of 368 G. Making a good-faith effort to continue to maintain a drug-free workplace through implementation of paragraphs A - F. The Sub-recipient shall insert in the space provided below the site(s) of the performance of work done in conjunction with the specific award. Place of performance (street, city, county, state, zip code) 37. The Sub-recipient certifies, to the best of its knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the Sub- recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee or a member of Congress in connection with the awarding of any Federal contract, the making of any Federal award, the making of any Federal loan, the entering into any cooperative agreement, or modification of any Federal contract, award, loan, or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, award, loan, or cooperative agreement, the Award Recipient shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions. 3. The Sub-recipient shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-awards, and contracts under awards, loans, and cooperative agreement(s) and that all sub-recipients shall certify and disclose accordingly. 4. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of the certification is a prerequisite for making or entering into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for such failure. 37. The Sub-recipient will provide copies of audit reports that include funds provided under this agreement to: State of Alabama State of Alabama Department of Examiners of Emergency Management Agency Public Accounts and P.O. Drawer 2160 P. O. Box 302251 Clanton, AL 35046 Montgomery, AL 36130-2251 Attn: Hazard Mitigation Page 165 of 368 Attn: Audit Report Repository 38. Contracts must be of reasonable cost, generally must be competitively bid, and comply with Federal, State, and local procurement standards. FEMA will reimburse only fair and reasonable costs of any contract entered into by the Sub-recipient. The Sub-recipient must consider costs, conflicts of interest, and all Federal, State, and local laws and regulations when hiring a contractor. Compliance with local procurement practices and the procurement competit ion requirements specified in 2 CFR Part 200.317-200.326 are essential to successfully receiving Mitigation award funding. The Federal procurement regulations ensure that sub-recipient’s procure contracts in a manner that provides full and open competition, and provide financial and record-keeping requirements. In addition, the Sub-recipient should maintain a written code of standards for conduct governing the performance of employees, officers, or agents who select and award contracts. It is important that applicants secure contracts with reputable and qualified licensed contractors. The Sub-recipient’s should conduct reference checks on a contractor’s history of performance with the State’s contractor licensing board and with the contractor’s previous clients before awarding contracts. Pursuant to 2 CFR Part 200.319 (a)(1)-(7), the Sub-recipient may not restrict the bidding in order to disqualify a population of bidders. Some of the situations considered to be restrictive of competition include, but are not limited to: • Placing unreasonable requirements on firms in order for them to qualify to do business • Requiring unnecessary experience and excessive bonding • Noncompetitive pricing practices between firms or between affiliated companies • Noncompetitive awards to consultants that are on retainer contracts • Organizational conflicts of interest • Specifying only a ‘‘brand name’’ product instead of allowing ‘‘an equal’’ product to be offered and describing the performance of other relevant requirements of the procurement • Any arbitrary action in the procurement process If the Sub-recipient has a pre-qualified lists of persons, firms, or products, it must keep such lists current in order to ensure open and free competition during the bidding process, in accordance with 2 CFR Part 200.319(d), which states: “Recipients and sub-recipients will ensure that all pre- qualified lists of persons, firms, or products which are used in acquiring goods and services are current and include enough qualified sources to ensure maximum open and free competition. Also, recipients and sub-recipients will not preclude potential bidders from qualifying during the solicitation period.” Methods of Procurement The Sub-recipient may request that FEMA review its procurement process to determine whether the process meets the standards set forth in 2 CFR 200.317-200.326. FEMA finds the following four methods of procurement acceptable: Small purchase procedures procurement, an informal method for securing services or supplies that do not cost more than $100,000 by obtaining several price quotes from different sources. Sealed bids procurement, a formal method where bids are publicly advertised and solicited, and the contract is awarded to the responsible bidder whose proposal is the lowest in price. This method is the preferred method for procuring construction contracts. Competitive proposals procurement, a method similar to sealed bid procurement in which contracts are awarded on the basis of contractor qualifications instead of on price. This method is often used for procuring architectural or engineering professional services. In addition, this Page 166 of 368 method normally involves more than one source submitting an offer and is used when conditions are not appropriate for sealed bids. Noncompetitive proposals procurement, a method whereby a proposal is received from only one source. Noncompetitive proposals should only be used when the award of a contract is not feasible under small purchase procedures, sealed bids, or competitive proposals, and one of the following circumstances applies: • The item is available only from a single source • There is an emergency requirement that does not permit a delay • Solicitation from a number of sources has been attempted, and competition is determined to be inadequate A contract may be regarded as noncompetitive if the Sub-recipient has only one responsive bidder. In this case, the Sub-recipient is required to comply with 2 CFR Part 200.321(f), which states in part: “…A cost analysis will be necessary when adequate price competition is lacking, and for sole source procurements, including contract modifications or change orders, unless price reasonableness can be established on the basis of a catalog or market price of a commercial product sold in substantial quantities to the general public or based on prices set by law or regulation. A price analysis will be used in all other instances to determine the reasonableness of the proposed contract price.” The Sub-recipient is required by 2 CFR Part 200.323(b) to negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. Consideration shall be given to the complexity of the work performed, risk borne to the contractor, contractor’s investment, amount of subcontracting, quality of the contractor’s record of past performance, and industry profit rates in the surrounding geographical area for similar work. FEMA provides reimbursement for four types of contracts: Lump sum contracts, for work within a prescribed boundary with a clearly defined scope and a total price Unit price contracts, for work done on an item-by-item basis with cost determined per unit Cost-plus-fixed-fee contracts, either lump sum or unit price contracts with a fixed contractor fee added into the price Time-and-materials contracts, where the contractor bills the applicant for labor, equipment, materials, and overhead. These contracts should be avoided, but may be allowed Time -and- materials contracts are allowed in circumstances when they are more cost-effective and appropriate for the amount and type of eligible work to be performed. The costs must be reasonable for the type of work required. The Sub-recipient must engage in comprehensive active monitoring activities to ensure contractor efficiency. If a time-and-materials contract is awarded, the applicants must: • Monitor and document contractor expenses; • Have a cost ceiling or “not to exceed” provision in the contract; and • Contact the State to ensure proper guidelines are followed. The Sub-recipient should work closely with the State and FEMA when awarding the time-and- materials contracts to ensure eligibility requirements are met. Contract Scope of Work Recommendations The contract scope of work should reference “eligible work,” “work eligible under FEMA Mitigation regulations, policies, and guidance,” “work performed on public property and/or public rights-of-way,” or other similar elements. Piggyback Contracts Page 167 of 368 FEMA does not favor “piggyback contracts.” The variables associated with the scope of work and costs generally make this an option to be avoided. The competitive procurement requirements of 2 CFR Part 200.319 are also a prime concern. If FEMA encounters a request for reimbursement of costs derived from such a contract, the reimbursable costs for eligible work will be based on reasonableness. Prohibited Contracts In accordance with 2 CFR Part 200.323(d), cost plus percentage of cost contracts shall not be used. Use of such contracts may result in FEMA limiting the Mitigation grant to an amount determined to be reasonable based on the eligible work performed. Contracts that are awarded by an applicant to debarred contractors are prohibited pursuant to 2 CFR 200.205(d) and Part 100; thus, no Federal funding can be awarded for eligible work completed. Additional Contract Requirements Contract payment provisions should address the obligations between parties to the contract only and not include any language that makes payment to the contractor contingent upon the applicant’s receipt of funding from FEMA. All contracts in excess of $10,000 must contain a provision for termination for cause and for convenience by the Sub-recipient, including the manner by which it will be effected and the basis for settlement, according to 2 CFR Part 200.340. For contracts over $100,000 the applicant must have the following minimum bonding requirements, in accordance with 2 CFR Part 200.325(b)-(c): • A bid guarantee from each bidder equivalent to five percent of the bid price; • A performance bond on the part of the contractor for 100 percent of the contract price; and • A payment bond on the part of the contractor for 100 percent of the contract price. In accordance with 2 CFR Part 200.318(h): “Recipients and sub-recipients will make awards only to responsible contractors possessing the ability to perform successfully under the terms and conditions of a proposed procurement. Consideration will be given to such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources.” Documentation requirements are specified in 2 CFR Part 200.318 (i) and include, but are not limited to, rationale for the procurement method, contract type, contractor selection or rejection, and the basis for contract price. Signed for the Sub-recipient: Sherry Sullivan Name (Typed) Mayor ______________ Title Signature Date Signed for the State: Jeff Smitherman ___ May 21, 2024 Director Signature Date Page 168 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-422 FROM: Sherry Sullivan, Mayor SUBJECT: Acceptance of FAA Airport Infrastructure Grant (AIG). AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Approval BACKGROUND INFORMATION: This grant is an FAA Airport Infrastructure Grant (AIG) that will fund the construction of the parking lot for the new terminal building at the H.L. “Sonny” Callahan Airport. The previous FAA grant (3-01-029-030-2023), accepted in August 2023, only funded the construction of the building. The Airport Authority and the City had already voted to award the construction of the parking lot along with the construction of the building. This grant simply reimburses the costs already expensed for the construction of the parking lot. The reimbursement will consist of approximately $82,500 in reimbursement funds from the FAA and $4,500 from ALDOT. ALDOT will send a separate grant agreement for their reimbursement portion. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $ $ $ GRANT: FAA Airport Infrastructure Grant (AIG) LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Page 169 of 368 Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 170 of 368 RESOLUTION NO. ______ AUTHORIZE ACCEPTANCE OF AN FAA AIRPORT INFRASTRUCURE GRANT (AIG) AND ALDOT GRANT BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF FAIRHOPE, ALABAMA, [1] That the City Council authorizes acceptance of an FAA Airport Infrastructure Grant (AIG) in the amount of $82,500.00 and an ALDOT Grant of $4,588.00; and authorizes Mayor Sherry Sullivan to sign all necessary documents. The grants will pay construction costs for the parking lot at the new terminal building at the H.L. “Sonny” Callahan Airport. DULY ADOPTED THIS 10TH DAY OF JUNE 2024 _______________________________ Corey Martin, Council President ATTEST: ______________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 171 of 368 3-01-0029-031-2024 1 U.S. Department of Transportation Federal Aviation Administration Airports Division Southern Region Alabama Jackson Airports District Office: 10 Canebrake Blvd., Suite 100 Flowood, MS 39232 {{DateTime_es_:signer1:calc(now()):format(date," mmmm d, yyyy")}} The Honorable Sherry Sullivan Mayor City of Fairhope 161 North Section Street Fairhope, AL 36532 Dear Mayor Sullivan: The Grant Offer for the Bipartisan Infrastructure Law (BIL) - Airport Infrastructure Grant (AIG) Project No. 3-01-0029-031-2024 at H. L. (Sonny) Callahan Airport is attached for execution. This letter outlines the steps you must take to properly enter into this agreement and provides other useful information. Please read the conditions, special conditions, and assurances that comprise the grant offer carefully. You may not make any modification to the text, terms or conditions of the grant offer. Steps You Must Take to Enter Into Agreement. To properly enter into this agreement, you must do the following: 1. The governing body must give authority to execute the grant to the individual(s) signing the grant, i.e., the person signing the document must be the sponsor’s authorized representative(s) (hereinafter “authorized representative”). 2. The authorized representative must execute the grant by adding their electronic signature to the appropriate certificate at the end of the agreement. 3. Once the authorized representative has electronically signed the grant, the sponsor’s attorney(s) will automatically receive an email notification. 4. On the same day or after the authorized representative has signed the grant, the sponsor’s attorney(s) will add their electronic signature to the appropriate certificate at the end of the agreement. 5. If there are co-sponsors, the authorized representative(s) and sponsor’s attorney(s) must follow the above procedures to fully execute the grant and finalize the process. Signatures must be obtained and finalized no later than June 14, 2024. 6. The fully executed grant will then be automatically sent to all parties as an email attachment. Payment. Subject to the requirements in 2 CFR § 200.305 (Federal Payment), each payment request for reimbursement under this grant must be made electronically via the Delphi eInvoicing System. Please see the attached Grant Agreement for more information regarding the use of this System. Project Timing. The terms and conditions of this agreement require you to complete the project without undue delay and no later than the Period of Performance end date (1,460 days from the grant execution date). We will be monitoring your progress to ensure proper stewardship of these Federal funds. We May 14, 2024 Page 172 of 368 3-01-0029-031-2024 2 expect you to submit payment requests for reimbursement of allowable incurred project expenses consistent with project progress. Your grant may be placed in “inactive” status if you do not make draws on a regular basis, which will affect your ability to receive future grant offers. Costs incurred after the Period of Performance ends are generally not allowable and will be rejected unless authorized by the FAA in advance. Reporting. Until the grant is completed and closed, you are responsible for submitting formal reports as follows: ➢ For all grants, you must submit by December 31st of each year this grant is open: 1. A signed/dated SF-270 (Request for Advance or Reimbursement for non-construction projects) or SF-271 or equivalent (Outlay Report and Request for Reimbursement for Construction Programs), and 2. An SF-425 (Federal Financial Report). ➢ For non-construction projects, you must submit FAA Form 5100-140, Performance Report within 30 days of the end of the Federal fiscal year. ➢ For construction projects, you must submit FAA Form 5370-1, Construction Progress and Inspection Report, within 30 days of the end of each Federal fiscal quarter. Audit Requirements. As a condition of receiving Federal assistance under this award, you must comply with audit requirements as established under 2 CFR Part 200. Subpart F requires non-Federal entities that expend $750,000 or more in Federal awards to conduct a single or program specific audit for that year. Note that this includes Federal expenditures made under other Federal-assistance programs. Please take appropriate and necessary action to ensure your organization will comply with applicable audit requirements and standards. Closeout. Once the project(s) is completed and all costs are determined, we ask that you work with your FAA contact indicated below to close the project without delay and submit the necessary final closeout documentation as required by your Region/Airports District Office. FAA Contact Information. L. Derrik Owens, (268) 769-6964, lloyd.d.owens@faa.gov is the assigned program manager for this grant and is readily available to assist you and your designated representative with the requirements stated herein. We sincerely value your cooperation in these efforts and look forward to working with you to complete this important project. Sincerely, {{Sig_es_:signer1: signature}} Rans D. Black Manager Page 173 of 368 3-01-0029-031-2024 3 U.S. Department of Transportation Federal Aviation Administration FY 2024 AIRPORT INFRASTRUCTURE GRANT GRANT AGREEMENT Part I - Offer Federal Award Offer Date {{DateTime_es_:signer1:calc(now()):format(date," mmmm d, yyyy")}} Airport/Planning Area H. L. (Sonny) Callahan Airport Airport Infrastructure Grant Number 3-01-0029-031-2024 Unique Entity Identifier MWRPCJENTWL4 TO: City of Fairhope, Alabama (herein called the "Sponsor") (For Co-Sponsors, list all Co-Sponsor names. The word "Sponsor" in this Grant Agreement also applies to a Co-Sponsor.) This grant channels through the State of Alabama. FROM: The United States of America (acting through the Federal Aviation Administration, herein called the "FAA") WHEREAS, the Sponsor has submitted to the FAA a Project Application dated March 12, 2024, for a grant of Federal funds for a project at or associated with the H. L. (Sonny) Callahan Airport, which is included as part of this Grant Agreement; and WHEREAS, the FAA has approved a project for the H. L. (Sonny) Callahan Airport (herein called the “Project”) consisting of the following: Construct 13,500 s.f. (+/-) paved parking lot for new terminal. which is more fully described in the Project Application. NOW THEREFORE, Pursuant to and for the purpose of carrying out the Infrastructure Investment and Jobs Act (Public Law 117-58) of 2021 referred to as the Bipartisan Infrastructure Law (BIL); and the representations contained in the Project Application; and in consideration of: (a) the Sponsor’s adoption and ratification of the Grant Assurances attached hereto; (b) the Sponsor’s acceptance of this Offer; and May 14, 2024 Page 174 of 368 3-01-0029-031-2024 4 (c) the benefits to accrue to the United States and the public from the accomplishment of the Project and compliance with the Grant Assurance and conditions as herein provided; THE FEDERAL AVIATION ADMINISTRATION, FOR AND ON BEHALF OF THE UNITED STATES, HEREBY OFFERS AND AGREES to pay (90) % of the allowable costs incurred accomplishing the Project as the United States share of the Project. Assistance Listings Number (Formerly CFDA Number): 20.106 This Offer is made on and SUBJECT TO THE FOLLOWING TERMS AND CONDITIONS: CONDITIONS 1. Maximum Obligation. The maximum obligation of the United States payable under this Offer is $82,581. The following amounts represent a breakdown of the maximum obligation for the purpose of establishing allowable amounts for any future grant amendment, which may increase the foregoing maximum obligation of the United States under the provisions of 49 U.S.C. § 47108(b): $0 for planning $82,581 for airport development or noise program implementation; and, $ for land acquisition. 2. Grant Performance. This Grant Agreement is subject to the following Federal award requirements: a. Period of Performance: 1. Shall start on the date the Sponsor formally accepts this Agreement and is the date signed by the last Sponsor signatory to the Agreement. The end date of the Period of Performance is 4 years (1,460 calendar days) from the date of acceptance. The Period of Performance end date shall not affect, relieve, or reduce Sponsor obligations and assurances that extend beyond the closeout of this Grant Agreement. 2. Means the total estimated time interval between the start of an initial Federal award and the planned end date, which may include one or more funded portions or budget periods (2 Code of Federal Regulations (CFR) § 200.1). b. Budget Period: 1. For this Grant is 4 years (1,460 calendar days) and follows the same start and end date as the Period of Performance provided in paragraph 2(a)(1). Pursuant to 2 CFR § 200.403(h), the Sponsor may charge to the Grant only allowable costs incurred during the Budget Period. Eligible project-related costs incurred on or after November 15, 2021 that comply with all Federal funding procurement requirements and FAA standards are allowable costs. 2. Means the time interval from the start date of a funded portion of an award to the end date of that funded portion during which the Sponsor is authorized to expend the funds awarded, including any funds carried forward or other revisions pursuant to 2 CFR § 200.308. c. Close Out and Termination 1. Unless the FAA authorizes a written extension, the Sponsor must submit all Grant closeout documentation and liquidate (pay-off) all obligations incurred under this award no later than 120 calendar days after the end date of the Period of Performance. If the Sponsor does Page 175 of 368 3-01-0029-031-2024 5 not submit all required closeout documentation within this time period, the FAA will proceed to close out the grant within one year of the Period of Performance end date with the information available at the end of 120 days (2 CFR § 200.344). 2. The FAA may terminate this Grant, in whole or in part, in accordance with the conditions set forth in 2 CFR § 200.340, or other Federal regulatory or statutory authorities as applicable. 3. Ineligible or Unallowable Costs. The Sponsor must not include any costs in the project that the FAA has determined to be ineligible or unallowable. 4. Indirect Costs - Sponsor. The Sponsor may charge indirect costs under this award by applying the indirect cost rate identified in the project application as accepted by the FAA, to allowable costs for Sponsor direct salaries and wages. 5. Determining the Final Federal Share of Costs. The United States’ share of allowable project costs will be made in accordance with 49 U.S.C. § 47109, the regulations, policies, and procedures of the Secretary of Transportation (“Secretary”), and any superseding legislation. Final determination of the United States’ share will be based upon the final audit of the total amount of allowable project costs and settlement will be made for any upward or downward adjustments to the Federal share of costs. 6. Completing the Project Without Delay and in Conformance with Requirements. The Sponsor must carry out and complete the project without undue delays and in accordance with this Agreement, BIL (Public Law 117-58), the regulations, policies, and procedures of the Secretary. Per 2 CFR § 200.308, the Sponsor agrees to report and request prior FAA approval for any disengagement from performing the project that exceeds three months or a 25 percent reduction in time devoted to the project. The report must include a reason for the project stoppage. The Sponsor also agrees to comply with the grant assurances, which are part of this Agreement. 7. Amendments or Withdrawals before Grant Acceptance. The FAA reserves the right to amend or withdraw this offer at any time prior to its acceptance by the Sponsor. 8. Offer Expiration Date. This offer will expire and the United States will not be obligated to pay any part of the costs of the project unless this offer has been accepted by the Sponsor on or before June 14, 2024, or such subsequent date as may be prescribed in writing by the FAA. 9. Improper Use of Federal Funds. The Sponsor must take all steps, including litigation if necessary, to recover Federal funds spent fraudulently, wastefully, or in violation of Federal antitrust statutes, or misused in any other manner for any project upon which Federal funds have been expended. For the purposes of this Grant Agreement, the term “Federal funds” means funds however used or dispersed by the Sponsor, that were originally paid pursuant to this or any other Federal grant agreement. The Sponsor must obtain the approval of the Secretary as to any determination of the amount of the Federal share of such funds. The Sponsor must return the recovered Federal share, including funds recovered by settlement, order, or judgment, to the Secretary. The Sponsor must furnish to the Secretary, upon request, all documents and records pertaining to the determination of the amount of the Federal share or to any settlement, litigation, negotiation, or other efforts taken to recover such funds. All settlements or other final positions of the Sponsor, in court or otherwise, involving the recovery of such Federal share require advance approval by the Secretary. 10. United States Not Liable for Damage or Injury. The United States is not responsible or liable for damage to property or injury to persons which may arise from, or be incident to, compliance with this Grant Agreement. Page 176 of 368 3-01-0029-031-2024 6 11. System for Award Management (SAM) Registration and Unique Entity Identifier (UEI). a. Requirement for System for Award Management (SAM): Unless the Sponsor is exempted from this requirement under 2 CFR § 25.110, the Sponsor must maintain the currency of its information in the SAM until the Sponsor submits the final financial report required under this Grant, or receives the final payment, whichever is later. This requires that the Sponsor review and update the information at least annually after the initial registration and more frequently if required by changes in information or another award term. Additional information about registration procedures may be found at the SAM website (currently at http://www.sam.gov). b. Unique entity identifier (UEI) means a 12-character alpha-numeric value used to identify a specific commercial, nonprofit or governmental entity. A UEI may be obtained from SAM.gov at https://sam.gov/content/entity-registration. 12. Electronic Grant Payment(s). Unless otherwise directed by the FAA, the Sponsor must make each payment request under this Agreement electronically via the Delphi eInvoicing System for Department of Transportation (DOT) Financial Assistance Awardees. 13. Informal Letter Amendment of BIL Projects. If, during the life of the project, the FAA determines that the maximum grant obligation of the United States exceeds the expected needs of the Sponsor by $25,000 or five percent (5%), whichever is greater, the FAA can issue a letter amendment to the Sponsor unilaterally reducing the maximum obligation. The FAA can, subject to the availability of Federal funds, also issue a letter to the Sponsor increasing the maximum obligation if there is an overrun in the total actual eligible and allowable project costs to cover the amount of the overrun provided it will not exceed the statutory limitations for grant amendments. The FAA’s authority to increase the maximum obligation does not apply to the “planning” component of Condition No. 1, Maximum Obligation. The FAA can also issue an informal letter amendment that modifies the grant description to correct administrative errors or to delete work items if the FAA finds it advantageous and in the best interests of the United States. An informal letter amendment has the same force and effect as a formal grant amendment. 14. Air and Water Quality. The Sponsor is required to comply with all applicable environmental standards, as further defined in the Grant Assurances, for all projects in this grant. If the Sponsor fails to comply with this requirement, the FAA may suspend, cancel, or terminate this Grant Agreement. 15. Financial Reporting and Payment Requirements. The Sponsor will comply with all Federal financial reporting requirements and payment requirements, including submittal of timely and accurate reports. 16. Buy American. Unless otherwise approved in advance by the FAA, in accordance with 49 U.S.C. § 50101, the Sponsor will not acquire or permit any contractor or subcontractor to acquire any steel or manufactured goods produced outside the United States to be used for any project for which funds are provided under this Grant. The Sponsor will include a provision implementing Buy American in every contract and subcontract awarded under this Grant. 17. Build America, Buy American. The Sponsor must comply with the requirements under the Build America, Buy America Act (Public Law 117-58). Page 177 of 368 3-01-0029-031-2024 7 18. Maximum Obligation Increase. In accordance with 49 U.S.C. § 47108(b)(3), as amended, the maximum obligation of the United States, as stated in Condition No. 1, Maximum Obligation, of this Grant: a. May not be increased for a planning project; b. May be increased by not more than 15 percent for development projects, if funds are available; c. May be increased by not more than the greater of the following for a land project, if funds are available: 1. 15 percent; or 2. 25 percent of the total increase in allowable project costs attributable to acquiring an interest in the land. If the Sponsor requests an increase, any eligible increase in funding will be subject to the United States Government share as provided in BIL (Public Law 117-58), or other superseding legislation if applicable, for the fiscal year appropriation with which the increase is funded. The FAA is not responsible for the same Federal share provided herein for any amount increased over the initial grant amount. The FAA may adjust the Federal share as applicable through an informal letter of amendment. 19. Audits for Sponsors. PUBLIC SPONSORS. The Sponsor must provide for a Single Audit or program-specific audit in accordance with 2 CFR Part 200. The Sponsor must submit the audit reporting package to the Federal Audit Clearinghouse on the Federal Audit Clearinghouse’s Internet Data Entry System at http://harvester.census.gov/facweb/. Upon request of the FAA, the Sponsor shall provide one copy of the completed audit to the FAA. Sponsors that expend less than $750,000 in Federal awards and are exempt from Federal audit requirements must make records available for review or audit by the appropriate Federal agency officials, State, and Government Accountability Office. The FAA and other appropriate Federal agencies may request additional information to meet all Federal audit requirements. 20. Suspension or Debarment. When entering into a “covered transaction” as defined by 2 CFR § 180.200, the Sponsor must: a. Verify the non-Federal entity is eligible to participate in this Federal program by: 1. Checking the Responsibility/Qualification records in the Federal Awardee Performance and Integrity Information System (FAPIIS) as maintained within the System for Award Management (SAM) to determine if the non-Federal entity is excluded or disqualified; or 2. Collecting a certification statement from the non-Federal entity attesting they are not excluded or disqualified from participating; or 3. Adding a clause or condition to covered transactions attesting the individual or firm are not excluded or disqualified from participating. b. Require prime contractors to comply with 2 CFR § 180.330 when entering into lower-tier transactions with their contractors and sub-contractors. c. Immediately disclose in writing to the FAA whenever (1) the Sponsor learns they have entered into a covered transaction with an ineligible entity or (2) the Public Sponsor suspends or debars a contractor, person, or entity. Page 178 of 368 3-01-0029-031-2024 8 21. Ban on Texting While Driving. a. In accordance with Executive Order 13513, Federal Leadership on Reducing Text Messaging While Driving, October 1, 2009, and DOT Order 3902.10, Text Messaging While Driving, December 30, 2009, the Sponsor is encouraged to: 1. Adopt and enforce workplace safety policies to decrease crashes caused by distracted drivers including policies to ban text messaging while driving when performing any work for, or on behalf of, the Federal government, including work relating to a grant or subgrant. 2. Conduct workplace safety initiatives in a manner commensurate with the size of the business, such as: i. Establishment of new rules and programs or re-evaluation of existing programs to prohibit text messaging while driving; and ii. Education, awareness, and other outreach to employees about the safety risks associated with texting while driving. b. The Sponsor must insert the substance of this clause on banning texting while driving in all subgrants, contracts, and subcontracts funded with this Grant. 22. Trafficking in Persons. a. Posting of contact information. 1. The Sponsor must post the contact information of the national human trafficking hotline (including options to reach out to the hotline such as through phone, text, or TTY) in all public airport restrooms. b. Provisions applicable to a recipient that is a private entity. 1. You as the recipient, your employees, subrecipients under this Grant, and subrecipients’ employees may not: i. Engage in severe forms of trafficking in persons during the period of time that the Grant and applicable conditions are in effect; ii. Procure a commercial sex act during the period of time that the Grant and applicable conditions are in effect; or iii. Use forced labor in the performance of the Grant or any subgrants under this Grant. 2. We as the Federal awarding agency, may unilaterally terminate this Grant, without penalty, if you or a subrecipient that is a private entity – i. Is determined to have violated a prohibition in paragraph (b) of this Grant Condition; or ii. Has an employee who is determined by the agency official authorized to terminate the Grant to have violated a prohibition in paragraph (b) of this Grant Condition through conduct that is either – a) Associated with performance under this Grant; or b) Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR Part 180, “OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR Part 1200. Page 179 of 368 3-01-0029-031-2024 9 c. Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may unilaterally terminate this Grant, without penalty, if a subrecipient that is a private entity – 1. Is determined to have violated an applicable prohibition in paragraph (a) of this Grant Condition; or 2. Has an employee who is determined by the agency official authorized to terminate the Grant to have violated an applicable prohibition in paragraph (a) of this Grant Condition through conduct that is either – i. Associated with performance under this Grant; or ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR Part 180, “OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR Part 1200. d. Provisions applicable to any recipient. 1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph (a) of this Grant Condition. 2. Our right to terminate unilaterally that is described in paragraph (a) or (b) of this Grant Condition: i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended [22 U.S.C. § 7104(g)], and ii. Is in addition to all other remedies for noncompliance that are available to us under this Grant. 3. You must include the requirements of paragraph (a) of this Grant Condition in any subgrant you make to a private entity. e. Definitions. For purposes of this Grant Condition: 1. “Employee” means either: i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this Grant; or ii. Another person engaged in the performance of the project or program under this Grant and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements. 2. “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. 3. “Private entity”: i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR § 175.25. ii. Includes: Page 180 of 368 3-01-0029-031-2024 10 a) A nonprofit organization, including any nonprofit institute of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR § 175.25(b). b) A for-profit organization. 4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. § 7102). 23. BIL Funded Work Included in a PFC Application. Within 120 days of acceptance of this Grant Agreement, the Sponsor must submit to the FAA an amendment to any approved Passenger Facility Charge (PFC) application that contains an approved PFC project also covered under this Grant Agreement as described in the project application. The airport sponsor may not make any expenditure under this Grant Agreement until project work addressed under this Grant Agreement is removed from an approved PFC application by amendment. 24. Exhibit “A” Property Map. The Exhibit “A” Property Map dated October 22, 2020, is incorporated herein by reference or is submitted with the project application and made part of this Grant Agreement. 25. Employee Protection from Reprisal. a. Prohibition of Reprisals. 1. In accordance with 41 U.S.C. § 4712, an employee of a Sponsor, grantee, subgrantee, contractor, or subcontractor may not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing to a person or body described in sub-paragraph (a)(2) below, information that the employee reasonably believes is evidence of: i. Gross mismanagement of a Federal grant; ii. Gross waste of Federal funds; iii. An abuse of authority relating to implementation or use of Federal funds; iv. A substantial and specific danger to public health or safety; or v. A violation of law, rule, or regulation related to a Federal grant. 2. Persons and bodies covered. The persons and bodies to which a disclosure by an employee is covered are as follows: i. A member of Congress or a representative of a committee of Congress; ii. An Inspector General; iii. The Government Accountability Office; iv. A Federal employee responsible for contract or grant oversight or management at the relevant agency; v. A court or grand jury; vi. A management official or other employee of the Sponsor, contractor, or subcontractor who has the responsibility to investigate, discover, or address misconduct; or vii. An authorized official of the Department of Justice or other law enforcement agency. b. Investigation of Complaints. Page 181 of 368 3-01-0029-031-2024 11 1. Submission of Complaint. A person who believes that they have been subjected to a reprisal prohibited by paragraph (a) of this Condition may submit a complaint regarding the reprisal to the Office of Inspector General (OIG) for the U.S. Department of Transportation. 2. Time Limitation for Submittal of a Complaint. A complaint may not be brought under this subsection more than three years after the date on which the alleged reprisal took place. 3. Required Actions of the Inspector General. Actions, limitations, and exceptions of the OIG’s office are established under 41 U.S.C. § 4712(b). c. Remedy and Enforcement Authority. 1. Assumption of Rights to Civil Remedy. Upon receipt of an explanation of a decision not to conduct or continue an investigation by the OIG, the person submitting a complaint assumes the right to a civil remedy under 41 U.S.C. § 4712(c)(2). 26. Prohibited Telecommunications and Video Surveillance Services and Equipment. The Sponsor agrees to comply with mandatory standards and policies relating to use and procurement of certain telecommunications and video surveillance services or equipment in compliance with the National Defense Authorization Act [Public Law 115-232 § 889(f)(1)] and 2 CFR § 200.216. 27. Title VI of the Civil Rights Act. As a condition of a grant award, the Sponsor shall demonstrate that it complies with the provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq) and implementing regulations (49 CFR part 21), the Airport and Airway Improvement Act of 1982 (49 U.S.C. § 47123), the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794 et seq.), the Americans with Disabilities Act of 1990 (42 U.S.C. § 12101, et seq.), U.S. Department of Transportation and Federal Aviation Administration (FAA) Assurances, and other relevant civil rights statutes, regulations, or authorities. This may include, as applicable, providing a current Title VI Program Plan and a Community Participation Plan (alternatively may be called a Public Participation Plan) to the FAA for approval, in the format and according to the timeline required by the FAA, and other information about the communities that will be benefited and impacted by the project. A completed FAA Title VI Pre-Grant Award Checklist is also required for every grant application, unless excused by the FAA. The Sponsor shall affirmatively ensure that when carrying out any project supported by this grant that it complies with all federal nondiscrimination and civil rights laws based on race, color, national origin (including limited English proficiency), sex (including sexual orientation and gender identity), creed, age, disability, genetic information, or environmental justice in consideration for federal financial assistance. The Sponsor, who have not sufficiently demonstrated the conditions of compliance with civil rights requirements will be required to do so before receiving funds. The Department’s and FAA’s Office of Civil Rights may provide resources and technical assistance to recipients to ensure full and sustainable compliance with Federal civil rights requirements. Failure to comply with civil rights requirements will be considered a violation of the agreement or contract and be subject to any enforcement action as authorized by law. Page 182 of 368 3-01-0029-031-2024 12 SPECIAL CONDITIONS 28. Plans and Specifications Prior to Bidding. The Sponsor agrees that it will submit plans and specifications for FAA review prior to advertising for bids. 29. Buy American Executive Orders. The Sponsor agrees to abide by applicable Executive Orders in effect at the time this Grant Agreement is executed, including Executive Order 14005, Ensuring the Future Is Made in All of America by All of America’s Workers. Page 183 of 368 3-01-0029-031-2024 13 The Sponsor’s acceptance of this Offer and ratification and adoption of the Project Application incorporated herein shall be evidenced by execution of this instrument by the Sponsor, as hereinafter provided, and this Offer and Acceptance shall comprise a Grant Agreement, constituting the contractual obligations and rights of the United States and the Sponsor with respect to the accomplishment of the Project and compliance with the Grant Assurances, terms, and conditions as provided herein. Such Grant Agreement shall become effective upon the Sponsor’s acceptance of this Offer. Please read the following information: By signing this document, you are agreeing that you have reviewed the following consumer disclosure information and consent to transact business using electronic communications, to receive notices and disclosures electronically, and to utilize electronic signatures in lieu of using paper documents. You are not required to receive notices and disclosures or sign documents electronically. If you prefer not to do so, you may request to receive paper copies and withdraw your consent at any time. I declare under penalty of perjury that the foregoing is true and correct.1 UNITED STATES OF AMERICA FEDERAL AVIATION ADMINISTRATION {{Sig_es_:signer1:signature:dimension(height=12mm, width=70mm}} (Signature) {{N_es_:signer1:fullname }} (Typed Name) {{N_es_:signer1:title }} (Title of FAA Official) 1 Knowingly and willfully providing false information to the Federal government is a violation of 18 U.S.C. § 1001 (False Statements) and could subject you to fines, imprisonment, or both. Rans D. Black Manager, Jackson ADO Page 184 of 368 3-01-0029-031-2024 14 Part II - Acceptance The Sponsor does hereby ratify and adopt all assurances, statements, representations, warranties, covenants, and agreements contained in the Project Application and incorporated materials referred to in the foregoing Offer, and does hereby accept this Offer and by such acceptance agrees to comply with all of the Grant Assurances, terms, and conditions in this Offer and in the Project Application. Please read the following information: By signing this document, you are agreeing that you have reviewed the following consumer disclosure information and consent to transact business using electronic communications, to receive notices and disclosures electronically, and to utilize electronic signatures in lieu of using paper documents. You are not required to receive notices and disclosures or sign documents electronically. If you prefer not to do so, you may request to receive paper copies and withdraw your consent at any time. I declare under penalty of perjury that the foregoing is true and correct.2 Dated {{DateTime_es_:signer2:calc(now()):format(date," mmmm d, yyyy")}} City of Fairhope, Alabama (Name of Sponsor) {{Sig_es_:signer2:signature:dimension(height=12mm, width=70mm}} (Signature of Sponsor’s Authorized Official) By: {{N_es_:signer2:fullname }} (Typed Name of Sponsor’s Authorized Official) Title: {{*Ttl_es_:signer2:title }} (Title of Sponsor’s Authorized Official) 2 Knowingly and willfully providing false information to the Federal government is a violation of 18 U.S.C. § 1001 (False Statements) and could subject you to fines, imprisonment, or both. May 14, 2024 Sherry Sullivan Mayor Page 185 of 368 3-01-0029-031-2024 15 CERTIFICATE OF SPONSOR’S ATTORNEY I, {{N_es_:signer3: fullname}}, acting as Attorney for the Sponsor do hereby certify: That in my opinion the Sponsor is empowered to enter into the foregoing Grant Agreement under the laws of the State of __Alabama__. Further, I have examined the foregoing Grant Agreement and the actions taken by said Sponsor and Sponsor’s official representative, who has been duly authorized to execute this Grant Agreement, which is in all respects due and proper and in accordance with the laws of the said State; the Infrastructure Investment and Jobs Act (Public Law 117-58) of 2021 referred to as the Bipartisan Infrastructure Law (BIL), Division J, Title VIII; and the representations contained in the Project Application. In addition, for grants involving projects to be carried out on property not owned by the Sponsor, there are no legal impediments that will prevent full performance by the Sponsor. Further, it is my opinion that the said Grant Agreement constitutes a legal and binding o bligation of the Sponsor in accordance with the terms thereof. Please read the following information: By signing this document, you are agreeing that you have reviewed the following consumer disclosure information and consent to transact business using electronic communications, to receive notices and disclosures electronically, and to utilize electronic signatures in lieu of using paper documents. You are not required to receive notices and disclosures or sign documents electronically. If you prefer not to do so, you may request to receive paper copies and withdraw your consent at any time. I declare under penalty of perjury that the foregoing is true and correct.3 Dated at {{DateTime_es_:signer3:calc(now()):format(date," mmmm d, yyyy")}} By: {{Sig_es_:signer3:signature:dimension(height=12mm, width=70mm}} (Signature of Sponsor’s Attorney) 3 Knowingly and willfully providing false information to the Federal government is a violation of 18 U.S.C. § 1001 (False Statements) and could subject you to fines, imprisonment, or both. Marcus McDowell (May 20, 2024 07:49 CDT) Marcus McDowell Marcus McDowell May 20, 2024 Page 186 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 1 of 18 ASSURANCES AIRPORT SPONSORS A. General. 1. These assurances shall be complied with in the performance of grant agreements for airport development, airport planning, and noise compatibility program grants for airport sponsors. 2. These assurances are required to be submitted as part of the project application by sponsors requesting funds under the provisions of Public Law 117-58, Division J, Title VIII, as amended. As used herein, the term "public agency sponsor" means a public agency with control of a public-use airport; the term "private sponsor" means a private owner of a public-use airport; and the term "sponsor" includes both public agency sponsors and private sponsors. 3. Upon acceptance of this grant offer by the sponsor, these assurances are incorporated in and become part of this Grant Agreement. B. Duration and Applicability. 1. Airport development or Noise Compatibility Program Projects Undertaken by a Public Agency Sponsor. The terms, conditions and assurances of this Grant Agreement shall remain in full force and effect throughout the useful life of the facilities developed or equipment acquired for an airport development or noise compatibility program project, or throughout the useful life of the project items installed within a facility under a noise compatibility program project, but in any event not to exceed twenty (20) years from the date of acceptance of a grant offer of Federal funds for the project. However, there shall be no limit on the duration of the assurances regarding Exclusive Rights and Airport Revenue so long as the airport is used as an airport. There shall be no limit on the duration of the terms, conditions, and assurances with respect to real property acquired with federal funds. Furthermore, the duration of the Civil Rights assurance shall be specified in the assurances. 2. Airport Development or Noise Compatibility Projects Undertaken by a Private Sponsor. The preceding paragraph (1) also applies to a private sponsor except that the useful life of project items installed within a facility or the useful life of the facilities developed or equipment acquired under an airport development or noise compatibility program project shall be no less than ten (10) years from the date of acceptance of Federal aid for the project. 3. Airport Planning Undertaken by a Sponsor. Unless otherwise specified in this Grant Agreement, only Assurances 1, 2, 3, 5, 6, 13, 18, 23, 25, 30, 32, 33, 34, and 37 in Section C apply to planning projects. The terms, conditions, and assurances of this Grant Agreement shall remain in full force and effect during the life of the project; there shall be no limit on the duration of the assurances regarding Exclusive Rights and Airport Revenue so long as the airport is used as an airport. Page 187 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 2 of 18 C. Sponsor Certification. The sponsor hereby assures and certifies, with respect to this grant that: 1. General Federal Requirements It will comply with all applicable Federal laws, regulations, executive orders, policies, guidelines, and requirements as they relate to the application, acceptance, and use of Federal funds for this Grant including but not limited to the following: FEDERAL LEGISLATION a. 49 U.S.C. subtitle VII, as amended. b. Davis-Bacon Act, as amended — 40 U.S.C. §§ 3141-3144, 3146, and 3147, et seq.1 c. Federal Fair Labor Standards Act – 29 U.S.C. § 201, et seq. d. Hatch Act – 5 U.S.C. § 1501, et seq.2 e. Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. § 4601, et seq.1, 2 f. National Historic Preservation Act of 1966 – Section 106 – 54 U.S.C. § 306108.1 g. Archeological and Historic Preservation Act of 1974 – 54 U.S.C. § 312501, et seq.1 h. Native Americans Grave Repatriation Act – 25 U.S.C. § 3001, et seq. i. Clean Air Act, P.L. 90-148, as amended – 42 U.S.C. § 7401, et seq. j. Coastal Zone Management Act, P.L. 92-583, as amended – 16 U.S.C. § 1451, et seq. k. Flood Disaster Protection Act of 1973 – Section 102(a) - 42 U.S.C. § 4012a.1 l. 49 U.S.C. § 303, (formerly known as Section 4(f)) m. Rehabilitation Act of 1973 – 29 U.S.C. § 794. n. Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252) (prohibits discrimination on the basis of race, color, national origin); o. Americans with Disabilities Act of 1990, as amended, (42 U.S.C. § 12101 et seq.) (prohibits discrimination on the basis of disability). p. Age Discrimination Act of 1975 – 42 U.S.C. § 6101, et seq. q. American Indian Religious Freedom Act, P.L. 95-341, as amended. r. Architectural Barriers Act of 1968, as amended – 42 U.S.C. § 4151, et seq.1 s. Powerplant and Industrial Fuel Use Act of 1978 – Section 403 – 42 U.S.C. § 8373.1 t. Contract Work Hours and Safety Standards Act – 40 U.S.C. § 3701, et seq.1 u. Copeland Anti-kickback Act – 18 U.S.C. § 874.1 v. National Environmental Policy Act of 1969 – 42 U.S.C. § 4321, et seq.1 w. Wild and Scenic Rivers Act, P.L. 90-542, as amended – 16 U.S.C. § 1271, et seq. x. Single Audit Act of 1984 – 31 U.S.C. § 7501, et seq.2 Page 188 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 3 of 18 y. Drug-Free Workplace Act of 1988 – 41 U.S.C. §§ 8101 through 8105. z. The Federal Funding Accountability and Transparency Act of 2006, as amended (Pub. L. 109-282, as amended by section 6202 of Pub. L. 110-252). aa. Civil Rights Restoration Act of 1987, P.L. 100-259. bb. Build America, Buy America Act, P.L. 117-58, Title IX. EXECUTIVE ORDERS a. Executive Order 11246 – Equal Employment Opportunity1 b. Executive Order 11990 – Protection of Wetlands c. Executive Order 11998 – Flood Plain Management d. Executive Order 12372 – Intergovernmental Review of Federal Programs e. Executive Order 12699 – Seismic Safety of Federal and Federally Assisted New Building Construction1 f. Executive Order 12898 – Environmental Justice g. Executive Order 13166 – Improving Access to Services for Persons with Limited English Proficiency h. Executive Order 13985 – Executive Order on Advancing Racial Equity and Support for Underserved Communities Through the Federal Government i. Executive Order 13988 - Preventing and Combating Discrimination on the Basis of Gender Identity or Sexual Orientation j. Executive Order 14005 – Ensuring the Future is Made in all of America by All of America’s Workers k. Executive Order 14008 – Tackling the Climate Crisis at Home and Abroad FEDERAL REGULATIONS a. 2 CFR Part 180 – OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement). b. 2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. 4, 5 c. 2 CFR Part 1200 – Nonprocurement Suspension and Debarment. d. 14 CFR Part 13 – Investigative and Enforcement Procedures. e. 14 CFR Part 16 – Rules of Practice for Federally-Assisted Airport Enforcement Proceedings. f. 14 CFR Part 150 – Airport Noise Compatibility Planning. g. 28 CFR Part 35 – Nondiscrimination on the Basis of Disability in State and Local Government Services. h. 28 CFR § 50.3 – U.S. Department of Justice Guidelines for the Enforcement of Title VI of the Civil Rights Act of 1964. i. 29 CFR Part 1 – Procedures for Predetermination of Wage Rates.1 Page 189 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 4 of 18 j. 29 CFR Part 3 – Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States.1 k. 29 CFR Part 5 – Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction (Also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act).1 l. 41 CFR Part 60 – Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor (Federal and Federally-assisted contracting requirements).1 m. 49 CFR Part 20 – New Restrictions on Lobbying. n. 49 CFR Part 21 – Nondiscrimination in Federally-Assisted Programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964. o. 49 CFR Part 23 – Participation by Disadvantage Business Enterprise in Airport Concessions. p. 49 CFR Part 24 – Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-Assisted Programs.1, 2 q. 49 CFR Part 26 – Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs. r. 49 CFR Part 27 – Nondiscrimination on the Basis of Disability in Programs or Activities Receiving Federal Financial Assistance.1 s. 49 CFR Part 28 – Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Department of Transportation. t. 49 CFR Part 30 – Denial of Public Works Contracts to Suppliers of Goods and Services of Countries That Deny Procurement Market Access to U.S. Contractors. u. 49 CFR Part 32 – Governmentwide Requirements for Drug-Free Workplace (Financial Assistance). v. 49 CFR Part 37 – Transportation Services for Individuals with Disabilities (ADA). w. 49 CFR Part 38 – Americans with Disabilities Act (ADA) Accessibility Specifications for Transportation Vehicles. x. 49 CFR Part 41 – Seismic Safety. FOOTNOTES TO ASSURANCE (C)(1) 1 These laws do not apply to airport planning sponsors. 2 These laws do not apply to private sponsors. 3 2 CFR Part 200 contains requirements for State and Local Governments receiving Federal assistance. Any requirement levied upon State and Local Governments by this regulation shall apply where applicable to private sponsors receiving Federal assistance under Title 49, United States Code. 4 Cost principles established in 2 CFR part 200 subpart E must be used as guidelines for determining the eligibility of specific types of expenses. 5 Audit requirements established in 2 CFR part 200 subpart F are the guidelines for audits. Page 190 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 5 of 18 SPECIFIC ASSURANCES Specific assurances required to be included in grant agreements by any of the above laws, regulations or circulars are incorporated by reference in this Grant Agreement. 2. Responsibility and Authority of the Sponsor. a. Public Agency Sponsor: It has legal authority to apply for this Grant, and to finance and carry out the proposed project; that a resolution, motion or similar action has been duly adopted or passed as an official act of the applicant's governing body authorizing the filing of the application, including all understandings and assurances contained therein, and directing and authorizing the person identified as the official representative of the applicant to act in connection with the application and to provide such additional information as may be required. b. Private Sponsor: It has legal authority to apply for this Grant and to finance and carry out the proposed project and comply with all terms, conditions, and assurances of this Grant Agreement. It shall designate an official representative and shall in writing direct and authorize that person to file this application, including all understandings and assurances contained therein; to act in connection with this application; and to provide such additional information as may be required. 3. Sponsor Fund Availability. It has sufficient funds available for that portion of the project costs which are not to be paid by the United States. It has sufficient funds available to assure operation and maintenance of items funded under this Grant Agreement which it will own or control. 4. Good Title. a. It, a public agency or the Federal government, holds good title, satisfactory to the Secretary, to the landing area of the airport or site thereof, or will give assurance satisfactory to the Secretary that good title will be acquired. b. For noise compatibility program projects to be carried out on the property of the sponsor, it holds good title satisfactory to the Secretary to that portion of the property upon which Federal funds will be expended or will give assurance to the Secretary that good title will be obtained. 5. Preserving Rights and Powers. a. It will not take or permit any action which would operate to deprive it of any of the rights and powers necessary to perform any or all of the terms, conditions, and assurances in this Grant Agreement without the written approval of the Secretary, and will act promptly to acquire, extinguish or modify any outstanding rights or claims of right of others which would interfere with such performance by the sponsor. This shall be done in a manner acceptable to the Secretary. b. Subject to the FAA Act of 2018, Public Law 115-254, Section 163, it will not sell, lease, encumber, or otherwise transfer or dispose of any part of its title or other interests in the property shown on Exhibit A to this application or, for a noise compatibility program project, that portion of the property upon which Federal funds have been expended, for the duration of the terms, conditions, and assurances in this Grant Agreement without approval by the Page 191 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 6 of 18 Secretary. If the transferee is found by the Secretary to be eligible under Title 49, United States Code, to assume the obligations of this Grant Agreement and to have the power, authority, and financial resources to carry out all such obligations, the sponsor shall insert in the contract or document transferring or disposing of the sponsor's interest, and make binding upon the transferee all of the terms, conditions, and assurances contained in this Grant Agreement. c. For all noise compatibility program projects which are to be carried out by another unit of local government or are on property owned by a unit of local government other than the sponsor, it will enter into an agreement with that government. Except as otherwise specified by the Secretary, that agreement shall obligate that government to the same terms, conditions, and assurances that would be applicable to it if it applied directly to the FAA for a grant to undertake the noise compatibility program project. That agreement and changes thereto must be satisfactory to the Secretary. It will take steps to enforce this agreement against the local government if there is substantial non-compliance with the terms of the agreement. d. For noise compatibility program projects to be carried out on privately owned property, it will enter into an agreement with the owner of that property which includes provisions specified by the Secretary. It will take steps to enforce this agreement against the property owner whenever there is substantial non-compliance with the terms of the agreement. e. If the sponsor is a private sponsor, it will take steps satisfactory to the Secretary to ensure that the airport will continue to function as a public-use airport in accordance with these assurances for the duration of these assurances. f. If an arrangement is made for management and operation of the airport by any agency or person other than the sponsor or an employee of the sponsor, the sponsor will reserve sufficient rights and authority to ensure that the airport will be operated and maintained in accordance with Title 49, United States Code, the regulations and the terms, conditions and assurances in this Grant Agreement and shall ensure that such arrangement also requires compliance therewith. g. Sponsors of commercial service airports will not permit or enter into any arrangement that results in permission for the owner or tenant of a property used as a residence, or zoned for residential use, to taxi an aircraft between that property and any location on airport. Sponsors of general aviation airports entering into any arrangement that results in permission for the owner of residential real property adjacent to or near the airport must comply with the requirements of 49 U.S.C. § 47107(s) and the sponsor assurances. 6. Consistency with Local Plans. The project is reasonably consistent with plans (existing at the time of submission of this application) of public agencies that are authorized by the State in which the project is located to plan for the development of the area surrounding the airport. 7. Consideration of Local Interest. It has given fair consideration to the interest of communities in or near where the project may be located. 8. Consultation with Users. In making a decision to undertake any airport development project under Title 49, United States Code, it has undertaken reasonable consultations with affected parties using the airport at which project is proposed. Page 192 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 7 of 18 9. Public Hearings. In projects involving the location of an airport, an airport runway, or a major runway extension, it has afforded the opportunity for public hearings for the purpose of considering the economic, social, and environmental effects of the airport or runway location and its consistency with goals and objectives of such planning as has been carried out by the community and it shall, when requested by the Secretary, submit a copy of the transcript of such hearings to the Secretary. Further, for such projects, it has on its management board either voting representation from the communities where the project is located or has advised the communities that they have the right to petition the Secretary concerning a proposed project. 10. Metropolitan Planning Organization. In projects involving the location of an airport, an airport runway, or a major runway extension at a medium or large hub airport, the sponsor has made available to and has provided upon request to the metropolitan planning organization in the area in which the airport is located, if any, a copy of the proposed amendment to the airport layout plan to depict the project and a copy of any airport master plan in which the project is described or depicted. 11. Pavement Preventive Maintenance. With respect to a project approved after January 1, 1995, for the replacement or reconstruction of pavement at the airport, it assures or certifies that it has implemented an effective airport pavement maintenance-management program and it assures that it will use such program for the useful life of any pavement constructed, reconstructed or repaired with Federal financial assistance at the airport. It will provide such reports on pavement condition and pavement management programs as the Secretary determines may be useful. 12. Terminal Development Prerequisites. For projects which include terminal development at a public use airport, as defined in Title 49, it has, on the date of submittal of the project grant application, all the safety equipment required for certification of such airport under 49 U.S.C. § 44706, and all the security equipment required by rule or regulation, and has provided for access to the passenger enplaning and deplaning area of such airport to passengers enplaning and deplaning from aircraft other than air carrier aircraft. 13. Accounting System, Audit, and Record Keeping Requirements. a. It shall keep all project accounts and records which fully disclose the amount and disposition by the recipient of the proceeds of this Grant, the total cost of the project in connection with which this Grant is given or used, and the amount or nature of that portion of the cost of the project supplied by other sources, and such other financial records pertinent to the project. The accounts and records shall be kept in accordance with an accounting system that will facilitate an effective audit in accordance with the Single Audit Act of 1984. b. It shall make available to the Secretary and the Comptroller General of the United States, or any of their duly authorized representatives, for the purpose of audit and examination, any books, documents, papers, and records of the recipient that are pertinent to this Grant. The Secretary may require that an appropriate audit be conducted by a recipient. In any case in which an independent audit is made of the accounts of a sponsor relating to the disposition of the proceeds of a grant or relating to the project in connection with which this Grant was given or used, it shall file a certified copy of such audit with the Comptroller General of the United Page 193 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 8 of 18 States not later than six (6) months following the close of the fiscal year for which the audit was made. 14. Minimum Wage Rates. It shall include, in all contracts in excess of $2,000 for work on any projects funded under this Grant Agreement which involve labor, provisions establishing minimum rates of wages, to be predetermined by the Secretary of Labor under 40 U.S.C. §§ 3141-3144, 3146, and 3147, Public Building, Property, and Works), which contractors shall pay to skilled and unskilled labor, and such minimum rates shall be stated in the invitation for bids and shall be included in proposals or bids for the work. 15. Veteran's Preference. It shall include in all contracts for work on any project funded under this Grant Agreement which involve labor, such provisions as are necessary to insure that, in the employment of labor (except in executive, administrative, and supervisory positions), preference shall be given to Vietnam era veterans, Persian Gulf veterans, Afghanistan-Iraq war veterans, disabled veterans, and small business concerns owned and controlled by disabled veterans as defined in 49 U.S.C. § 47112. However, this preference shall apply only where the individuals are available and qualified to perform the work to which the employment relates. 16. Conformity to Plans and Specifications. It will execute the project subject to plans, specifications, and schedules approved by the Secretary. Such plans, specifications, and schedules shall be submitted to the Secretary prior to commencement of site preparation, construction, or other performance under this Grant Agreement, and, upon approval of the Secretary, shall be incorporated into this Grant Agreement. Any modification to the approved plans, specifications, and schedules shall also be subject to approval of the Secretary, and incorporated into this Grant Agreement. 17. Construction Inspection and Approval. It will provide and maintain competent technical supervision at the construction site throughout the project to assure that the work conforms to the plans, specifications, and schedules approved by the Secretary for the project. It shall subject the construction work on any project contained in an approved project application to inspection and approval by the Secretary and such work shall be in accordance with regulations and procedures prescribed by the Secretary. Such regulations and procedures shall require such cost and progress reporting by the sponsor or sponsors of such project as the Secretary shall deem necessary. 18. Planning Projects. In carrying out planning projects: a. It will execute the project in accordance with the approved program narrative contained in the project application or with the modifications similarly approved. b. It will furnish the Secretary with such periodic reports as required pertaining to the planning project and planning work activities. c. It will include in all published material prepared in connection with the planning project a notice that the material was prepared under a grant provided by the United States. Page 194 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 9 of 18 d. It will make such material available for examination by the public, and agrees that no material prepared with funds under this project shall be subject to copyright in the United States or any other country. e. It will give the Secretary unrestricted authority to publish, disclose, distribute, and otherwise use any of the material prepared in connection with this grant. f. It will grant the Secretary the right to disapprove the sponsor's employment of specific consultants and their subcontractors to do all or any part of this project as well as the right to disapprove the proposed scope and cost of professional services. g. It will grant the Secretary the right to disapprove the use of the sponsor's employees to do all or any part of the project. h. It understands and agrees that the Secretary's approval of this project grant or the Secretary's approval of any planning material developed as part of this grant does not constitute or imply any assurance or commitment on the part of the Secretary to approve any pending or future application for a Federal airport grant. 19. Operation and Maintenance. a. The airport and all facilities which are necessary to serve the aeronautical users of the airport, other than facilities owned or controlled by the United States, shall be operated at all times in a safe and serviceable condition and in accordance with the minimum standards as may be required or prescribed by applicable Federal, state, and local agencies for maintenance and operation. It will not cause or permit any activity or action thereon which would interfere with its use for airport purposes. It will suitably operate and maintain the airport and all facilities thereon or connected therewith, with due regard to climatic and flood conditions. Any proposal to temporarily close the airport for non-aeronautical purposes must first be approved by the Secretary. In furtherance of this assurance, the sponsor will have in effect arrangements for: 1. Operating the airport's aeronautical facilities whenever required; 2. Promptly marking and lighting hazards resulting from airport conditions, including temporary conditions; and 3. Promptly notifying aviators of any condition affecting aeronautical use of the airport. Nothing contained herein shall be construed to require that the airport be operated for aeronautical use during temporary periods when snow, flood, or other climatic conditions interfere with such operation and maintenance. Further, nothing herein shall be construed as requiring the maintenance, repair, restoration, or replacement of any structure or facility which is substantially damaged or destroyed due to an act of God or other condition or circumstance beyond the control of the sponsor. b. It will suitably operate and maintain noise compatibility program items that it owns or controls upon which Federal funds have been expended. 20. Hazard Removal and Mitigation. It will take appropriate action to assure that such terminal airspace as is required to protect instrument and visual operations to the airport (including established minimum flight altitudes) will be adequately cleared and protected by removing, lowering, relocating, marking, or lighting or otherwise mitigating existing airport hazards and by preventing the establishment or creation of future airport hazards. Page 195 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 10 of 18 21. Compatible Land Use. It will take appropriate action, to the extent reasonable, including the adoption of zoning laws, to restrict the use of land adjacent to or in the immediate vicinity of the airport to activities and purposes compatible with normal airport operations, including landing and takeoff of aircraft. In addition, if the project is for noise compatibility program implementation, it will not cause or permit any change in land use, within its jurisdiction, that will reduce its compatibility, with respect to the airport, of the noise compatibility program measures upon which Federal funds have been expended. 22. Economic Nondiscrimination. a. It will make the airport available as an airport for public use on reasonable terms and without unjust discrimination to all types, kinds and classes of aeronautical activities, including commercial aeronautical activities offering services to the public at the airport. b. In any agreement, contract, lease, or other arrangement under which a right or privilege at the airport is granted to any person, firm, or corporation to conduct or to engage in any aeronautical activity for furnishing services to the public at the airport, the sponsor will insert and enforce provisions requiring the contractor to: 1. Furnish said services on a reasonable, and not unjustly discriminatory, basis to all users thereof, and 2. Charge reasonable, and not unjustly discriminatory, prices for each unit or service, provided that the contractor may be allowed to make reasonable and nondiscriminatory discounts, rebates, or other similar types of price reductions to volume purchasers. c. Each fixed-based operator at the airport shall be subject to the same rates, fees, rentals, and other charges as are uniformly applicable to all other fixed-based operators making the same or similar uses of such airport and utilizing the same or similar facilities. d. Each air carrier using such airport shall have the right to service itself or to use any fixed-based operator that is authorized or permitted by the airport to serve any air carrier at such airport. e. Each air carrier using such airport (whether as a tenant, non-tenant, or subtenant of another air carrier tenant) shall be subject to such nondiscriminatory and substantially comparable rules, regulations, conditions, rates, fees, rentals, and other charges with respect to facilities directly and substantially related to providing air transportation as are applicable to all such air carriers which make similar use of such airport and utilize similar facilities, subject to reasonable classifications such as tenants or non-tenants and signatory carriers and non-signatory carriers. Classification or status as tenant or signatory shall not be unreasonably withheld by any airport provided an air carrier assumes obligations substantially similar to those already imposed on air carriers in such classification or status. f. It will not exercise or grant any right or privilege which operates to prevent any person, firm, or corporation operating aircraft on the airport from performing any services on its own aircraft with its own employees (including, but not limited to maintenance, repair, and fueling) that it may choose to perform. g. In the event the sponsor itself exercises any of the rights and privileges referred to in this assurance, the services involved will be provided on the same conditions as would apply to the furnishing of such services by commercial aeronautical service providers authorized by the sponsor under these provisions. Page 196 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 11 of 18 h. The sponsor may establish such reasonable, and not unjustly discriminatory, conditions to be met by all users of the airport as may be necessary for the safe and efficient operation of the airport. i. The sponsor may prohibit or limit any given type, kind or class of aeronautical use of the airport if such action is necessary for the safe operation of the airport or necessary to serve the civil aviation needs of the public. 23. Exclusive Rights. It will permit no exclusive right for the use of the airport by any person providing, or intending to provide, aeronautical services to the public. For purposes of this paragraph, the providing of the services at an airport by a single fixed-based operator shall not be construed as an exclusive right if both of the following apply: a. It would be unreasonably costly, burdensome, or impractical for more than one fixed-based operator to provide such services, and b. If allowing more than one fixed-based operator to provide such services would require the reduction of space leased pursuant to an existing agreement between such single fixed-based operator and such airport. It further agrees that it will not, either directly or indirectly, grant or permit any person, firm, or corporation, the exclusive right at the airport to conduct any aeronautical activities, including, but not limited to charter flights, pilot training, aircraft rental and sightseeing, aerial photography, crop dusting, aerial advertising and surveying, air carrier operations, aircraft sales and services, sale of aviation petroleum products whether or not conducted in conjunction with other aeronautical activity, repair and maintenance of aircraft, sale of aircraft parts, and any other activities which because of their direct relationship to the operation of aircraft can be regarded as an aeronautical activity, and that it will terminate any exclusive right to conduct an aeronautical activity now existing at such an airport before the grant of any assistance under Title 49, United States Code. 24. Fee and Rental Structure. It will maintain a fee and rental structure for the facilities and services at the airport which will make the airport as self-sustaining as possible under the circumstances existing at the particular airport, taking into account such factors as the volume of traffic and economy of collection. No part of the Federal share of an airport development, airport planning or noise compatibility project for which a Grant is made under Title 49, United States Code, the Airport and Airway Improvement Act of 1982, the Federal Airport Act or the Airport and Airway Development Act of 1970 shall be included in the rate basis in establishing fees, rates, and charges for users of that airport. 25. Airport Revenues. a. All revenues generated by the airport and any local taxes on aviation fuel established after December 30, 1987, will be expended by it for the capital or operating costs of the airport; the local airport system; or other local facilities which are owned or operated by the owner or operator of the airport and which are directly and substantially related to the actual air transportation of passengers or property; or for noise mitigation purposes on or off the airport. The following exceptions apply to this paragraph: 1. If covenants or assurances in debt obligations issued before September 3, 1982, by the owner or operator of the airport, or provisions enacted before September 3, 1982, in governing statutes controlling the owner or operator's financing, provide for the use of the Page 197 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 12 of 18 revenues from any of the airport owner or operator's facilities, including the airport, to support not only the airport but also the airport owner or operator's general debt obligations or other facilities, then this limitation on the use of all revenues generated by the airport (and, in the case of a public airport, local taxes on aviation fuel) shall not apply. 2. If the Secretary approves the sale of a privately owned airport to a public sponsor and provides funding for any portion of the public sponsor’s acquisition of land, this limitation on the use of all revenues generated by the sale shall not apply to certain proceeds from the sale. This is conditioned on repayment to the Secretary by the private owner of an amount equal to the remaining unamortized portion (amortized over a 20-year period) of any airport improvement grant made to the private owner for any purpose other than land acquisition on or after October 1, 1996, plus an amount equal to the federal share of the current fair market value of any land acquired with an airport improvement grant made to that airport on or after October 1, 1996. 3. Certain revenue derived from or generated by mineral extraction, production, lease, or other means at a general aviation airport (as defined at 49 U.S.C. § 47102), if the FAA determines the airport sponsor meets the requirements set forth in Section 813 of Public Law 112-95. b. As part of the annual audit required under the Single Audit Act of 1984, the sponsor will direct that the audit will review, and the resulting audit report will provide an opinion concerning, the use of airport revenue and taxes in paragraph (a), and indicating whether funds paid or transferred to the owner or operator are paid or transferred in a manner consistent with Title 49, United States Code and any other applicable provision of law, including any regulation promulgated by the Secretary or Administrator. 26. Reports and Inspections. It will: a. submit to the Secretary such annual or special financial and operations reports as the Secretary may reasonably request and make such reports available to the public; make available to the public at reasonable times and places a report of the airport budget in a format prescribed by the Secretary; b. for airport development projects, make the airport and all airport records and documents affecting the airport, including deeds, leases, operation and use agreements, regulations and other instruments, available for inspection by any duly authorized agent of the Secretary upon reasonable request; c. for noise compatibility program projects, make records and documents relating to the project and continued compliance with the terms, conditions, and assurances of this Grant Agreement including deeds, leases, agreements, regulations, and other instruments, available for inspection by any duly authorized agent of the Secretary upon reasonable request; and d. in a format and time prescribed by the Secretary, provide to the Secretary and make available to the public following each of its fiscal years, an annual report listing in detail: 1. all amounts paid by the airport to any other unit of government and the purposes for which each such payment was made; and 2. all services and property provided by the airport to other units of government and the amount of compensation received for provision of each such service and property. Page 198 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 13 of 18 27. Use by Government Aircraft. It will make available all of the facilities of the airport developed with Federal financial assistance and all those usable for landing and takeoff of aircraft to the United States for use by Government aircraft in common with other aircraft at all times without charge, except, if the use by Government aircraft is substantial, charge may be made for a reasonable share, proportional to such use, for the cost of operating and maintaining the facilities used. Unless otherwise determined by the Secretary, or otherwise agreed to by the sponsor and the using agency, substantial use of an airport by Government aircraft will be considered to exist when operations of such aircraft are in excess of those which, in the opinion of the Secretary, would unduly interfere with use of the landing areas by other authorized aircraft, or during any calendar month that: a. Five (5) or more Government aircraft are regularly based at the airport or on land adjacent thereto; or b. The total number of movements (counting each landing as a movement) of Government aircraft is 300 or more, or the gross accumulative weight of Government aircraft using the airport (the total movement of Government aircraft multiplied by gross weights of such aircraft) is in excess of five million pounds. 28. Land for Federal Facilities. It will furnish without cost to the Federal Government for use in connection with any air traffic control or air navigation activities, or weather-reporting and communication activities related to air traffic control, any areas of land or water, or estate therein as the Secretary considers necessary or desirable for construction, operation, and maintenance at Federal expense of space or facilities for such purposes. Such areas or any portion thereof will be made available as provided herein within four months after receipt of a written request from the Secretary. 29. Airport Layout Plan. a. Subject to the FAA Reauthorization Act of 2018, Public Law 115-254, Section 163, it will keep up to date at all times an airport layout plan of the airport showing: 1. boundaries of the airport and all proposed additions thereto, together with the boundaries of all offsite areas owned or controlled by the sponsor for airport purposes and proposed additions thereto; 2. the location and nature of all existing and proposed airport facilities and structures (such as runways, taxiways, aprons, terminal buildings, hangars and roads), including all proposed extensions and reductions of existing airport facilities; 3. the location of all existing and proposed non-aviation areas and of all existing improvements thereon; and 4. all proposed and existing access points used to taxi aircraft across the airport’s property boundary. Such airport layout plans and each amendment, revision, or modification thereof, shall be subject to the approval of the Secretary which approval shall be evidenced by the signature of a duly authorized representative of the Secretary on the face of the airport layout plan. The sponsor will not make or permit any changes or alterations in the airport or any of its facilities which are not in conformity with the airport layout plan as approved by the Secretary and Page 199 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 14 of 18 which might, in the opinion of the Secretary, adversely affect the safety, utility or efficiency of the airport. b. Subject to the FAA Reauthorization Act of 2018, Public Law 115-254, Section 163, if a change or alteration in the airport or the facilities is made which the Secretary determines adversely affects the safety, utility, or efficiency of any federally owned, leased, or funded property on or off the airport and which is not in conformity with the airport layout plan as approved by the Secretary, the owner or operator will, if requested, by the Secretary: 1. eliminate such adverse effect in a manner approved by the Secretary; or 2. bear all costs of relocating such property (or replacement thereof) to a site acceptable to the Secretary and all costs of restoring such property (or replacement thereof) to the level of safety, utility, efficiency, and cost of operation existing before the unapproved change in the airport or its facilities except in the case of a relocation or replacement of an existing airport facility due to a change in the Secretary’s design standards beyond the control of the airport sponsor. 30. Civil Rights. It will promptly take any measures necessary to ensure that no person in the United States shall, on the grounds of race, color, and national origin (including limited English proficiency) in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4); creed and sex (including sexual orientation and gender identity) per 49 U.S.C. § 47123 and related requirements; age per the Age Discrimination Act of 1975 and related requirements; or disability per the Americans with Disabilities Act of 1990 and related requirements, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination in any program and activity conducted with, or benefiting from, funds received from this Grant. a. Using the definitions of activity, facility, and program as found and defined in 49 CFR §§ 21.23(b) and 21.23(e), the sponsor will facilitate all programs, operate all facilities, or conduct all programs in compliance with all non-discrimination requirements imposed by or pursuant to these assurances. b. Applicability 1. Programs and Activities. If the sponsor has received a grant (or other federal assistance) for any of the sponsor’s program or activities, these requirements extend to all of the sponsor’s programs and activities. 2. Facilities. Where it receives a grant or other federal financial assistance to construct, expand, renovate, remodel, alter, or acquire a facility, or part of a facility, the assurance extends to the entire facility and facilities operated in connection therewith. 3. Real Property. Where the sponsor receives a grant or other Federal financial assistance in the form of, or for the acquisition of real property or an interest in real property, the assurance will extend to rights to space on, over, or under such property. c. Duration. The sponsor agrees that it is obligated to this assurance for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or Page 200 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 15 of 18 structures or improvements thereon, in which case the assurance obligates the sponsor, or any transferee for the longer of the following periods: 1. So long as the airport is used as an airport, or for another purpose involving the provision of similar services or benefits; or 2. So long as the sponsor retains ownership or possession of the property. d. Required Solicitation Language. It will include the following notification in all solicitations for bids, Requests For Proposals for work, or material under this Grant Agreement and in all proposals for agreements, including airport concessions, regardless of funding source: “The (City of Fairhope), in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders or offerors that it will affirmatively ensure that for any contract entered into pursuant to this advertisement, [select businesses, or disadvantaged business enterprises or airport concession disadvantaged business enterprises] will be afforded full and fair opportunity to submit bids in response to this invitation and no businesses will be discriminated against on the grounds of race, color, national origin (including limited English proficiency), creed, sex (including sexual orientation and gender identity), age, or disability in consideration for an award.” e. Required Contract Provisions. 1. It will insert the non-discrimination contract clauses requiring compliance with the acts and regulations relative to non-discrimination in Federally-assisted programs of the Department of Transportation (DOT), and incorporating the acts and regulations into the contracts by reference in every contract or agreement subject to the non-discrimination in Federally-assisted programs of the DOT acts and regulations. 2. It will include a list of the pertinent non-discrimination authorities in every contract that is subject to the non-discrimination acts and regulations. 3. It will insert non-discrimination contract clauses as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a sponsor. 4. It will insert non-discrimination contract clauses prohibiting discrimination on the basis of race, color, national origin (including limited English proficiency), creed, sex (including sexual orientation and gender identity), age, or disability as a covenant running with the land, in any future deeds, leases, license, permits, or similar instruments entered into by the sponsor with other parties: a. For the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and b. For the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program. f. It will provide for such methods of administration for the program as are found by the Secretary to give reasonable guarantee that it, other recipients, sub-recipients, sub-grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the acts, the regulations, and this assurance. Page 201 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 16 of 18 g. It agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the acts, the regulations, and this assurance. 31. Disposal of Land. a. For land purchased under a grant for airport noise compatibility purposes, including land serving as a noise buffer, it will dispose of the land, when the land is no longer needed for such purposes, at fair market value, at the earliest practicable time. That portion of the proceeds of such disposition which is proportionate to the United States' share of acquisition of such land will be, at the discretion of the Secretary, (1) reinvested in another project at the airport, or (2) transferred to another eligible airport as prescribed by the Secretary. The Secretary shall give preference to the following, in descending order: 1. Reinvestment in an approved noise compatibility project; 2. Reinvestment in an approved project that is eligible for grant funding under 49 U.S.C. § 47117(e); 3. Reinvestment in an approved airport development project that is eligible for grant funding under 49 U.S.C. § 47114, 47115, or 47117, or under Public Law 117-58, Division J, Title VIII; or 4. Transfer to an eligible sponsor of another public airport to be reinvested in an approved noise compatibility project at that airport. If land acquired under a grant for noise compatibility purposes is leased at fair market value and consistent with noise buffering purposes, the lease will not be considered a disposal of the land. Revenues derived from such a lease may be used for an approved airport development project that would otherwise be eligible for grant funding or any permitted use of airport revenue. b. For land purchased under a grant for airport development purposes (other than noise compatibility), it will, when the land is no longer needed for airport purposes, dispose of such land at fair market value or make available to the Secretary an amount equal to the United States' proportionate share of the fair market value of the land. That portion of the proceeds of such disposition which is proportionate to the United States' share of the cost of acquisition of such land will, upon application to the Secretary, be reinvested or transferred to another eligible airport as prescribed by the Secretary. The Secretary shall give preference to the following, in descending order: 1. Reinvestment in an approved noise compatibility project; 2. Reinvestment in an approved project that is eligible for grant funding under 49 U.S.C. § 47117(e); 3. Reinvestment in an approved airport development project that is eligible for grant funding under 49 U.S.C. §§ 47114, 47115, or 47117, or under Public Law 117-58, Division J, Title VIII; or 4. Transfer to an eligible sponsor of another public airport to be reinvested in an approved noise compatibility project at that airport. c. Land shall be considered to be needed for airport purposes under this assurance if (1) it may be needed for aeronautical purposes (including runway protection zones) or serve as noise buffer land, and (2) the revenue from interim uses of such land contributes to the financial self- Page 202 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 17 of 18 sufficiency of the airport. Further, land purchased with a grant received by an airport operator or owner before December 31, 1987, will be considered to be needed for airport purposes if the Secretary or Federal agency making such grant before December 31, 1987, was notified by the operator or owner of the uses of such land, did not object to such use, and the land continues to be used for that purpose, such use having commenced no later than December 15, 1989. d. Disposition of such land under (a), (b), or (c) will be subject to the retention or reservation of any interest or right therein necessary to ensure that such land will only be used for purposes which are compatible with noise levels associated with operation of the airport. 32. Engineering and Design Services. If any phase of such project has received Federal funds under Chapter 471 subchapter 1 of Title 49 U.S.C., or Public Law 117-58, Division J, Title VIII it will award each contract, or sub-contract for program management, construction management, planning studies, feasibility studies, architectural services, preliminary engineering, design, engineering, surveying, mapping or related services in the same manner as a contract for architectural and engineering services is negotiated under Chapter 11 of Title 40 U S.C., or an equivalent qualifications-based requirement prescribed for or by the sponsor of the airport. 33. Foreign Market Restrictions. It will not allow funds provided under this Grant to be used to fund any project which uses any product or service of a foreign country during the period in which such foreign country is listed by the United States Trade Representative as denying fair and equitable market opportunities for products and suppliers of the United States in procurement and construction. 34. Policies, Standards, and Specifications. It will carry out any project funded under a Bipartisan Infrastructure Law grant in accordance with policies, standards, and specifications approved by the Secretary including, but not limited to, current FAA Advisory Circulars (https://www.faa.gov/airports/aip/media/aip-pfc-checklist.pdf) for BIL projects as of March 12, 2024. 35. Relocation and Real Property Acquisition. a. It will be guided in acquiring real property, to the greatest extent practicable under State law, by the land acquisition policies in Subpart B of 49 CFR Part 24 and will pay or reimburse property owners for necessary expenses as specified in Subpart B. b. It will provide a relocation assistance program offering the services described in Subpart C of 49 CFR Part 24 and fair and reasonable relocation payments and assistance to displaced persons as required in Subpart D and E of 49 CFR Part 24. c. It will make available within a reasonable period of time prior to displacement, comparable replacement dwellings to displaced persons in accordance with Subpart E of 49 CFR Part 24. 36. Access By Intercity Buses. The airport owner or operator will permit, to the maximum extent practicable, intercity buses or other modes of transportation to have access to the airport; however, it has no obligation to fund special facilities for intercity buses or for other modes of transportation. Page 203 of 368 3-01-0029-031-2024 Airport Sponsors Assurances Bipartisan Infrastructure Law Page 18 of 18 37. Disadvantaged Business Enterprises. The sponsor shall not discriminate on the basis of race, color, national origin, sex, in the award and performance of any DOT-assisted contract covered by 49 CFR Part 26, or in the award and performance of any concession activity contract covered by 49 CFR Part 23. In addition, the sponsor shall not discriminate on the basis of race, color, national origin or sex in the administration of its Disadvantaged Business Enterprise (DBE) and Airport Concessions Disadvantaged Business Enterprise (ACDBE) programs or the requirements of 49 CFR Parts 23 and 26. The sponsor shall take all necessary and reasonable steps under 49 CFR Parts 23 and 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts, and/or concession contracts. The sponsor’s DBE and ACDBE programs, as required by 49 CFR Parts 26 and 23, and as approved by DOT, are incorporated by reference in this agreement. Implementation of these programs is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the sponsor of its failure to carry out its approved program, the Department may impose sanctions as provided for under Parts 26 and 23 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. § 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. §§ 3801-3809, 3812). 38. Hangar Construction. If the airport owner or operator and a person who owns an aircraft agree that a hangar is to be constructed at the airport for the aircraft at the aircraft owner’s expense, the airport owner or operator will grant to the aircraft owner for the hangar a long term lease that is subject to such terms and conditions on the hangar as the airport owner or operator may impose. 39. Competitive Access. a. If the airport owner or operator of a medium or large hub airport (as defined in 49 U.S.C. § 47102) has been unable to accommodate one or more requests by an air carrier for access to gates or other facilities at that airport in order to allow the air carrier to provide service to the airport or to expand service at the airport, the airport owner or operator shall transmit a report to the Secretary that: 1. Describes the requests; 2. Provides an explanation as to why the requests could not be accommodated; and 3. Provides a time frame within which, if any, the airport will be able to accommodate the requests. b. Such report shall be due on either February 1 or August 1 of each year if the airport has been unable to accommodate the request(s) in the six month period prior to the applicable due date. Page 204 of 368 RESOLUTION NUM BER 4847-23 A RESOLUTIO TO AUTHORIZE SU BMISSION OF PRE-APPLICATION FOR FY2024 AIRPORT IMPROVEME T PROGRAM AN D AIRPORT INFRASTRUCTURE GRANT PROJECTS FOR H. L. "S ONNY" CALLAHAN AIRPORT (KCQF) WHEREAS, the City of Fairhope, Alabama, as the de signated Sponsor for H. L. "Sonny" Ca ll ahan Airport (KCQF) inten ds to app ly for Federal and State matching funds for an Airport Improvement Program Project (AIP) and an Airport Infrastruc ture Grant Project (A IG) during fiscal year 2024; and WHEREAS , the overall scope of the AIP and AIG projects is expected to be runway rehabi li tation, replacement of runway lighting , replacement of taxiway lighting, and parking lot co nstruction for a tenninal building ; and WHEREAS, the pre-application submission deadline is no later than September 29, 2023. THEREFORE, BE IT RESOLVED , by the City of Fairhope , Alabama as follows: 1. That the City of Fairhope is authorized to make pre-application/A pplication for Federa l Assistance for the AIP and AIG projects for FY2024 for the purpose of seeking Federal funding through the AIP and AIG programs for each of the projects described above. 2. That the pre-appli cation be submitted for and on behalf of the City of Fairhope by its Mayor, as designated by the City Co un cil, who is authorized by this Resolution to sign the pre- application and any related fonns or documents on behalf of the City of Fairhope. 3. That the final grant agreement, if AIP and /or AIG funds are awarded based on the pre-application , shall remain subject to the approval of the City Council. BE IT FURTHER RESOLVED , th at the City of Fa irh ope, in reliance upon an appropriate resolution from Fairhope Airport Authority, hereby affinns that the loca l matching share of fund s in the amount required for the AIP and/or AIG project funds during FY2024 shall be the responsibility of Fairhope Airport Authority, and not the City of Fairhope. I, the und ersigned qualified and acting as the City C lerk of the City of Fairhope, A labama hereby certify that the above and foregoing is a true copy of a resolution lawfully passed and adopted by the City Council of the City of Fairhope named therein, at a regular meeting of such body held on the 25th day of September, 2023, and that such resolution is on file in the office of the City Clerk, City of Fairhope, A labama. IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of the City of Fairhope on thi s 25th day of September, 2023. ATTEST: City Clerk Page 205 of 368 ALABAMA DEPARTMENT OF TRANSPORTATION Aeronautics Bureau 1409 Coliseum Boulevard Montgomery, Alabama 36130-3050 Phone (334) 242-6820 FAX (334) 353-6540 Internet http://www.dot.state.al.us May 21, 2024 The Honorable Sherry Sullivan Mayor, City of Fairhope 161 North Section Street Fairhope, AL 36532 Dear Mayor Sullivan: In response to the City of Fairhope‘s application for state funds dated March 12, 2024, I am pleased to advise you that the Transportation Director has approved the following funds for improvements to the H. L. "Sonny" Callahan Airport: Project Description Amount Construct 13,500 s.f. Paved Parking Lot for New Terminal - AIG Project No: 3-01-0029-031-2024 $4,588.00 The City of Fairhope should coordinate all phases of the project through the Aeronautics Bureau office in Montgomery. A copy of the funding agreement for the above project accompanies this letter. Please be aware that an electronically signed copy of the funding agreement must be received by the Aeronautics Bureau within fourteen (14) calendar days of its receipt. Failure to do so will result in the withdrawal of the STATE’S funding offer. Please be aware that no state funds will be paid for the above project until the funding agreement has been fully executed by the state. When the agreement is fully executed by Governor Ivey’s signature, a copy will be returned for your file. If you have any questions, please contact either the staff or me, at (334) 242-6820. Sincerely, Frank Farmer Chief, Aeronautics Bureau Cc: Governor Kay Ivey U.S. Senator Tommy Tuberville U.S. Senator Katie Britt Congressman Jerry Carl Senator Chris Elliott Representative Jennifer Fidler Mr. Rans Black, FAA/ADO Aeronautics Bureau Kay Ivey Governor John R. Cooper Transportation Director Page 206 of 368 2024 AIRPORT IMPROVEMENT FUNDING AGREEMENT BETWEEN THE STATE OF ALABAMA Department of Transportation And the CITY OF FAIRHOPE This Airport Improvement Funding Agreement is made and entered into by and between the State of Alabama, acting by and through the Alabama Department of Transportation, hereinafter referred to as the STATE; and the City of Fairhope, hereinafter referred to as the AIRPORT SPONSOR; for the purpose(s), as further described in the “SCOPE OF SERVICES.” Pursuant to the provisions of Section 23-1-361, Code of Alabama 1975, the STATE shall be designated by the AIRPORT SPONSOR as the agent to receive and disburse to the AIRPORT SPONSOR all federal funds to be used in the payment of the costs of said project(s) or as reimbursement for costs incurred. A. SCOPE OF SERVICES A.1. Purpose. The purpose of this Airport Improvement Funding Agreement shall be to provide funding assistance for a project to further develop the H. L. "Sonny" Callahan Airport as authorized by Section 23-1-360, Code of Alabama 1975. The AIRPORT SPONSOR shall be the recipient of funds from this Agreement for an airport improvement project as more particularly described in the AIRPORT SPONSOR’S funding application dated March 12, 2024 that is incorporated into this Agreement by reference as it fully set forth herein and maintained in the files of the Alabama Department of Transportation Aeronautics Bureau. A.2. Project Description and Funding Source. The description of the project or projects and the amount and source of funds to which this Agreement is applicable are as follows: A.2.a. Project Description: Construct 13,500 s.f. Paved Parking Lot for New Terminal - AIG Project No: 3-01-0029-031-2024 A.2.b. Amount and Source of Funds: Source of Funds Amount of Funds Federal Aviation Administration ................................... $ 82,581.00 State Airport Development Fund .................................. $ 4,588.00 State Surplus Military Field Fund ................................. $ 0.00 AIRPORT SPONSOR .................................................. $ 4,588.00 Total Project Cost ......................................................... $ 91,757.00 Page 207 of 368 FUNDING TERM B.1. Funding Term. This Funding Agreement shall be effective for work performed by the AIRPORT SPONSOR for a period of two (2) years from the date of the AIRPORT SPONSOR’S funding application to the state. With the exception of any planning or engineering design work that is performed expressly for the project(s) described in Section A.2. of this Funding Agreement, the STATE shall have no obligation to pay for services rendered by the AIRPORT SPONSOR which are performed prior to the starting date or after the ending date set forth in this section. B.2. Project Start-up. The project to which this Funding Agreement applies must be started within six (6) months of the commencement date specified in Section B.1. of this Funding Agreement. If the project is not started within six (6) months of this Funding Agreement’s commencement date, this Funding Agreement may be cancelled at the sole discretion of the Director of the Alabama Department of Transportation. B.3. Term Extension. The STATE reserves the right to extend this Funding Agreement for an additional one (1) year, provided that the STATE notifies the AIRPORT SPONSOR in writing of its intention to do so prior to the Agreement’s ending date. An extension of the term of this Agreement will be accomplished through a written amendment to the Agreement that is signed by both parties. If the extension of the Agreement necessitates additional funding beyond that which was included in the original Agreement, the increase in state funding will also be accomplished through a written amendment to the Agreement. B. PAYMENT TERMS AND CONDITIONS C1. Maximum Liability. In no event shall the maximum funding liability of the STATE under this Agreement exceed four thousand five hundred and eighty-eight dollars [$4,588.00]. The Grant Agreement Engineering Worksheet that accompanies the application shall constitute the maximum amount due the AIRPORT SPONSOR for the project or projects described herein and all of the AIRPORT SPONSOR’S obligations hereunder. The Grant Agreement Engineering Worksheet line items include, but are not limited to, all applicable taxes, fees, overhead, and all other direct and indirect costs incurred by the AIRPORT. For a project or projects involving funds made available by the Federal Aviation Administration, the maximum liability of the STATE shall be reduced to equal an amount of five (5) percent of the total project cost if the project(s) to which this Funding Agreement applies is completed for an amount less than that shown on the AIRPORT SPONSOR’S funding application to the STATE. For a project or projects involving STATE and AIRPORT SPONSOR funds only, the maximum liability of the STATE shall be reduced to equal an amount of fifty (50) percent of the total project cost if the project(s) to which this Funding Agreement applies is completed for an amount less than that shown on the AIRPORT SPONSOR’S funding application to the STATE. C.2. Method of Payment. The AIRPORT SPONSOR shall be compensated for actual reasonable and necessary costs based upon the Grant Agreement Engineering Worksheet, not to exceed the maximum liability established in Section C.1. Upon progress toward completion of the project, as described in Section A of this Agreement, the AIRPORT SPONSOR shall submit monthly invoices, in form and substance acceptable to the STATE, with all of the necessary supporting documentation, prior to any reimbursement of allowable costs. C.3. [Reserved] C.4. Supplemental Agreements. If the cost of the project described herein increases during the progress of the work, the parties agree to enter into a Supplemental Agreement setting out the respective financial obligations of the STATE and the AIRPORT. Page 208 of 368 C.5. Travel Compensation. The AIRPORT SPONSOR shall not be compensated for travel, meals, or lodging. C.6. Expenditures and Accounting. The expenditure of funds made available through this Agreement shall adhere to the line item amounts in the attached Grant Agreement Engineering Worksheet. The AIRPORT SPONSOR may request revisions of the Grant Agreement Engineering Worksheet line items by letter, giving full details supporting such request, provided that such revisions do not increase the total Grant Agreement Engineering Worksheet amount. Grant Agreement Engineering Worksheet line item revisions shall not be made without prior, written approval by the STATE in which the terms of the approved revisions are explicitly set forth. Any increase in the total Grant Agreement Engineering Worksheet amount shall require a written amendment to this Agreement. The AIRPORT SPONSOR shall submit a final expenditure report within forty-five (45) days following of the completion of the project or projects covered by this Agreement. Said report shall be in form and substance acceptable to the STATE. The STATE will not be responsible for the payment of claims that are submitted later than the forty-five (45) days required for the final expenditure report. If total payments made by the STATE for the period of this Agreement exceed the qualifying expenditures, the AIRPORT SPONSOR shall refund the STATE the difference. The refund shall accompany the final expenditure report required by this section of the Agreement. The AIRPORT SPONSOR’S accounting records must be closed out at the end of the Funding period in such a way that no reimbursable expenditures or revenue collections are carried forward. C.7. Indirect Costs and Allocation of Costs. Should the AIRPORT SPONSOR request reimbursement for indirect costs, the AIRPORT SPONSOR must submit to the STATE a copy of the indirect cost rate approved by the cognizant federal agency and the STATE. The AIRPORT SPONSOR will be reimbursed indirect costs as detailed in the attached Grant Agreement Engineering Worksheet and as substantiated by the approved indirect cost rate. Any indirect costs will be paid by the STATE from the budgeted amount and will not increase the total amount obligated by this Agreement. Once the AIRPORT SPONSOR makes an election and treats a given cost as direct or indirect, it must apply that treatment consistently and may not change during the funding period. Any changes in the approved indirect cost rate must have prior approval by the cognizant federal agency and the STATE. If the indirect cost rate is provisional during the term of this Agreement, once the rate becomes final, the AIRPORT SPONSOR agrees to remit any overpayment to the STATE, and subject to the availability of funds the STATE agrees to remit any underpayment to the AIRPORT. If any part of the costs to be reimbursed under this Funding Agreement are joint costs involving allocation to more than one program or activity, such costs shall be allocated and reported in accordance with the policies of the STATE. C.8. Payment of Invoice. The payment of the invoice by the STATE shall not prejudice the STATE’S right to object to or question any invoice or matter in relation thereto. Such payment by the STATE shall neither be construed as acceptance of any part of the work or service provided nor as an approval of any of the costs invoiced therein. C.9. Unallowable Costs. The AIRPORT SPONSOR’S invoice shall be subject to reduction for amounts included in any invoice or payment theretofore made which are determined by the STATE, on the basis of audits or monitoring conducted in accordance with the terms of this Agreement, not to constitute allowable costs. Page 209 of 368 C.10. Deductions. The STATE reserves the right to deduct from amounts which are or shall become due and payable to the AIRPORT SPONSOR under this or any Funding Agreement between the AIRPORT SPONSOR and the STATE any amounts which are or shall become due and payable to the STATE by the AIRPORT. C.11. [Reserved] D. STANDARD TERMS AND CONDITIONS: D.1. Required Approvals. The STATE is not bound by this Agreement until it is approved by the appropriate State officials in accordance with applicable Alabama State laws and regulations. D.2. Modification and Amendment. This Agreement may be modified only by a written amendment executed by all parties hereto and approved by the appropriate Alabama State officials in accordance with applicable Alabama State laws and regulations. D.3. Termination for Convenience. The STATE may terminate the Agreement by giving the AIRPORT SPONSOR at least thirty (30) days written notice before the effective termination date. In that event, the AIRPORT SPONSOR shall be entitled to receive equitable compensation for satisfactory, authorized services completed as of the termination date. D.4. Withdrawal of STATE Funding Offer for Failure to Make Timely Acceptance. The AIRPORT SPONSOR shall sign and return two (2) copies of this Funding Agreement to the STATE within fourteen (14) calendar days of its receipt by the AIRPORT SPONSOR’S designated representative. If the AIRPORT SPONSOR fails to do so, the STATE funding offer shall be withdrawn. D.5. Termination for Cause. If the AIRPORT SPONSOR fails to properly perform its obligations under this Agreement in a timely or proper manner, or if the AIRPORT SPONSOR violates any terms of this Agreement as determined by the STATE, the STATE shall have the right to immediately terminate the Agreement and withhold payments in excess of fair compensation for completed services. Notwithstanding the above, the AIRPORT SPONSOR shall not be relieved of liability to the STATE for damages sustained by virtue of any breach of this Agreement by the AIRPORT. D.6. Projects to be Supervised by Professional Engineer. In compliance with Section 34-11-10, Code of Alabama 1975, the AIRPORT SPONSOR agrees not to engage in an airport improvement construction project without the engineering plans, specifications, and estimates having been prepared by and the construction performed under the direct supervision of a professional engineer. This provision does not apply to an airport improvement construction project when the total cost of the completed project does not exceed twenty thousand dollars ($20,000.00). D.7. [Reserved] D.8. Subcontracting. The AIRPORT SPONSOR shall not assign this Agreement or enter into a subcontract for any of the services performed under this Agreement without first obtaining the written approval of the STATE. If an assignment or subcontract is approved by the STATE, such shall be subject to all of the terms and conditions of this Agreement. Notwithstanding any use of approved subcontractors, the AIRPORT SPONSOR shall be the prime contractor and shall be responsible for all work performed. D.9. Conflicts of Interest. The AIRPORT SPONSOR warrants that no part of the total Funding Amount shall be paid directly or indirectly to an employee or official of the State of Alabama as wages, compensation, or gifts in exchange for acting as an officer, agent, employee, subcontractor, or consultant to the AIRPORT SPONSOR in connection with any work contemplated or performed relative to this Agreement. D.10. Lobbying. The AIRPORT SPONSOR certifies, to the best of its knowledge and belief, that: Page 210 of 368 D.10.a. No federally appropriated funds have been paid or will be paid, by or on behalf of the AIRPORT, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, and entering into any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. D.10.b. If any funds other than federally appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Agreement, the AIRPORT SPONSOR shall complete and submit Standard Form-LLL, “Disclosure Form for Reporting Lobbying,” in accordance with its instructions. D.10.c. The AIRPORT SPONSOR shall require the language of this certification to be included in the award documents for all sub-awards at all levels (including sub-grants, subcontracts, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients of federally appropriated funds shall certify and disclose accordingly. D.11. Nondiscrimination. The AIRPORT SPONSOR hereby agrees, warrants, and assures that no person shall be excluded from participation in, be denied benefits of, or be otherwise subjected to discrimination in the performance of this Agreement or in the employment practices of the AIRPORT, on the grounds of disability, age, race, color, religion, sex, national origin, or any other classification protected by Federal, Alabama State constitutional, or statutory law. The AIRPORT SPONSOR shall, upon request, show proof of such nondiscrimination and shall post in conspicuous places, available to all employees and applicants, notices of nondiscrimination. D.12. Records and Audits. The AIRPORT SPONSOR shall maintain documentation for all charges against the STATE under this Agreement. The books, records, and documents of the AIRPORT, insofar as they relate to work performed or money received under this Agreement, shall be maintained for a period of three (3) full years from the date of the final payment and shall be subject to audit at any reasonable time and upon reasonable notice by the STATE, or its duly appointed representatives. A final audit will be made by the AIRPORT SPONSOR of all project records after completion of the project and a copy of the audit will be furnished to the Alabama Department of Examiners of Public Accounts, in accordance with Act 1994, No. 94-414. A final settlement will be made between the parties as reflected by the final audit and this Agreement. D.13. Monitoring. The activities conducted and records maintained by the AIRPORT SPONSOR pursuant to this Agreement shall be subject to monitoring and evaluation by the STATE, or its duly appointed representatives. D.14. Progress Reports. The AIRPORT SPONSOR shall submit ninety (90) day progress reports to the STATE, unless otherwise instructed, and will immediately notify the STATE of any significant problems encountered that may delay the start-up or completion of the project herein described. D.15. Procurement. If the other terms of this Agreement allow reimbursement for the cost of goods, materials, supplies, equipment, and/or services, such procurement shall be made on a competitive basis, including the use of competitive bidding procedures in accordance with Alabama State law. Further, if such reimbursement is to be made with funds derived wholly or partially from federal sources, the determination of cost shall be governed by and reimbursement shall be subject to the AIRPORT SPONSOR’S compliance with applicable federal procurement requirements. The AIRPORT SPONSOR shall obtain prior written approval from the STATE before purchasing any equipment under this Agreement. Page 211 of 368 D.16. Strict Performance. Failure by any party to the Agreement to insist in any one or more cases upon the strict performance of any of the terms, covenants, conditions, or provisions of this agreement shall not be construed as a waiver or relinquishment of any such term, covenant, condition, or provision. No term or condition of this Agreement shall be waived, modified, or deleted except by a written amendment signed by the parties hereto. D.17. Independent Contractor. The parties hereto, in the performance of this Agreement, shall not act as agents, employees, partners, joint ventures, or associates of one another. It is expressly acknowledged by the parties hereto that such parties are independent contracting entities and that nothing in this Agreement shall be construed to create a principal/agent relationship or to allow either to exercise control or direction over the manner or method by which the other transacts its business affairs or provides its usual services. The employees or agents of one party shall not be deemed or construed to be the employees or agents of the other party for any purpose whatsoever. D.18. State Liability. The STATE shall have no liability except to provide funding assistance as provided herein. D.19. Force Majeure. The obligations of the parties to the Agreement are subject to prevention by causes beyond the parties’ control that could not be avoided by the exercise of due care, including but not limited to, acts of nature, riots, wars, strikes, epidemics or any other similar cause. D.20. State and Federal Compliance. The AIRPORT SPONSOR shall comply with all applicable state and federal laws and regulations in the performance of this Agreement. D.21. Completeness. This Agreement is complete and contains the entire understanding between the parties relating to the subject matter contained herein, including all the terms and conditions of the parties’ Agreement. This Agreement supersedes any and all prior understandings, representations, negotiations, and agreements between the parties relating hereto, whether written or oral. D.22. Severability. If any terms and conditions of this Agreement are held to be invalid or unenforceable as a matter of law, the other terms and conditions hereof shall not be affected thereby and shall remain in full force and effect. To this end, the terms and conditions of this Agreement are declared severable. D.23. Headings. Section headings are for reference purposes only and shall not be construed as part of this Agreement. E. SPECIAL TERMS AND CONDITIONS E.1. Conflicting Terms and Conditions. Should any of these special terms and conditions conflict with any other terms and conditions of this Agreement, these special terms and conditions shall control. E.2. Communications and Contacts. All instructions, notices, consents, demands, or other communications required or contemplated by this Agreement shall be in writing and shall be made by facsimile transmission, electronic transmission (e-mail), by overnight courier service, or by first class mail, postage prepaid, addressed to the respective party at the appropriate facsimile number, electronic mail address, or postal address as set forth below or to such other party, facsimile number, or address as may be hereafter specified by written notice. The STATE: Mr. Frank Farmer, Chief Alabama Department of Transportation Aeronautics Bureau 1409 Coliseum Boulevard Montgomery, Alabama 36130 Page 212 of 368 Phone: 334.242.6820 Fax: 334.353.6540 E-mail: farmerf@dot.state.al.us The AIRPORT: The Honorable Sherry Sullivan City of Fairhope 161 North Section Street Fairhope, AL 36532 Phone: 251-928-2136 Fax: none Email: sherry.sullivan@fairhopeal.gov All instructions, notices, consents, demands, or other communications shall be considered effectively given as of the day of delivery; as of the date specified for overnight courier service delivery; as of three (3) business days after the date of mailing; or on the day the facsimile transmission is received mechanically by the facsimile machine at the receiving location and receipt is confirmed telephonically by the sender if prior to 4:30 p.m. CST. Any communication by facsimile transmission shall also be sent by United States mail on the same date of the facsimile transmission. E.3. Subject to Funds Availability. The Agreement is subject to the appropriation and availability of State and/or Federal funds. In the event that the funds are not appropriated or are otherwise unavailable, the STATE reserves the right to terminate the Agreement upon written notice to the AIRPORT SPONSOR. Said termination shall not be deemed a breach of this Agreement. Upon receipt of the written notice, the AIRPORT SPONSOR shall cease all work associated with the Agreement. Should such an event occur, the AIRPORT SPONSOR shall be entitled to compensation for all satisfactory and authorized services completed as of the termination date. Upon such termination, the AIRPORT SPONSOR shall have no right to recover from the STATE any actual, general, special, incidental, consequential, or any other damages whatsoever of any description or amount. If the Agreement term is to exceed more than one (1) fiscal year, then said Agreement is subject to termination in the event that funds should not be appropriated for the continued payment of the Agreement in subsequent fiscal years. E.4. Funds Shall Not be Constituted as a Debt. It is agreed that the terms and commitments contained herein shall not be constituted as a debt of the State of Alabama in violation of Article 11, Section 213 of the Constitution of Alabama, 1901, as amended by Amendment Number 26. It is further agreed that if any provision of this Agreement shall contravene any statute or Constitutional provision or amendment, either now in effect or which may, during the course of this Agreement, be enacted, then the conflicting provision in the Agreement shall be deemed null and void. E.5. Alternative Dispute Resolution. Should a dispute between the parties relate to the payment of money to AIRPORT, the sole remedy of AIRPORT shall be to file a claim with the State of Alabama Board of Adjustment. Any other dispute between the parties, senior officials of ALDOT and AIRPORT who have the authority to bid their principals to any agreement they should reach, shall meet and engage in a good faith attempt to resolve the dispute. Should negotiations not produce a resolution, the parties agree that the dispute shall be submitted to non-binding mediation, to be conducted in a mutually agreed location utilizing mediators selected from the roster maintained by the Alabama Center for Dispute Resolution. The right of ALDOT to the use of alternative methods to attempt to resolve a dispute is not a waiver of ALDOT’s right to assert immunity. Page 213 of 368 E.6. Work-papers Subject to Review. The AIRPORT SPONSOR shall make all audit, accounting, or financial analysis work-papers, notes, and other documents available for review by the STATE or its representatives, upon request, during normal working hours either while the analysis is in progress or subsequent to the completion of this Agreement. E.7. Debarred Contractors. The AIRPORT SPONSOR shall not make any award hereunder to any Contractor, who at the time of the award, is debarred or otherwise prohibited from doing business with the State of Alabama. E.8. Hold Harmless. The AIRPORT SPONSOR agrees to indemnify and hold harmless the State of Alabama as well as its officers, agents, and employees in their official capacities from and against any and all claims, liabilities, losses, and causes of action which may arise, accrue, or result to any person, firm, corporation, or other entity which may be injured or damaged as a result of acts, omissions, or negligence on the part of the AIRPORT, its employees, or any person acting for or on its or their behalf relating to this Funding Agreement. The AIRPORT SPONSOR further agrees it shall be liable for the reasonable cost of attorneys for the State in the event such service is necessitated to enforce the terms of this Agreement, defend itself, or otherwise enforce the obligations of the AIRPORT SPONSOR to the STATE. In the event of any such suit or claim, the AIRPORT SPONSOR shall give the STATE immediate notice thereof and shall provide all assistance required by the STATE in the STATE’S defense. The STATE shall give the AIRPORT SPONSOR written notice of any such claim or suit, and the AIRPORT SPONSOR shall have full right and obligation to conduct the AIRPORT SPONSOR’S own defense thereof. Nothing contained herein shall be deemed to accord to the AIRPORT, through its attorney(s), the right to represent the State of Alabama in any legal matter. E.9. AIRPORT SPONSOR Assurances for Sale or Disposal of Land, Properties, Structures or Materials Related to Airport. The AIRPORT SPONSOR shall not sell, lease, or otherwise dispose of any AIRPORT SPONSOR property identified herein without the express prior written consent of the STATE, which consent will not be unreasonably withheld. In the event that the STATE grants permission to sell or otherwise dispose of all or a portion of the forgoing real property in perpetuity, the AIRPORT SPONSOR shall be liable to pay the STATE a portion of the proceeds at fair market value as determined herein, resulting from the agreed upon sale price or fair market value. The funds collected from the sale of the property or fair market value will be divided in the same proportion as defined in this Agreement with said STATE funds reinvested into AIRPORT SPONSOR property in accordance with STATE funding policies and procedures. Nothing herein shall prohibit the parties of this Agreement from agreeing to the reinvestment of said proportion of the proceeds or fair market value for rehabilitation or improvements in any remaining airport properties or structures or at a new airport site. All properties purchased with assistance of this Agreement must include in the property deed a clause that states that "This property was purchased with the assistance of State and/or Federal funds, and may not be sold or otherwise disposed of without all agencies express written consent." E.10. Airport Operations. As consideration for receiving State and/or Federal funds under this Agreement, the AIRPORT SPONSOR shall operate and maintain the AIRPORT SPONSOR’S facilities for the use and benefit of the public on equal and reasonable terms, and without unjust discrimination against any type of legitimate aeronautical activity, for a period of twenty (20) years from the effective date of this Agreement. The airport shall not cease to be operated as a public- use airport for a period of twenty (20) years from the effective date of this Agreement without the express, written consent of the STATE. If at any time during the aforementioned twenty-year (20) period the airport ceases to be operated as a public-use facility, the AIRPORT SPONSOR shall Page 214 of 368 reimburse the STATE an amount equal to all funds granted by the STATE for a period of twenty (20) years prior to the date the airport ceased to be a public-use facility. E.11. Exclusive Rights. For all agreements involving the acceptance of STATE funds, the AIRPORT SPONSOR agrees that it will not enter into any contracts or agreements that permit an exclusive right for the use of the airport by any person, firm, or corporation providing, or intending to provide, aeronautical services to the public. The AIRPORT SPONSOR further agrees that it will not, either directly or indirectly, grant or permit any person, firm, or corporation, the exclusive right to conduct any aeronautical activities, including, but not limited to, charter flights, pilot training, aircraft rental and sightseeing, aerial photography, crop dusting, aerial advertising and surveying, air carrier operations, aircraft sales and services, sale of aviation petroleum products whether or not conducted in conjunction with other aeronautical activities, repair and maintenance of aircraft, sale of aircraft parts, and any other activities which because of their direct relationship to the operation of aircraft can be regarded as an aeronautical activity. The AIRPORT SPONSOR further agrees that it will terminate any exclusive right to conduct an aeronautical activity now existing at such airport before this Agreement is executed. E.12. Airport Fees and Rental Structure. By accepting the STATE funds made available under this Agreement, the AIRPORT SPONSOR agrees that it will establish and maintain a schedule of fees and rental rates for the AIRPORT SPONSOR’S land, facilities and services that will make the AIRPORT SPONSOR as financially self-sustaining as possible, taking into consideration such factors as the number of based aircraft, the volume of traffic and the economy of collection. To comply with the intent of this section, the AIRPORT SPONSOR agrees that any airport property, aircraft fueling equipment, hangars, terminals, or other buildings that may be improved, installed or constructed with STATE funds provided under this Agreement shall be rented or leased to a tenant or tenants utilizing a schedule of periodic rates or charges that has been established on the basis of fair market value considerations. The determination of fair market value by the AIRPORT SPONSOR must, at a minimum, take into consideration the appraised value of the land upon which the hangar, terminal or other building is or will be situated and the total cost incurred for the hangar, terminal or other building. The rate schedule established by the AIRPORT SPONSOR shall also contain an escalation provision to ensure that the fair market value rates remain current throughout the term of the lease between the AIRPORT SPONSOR and its tenants. The AIRPORT SPONSOR further agrees that the lease or rental agreements it enters into with a tenant or tenants for any airport property, aircraft fueling equipment, hangars, terminals or other buildings that may be improved, installed or constructed with STATE funds shall be subject to review and approval by the STATE. In the event that the STATE determines that the rental rate schedule contained within the lease agreement is excessively low or has not been determined by fair market value considerations, the STATE reserves the right to demand repayment of the funds granted to the AIRPORT SPONSOR under this Agreement. Upon such demand, which shall be in writing by the STATE, the AIRPORT SPONSOR agrees that it will reimburse the STATE within thirty (30) days of such demand. E.13. Compliance with FAA Regulations. For all Agreements involving the acceptance of federal funds, the AIRPORT SPONSOR agrees to accomplish the project in compliance with the terms and conditions contained herein and incorporated materials referred to in the foregoing Agreement and in Section IV “Assurances” of the FAA document Terms and Conditions of Accepting AIRPORT SPONSOR Improvement Program Grants dated December 15, 2009, as may be amended, and said Section IV “Assurances” is incorporated herein by reference. E.14. Pavement Maintenance Program. By executing this agreement, the AIRPORT SPONSOR agrees that it will develop and implement a written pavement maintenance-management plan within one (1) year of the commencement date of this Agreement. The purpose of the pavement maintenance-management plan will be to maximize the useful life-cycle of the airport’s paved Page 215 of 368 surfaces. The plan shall apply to all paved surfaces on the airport that have been constructed, reconstructed, or repaired with state or federal financial assistance. A copy of the plan shall be forwarded to the Alabama Department of Transportation Aeronautics Bureau for its review and approval. E.15. Compliance with Competitive Bid Laws. The AIRPORT SPONSOR agrees that all construction and improvements undertaken and paid for in part by state funds made available under this AGREEMENT shall be by contract and obtained in compliance with all the applicable competitive bid laws of the State of Alabama. The Airport Sponsor is responsible for the performance, inspection, and acceptance of work and any claims or damages arising under the work performed hereunder. E.16. Compliance with Alabama Immigration Law, By signing this contract, the contracting parties affirm, for the duration of the agreement, that they will not violate federal immigration law or knowingly employ, hire for employment, or continue to employ an unauthorized alien within the State of Alabama. Furthermore, a contracting party found to be in violation of this provision shall be deemed in breach of the agreement and shall be responsible for all damages resulting therefrom. E.17. In compliance with Act 2016-312, the county hereby certifies that it is not currently engaged in, and will not engage in, the boycott of a person or an entity based in or doing business with a jurisdiction with which the state can enjoy open trade. E.18. In compliance with Ala. Act No. 2023-409, by signing this contract, Contractor provides written verification that Contractor without violating controlling law or regulation, does not and will not, during the term of the contract engage in economic boycotts as the term “economic boycott” is defined in Section 1 of the Act. . Page 216 of 368 In WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by those officers, officials and persons thereunto duly authorized, and the AGREEMENT is deemed to be dated and to be effective on the date started hereinafter as the date of approval by the Governor of Alabama. AUTHORIZED AIRPORT REPRESENTATIVE BY:__________________________________ (Signature) Sherry Sullivan Mayor, City of Fairhope _____________________________________ (Date) THIS AGREEMENT HAS BEEN LEGALLY REVIEWED AND APPROVED AS TO FORM: _________________________________ Legal Counsel for Alabama Department of Transportation RECOMMENDED FOR APPROVAL: _____________________________ Frank Farmer Chief, Aeronautics Bureau ___________________________________ William F. “Bill” Patty, Deputy Director of Administration/Chief Counsel Alabama Department of Transportation STATE OF ALABAMA acting by and through its Department of Transportation _______________________________ John R. Cooper Transportation Director __________________________________ (Date) ____________________________________ Kay Ivey GOVERNOR, STATE OF ALABAMA Page 217 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-431 FROM: Wes Boyett, GAS SUPERINTENDENT SUBJECT: Authorizing submission of a PHMSA grant to USDOT. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Approve BACKGROUND INFORMATION: The Pipeline and Hazardous Materials Safety Administration, US DOT, manages the NGDISM funding. The objectives of this grant program are to advance delivery of energy through reducing the risk profile of existing municipal- and community-owned natural gas distribution infrastructure that contains high-risk, leaking and/or leak-prone pipes. The City of Fairhope has been working on replacing older gas pipeline systems throughout the City and this funding will help offset some of those costs. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: USDOT Pipeline and Hazardous Materials Safety Administration LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 218 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that the City Council authorizes the submission of a Pipeline and Hazardous Materials Safety Administration (PHMSA) Grant to the U.S. Department of Transportation (USDOT) for the FY2024 Natural Gas Distribution Infrastructure Safety and Modernization (NGDISM) Grant Program for Gas Pipe Replacement. The grant amount is approximately $15,000,000.00 fifteen million dollars and will cover the remaining four phases of the pipe replacement. ADOPTED ON THIS 10TH DAY OF JUNE, 2024 ____________________________________ Corey Martin, Council President Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 219 of 368 DEPARTMENT OF TRANSPORTATION Pipeline and Hazardous Materials Safety Administration (PHMSA) Notice of Funding Opportunity for the Department of Transportation’s FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization (NGDISM) Grant Program AGENCY: Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation ACTION: Notice of Funding Opportunity (NOFO) SUMMARY: SUMMARY OVERVIEW OF KEY INFORMATION NATURAL GAS DISTRIBUTION INFRASTRUCTURE SAFETY AND MODERNIZATION (NGDISM) GRANT PROGRAM Issuing Agency Pipeline and Hazardous Materials Safety Administration Program Overview The Natural Gas Distribution Infrastructure Safety and Modernization (NGDISM) grant’s eligible entities are municipality- or community-owned utilities, not including for-profit entities, seeking assistance in repairing, rehabilitating, or replacing high-risk, leak-prone natural gas distribution infrastructure, or in acquiring equipment to reduce incidents and fatalities and avoid economic losses. The NGDISM Grant Program also strives to create good-paying jobs, promote economic growth, and benefit disadvantaged rural and urban communities with safe provision of natural gas. Objective The objectives of the NGDISM Grant Program are to: 1. advance the safe delivery of energy through reducing the risk profile of existing municipal- and community-owned natural gas distribution infrastructure that contains high-risk, leaking, and/or leak-prone pipe; 2. focus on projects that will have the greatest benefits for communities of all sizes needing the most support to make their natural gas distribution pipelines safer for their residents and businesses, and to protect our environment from dangerous incidents and/or leaks; 3. benefit disadvantaged communities, in both rural and urban areas, by reducing incidents and fatalities, and avoiding economic losses caused by natural gas distribution pipeline failures; 4. protect our environment and reduce climate impacts by remediating aged and failing natural gas distribution pipelines and distribution pipe prone to leakage; 5. provide positive economic impact and growth; and, 6. create and sustain good-paying infrastructure-related jobs. Page 220 of 368 2 Eligible Applicants The FY 2024 NGDISM Grant Program is open to the following entities: a. City or township governments owning and operating a natural gas distribution system b. Community-owned utilities owning and operating a natural gas distribution system (owned by the customers it serves) c. County governments owning and operating a natural gas distribution system d. Municipality-owned utilities owning and operating a natural gas distribution system (owned by a local government) e. Native American tribal governments (federally recognized) owning and operating a natural gas distribution system For-profit entities, and/or any pipeline assets owned by a for-profit entity, are not eligible for NGDISM grant funding. Eligible Project Types Grant funds will be made available to eligible entities seeking assistance in repairing, rehabilitating, or replacing high-risk, actively leaking, or leak- prone natural gas distribution infrastructure. Funds may also be used to acquire equipment that will assist in reducing natural gas distribution pipeline incidents and fatalities, as well as to avoid economic loss from leaks. Funding PHMSA will make available up to $196 million utilizing FY 2025 funding for NGDISM grants under this NOFO. Deadline Thursday, June 20, 2024, 11:59 p.m. PDT: Application Due. Page 221 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 1 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Notice of Funding Opportunity Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Fiscal Year (FY) 2024 NOFO Posted Date: Thursday, May 9, 2024 Applications Due Date: Thursday, June 20, 2024, 11:59 p.m. PDT Questions Due Date: Thursday, June 13, 2024, 11:59 p.m. PDT Assistance Listing (formerly CFDA) 20.708 “Natural Gas Distribution Infrastructure Safety and Modernization Grant Program1“ Applicants must be registered at www.Grants.gov to apply online. Applicants must maintain an active registration in the System for Award Management (SAM) at www.SAM.gov. Applicants are encouraged to register with FedConnect at https://www.fedconnect.net for an account before submitting an application. Section D.6, Other Submission Requirements, contains more information on Grants.gov, Sam.gov, and FedConnect systems. 1 https://www.phmsa.dot.gov/grants/pipeline/natural-gas-distribution-infrastructure-safety-and- modernization-grants U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration (PHMSA) Page 222 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 2 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Table of Contents SECTION A – PROGRAM DESCRIPTION ............................................................................. 4 A.1 Program Overview .......................................................................................................... 4 A.2 Statute and Program Authority ....................................................................................... 4 A.3 Background ..................................................................................................................... 5 A.4 Program Goals and Objectives ........................................................................................ 5 SECTION B – FEDERAL AWARD INFORMATION ............................................................ 5 B.1 Award Size and Amount Available ................................................................................ 5 B.2 Period of Performance .................................................................................................... 6 B.3 Type of Award ................................................................................................................ 6 B.4 Availability of Funds ...................................................................................................... 6 SECTION C – ELIGIBILITY INFORMATION ...................................................................... 6 C.1 Eligible Applicants.......................................................................................................... 6 C.2 Cost Sharing or Matching ............................................................................................... 7 C.3 Other Criteria .................................................................................................................. 7 SECTION D – APPLICATION AND SUBMISSION INFORMATION ................................ 7 D.1 Address to Request Application Package ....................................................................... 7 D.2 Content and Form of Application Submission ................................................................ 8 D.3 Unique Entity Identifier (UEI) and System for Award Management ........................... 21 D.4 Submission Dates and Times ........................................................................................ 22 D.5 Funding Restrictions ..................................................................................................... 22 D.6 Other Submission Requirements ................................................................................... 22 SECTION E – APPLICATION REVIEW INFORMATION ................................................ 24 E.1 Criteria .......................................................................................................................... 24 E.2 Review and Selection Process ...................................................................................... 25 E.3 Database for Integrity and Performance of Awarded Federal Grants ........................... 28 E.4 Anticipated Announcement and Federal Award Dates ................................................. 28 SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION ..................... 29 F.1 Federal Award Notice ................................................................................................... 29 F.2 Administrative and National Policy Requirements ....................................................... 30 F.3 Reporting Requirements ............................................................................................... 34 SECTION G – FEDERAL AWARDING AGENCY CONTACTS ........................................ 36 SECTION H – OTHER INFORMATION ............................................................................... 36 Freedom of Information Act ..................................................................................................... 36 Protection of Confidential Business Information/Freedom of Information Act ....................... 37 DEFINITIONS ............................................................................................................................ 38 Page 223 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 3 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program PROGRAM SUMMARY Federal Agency Name: U.S. Department of Transportation (DOT) Pipeline and Hazardous Materials Safety Administration (PHMSA) Funding Opportunity Title: Natural Gas Distribution Infrastructure Safety and Modernization Grant Program - FY 2024 Announcement Type: Initial Announcement Funding Opportunity Number: 693JK324NF0013 Assistance Listing Number: 20.708 NOFO Posted Date: Thursday, May 9, 2024 Application Due Date: Thursday, June 20, 2024, 11:59 p.m. PDT Question Due Date: Thursday, June 13, 2024, 11:59 p.m. PDT Page 224 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 4 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Natural Gas Distribution Infrastructure Safety and Modernization Grant Program FY 2024 Notice of Funding Opportunity (NOFO) MISSION The mission of the U.S. Department of Transportation (DOT or Department) is to deliver the world’s leading transportation system, serving the American people and economy through the safe, efficient, sustainable, and equitable movement of people and goods. The top priority of DOT’s Pipeline and Hazardous Materials Safety Administration (PHMSA) is safety, with our mission being to protect people and the environment by advancing the safe transportation of energy and hazardous materials that are essential to our daily lives. As part of this mission, PHMSA administers a national regulatory safety program for the approximately 3.3 million miles of interstate and intrastate pipelines in the United States. PHMSA establishes national policy, sets and enforces standards, educates, and conducts research to prevent incidents. PHMSA also prepares the public and first responders to reduce consequences if an incident does occur and administers numerous federal grants to advance pipeline safety and protect the environment. SECTION A – PROGRAM DESCRIPTION A.1 Program Overview The Natural Gas Distribution Infrastructure Safety and Modernization (NGDISM) Grant Program’s eligible entities are municipality- or community-owned utilities, not including for- profit entities, seeking assistance in repairing, rehabilitating, or replacing high-risk, leak-prone natural gas distribution infrastructure, or in acquiring equipment to reduce incidents and fatalities and avoid economic losses. The NGDISM Grant Program also strives to create good-paying jobs,2 promote economic growth, and benefit disadvantaged rural and urban communities with safe provision of natural gas. The Department seeks to fund projects that advance the Departmental priorities of safety, equity, climate and sustainability, and workforce development, job quality, and wealth creation as described in the USDOT Strategic Plan, Research, Development and Technology Strategic Plan, and in executive orders. Assistance Listing: 20.708 Complete application packages are due via Grants.gov no later than 11:59 p.m., EST, June 20, 2024. Also see Section D.4. A.2 Statute and Program Authority Division J of the Infrastructure Investment and Jobs Act (IIJA) (Pub. L. 117-58) provides funding for the NGDISM Grant Program. 2 See Definitions section, Good-paying jobs. Page 225 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 5 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program A.3 Background On November 15, 2021, President Biden signed the IIJA, which is the most significant investment in our Nation’s infrastructure in more than half a century. This includes PHMSA’s first ever NGDISM Grant Program. The legislation designates $200 million per year in grant funding with a total of $1 billion in grant funding over five years to improve the safety of high- risk, actively leaking, or leak-prone natural gas distribution infrastructure and create good-paying jobs, with an emphasis on benefiting disadvantaged communities, in both rural and urban areas. The legislation also authorizes PHMSA to use up to $4 million for each fiscal year for administrative expenses. Subject to the availability of funds, PHMSA will make fiscal year 2025 funding available under this FY 2024 NOFO for a total of $196 million. A.4 Program Goals and Objectives The goals of the NGDISM Grant Program are to: (1) advance the safe delivery of energy through reducing the risk profile of existing municipal- and community-owned natural gas distribution infrastructure that contains high-risk, leaking, and/or leak-prone pipe; (2) focus on projects that will have the greatest benefits for communities of all sizes needing the most support to make their natural gas distribution pipelines safer for their residents and businesses, and to protect our environment from dangerous incidents and/or leaks; (3) benefit disadvantaged communities, in both rural and urban areas, by reducing incidents and fatalities, and avoiding economic losses caused by natural gas distribution pipeline failures; (4) protect our environment and reduce climate impacts by remediating aged and failing natural gas distribution pipelines and distribution pipe prone to leakage; (5) provide positive economic impact and growth; and, (6) create and sustain good-paying infrastructure-related jobs. SECTION B – FEDERAL AWARD INFORMATION B.1 Award Size and Amount Available Congress appropriated $1 billion over five years to implement and administer the NGDISM Grant Program, with $200 million appropriated annually and up to $4 million to be used for PHMSA’s administrative costs. PHMSA will make available up to $196 million utilizing FY 2025 funding for NGDISM grants under this NOFO. Any selections and awards under this NOFO are subject to the availability of appropriated NGDISM funds. There is no award minimum amount. Applicants may submit applications for multiple projects. PHMSA anticipates making multiple awards with the available funding. PHMSA will try to fully fund as many Highly Recommended applications as possible. PHMSA may not be able to award grants to all eligible applications Page 226 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 6 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program even if they score highly during the evaluation. PHMSA strongly encourages applicants to propose projects that have operational independence or a component of such a project. Award(s) to a single entity may not be more than 12.5 percent of the total available funds for the grant program ($1 billion). Therefore, during this five-year grant program, a single entity cannot receive more than $125 million in NGDISM funding. B.2 Period of Performance The period of performance is up to 60 months. B.3 Type of Award PHMSA will make discretionary awards via grant agreements for projects selected under this NOFO. NGDISM award disbursements to recipients will be for eligible costs incurred on a reimbursable basis. Consistent with 2 CFR Part 200, recipients must certify that their expenditures are allowable, allocable, reasonable, and necessary to the approved project(s) before requesting reimbursement. B.4 Availability of Funds The IIJA makes FY 2025 NGDISM grant funds available for award/obligation through September 30, 2035. There is no pre-award authority to incur costs for these projects before the effective date of the federal award. At the time project selections are announced, DOT may extend pre-award authority for the selected projects. Unless authorized by DOT in writing, costs incurred prior to award of grant funding under this NOFO via a signed grant agreement (“pre- award costs”) are ineligible for reimbursement.3 SECTION C – ELIGIBILITY INFORMATION C.1 Eligible Applicants The FY 2024 NGDISM Grant Program NOFO is open to the following entities: a. City or township governments owning and operating a natural gas distribution system b. Community-owned utilities owning and operating a natural gas distribution system (owned by the customers it serves) c. County governments owning and operating a natural gas distribution system d. Municipality-owned utilities owning and operating a natural gas distribution system (owned by a local government) e. Native American tribal governments (federally recognized) owning and operating a natural gas distribution system 3 Pre-award costs are only costs incurred directly pursuant to the negotiation and anticipation of the NGDISM grant award where such costs are necessary for efficient and timely performance of the scope of work, as consistent with 2 CFR Part 200 determined by DOT. See 2 C.F.R. 200.458 for more information. Page 227 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 7 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program For-profit entities, and/or any pipeline assets owned by a for-profit entity, are not eligible for NGDISM grant funding. C.2 Cost Sharing or Matching There are no cost-sharing or matching requirements in the NGDISM Grant Program. Applicants may propose projects that involve non-federal contributions and describe in their application the nature and impact of the non-federal contribution on the proposed project(s)/equipment. Cost share/matching (the amount of non-federal contribution) is not a merit criterion or a competitiveness factor. C.3 Other Criteria See Section B for funding ceilings for projects and entities/applicants. If an applicant was unsuccessful in obtaining grant funding for their project in a previous fiscal year NGDISM award period, the applicant may submit a new application for the same project for each fiscal year that NGDISM funding is made available. If an applicant is successful in obtaining grant funding in a previous year NGDISM NOFO, the applicant may submit new application(s)/projects for each fiscal year that NGDISM grant funding is made available. Similarly, if an applicant previously received partial funding, a request for additional funding to complete the project is allowable. The entity/applicant must be the owner of the natural gas distribution pipeline system at the time of application. Entities operating both transmission and distribution systems may apply for projects involving their distribution systems. NGDISM funds are to repair, replace, or rehabilitate existing pipeline distribution infrastructure. Installing or extending new natural gas capabilities are not eligible for the NGDISM Grant Program. For example, a project that proposes to install or extend new pipe for the purposes of providing services to new customers would not be eligible. SECTION D – APPLICATION AND SUBMISSION INFORMATION D.1 Address to Request Application Package The application package can be accessed at www.Grants.gov. Applicants are to download the application package associated with this funding opportunity by following the directions provided on www.Grants.gov. To request a hard copy of the application package (via postal mail, FedEx, or e-mail), please contact: NGDISM Grant Team E23-301 (PHP-3) Page 228 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 8 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Ave. SE Washington, DC 20590 E-mail: PHMSAPipelineBILGrant@dot.gov Phone: 202-366-7652 If you are hearing-impaired, please contact the FR/TTY at 1-800-877-8339 or e-mail PHMSA-Accessibility@dot.gov. D.2 Content and Form of Application Submission Applications for the FY 2024 NGDISM Grant Program should be submitted in electronic format in Grants.gov. See Section D.6 for additional information on Grants.gov. To ensure application fairness for all, PHMSA will be unable to meet with applicants or discuss applications with applicants during the submission period. Refer to PHMSA’s Frequently Asked Questions document (FAQs) posted on PHMSA’s NGDISM website. There are two sections: 1. Standard Forms that an applicant downloads and completes from Grants.gov under the FY 2024 NGDISM Grant Program funding opportunity; and, 2. Attachments the applicants create and upload per the NOFO requirements. Standard Forms The following forms are found on Grants.gov under the FY 2024 NGDISM Grant Program funding opportunity and must be completed by the applicant and must be included as part of the application. The Authorized Representative (AR) named on the SF-424 must sign all forms. Please note, a required form(s) identified below may be listed in grants.gov, in the Package tab, as an optional form; or listed in grants.gov in the Related Documents tab. Applications need to submit the completed required forms as listed in this section, regardless of where forms/documents are located in grants.gov. 1. Standard Form (SF)-424 – Application for Federal Assistance a. Mandatory: Two points of contact are required. Person named/contact information in Section 8f must not be the same person named as the Authorized Representative (AR) in Section 21. b. The AR must sign the 424. The AR must have the legal authority to sign documents for their entity, to give assurances, make commitments, enter into contracts, and/or execute such documents on behalf of the applicant/entity. The signature of the AR certifies that commitments made on grant proposals/applications will be honored and ensures that the applicant agrees to conform to the Federal grant 2 CFR 200 regulations. AND EITHER: Page 229 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 9 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Equipment Only without pipeline infrastructure improvements: SF-424A - Budget Information - Non-Construction Programs SF-424B - Assurances - Non-Construction Programs (AR named on the SF-424 must sign) OR Construction/pipeline infrastructure improvements with/without equipment: SF-424C - Budget Information - Construction Programs SF-424D - Assurances - Construction Programs (AR named on the SF-424 must sign the 424D) AND 2. Budget Narrative Attachment Form 3. Project Narrative Attachment Form 4. Grants.gov Lobbying Form; and Disclosure of Lobbying Activities form (SF-LLL), if applicable. The AR named on the SF-424 must be named on and sign the Lobbying forms. 5. USDOT Standard Title VI/Non-Discrimination Assurances a. Non-USDOT Standard Title VI/Non-Discrimination Assurances forms are not acceptable. b. The AR named on the SF-424 must sign the Title VI/Non-Discrimination Assurances form. Attachments The following applicant attachments are created by the applicant and uploaded to Grants.gov under the FY 2024 NGDISM Grant Program funding opportunity to be included as part of the applicant’s grant application package. 1. Project Narrative 2. Budget Narrative 3. Indirect cost rate agreement, and/or statement claiming a 10-percent de minimis rate (if applicable). 4. Most current Distribution Integrity Management Plan (DIMP) that supports your application. 5. Most current USDOT/PHMSA Gas Distribution System Annual Report (GDAR) (Form PHMSA F 7100). 6. Additional optional attachments (if applicable). Electronic Format: All application/attachment files are to be in Word, Excel, PowerPoint, Adobe, and/or picture/image (GIF, JPEG, PNG) formats. For any other file formats, PHMSA does not have the application/software to open/view these files therefore any information in other file formats will not be considered during the application review(s). Page 230 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 10 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Sharing of Application Information: The Department may share application information within the Department or with other Federal agencies if the Department determines that sharing is relevant to the respective program’s objectives. Project Narrative The following Project Narrative, sections 1–8, are required. Applicants should clearly identify the sections in the Project Narrative and follow the structure requested/prescribed order in this NOFO. Note: Adhere to the information in this NOFO for your application package. 1. Cover Letter 2. Applicant Eligibility and Statement of Authority and Pipeline Infrastructure Safety and Modernization Capabilities 3. Project Summary 4. Detailed Project Description 5. Projected Outputs and Objectives 6. Project Implementation and Management 7. Statement Certifying Compliance with Equity Requirement 8. Domestic Preference/Buy America PHMSA recommends that the Project Narrative be prepared with standard formatting preferences (a single-spaced document, using a standard 12-point font such as Times New Roman, with 1-inch margins, and narrative text in one column only). The Project Narrative may not exceed 25 pages in length (excluding cover pages, table of contents, and supporting documents/attachments). Applicants may submit supporting documents via website links rather than hard copies. It is important to ensure the website links are currently active, accessible, and working. If supporting documents are submitted, applicants must clearly identify the page number(s) of the relevant portion in the Project Narrative supporting documentation. PHMSA recommends using appropriately descriptive file names (e.g., “Project Narrative,” “Maps,” “Budget Narrative”) for all attachments. PHMSA will not review or consider Project Narrative pages beyond the 25-page limitation, non-working weblinks, and/or attachments’ file formats that do not meet Electronic Format guidance in Section D.6. 1. Cover Letter. Name and Title of this NOFO. Organization/Natural Gas System’s Name. This should include: (1) your organization’s/natural gas system’s name; (2) a brief overview of the governance structure of your organization/system and/or natural gas system’s leadership; and (3) your organization’s/system’s experience and capacity, or the ability to obtain experience and capacity, to manage federal grant programs. Contact Information. Identify the individual name(s) and position title(s), address, email address, and telephone number of the person(s) who will be the: 1. Project Representative(s) responsible for coordinating all the funded project activities; and Page 231 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 11 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program 2. Authorized Representative(s) (AR) who will accept the awarded grant document(s). The AR must have the legal authority to sign documents for their entity, give assurances, make commitments, enter into contracts, and/or execute such documents on behalf of the applicant/entity. The signature of the AR certifies that commitments made on grant proposals will be honored and ensures that the applicant agrees to conform to the grant’s regulations, guidelines, and policies. 2. Applicant Eligibility and Statement of Authority and Pipeline Infrastructure Safety and Modernization Capabilities. A short statement by the applicant verifying/affirming they are a municipal- or community-owned gas distribution utility and have the legal authority and capability to perform pipeline infrastructure repairs, rehabilitation, or replacement, in accordance with 49 CFR § 192, and to purchase equipment. 3. Project Summary. Summary: One project summary per project. The project summary should be no longer than 2-3 sentences. The project summary provides a high-level overview of the overall project/equipment needed to repair, rehabilitate, or replace the natural gas distribution pipeline system and its major components. Project Prioritization: Natural gas distribution project means activities that will repair, rehabilitate, or replace existing distribution lines or components of distribution systems or purchases of equipment that will (1) reduce incidents and fatalities and (2) avoid economic losses. Each activity should be shown as a separate project. (i.e., Project 1 - purchase of equipment, Project 2 - replace 2 miles of 2-inch cast iron pipe etc.). Each project should be ranked numerically by priority. Alphabetical order or other sequential orders will not be accepted. Please ensure all pipe lengths are described in miles. The proposed project should include reasonable boundaries of pipeline that can be replaced within the period of performance. Repairing, replacing, and/or rehabilitating pipeline of a similar material and/or in the same general area is considered a single project. Applicants are encouraged to use the table provided below. Please ensure Project Prioritization numbering and budget totals are consistent throughout the application documents. The values in the project prioritization table must be fully justified and explained in the Projected Outputs and Objectives section of the project narrative. Page 232 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 12 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Project Prioritization Table Priority Number Project Type (construction, equipment-only, or other - please describe) Project Name Existing Pipe Material (if applicable) Miles Replaced Infrastructure Age (if applicable) Estimated Reduction in Annual Methane Emissions (kg/year)4 Estimated number of jobs (if applicable) Total Project Cost (all costs must equal the federal funding requested in the SF-424) 1 Construction Southeast Cast-Iron Replacement Project Cast-iron 9.0 1920s 25,637 100 $9,500,000 2 Equipment Leak Detection Equipment N/A 0.0 1920s 7,121 40 $100,000 3 Other – Regulator Station Regulator Replacement Project Bare steel 0.0 1970s 0.0 N/A $850,000 Total $10,450,000.00 SF-424 Federal Funding Requested $10,450,000.00 4 See table of average methane emissions factors (kg/mile activity) for natural gas pipelines in 5. Projected Outputs and Objectives. Page 233 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 13 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Project Location: If available at the time of application, and/or if applicable, include geospatial data for the project. If project is not geospatially specific, include replacement of assets throughout a service area or the purchase of equipment. If the project includes the repair, rehabilitation, or replacement of assets throughout your system, please generally describe the area where the proposed project will occur. Identify if all, partial, or none of the project is located in a disadvantaged community, including in a rural or urban area.5 Applicants should use the Climate and Economic Justice Screening Tool (CEJST)6 to identify disadvantaged communities as the primary tool. Applicants are strongly encouraged to also use the DOT Equitable Transportation Community (ETC) Tool7 to understand how their community or project area is experiencing disadvantage related to lack of transportation investments or opportunities and are encouraged to use this information in their application to demonstrate how their project will reduce, reverse or mitigate the burdens of disadvantage. Applicants are encouraged to provide an image of the map tool outputs. For sensitive map data, please mark the document/images as confidential. Please note that any project on Tribal land must include a letter expressing Tribal support for the project. Project Schedule: Please include the current project schedule. If not available at the time of application submission, provide best available project schedule estimates/projections. The project schedule identifies all major project milestones from start to completion. The project schedule should be sufficiently detailed to demonstrate that: a. all necessary activities will be completed to allow NGDISM Grant Program funds to be expended within the period of performance; b. all real property and right(s)-of-way acquisition and/or utility easements will be completed in a timely manner in accordance with 49 CFR Part 24 and other applicable legal requirements, or a statement that real property, right(s)-of-way acquisition, utility easements, and/or applicable legal requirements are not needed; 5 See Definitions section, Disadvantaged Community. 6 M-23-09 states that Federal agencies should use the CEJST to identify geographically defined disadvantaged communities for any covered programs under the Justice40 Initiative and for programs where a statute directs resources to disadvantaged communities, to the maximum extent possible and permitted by law. This includes Federally Recognized Tribes, regardless of whether they have land. Applicants should use the CEJST as the primary tool to identify disadvantaged communities. See https://screeningtool.geoplatform.gov/. 7 https://experience.arcgis.com/experience/0920984aa80a4362b8778d779b090723/page/ETC-Explorer---National- Results/ Page 234 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 14 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program c. community input has been or will be fostered through meaningful public involvement, particularly engaging with disadvantaged rural and urban communities that may be affected by the project where applicable; and, d. applicable required project approvals have been completed, such as a high-level screening of fatal flaw environmental impacts (see below “Requirements if PHMSA notifies an applicant of its intent to make a Federal award”); design completion; approval of plans, specifications, and estimates; procurement; state and local approvals; project partnership and implementation agreements; environmental permits; and executed/projected construction agreements. Project Funding: Indicate in a table format the total amount of federal funding requested and total project cost. If more than one project and/or the project(s) will be completed in phases, list funding and estimated timeline details per project(s)/phase(s). Identify whether partial funding would be accepted in order to complete the project and the level of minimum funding needed. Identify whether the replacement, rehabilitation, or repair project was in process prior to the announcement of this award; and whether and by how much the grant would expedite the project or expand the scope or impacts of the project. This will not affect grant award rating(s). Project Eligibility: Examples of eligible grant project expenses may include the following: Construction costs including equipment and labor costs related to repairing, rehabilitating, or replacing leak prone natural gas pipeline distribution infrastructure, which includes main lines, service lines, and related components. Equipment costs related to reducing incidents and fatalities, and avoiding economic losses. Equipment purchases to improve an operator’s leak detection capabilities, to address a risk that could lead to the unsafe operation of a system, and/or to improve an operator’s ability to locate difficult to find legacy pipelines. Examples of ineligible grant project expenses include the following: Projects involving transmission lines, including proposals to lower a transmission line to meet the existing code requirements. See 49 CFR 192.3 Definitions for the definition of a Transmission Line. Projects that will require a PHMSA special permit and/or approval via PHMSA waiver. Extending gas services to areas previously not served. Electrification. Removal of propane tanks and installing a natural gas piping system. Propane community gas systems. Peak shaving liquefied natural gas facilities. 4. Detailed Project Description that includes: Page 235 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 15 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Each project must be mentioned in and supported by the most recent distribution integrity management plan (DIMP) assessment. The supporting DIMP assessment must be no older than two years from the date of the NGDISM application. The scope, schedule, location, and budget (including total cost per mile of mains replaced and total cost per service replaced.) for each proposed project. If applicable, the projects should be listed according to the risk/safety priority order described in the Project Prioritization section. Description of materials being replaced, repaired, or rehabilitated, and a general description of the construction methods to be used (i.e., Horizontal Directional Drill (HDD), cut and cover, insertion, etc.). Describe any relocations, abandonments, and upsizing. Sufficient documentation to support the project: such as engineering drawings preliminary project planning or design including site design; maps; site photos, materials lists, cost estimates received an aerial photograph of the site depicting the proposed location; anticipated environmental and community impacts; and other pre- construction activities of eligible pipeline infrastructure projects. Identify and measure expected outcomes of the proposed work and monitoring progress toward completing project tasks and deliverables during the period of performance. A Safety Risk Profile for each proposed project describing the condition of the current infrastructure in the project area for which funding is being requested. The project Safety Risk Profile should cite relevant data including identified threats, leak statistics, and risk analysis that are present in the operator’s DIMP. The Safety Risk Profile should state how the project will mitigate the identified and list the safety benefits the project will bring to the community. All threats, leak statistics and risk analyses should be supported by and consistent with the DIMP and Gas Distribution Annual Report (GDAR). Identify any potentially immediate danger that the existing infrastructure poses that may result in fatalities, injuries, or environmental hazards. Plan for creating good-paying jobs8 that provide economic impact, growth, and substantial benefits to disadvantaged rural or urban communities. Capacity to provide a reduction in lifecycle greenhouse gas emissions and any other impacts that are beneficial to the environment or public. Confirmation that a plan is in place or will be in place for compliance with civil rights obligations and nondiscrimination laws, including Title VI of the Civil Rights Act of 1964 and implementing regulations (49 CFR Part 21), the Americans with Disabilities Act of 1990 (ADA), and Section 504 of the Rehabilitation Act, all other civil rights requirements and accompanying regulations. If there are any questions concerning the responsibilities under the External Civil Rights Program, please contact Rosanne Goodwill, PHMSA Civil Rights Director, at 202-366-6580 or e-mail PHMSACivilRights@dot.gov. 5. Projected Outputs and Objectives. Provide quantifiable and measurable outputs planned for the grant’s period of performance. Outputs are quantitative data that describe 8 See Definitions, Good-paying jobs. Page 236 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 16 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program the proposed activities. For repair, rehabilitation, or replacement of natural gas distribution pipeline infrastructure, or portions thereof, or acquisition of equipment, outputs should include: (1) the quantity (e.g., mileage, age, and diameter) of pipeline affected; (2) if applicable, cost of equipment purchased for the project; (3) an estimate of the number of jobs the project may create; (4) an estimate of the project’s potential for benefiting disadvantaged rural and urban communities; (5) an estimate of the economic impact or growth over the length of the project; and, (6) an estimate of the reduction in methane emissions attributable to the project, including the method of calculation. Applicants may use the following table to approximate the methane leak rate based on pipeline material that will be replaced by the program. The table is based on Average Methane Emissions Factors (kg/mile activity) for Natural Gas Pipelines. It is adapted from Table 1 EPA GHG Inventory – Annex 3.6, Table 3.6-2. Pipeline Material Type Average Rate (kg/mile/year) Cast Iron 2,877.35 Unprotected Steel 1,491.80 Protected Steel 77.90 Plastic (installation date unknown) 109.85 Plastic (installation prior to 1990) 190.90 New polyethylene (PE) plastic pipe 28.80 The sample applicant’s project prioritization table above lists the first priority as the southeast cast iron replacement project, which will replace 9.0 miles of cast iron pipe. The average rate of methane emissions per year for cast iron pipe is 2,877.35 kg/mile/year. The sample applicant multiples that amount by 9 miles. The product is 25,896.15 kg/year. The applicant will replace the cast iron pipe with polyethylene (PE) plastic pipe. The average rate of methane emissions per year for polyethylene (PE) plastic pipe is 28.80 kg/mile/year. The sample applicant multiples that amount by 9 miles. The product is 259.20 kg/year. The sample applicant finds the difference by subtracting 259.20 kg/year from 25,896.15 kg/year. The difference is 25,636.95 kg/year. The sample applicant reports the difference in the project prioritization table for the southeast cast iron replacement project in the estimated reduction in annual methane emissions column. Rounding to the nearest whole number is acceptable. Page 237 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 17 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Applicants should use the Climate and Economic Justice Screening Tool (CEJST)9 as the primary tool to identify disadvantaged communities. Applicants are strongly encouraged to also use the USDOT Equitable Transportation Community (ETC) Explorer10 to understand how their community or project area is experiencing disadvantage related to lack of transportation investments or opportunities and are encouraged to use this information in their application to demonstrate how their project will reduce, reverse or mitigate the burdens of disadvantage. 6. Project Implementation and Management. Provide a description of the monitoring and quality assurance plan to ensure successful project completion within the period of performance. Describe how your organization will ensure the applicable federal pipeline safety regulations will be followed and grant funds are used appropriately. These may include, but are not limited to, ensuring your DIMP is up to date; implementing safety and performance checks and inspections; and conducting audits of the project. 7. Statement Certifying Compliance with Equity Requirement. Applicants must include a statement certifying they are currently complying (or will comply) with Executive Order (EO) 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government. Equity means the consistent and systematically fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment, such as Black, Latino, and Indigenous persons, Asian Americans and Pacific Islanders; other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality. 8. Domestic Preference/Buy America. Applicants must include a statement certifying they will comply with Domestic Preference/Buy America and, if applicable, include an assessment of materials, products, or manufactured products that would require an exception or waiver of the Buy America provisions. Budget Narrative The Budget Narrative is a detailed explanation of each budget item, which supports the cost of the proposed project(s) and/or equipment. The Budget Narrative should itemize and justify how budget items’ total is calculated. For example, for personnel salary include job title, job function(s), payrate, percentage or hours expected to work on the project to get the total of the line-item expense. The Budget Narrative should be clear, specific, detailed, and mathematically correct. The Budget Narrative needs to correspond to the SF-424A’s or SF-424C’s line-item categories. Please round cents to whole dollars in the Budget Narrative. 9 See https://screeningtool.geoplatform.gov/. 10 See https://experience.arcgis.com/experience/0920984aa80a4362b8778d779b090723/page/ETC-Explorer--- National-Results/ Page 238 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 18 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Grant Funds, Sources and Uses of Project Funds - Project budgets should show how different funding sources will share in each activity and present the data in dollars and percentages. The budget should identify other Federal funds the applicant is applying for, has been awarded, or intends to use. Funding sources should be grouped into three categories: non-federal, NGDISM Grant Program, and other Federal with specific amounts for each funding source. Expense Categories - A well-developed Budget Narrative is an effective monitoring tool for both the awarding agency and the grant recipient. However, a Budget Narrative that does not accurately represent a project’s needs makes it difficult to recommend for funding and to assess financial performance over the life of the project. Once a grant agreement is executed, PHMSA is unable to add additional grant funding to cover additional costs. However, if the award is for more than the actual costs, PHMSA will reimburse for the actual costs. SF-424A Equipment only with no construction For more details, see category instructions/guidance on Grants.gov, Forms tab, 424- family. Page 239 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 19 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Category/Line Item Enter Amount Personnel Not applicable for equipment only applications Fringe Benefits Not applicable for equipment only applications Travel Not applicable for equipment only applications Equipment Yes, if applicable. Equipment is tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost that equals or exceeds $5,000. Supplies Yes, if applicable. Equipment purchases of less than $5,000 per unit would be listed under Supplies or Other. Contractual Yes, if applicable. Analyze the cost benefits of purchasing versus leasing equipment, particularly high-cost items, and those subject to rapid technical advances. List rented or leased equipment costs in the Contractual or Other category, depending upon the procurement method. Construction Not applicable for NGDISM equipment only applications. Use the SF-424C. Other Yes, if applicable. Equipment purchases of less than $5,000 per unit would be listed under Supplies or Other. Analyze the cost benefits of purchasing versus leasing equipment, particularly high-cost items, and those subject to rapid technical advances. List rented or leased equipment costs in the Contractual or Other category, depending upon the procurement method. See SF-424A instructions for other acceptable expenses for Other. Indirect Charges Not applicable for equipment only applications The purchase of equipment to reduce methane emissions during rehabilitation, repair, or replacement activities is an allowable program cost and should be included in the project’s budget. Each item of equipment must be identified with the corresponding cost; general purpose equipment must be justified as to how it will be used on the project. Applicants should analyze the cost benefits of purchasing versus leasing equipment, particularly high-cost items, and those subject to rapid technical advances. PHMSA encourages all applicants to reference in their applications whether they plan to utilize pipeline blowdown mitigation practices, if applicable; for example: • Diverting to lower pressure pipelines: Transfer gas to a parallel line. • In-Line compression: Operate downstream compression after upstream valve is closed. • Mobile compression: Use additional compressors to move gas or pull line down to lower pressure (e.g., incremental gain). Page 240 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 20 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program • Vacuum Purge Technology: Removal of air in a natural gas pipeline with vacuum equipment. SF-424C Construction with or without equipment purchase For more details, see category instructions/guidance on Grants.gov, Forms tab, 424- family. Category/Line Item Enter Amount Administrative and legal expenses If applicable. Land, structures, rights-of-way, appraisals, etc. If applicable. Relocation expenses and payments If applicable. Architectural, environmental, and engineering fees If applicable. Other architectural and engineering fees If applicable. Project inspection fees If applicable. Site work If applicable. Demolition and removal If applicable. Construction If applicable. Equipment If applicable. Equipment is tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost that equals or exceeds $5,000. Miscellaneous If applicable. Equipment purchases of less than $5,000 per unit would be listed as Miscellaneous. Contingencies If applicable and not to exceed 10 percent of land, structures, rights-of-way, appraisals, etc. and construction categories only. Project (program) income If applicable. Applicants are encouraged to account for all anticipated costs, including price fluctuations, anticipated environmental costs, restoration costs, anticipated costs with federal grants management training, and costs associated with single audits and program audits when preparing project budgets. If selected for an award, PHMSA highly encourages recipients who may have little to no experience managing federal awards to take federal grants management training for staff who will be working on the programmatic or financial aspects of the grant. This training is available in person or online and is offered by various vendors nationwide. Such training will ensure that recipients who are selected for awards fully understand and are prepared to manage the requirements associated with complying with a federal award. This training is recommended to be taken at the beginning of the award after the grant Page 241 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 21 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program agreement is executed. Such costs should go under the Administrative line item on the SF-424C. SF-424C only: Contingency amounts, not to exceed 10 percent, may be included in the budget to the extent they are necessary to improve the precision of project estimates. Pre-Award costs: There is no pre-award authority for any costs incurred before the effective date of the award announcement However, the applicant should provide a thorough and concise explanation of the project elements (e.g., design services) and include the projected pre-award costs as part of their application/budget estimate. Once provisional project selections are made, PHMSA may extend pre-award cost reimbursement authority for these provisionally selected projects for costs incurred after the project has been provisionally selected. SF-424C only: Indirect Costs: In general, indirect costs are not applicable to most construction grant projects. If an applicant plans to charge the de minimis indirect cost rate, the Modified Total Direct Cost (MTDC) calculation must be used. The MTDC calculation excludes capital expenditures and equipment costs. The detailed budget justification template and the budget narrative should clearly explain how indirect costs are being applied/calculated. If applicants will claim the 10 percent de minimis rate for indirect costs, please ensure that a statement is included in the application and that the MTDC calculation is utilized. If claiming a higher indirect cost rate, the applicant must attach a copy of their most recent negotiated indirect cost rate agreement. See 2 CFR 200.1 for more information: https://www.ecfr.gov/current/title-2/subtitle-A/chapter- II/part-200#p-200.1(Modified%20Total%20Direct%20Cost%20(MTDC)). D.3 Unique Entity Identifier (UEI) and System for Award Management Each applicant is required to: Register in SAM (SAM.gov) before submitting an application; Provide a valid UEI in the application; and Continue to maintain an active SAM registration with current information at all times during which they have an active federal award or an application under consideration. PHMSA may not make an award to an applicant until the applicant has complied with all applicable UEI and SAM requirements. If an applicant has not fully complied with the requirements by the time PHMSA is ready to make an award, PHMSA may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant. PHMSA recommends that applicants review the SAM database to ensure that their UEI number is updated and “active.” Link: https://sam.gov/content/home. For issues with SAM.gov, applicants may call the Federal Service Desk at 866-606-8220 or create an incident ticket via https://www.fsd.gov/gsafsd_sp. Page 242 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 22 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program D.4 Submission Dates and Times Applicants must submit complete application packages via Grants.gov no later than 11:59 p.m., PDT, June 20, 2024. Applicants are strongly encouraged to verify their access to Federal Grant Systems (Section D.6) early, to ensure any technical issues can be resolved, and to apply early to ensure all materials will be received before the deadline. PHMSA verifies the dates and times of applications submitted via Grants.gov to determine timeliness of submissions. Applications received after the deadline will not be considered. D.5 Funding Restrictions The following costs are not eligible for reimbursement under the FY 2024 NGDISM Grant Program: 1. Pre-award costs incurred prior to the effective date of the award to which PHMSA has not extended pre-award authority in writing. 2. Entertainment, alcohol, or morale costs. 3. Expenses claimed and/or reimbursed by another program. 4. Excessive costs for general office supplies, equipment, computer software, printing and copying. 5. Expenses that supplant existing operational funds. 6. Any costs disallowed or stated as ineligible in 2 CFR Part 200. 7. Restrictions on Use of Funds for Lobbying, Support of Litigation, or Direct Advocacy. The recipient and its contractors may not conduct political lobbying, as defined in the statutes, regulations, and 2 CFR § 200.450 “Lobbying,” within the federally-supported project. The recipient and its contractors may not use federal funds for lobbying specifically to obtain grants and cooperative agreements. The recipient and its contractors must comply with 49 CFR Part 20, U.S. DOT “New Restrictions on Lobbying.” Funds may not be used, directly or indirectly, to support or oppose union organizing. D.6 Other Submission Requirements Applications will only be accepted via Grants.gov using required username(s) and password(s) needed to access the Grants.gov website. There is no limitation on the number of applications that may be submitted by an eligible applicant. Each application must be complete and be able to stand on its own merits. If an applicant requires accommodations, or has difficulties submitting their application(s) via Grants.gov and is unable to resolve their Grants.gov issue(s) via the Grants.gov Online Help and/or Support Desk, that applicant should contact the NGDISM Grants Team prior to the deadline date via email at PHMSAPipelineBILGrant@dot.gov to request an alternative means to submit their application(s). Page 243 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 23 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Electronic File/Attachments Format: All application/attachment file formats are to be Word, Excel, PowerPoint, Adobe, and/or picture/image (GIF, JPEG, PNG) formats. For any other file formats, PHMSA does not have the application/software to open/view these files and any information in other file formats will not be considered during the application review(s). To begin the application process, applicants must be registered with Grants.gov to submit an application. See Grants.gov section below. Failure to comply with the prescribed application requirements may result in the failure of an application to be reviewed. Accessing Federal Grant Systems: PHMSA acknowledges applicants may experience technical issues with federal grant systems’ sites, which are outside of PHMSA’s control. PHMSA recommends applicants utilize the sites’ respective help desks to resolve any technical issues well before the NOFO’s closing date. Although PHMSA will provide any assistance it can, all applicants are ultimately responsible for working directly with Grants.gov and/or SAM.gov to resolve technical issues. 1. Grants.gov. In order to apply for NGDISM grant funding under this announcement, all applicants are to be registered as an organization with Grants.gov. For new users, it is highly recommended that applicants begin the registration process and become familiar with the Grants.gov website as soon as possible to avoid delays in submission. For new users, go to http://www.grants.gov/web/grants/applicants.html or go to the main page at Grants.gov and select “Get Started”, and then “Register.” NOTE: New user registrations for Grants.gov may take up to two weeks to complete. Options for additional questions on how to register and/or to resolve Grants.gov issues are: utilize Grants.gov Online Self-Help (https://gditshared.servicenowservices.com/hhs_grants), utilize Grants.gov “Create a Ticket” feature (https://gditshared.servicenowservices.com/hhs_grants), contact Grants.gov Support Desk, 24 hours a day, 7 days a week, excluding federal holidays, by phone at 800-518-4726 or by e-mail at support@grants.gov. PHMSA encourages applicants to utilize the Grants.gov Workspace feature. This feature allows applicants to assign roles so that multiple individuals can work on an application. For more information about the workspace, please review this short Grants.gov video. 2. Sam.gov. Applicants may: Use SAM.gov self-help options to search help articles to find an answer; or, Ask the Federal Service Desk by calling them at 866-606-8220, Monday - Friday 8 a.m. to 8 p.m. ET; or creating an incident ticket via https://www.fsd.gov/gsafsd_sp. Page 244 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 24 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program 3. FedConnect. Applicants are encouraged to register for an account with FedConnect at https://www.fedconnect.net before submitting an application. Your organization’s Marketing Partner Identification Number (MPIN), which can be retrieved from the System for Award Management (SAM), is required to create an account. Instructions on how to register in FedConnect and how to use the portal are on the FedConnect home page. For other technical issues or questions, e-mail fcsupport@unisonglobal.com or call 1-800-899-6665, option 2. The FedConnect Support Center is staffed Monday––Friday 8 a.m. to 8 p.m., EST, except federal holidays. SECTION E – APPLICATION REVIEW INFORMATION E.1 Criteria PHMSA developed criteria to evaluate submitted applications. Submission of an application is not a guarantee of award. PHMSA may, at its discretion, award grant funds based on an application in its entirety, award grant funds for portions of an application, or not award any grant funds at all. Merit Criteria: The criteria that follow are for evaluation purposes only. Do NOT submit responses to the questions below as part of an application package. PHMSA will use these criteria to evaluate and rate applications. Technical Review Criteria PHMSA will evaluate the extent to which the project will address the following technical criteria: 1. To what extent does the application’s proposal relate to repairing, rehabilitating, or replacing a natural gas distribution pipeline system or portions of it, or acquiring equipment to (1) reduce incidents and fatalities; and (2) avoid economic losses of natural gas distribution systems? 2. Does the application’s project scope establish clear goals and objectives? 3. What is the age of the pipeline proposed to be replaced, and the specific pipeline materials being replaced, rehabilitated, or repaired? 4. Does the application adequately justify the project cost and the project timeline? 5. Does the application provide adequate specifics and descriptions of design and construction activities/tasks proposed? 6. Does the application include a safety risk profile for the proposed project(s), and is it in line with the operator’s most recent DIMP? 7. What is the likelihood that the project(s) outlined can be completed within the period of performance? 8. Does the most recent Gas Distribution Annual Report support the needs stated in the application and the description of the existing gas distribution infrastructure? Page 245 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 25 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program 9. For applications requesting funds to acquire equipment, what is the potential of the equipment to reduce incidents and fatalities and help avoid economic losses of natural gas distribution systems? Programmatic Review Criteria PHMSA will evaluate the extent to which the project will address the following programmatic criteria: 1. To what extent is the applicant’s pipeline actively leaking? (For example, actively leaking, prone to leaking, or preventing potential leaks from happening in the future?) 2. What are the total number of miles the applicant proposes to repair, replace, or rehabilitate? 3. What is the project’s potential to reduce methane/greenhouse gas emissions? 4. What is the project’s estimated ability to complete the National Environmental Policy Act (NEPA) process if it needs a right-of-way? (For example, does the applicant currently have control of the proposed project site?) 5. Is the US Census tract of the proposed project fully, partially, or not at all located in a disadvantaged community or a community facing other relevant disadvantages or burdens, such as those related to lack of transportation investments or opportunities? 6. Is there any potentially immediate danger that the existing infrastructure poses that may result in fatalities, injuries, or environmental hazards? 7. Does the budget narrative align with the SF-424A (non-construction) or SF-424C (construction)? 8. Does the total cost per project equal the federal amount requested on the SF-424? E.2 Review and Selection Process 1. Administrative/Intake Review: PHMSA will conduct an administrative/intake review to ensure the application meets the eligibility criteria. Each application will be reviewed for completeness to ensure it includes all the required elements to qualify for the grant. During the Administrative/Intake review, if applicable, PHMSA may request, one-time only (via e-mail), for an applicant to submit any missing required document(s)/form(s) to complete their grant application package. This is not an opportunity to rewrite/change any application documents that were not requested by PHMSA. If an applicant doesn’t reply to PHMSA’s one-time request within the deadline stated in PHMSA’s request, their applicant package may be incomplete/ineligible and not move forward in PHMSA’s review process. Once Administrative/Intake is completed, including the one-time request for missing documents, to ensure a fair and unbiased evaluation of all submitted applications, PHMSA will not request additional information from applicants regarding their grant applications. If the application does not meet the required elements in this NOFO, then the application is likely to be rejected/rated Not Acceptable. Page 246 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 26 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program 2. Technical Review: PHMSA will conduct a technical review to assess how the proposed work is to be performed and whether the applications are responsive to the applicable program requirements as identified in Section E.1. Technical review members may consist of representatives from pipeline safety stakeholder groups who are not competing for this grant program, the public, and/or PHMSA pipeline staff. Review members will all be screened against conflicts of interests by a signed Non-Disclosure and Conflict of Interest certification. 3. Programmatic Review: PHMSA will conduct a programmatic review to assess programmatic factors identified in Section E.1. Programmatic factors are those relevant and essential to the process of selecting applications that best achieve the program objectives, in accordance with applicable statutes, regulations, policies, and guidelines. Additional Priorities and Selection Considerations: After completing the merit review, among projects of similar merit, PHMSA may prioritize projects according to the following key Administration and DOT objectives: Safety: PHMSA will assess the project’s ability to commit to advancing safe, efficient transportation. Applicants must address how their project provides substantial safety benefits. Projects that have the potential to provide the greatest safety benefits for both people and the environment, such as those which seek to address active leaks, may be prioritized. Applicants should include how their project will not negatively impact the overall safety of the public. Climate Change and Sustainability: PHMSA will assess how the applicant addresses the project’s consideration of climate change and environmental justice in the planning stage and in project delivery. In particular, PHMSA will consider estimated methane leakage reduction attributable to the project as methane is a potent greenhouse gas. PHMSA will consider how the project incorporates evidence-based climate resilience measures and features. PHMSA will also consider whether the project avoids adverse environmental impacts including, but not limited to air and water quality, wetlands, endangered species, cultural resources, Section 4(f) properties, Tribal treaty rights, and other aspects of the human environment, as well as address disproportionate negative impacts of climate change and pollution on disadvantaged communities, including natural disasters, with a focus on prevention, response, and recovery. Workforce Development, Job Quality, and Wealth Creation: PHMSA will assess the project’s ability to: expand strong labor standards,11 including not only compliance with prevailing wage requirements but also construction labor provisions that are relevant to the project. include high-quality workforce development programs with supportive services to help train, place, and retain people in good-paying jobs or registered apprenticeship. demonstrate clear utilization of local and economic hiring preferences that ensure workers on the project come from disadvantaged communities. 11 See Definitions section, Good-paying jobs. Page 247 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 27 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program track and publish aggregate workforce data, including information on demonstrating that employment opportunities are available to historically underserved workers in their communities. include local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises, Minority-Owned Businesses, Women-Owned Businesses, or 8(a) firms. describe a state/regional/local comprehensive plan to promote equal opportunity, including removing barriers to hire, prevent harassment on work sites, and ensure that plan demonstrates action to create an inclusive environment with a commitment to equal opportunity.12 Equity: PHMSA will assess the project’s ability to create proportional impacts to all populations in a project area, remove transportation related disparities to all populations in a project area, and increase equitable access to project benefits, consistent with Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009). PHMSA will assess how the applicant addresses the project’s consideration of climate change and environmental justice in the planning stage and in project delivery. Geographic Diversity: When selecting awardees, PHMSA may consider geographic diversity, including the balance between urban, rural, and tribal communities. Ratings Guidelines: After applying the merit criteria in Section E.1, each application will be assigned an overall rating of Highly Recommended, Recommended, Acceptable, or Not Acceptable. The technical criteria will be weighed more heavily than the programmatic criteria. PHMSA will then apply the selection considerations listed in Section E.2 before making award recommendations. The following is a list of ratings and their corresponding definitions: Highly Recommended: The application demonstrates that the NOFO requirements are very well understood, and the approach will likely result in high-quality performance. The application clearly addresses and exceeds requirements with no weaknesses. The application contains outstanding features that meet or exceed the expectations of DOT on multiple dimensions. The application scope aligns extremely well with DOT objectives and priorities. The risk of poor performance is very low. Recommended: The application demonstrates that the NOFO requirements are understood, and the approach will likely result in satisfactory performance. The application addresses and meets requirements with some minor but correctable weaknesses. The application demonstrates requisite experience, qualifications, and performance capabilities. The application scope aligns with DOT objectives and priorities. The risk of poor performance is low. 12 See Definitions section, Equal Opportunity Plans. Page 248 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 28 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Acceptable: The application demonstrates that the NOFO requirements are mostly understood, and the approach will likely result in satisfactory performance of part of the requirements. The application addresses some of the requirements with some weaknesses. The application demonstrates some experience, qualifications, and/or performance capabilities. The application partially aligns with DOT objectives and priorities. The risk of poor performance is moderate. Not Acceptable: The application does not meet the NOFO requirements. The application fails to address many requirements. The applicant may be ineligible to apply for the grant. The application could not satisfy critical requirements without a major revision and/or a rewrite of the application or a major redirection effort. The application scope does not align with DOT objectives and priorities. The risk of poor performance is high. Selection Process: PHMSA will recommend applications for provisional award based on the Rating Guidelines above. PHMSA may not be able to award grants to all eligible applications even if they meet or exceed the evaluation criteria. Final award recommendations will be made by PHMSA’s Deputy Administrator after taking into consideration recommendations made during the administrative/intake, technical, programmatic reviews, and how well the applications address PHMSA’s selection considerations. The Secretary of Transportation, or designee, will make final award selection decisions. Grant awards are considered provisional until PHMSA satisfies its responsibilities under the National Environmental Policy Act (NEPA) and a grant agreement is executed between the applicant and PHMSA. E.3 Database for Integrity and Performance of Awarded Federal Grants Prior to making a federal award with a total amount of the federal share greater than the simplified acquisition threshold, PHMSA is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through the SAM.gov Responsibility/Qualification information (formerly called Federal Awardee Performance and Integrity Information System (FAPIIS)) (see 41 U.S.C. § 2313). An applicant, at its option, may review the Responsibility/Qualification information through SAM.gov and comment on any information about itself that a federal awarding agency previously entered and is currently in the Responsibility/Qualification information. PHMSA will consider any comments by the applicant, in addition to the other Responsibility/Qualification information, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 CFR § 200.206. E.4 Anticipated Announcement and Federal Award Dates Page 249 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 29 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Applicants chosen for funding will receive electronic notification of the federal award. Upon notification, the applicant’s authorized representative/official must sign and return the award within the timeframe prescribed by PHMSA. SECTION F – FEDERAL AWARD ADMINISTRATION INFORMATION F.1 Federal Award Notice PHMSA’s grant awarding official will award grants to responsible and eligible applicants, at its discretion, whose applications are judged meritorious under the procedures set forth in this NOFO. Following the evaluation outlined in Section E, the selected grant award recipients will be announced by the Secretary of Transportation via the USDOT Office of the Secretary’s Newsroom webpage (https://www.transportation.gov/newsroom). Recipients of an award will not receive lump-sum cash disbursements at the time of award announcement or obligation of funds. If applicable, grant agreements will not be executed until the project has fully complied with the required NEPA process. PHMSA will reimburse recipients only after grant agreements have been executed, after allowable expenses have been incurred, and after valid requests for reimbursement have been submitted and approved by PHMSA. NGDISM grant recipients must adhere to applicable requirements and follow established procedures to receive reimbursement. PHMSA will provide webinars and one-on-one training for all new awardees to ensure that the proper tools and resources are provided to recipients. These webinars will be ongoing and will address how to comply with NEPA and Civil Rights requirements, how to submit reimbursement requests, how to prepare and submit federal financial reports, how to prepare and submit progress reports, and how to prepare for a program or single audit. All funds provided by PHMSA must be expended solely for the purpose for which the funds are awarded in accordance with the approved application and budget, regulations, terms, and conditions of the award, applicable federal cost principles, environmental compliance as specified, and the DOT’s financial assistance regulations. Funds may not be used for lobbying or litigation. The grant award agreement, signed by both the PHMSA Agreement Officer and the recipient’s Authorized Representative, is the authorizing document and will be provided through electronic means to the Authorized Representative. The award document will provide pertinent instructions and information including, at a minimum, the: 1. the legal name and address of recipient. 2. title of project. 3. name(s) of key personnel chosen to direct and control approved activities. 4. Federal Award Identification Number assigned by PHMSA. 5. Period of Performance, specifying the duration of the project. 6. total grant funding amount PHMSA approved for the project. 7. legal authority(ies) under which the award is issued. 8. Assistance Listing Program Number (formerly CFDA). Page 250 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 30 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program 9. applicable award terms and conditions. 10. approved budget plan for categorizing allocable project funds to accomplish the stated purpose of the award. 11. other information or provisions deemed necessary by PHMSA. F.2 Administrative and National Policy Requirements In connection with any program or activity conducted with or benefiting from funds awarded under this NOFO, recipients must comply with all applicable requirements of federal law, including, without limitation, the Constitution of the United States; the conditions of performance, nondiscrimination requirements, and other assurances made applicable to the award of funds in accordance with DOT regulations; and applicable federal financial assistance and contracting principles promulgated by the Office of Management and Budget (OMB). In complying with these requirements, grant recipients must ensure that no concession agreements are denied, or other contracting decisions made on the basis of speech or other activities protected by the First Amendment. If the Department determines that a recipient has failed to comply with applicable federal requirements, the Department may terminate the award of funds and disallow previously incurred costs, requiring the recipient to reimburse any expended award funds. The administration of this award by PHMSA and the recipient will be based on the following federal statutory and regulatory requirements: 1. Infrastructure Investment and Jobs Act (Public Law 117-58). 2. 2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. 3. New Restrictions on Lobbying. 49 CFR Part 20, “New Restrictions on Lobbying,” will be incorporated by reference into any award under this program and is available at https://www.ecfr.gov/ by clicking on “Title 49, Subtitle A, Part 20.” 4. Civil Rights and Title VI. As a condition of a grant award, grant recipients will demonstrate that the recipient has a plan for compliance with civil rights obligations and nondiscrimination laws, including Title VI of the Civil Rights Act of 1964 and implementing regulations (49 CFR Part 21), the Americans with Disabilities Act of 1990 (ADA), and Section 504 of the Rehabilitation Act, and all other civil rights requirements, and accompanying regulations. This should include a current Title VI plan, completed Community Participation Plan, and a plan to address any legacy infrastructure or facilities that are not compliant with ADA standards. DOT’s and the applicable Operating Administrations’ Office of Civil Rights will work with awarded grant recipients to ensure full compliance with Federal civil rights requirements. Page 251 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 31 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program 5. Drug-Free Workplace. 49 CFR Part 32, “Government wide Requirements for Drug-Free Workplace (Financial Assistance),” which implements the requirements of Public Law 100-690, Title V, Subtitle D, “Drug-Free Workplace Act of 1988.” 49 CFR Part 32 will be incorporated by reference into any award under this program and is available at: https://www.ecfr.gov/ by clicking on “Title 49, then “Subtitle A”, and then “Part 32.” 6. Executive Orders: “Advancing Racial Equity and Support for Underserved Communities Throughout the Federal Government” (EO 13985); “Revitalizing Our Nation’s Commitment to Environmental Justice for All” (EO 14096); “Federal Actions to Address Environmental Justice in Minority Populations” (EO 12898); “Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis” (EO 13990); Implementing the Infrastructure Investment and Jobs Act (EO 14052); and “Tackling the Climate Crisis at Home and Abroad” (EO 14008). 7. National Environmental Policy Act and applicable environmental and historic preservation laws, as well as compliance with mitigation actions described in the completed Tier 2 – Site Specific Environmental Assessment during construction or repair activities. 8. Domestic Preference Requirements: As expressed in Executive Order 14005, ‘Ensuring the Future is Made in All of America by All of America’s Workers’ (86 FR 7475), the executive branch should maximize, consistent with law, the use of goods, products, and materials produced in, and services offered in, the United States. Funds made available under this notice are subject to the domestic preference requirement of the Build America, Buy America (“BABA”) Act, located in the Infrastructure Investment and Jobs Act, Div. G §§ 70911-70917. The Department expects all applicants to comply with that requirement. 9. Critical Infrastructure Security, Cybersecurity and Resilience: It is the policy of the United States to strengthen the security and resilience of its critical infrastructure against all hazards, including physical and cyber risks, consistent with Presidential Policy Directive 21 - Critical Infrastructure Security and Resilience, and the National Security Memorandum on Improving Cybersecurity for Critical Infrastructure Control Systems. Each applicant selected for Federal funding must demonstrate, prior to the signing of the grant agreement, effort to consider and address physical and cyber security risks relevant to the transportation mode and type and scale of the project. Projects that have not appropriately considered and addressed physical and cyber security and resilience in their planning, design, and project oversight, as determined by the Department and the Department of Homeland Security, will be required to do so before receiving funds. 10. Federal Contract Compliance: As a condition of grant award and consistent with EO 11246, Equal Employment Opportunity (30 FR 12319, and as amended), all Page 252 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 32 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program federally assisted construction contractors are required to make good faith efforts to meet the goals of 6.9 percent of construction project hours being performed by women, in addition to goals that vary based on geography for construction work hours and for work being performed by people of color. Under Section 503 of the Rehabilitation Act and its implementing regulations, affirmative action obligations for certain contractors include an aspirational employment goal of 7 percent workers with disabilities. The U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) is charged with enforcing Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, and the Vietnam Era Veterans’ Readjustment Assistance Act of 1974. OFCCP has a Mega Construction Project Program through which it engages with project sponsors as early as the design phase to help promote compliance with non-discrimination and affirmative action obligations. OFCCP will identify projects that receive an award under this notice and are required to participate in OFCCP’s Mega Construction Project Program from a wide range of federally assisted projects over which OFCCP has jurisdiction and that have a project cost above $35 million. PHMSA will require project sponsors with costs above $35 million that receive awards under this funding opportunity to partner with OFCCP, if selected by OFCCP, as a condition of this award. 11. Performance and Program Evaluation: As a condition of grant award, grant recipients may be required to participate in an evaluation undertaken by DOT or another agency or partner. The evaluation may take different forms such as an implementation assessment across grant recipients, an impact and/or outcomes analysis of all or selected sites within or across grant recipients, or a benefit/cost analysis or assessment of return on investment. DOT may require applicants to collect data elements to aid the evaluation and/or use information available through other reporting. As a part of the evaluation, as a condition of award, grant recipients must agree to: (1) make records available to the evaluation contractor or DOT staff; (2) provide access to program records, and any other relevant documents to calculate costs and benefits; (3) in the case of an impact analysis, facilitate the access to relevant information as requested; and (4) follow evaluation procedures as specified by the evaluation contractor or DOT staff. Recipients and subrecipients are also encouraged to incorporate program evaluation including associated data collection activities from the outset of their program design and implementation to meaningfully document and measure their progress towards meeting an agency priority goal(s). Title I of the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act), Pub. L. No. 115-435 (2019) urges Federal awarding agencies and Federal assistance recipients and subrecipients to use program evaluation as a critical tool to learn, to improve equitable delivery, and to elevate program service and delivery across the program lifecycle. Evaluation means “an assessment using systematic data collection and analysis of one or more programs, policies, and organizations Page 253 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 33 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program intended to assess their effectiveness and efficiency.” 5 U.S.C. § 311. Credible program evaluation activities are implemented with relevance and utility, rigor, independence and objectivity, transparency, and ethics (OMB Circular A-11, Part 6 Section 290). For grant recipients receiving an award, evaluation costs are allowable costs (either as direct or indirect), unless prohibited by statute or regulation, and such costs may include the personnel and equipment needed for data infrastructure and expertise in data analysis, performance, and evaluation. (2 CFR Part 200). This paragraph does not authorize pre-award costs and grant recipients must separately obtain PHMSA’s written approval to fund pre-award costs consistent with 2 CFR § 200.458. 12. Project Signage and Public Acknowledgements: Recipients are encouraged for construction and non-construction projects to post project signage and to include public acknowledgments in published and other collateral materials (e.g., press releases, marketing materials, website, etc.) satisfactory in form and substance to DOT, that identifies the nature of the project and indicates that “the project is funded by the Bipartisan Infrastructure Law”. In addition, recipients employing project signage are required to use the official Investing in America emblem in accordance with the Official Investing in America Emblem Style Guide. Costs associated with signage and public acknowledgments must be reasonable and limited. Signs or public acknowledgments should not be produced, displayed, or published if doing so results in unreasonable cost, expense, or recipient burden. The Recipient is encouraged to use recycled or recovered materials when procuring signs. Requirements if PHMSA notifies an applicant of its intent to make a federal award. Not required as part of the application package. Only required if provisionally selected for a NGDISM award. Environmental. Each provisionally selected applicant must assist PHMSA in completing site-specific documentation to comply with the National Environmental Policy Act (NEPA), and associated environmental laws, by providing project specific information, including but not limited to, the scope of the work, location of the work, and environmental resources within the project area. PHMSA prepared a Tier 1 Environmental Assessment (EA) (https://www.regulations.gov/document/PHMSA-2022-0123-0001 (click on download)) for the NGDISM Grant Program to inform the site specific environmental analyses. A NEPA environmental document should not be completed with the grant application. However, the applicant should conduct a high-level screening of environmental impacts (i.e., presence of endangered species, potential adverse impacts to historic properties , Section 4(f) properties, construction within the Page 254 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 34 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program high-water marks of a stream, etc.) to inform the project schedule, budget, alternatives, and mitigation in the early planning stages of project development. PHMSA will serve as the lead federal agency for the NEPA process . PHMSA is committed to providing technical assistance to applicants during the preparation of the environmental analysis and documentation. PHMSA and the applicant may develop additional mitigation measures if the environmental analysis identifies effects not disclosed in the Tier 1 Environmental Assessment (EA). PHMSA may seek public comment during the environmental analysis based on the potential effects from the proposed project. PHMSA will make a NEPA class of action determination based on the significance of the impacts the project will likely have on the human and natural environment. If significant impacts are identified, an environmental impact statement will be required. If the NEPA process cannot be satisfactorily completed, PHMSA reserves the right to rescind the provisional award. Payment Requests and Receipt of Reimbursements via E-Invoicing Recipients of PHMSA grants must use the DOT Delphi e-Invoicing System to submit and receive their reimbursements. • Recipient must have internet access to register, submit payment requests, and receive payments electronically. • Once a DOT agency has established your grant, the agency submits an access request for recipient to access the Delphi eInvoicing System. • Recipient will receive an e-mail invitation to register from the DOT. • During registration process, recipient must have the Proof of Identity form validated by a Notary Public and mail the notarized form to the DOT via certified mail (USPS, FedEx, UPS) to the address provided on the form. All recipients have up to 120 days after the period of performance has ended to submit reimbursement requests to PHMSA for incurred project-related costs. F.3 Reporting Requirements Reporting of Matters Related to Recipient Integrity and Performance If the total value of an applicant’s currently active grants, cooperative agreements, and procurement contracts from all federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this federal award, then the recipient during that period of time must maintain the currency of information reported to SAM that is made available in the designated integrity and performance system, Responsibility/Qualification information (formerly called Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of 2 CFR Appendix XII to Part 200. This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the Page 255 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 35 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program designated integrity and performance system on or after April 15, 2011, except past performance reviews required for federal procurement contracts, will be publicly available. Progress Reporting on Grant Activities Grant recipients will be required to comply with all PHMSA reporting requirements, including quarterly progress reports, quarterly federal financial reports, and final performance and financial reports. Grants recipients must also comply with applicable auditing, monitoring, and close-out requirements. Unless otherwise instructed in the grant terms and conditions, reports must be submitted to PHMSAPipelineBILGrant@dot.gov. Pursuant to 2 CFR § 170.210, non-federal entities applying under this NOFO must have the necessary processes and systems in place to comply with the reporting requirements of the Transparency Act13 should they receive federal funding. Quarterly Reporting Each recipient is required to submit a quarterly progress report (Interim SF-425). Quarterly financial reports and quarterly progress reports are submitted by e-mail to PHMSAPipelineBILGrant@dot.gov. The quarterly reports are due no later than 30 days after the end of each reporting period. Each applicant selected for funding must collect information and report on the project’s performance using measures mutually agreed upon by PHMSA and the recipient to assess progress in achieving strategic goals and objectives. Final Progress Reports Each recipient is required to submit a final progress report and final Federal Financial Report (Final SF-425). Final financial reports and progress reports are submitted by e-mail to PHMSAPipelineBILGrant@dot.gov. The reports are due no later than 120 days after the performance period has ended. Final progress reports must follow the instructions outlined in the terms and conditions of the grant award, and must include: 1. A summary of the activities and outputs that took place during the period of performance—including estimated reduction in risk of fatalities and/or serious injuries, and estimated reduction in methane emissions. If the projected outputs listed in the approved Project Narrative were not met, an explanation should be provided. 2. Challenges the recipient faced, and strategies taken to mitigate such challenges. 3. A complete timeline of the activities that took place during the completed period of performance. 4. As available, impact statements or analyses regarding the impact that current period of performance grant activities have had on infrastructure improvement for communities, pipeline safety, and mitigation of environmental hazards. 13 See Definitions section, Federal Funding Accountability and Transparency Act Page 256 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 36 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Also see Performance and Program Evaluation. All applications/reports will be made available to the public upon request as described in Section H. Audits A non-federal entity that expends $750,000 or more in federal funds in one year must hire an independent auditor to conduct a Single Audit or a Program Specific Audit for any year in which the expenditure of federal awards totals $750,000 or more. The purpose is to ensure recipients receiving federal grant funds have adequate internal controls in place and use federal funds in compliance with the government’s requirements. Audit costs related to this program may be included in your proposed budget and charged to the grant if selected for an award. For detailed requirements regarding Single and Program Specific Audits, see 2 C.F.R. § 200.501. NGDISM grant recipients, including those who receive less than $750,000, should expect to have a PHMSA-initiated site visit or desk review to ensure compliance with federal grant regulations and the terms and conditions of the grant award. Site visits will provide PHMSA the opportunity to meet with recipients onsite to review the status of the funded project, assess internal control systems, and provide guidance. A desk review is conducted remotely and focuses predominantly on the financial aspects of the funded project. PHMSA expects to conduct either a site visit or a desk review once for each award period. Recipients may also request onsite or remote technical assistance from PHMSA, as needed. SECTION G – FEDERAL AWARDING AGENCY CONTACTS PHMSA NGDISM Program Team NGDISM Grant Team Phone: 202-366-7652 E-mail: PHMSAPipelineBILGrant@dot.gov Grants.gov Contact Center Phone: 800-518-4726 E-mail: support@grants.gov Federal Service Desk (FSD) – SAM.gov Support Phone: 866-606-8220 Website: https://www.fsd.gov/ SECTION H – OTHER INFORMATION Freedom of Information Act: DOT regulations implementing the Freedom of Information Act (FOIA) are found at 49 CFR Part 7. 49 CFR Part 7 require PHMSA to make requested materials, information, and records publicly available under FOIA. Unless prohibited by law and to the extent permitted under FOIA, contents of NGDISM applications may be released in response to FOIA requests. Page 257 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 37 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Protection of Confidential Business Information/Freedom of Information Act: • All information submitted as part of or in support of any application shall use publicly available data or data that can be made public and methodologies that are accepted by industry practice and standards, to the extent possible. • If the applicant submits information that the applicant considers to be a trade secret or confidential commercial or financial information, the applicant must provide that information in a separate document, which the applicant may cross-reference from the application narrative or other portions of the application. • For the separate document containing confidential information, the applicant must: (1) state on the cover of that document that it “Contains Confidential Business Information” (CBI). (2) mark each page that contains confidential information with “CBI.” (3) highlight or otherwise denote the confidential content on each page. (4) at the end of the document, explain how disclosure of the confidential information would cause substantial competitive harm. • DOT will protect confidential information complying with these requirements to the extent required under applicable law. • If DOT receives a Freedom of Information Act (FOIA) request for the information that the applicant has marked in accordance with this section, or that DOT has some other reason to believe may contain confidential commercial information, DOT will follow the procedures described in its FOIA regulations at 49 CFR § 7.29. Uninterrupted Service Delivery Provisions in Federal Financial Assistance Awards and Subawards: Contractual terms requiring that federally funded services not be subject to disruption due to labor disputes are known as “uninterrupted service delivery” provisions. 2 CFR Part 200 does not prohibit recipients of federal financial assistance from including uninterrupted service delivery requirements in their subawards or contracts when, in the recipient’s sound business judgment, the requirement will contribute to the economy and efficiency of the project and when otherwise consistent with federal law applicable to the program. Page 258 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 38 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program DEFINITIONS Areas of Persistent Poverty – In this context, Areas of Persistent Poverty means: (1) any county that has consistently had greater than or equal to 20 percent of the population living in poverty during the 30-year period preceding November 15, 2021, as measured by the 1990 and 200014 decennial census and the most recent annual Small Area Income Poverty Estimates as estimated by the Bureau of the census15; (2) any census tract with a poverty rate of at least 20 percent as measured by the 2014-2018 5-year data series available from the American Community Survey of the Bureau of the Census16; or (3) any territory or possession of the United States. A county satisfies this definition only if 20 percent of its population was living in poverty in all three of the listed datasets: (a) the 1990 decennial census; (b) the 2000 decennial census; and (c) the 2020 Small Area Income Poverty Estimates. The Department lists all counties and census tracts that meet this definition for Areas of Persistent Poverty at https://datahub.transportation.gov/stories/s/tsyd-k6ij. Compliance with Award Terms and Conditions – Submission of an application constitutes the recipient’s agreement to comply with and spend funds consistent with all the terms and conditions of this award. If PHMSA determines that noncompliance by the recipient cannot be remedied by imposing additional conditions, PHMSA, as it deems appropriate in the circumstances, may: a) temporarily withhold payments pending correction of the deficiency by the recipient. b) disallow all, or part of, the cost of the activity or action not in compliance. c) wholly or partly suspend or terminate the federal award. d) initiate suspension or debarment proceedings as authorized under 2 CFR § 180. e) withhold further federal awards for the project or program. f) take other remedies that may be legally available. Disadvantaged Community or Burdened Areas – A project location is considered to be in a Disadvantaged Community if: 1. the project is located in, or benefits, a census tract identified as disadvantaged by the Climate and Economic Justice Screening Tool17 (CEJST). Applicants are strongly encouraged to also use the USDOT Equitable Transportation Community (ETC) Explorer to understand how their community or project area is experiencing disadvantage related to lack of transportation investments or opportunities and are encouraged to use this information in their application to demonstrate how their project will reduce, reverse or mitigate the burdens of disadvantage. 2. the project is located on the land of a Federally Recognized Tribe; 14 See https://www.census.gov/data/tables/time-series/dec/census-poverty.html for county dataset 15 See https://www.census.gov/data/datasets/2020/demo/saipe/2020-state-and-county.html for December 2020 Small Area Income Poverty Dataset 16 See https://data.census.gov/cedsci/table?q=ACSST1Y2018.S1701&tid=ACSST5Y2018.S1701&hidePreview=false for 2014- 2018 five-year data series from the American Community Survey 17 See https://screeningtool.geoplatform.gov/. Page 259 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 39 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program PHMSA will consider indicators and information that an applicant provides that can be considered related to disadvantage based on an assessment of how the project could help to reduce burdens (and/or provide benefits) as shown by other relevant tools (such as, as cited above, the DOT Equitable Transportation Community (ETC) Tool or the Explorer Tool18), and/or if the project is located in any territory or possession of the United States that is facing burdens that the project could help reduce, consistent with the goals of this program. Equal Opportunity Plan – An equal opportunity plan is one that includes these four main points. 1. Affirmative efforts to remove barriers to equal employment opportunity above and beyond complying with federal law and proactive partnerships with the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) to promote compliance with the requirements of Executive Order 11246, Equal Employment Opportunity. 2. No discrimination in the use of criminal background screens and taking affirmative steps to recruit and include those with prior convictions, in accordance with the Fair Chance Act and equal opportunity requirements. 3. Efforts to prevent harassment based on race, color, religion, sex, sexual orientation, gender identity, ability, and national origin. 4. The inclusion of training on anti-harassment and third-party reporting procedures, and robust anti-retaliation measures, covering employees and contractors. Federal Funding Accountability and Transparency Act of 2006 – This Act established in 2006 requires recipients of federal funding to report information about their subawards and executive compensation. Refer to Appendix A of 2 CFR Part 170 for the terms recipients will be required to comply with, including what information recipients must report, where to report it, and whether any exceptions apply. Good-paying jobs – Defined by paid wages and fringe benefits at least equal to those paid for similar work in the community as determined by an applicable state or local prevailing wage law, ordinance or in accordance with a wage determination for the locality issued by the US Department of Labor under 40 U.S.C., Chapter 31, Subchapter IV. Governmentwide Debarment and Suspension (Non-procurement) – Executive departments and agencies shall participate in a governmentwide system for non-procurement debarment and suspension. In this context, PHMSA asks recipients to review the “list of parties excluded from federal procurement or non-procurement programs” located on the SAM website before entering into a sub-award or procurement contract. No sub-award or procurement contract may be issued to an entity or person identified on the “list of parties excluded from federal procurement or non- procurement programs.” 2 CFR Part 1200 - “Non-procurement Suspension and Debarment” is incorporated by reference into this notification. 18 See https://experience.arcgis.com/experience/0920984aa80a4362b8778d779b090723/page/ETC-Explorer--- National-Results/. Page 260 of 368 NOFO 693JK324NF0013 U.S. DOT/PHMSA Page 40 of 40 FY 2024 Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Title VI of the Civil Rights Act of 1964 - States that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied benefits of, be subject to discrimination under any program or activity receiving federal financial assistance. The recipient must comply with 49 CFR Part 21, “Nondiscrimination in Federally- Assisted Programs of the Department of Transportation—Effectuation of Title VI of the Civil Rights Act of 1964.” In an effort to ensure that all recipients of PHMSA funds are aware of their responsibilities under the various civil rights laws and regulations, the PHMSA Office of Civil Rights has developed an information tool and training. These documents are found on the PHMSA website at https://www.phmsa.dot.gov/about-phmsa/civil-rights/grant-recipient-information. If there are any questions concerning your responsibilities under the External Civil Rights Program, please contact Rosanne Goodwill, PHMSA Civil Rights Director, at 202-366-6580 or by e-mail at PHMSACivilRights@dot.gov. Pipe Prone to Leakage – Pipelines that are known to leak based on the material (including cast iron, unprotected steel, wrought iron, and historic plastics with known issues). Pipeline – From 49 CFR § 192.3, pipeline means all parts of those physical facilities through which gas moves in transportation, including pipe, valves, and other appurtenance attached to pipe, compressor units, metering stations, regulator stations, delivery stations, holders, and fabricated assemblies. Recipient Responsibilities – In accepting a PHMSA financial assistance award, the recipient assumes legal, financial, administrative, and programmatic responsibility for administering award funds in accordance with the laws, rules, regulations, and Executive Orders governing grants and cooperative agreements, and the award terms and conditions, including responsibility for complying with any applicable provisions included in the award. Rural – Consistent with the Department’s Rural Opportunities to Use Transportation for Economic Success (ROUTES) Initiative (https://www.transportation.gov/rural), the Department recognizes that rural transportation infrastructure faces unique challenges. To the extent that those challenges are reflected in the merit criteria listed, the Department will consider how the activities proposed in the application address those challenges, regardless of the geographic location of those activities. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR Part 200) – The recipient (and any subrecipients) must comply with these requirements including the cost principles which apply to the recipient, and the audit requirements the recipient must follow. A recipient who expends $750,000 or more of federal funds, in the recipient’s fiscal year, must have an audit conducted. Urban – In, relating to, characteristic of, or constituting a town or city. Page 261 of 368 Pipeline Safety Natural Gas Distribution Infrastructure Safety and Modernization Grant Program Evaluation Plan Fiscal Year 2024 Page 262 of 368 FY23 NGDISM Evaluation Plan Page 1 of 9 Contents 1. INTRODUCTION......................................................................................................................2 2. CRITERIA..................................................................................................................................3 Administrative Review ................................................................................................................. 3 Technical Review .......................................................................................................................... 4 Programmatic Review .................................................................................................................. 5 3. RATING AND SCORING GUIDELINES ...........................................................................6 4. APPLICANT SELECTION ..................................................................................................9 Page 263 of 368 FY24 NGDISM Evaluation Plan Page 2 of 9 1. Introduction This Fiscal Year 2024 Evaluation Plan identifies the major steps and provides guidance regarding PHMSA’s evaluation and selection process for applicants of the Natural Gas Distribution Infrastructure Safety and Modernization (NGDISM) Grant Program. Grant Management Roles Grant Management – Pipeline Safety NGDISM Program Source(s) / Process Owner(s) Grants Program Director, Agreement Officer Representative Budget Certifier Grant Attorney Grant Program Support Specialist Agreement Officer Agreement Specialist Program Office Representative (OPS) Office of Chief Counsel Chief Financial Officer (CFO) Each application will be subject to the following review phases. Additional information regarding the specific criteria for each review is found below in Section 2 Criteria. 1. Retrieve the Applications – Applications submitted through Grants.gov are received and downloaded for review. 2. Administrative Review – The Agreement Specialist conducts the administrative review of each application. Each application will be reviewed for completeness to ensure it includes all required elements to qualify for the grant. 3. Eligibility Review – The Program Office Representative in coordination with the Grant Attorney conducts the eligibility review of each applicant. Ineligible applicants will not have their application package forwarded for additional review and will be notified of their ineligibility by the Agreement Officer. 4. Technical Review – Applications are reviewed by a Technical Evaluation Panel (TEP), consisting of subject matter experts (SMEs), to verify the technical merit of the application and to identify strengths and weaknesses. 5. Programmatic Review – The Office of Pipeline Safety (or Program Office) receives the TEP evaluations and conducts the programmatic review. The programmatic review determines if the applicant’s proposed budget is realistic, whether the contents of the application adhere to the program requirements set forth in the Notice of Funding Opportunity (NOFO) and is responsive to the program review checklist. 6. Title VI and Section 504 Review by PHMSA Office of Civil Rights (OCR) – OCR will conduct the Title VI and Section 504 compliance review of each eligible application. Page 264 of 368 FY24 NGDISM Evaluation Plan Page 3 of 9 2. Criteria Administrative Review Administrative review consists of an intake review for completeness and an eligibility review for applicant eligibility. Intake Review The administrative review will assess whether the applicant’s grant package is complete. The application package is reviewed for the presence, not the quality, of the required elements specified in the NOFO. The documents listed below must be completed and included in application submission: Form 424 - Application for Federal Assistance and either: Equipment Only without construction (pipeline infrastructure improvements): SF-424A - Budget Information - Non-Construction Programs SF-424B - Assurances for Non-Construction Programs or: Construction (with pipeline infrastructure improvements) with/without equipment: Form 424 C - Budget Information for Construction Programs Form 424 D - Assurance for Construction Programs and: Budget Narrative Attachment Form Project Narrative Attachment Form – less than or equal to 25 pages in length Grants.gov Lobbying Form - Certification Regarding Lobbying USDOT/PHMSA Standard Title VI/Non-Discrimination Assurances o Non-USDOT/PHMSA Standard Title VI/Non-Discrimination Assurances forms are not acceptable. PHMSA may request a one-time only (via e-mail) for an applicant to submit any missing and/or incomplete required document(s)/form(s) to complete their grant application package. This is not an opportunity to rewrite/change any application documents that were not requested by PHMSA. If an applicant doesn’t reply to PHMSA’s one-time request within the deadline stated in PHMSA’s request, their applicant package may be incomplete/ineligible and not move forward in PHMSA’s review process. Packages that include each of the documents above will go through to the next review phase. Eligibility Review The eligibility review will assess whether the applications pass the following eligibility criteria: 1. The applicant is a municipality-owned utility operating a natural gas distribution system. OR 2. The applicant is a community-owned utility operating a natural gas distribution system. Page 265 of 368 FY24 NGDISM Evaluation Plan Page 4 of 9 AND 3. The applicant is a not-for-profit entity. AND 4. Is the applicant’s proposed project to repair an existing natural gas pipeline distribution system? (Transmission lines are not eligible.) Applications that satisfy the above criteria will move to the next review phase. After reviewing the project and budget narratives, the Program Office Representative should ensure that: 1. Construction costs are related to repairing, rehabilitating, or replacing natural gas distribution systems. AND/OR 2. Labor costs are related to repairing, rehabilitating, or replacing natural gas distribution systems. AND/OR 3. Equipment costs are related to repairing, rehabilitating, or replacing natural gas distribution systems. OR 4. Equipment acquisitions (unrelated to repairing, rehabilitating, or replacing natural gas distribution system components) (1) reduce incidents and fatalities; and (2) avoid economic losses of natural gas distribution systems. If one or more of the items above applies, then the application is eligible for this grant opportunity and the application can continue to the next review phase. Technical Review Technical Evaluation Panel (TEP) members may consist of representatives from pipeline safety stakeholder groups who are not competing for this grant program, the public, and PHMSA grant specialists. Each member of the TEP signs a non-disclosure and conflict of interest agreement prior to participating in the review. Each TEP member receives a technical review checklist describing how to score applications in the Excel spreadsheet calculation tool. Each technical review checklist will provide for the evaluation of materials supporting the grant application, including relevant and appropriate application data, leak statistics, and risk analysis data necessary to support the grant application. The TEP will be given the eligible applications and checklist documents. They will also receive an instructional briefing on how to review the applications and fill out the scorecard. The TEP will be comprised of individuals with the background necessary to evaluate the applications relative to the questions outlined in the NOFO. The TEP will begin a review and schedule a meeting approximately 10-14 days later to obtain the aggregate rating for each application. Page 266 of 368 FY24 NGDISM Evaluation Plan Page 5 of 9 The criteria used to determine the aggregate rating is set forth in Section E.1 of the NOFO (and listed below), to rank applications and begin to compile the recommendations for award. Applications will be evaluated against the following technical criteria. 1. To what extent does the application’s proposal relate to repairing, rehabilitating, or replacing a natural gas distribution pipeline system or portions of it, or acquiring equipment to (1) reduce incidents and fatalities; and (2) avoid economic losses of natural gas distribution systems? 2. Does the application’s project scope establish clear goals and objectives? 3. What is the age of the pipeline proposed to be replaced, and the specific pipeline materials being replaced, rehabilitated, or repaired? 4. Does the application adequately justify the project cost and the project timeline? 5. Does the application provide adequate specifics and descriptions of design and construction activities/tasks proposed? 6. Does the application include a safety risk profile for the proposed project(s), and is it in line with the operator’s most recent DIMP? 7. What is the likelihood that the project(s) outlined can be completed within the period of performance? 8. Does the most recent Gas Distribution Annual Report support the needs stated in the application and the description of the existing gas distribution infrastructure? 9. For applications requesting funds to acquire equipment, what is the potential of the equipment to reduce incidents and fatalities and help avoid economic losses of natural gas distribution systems? Programmatic Review The Program Office will conduct a review of rated applications to assess how the proposed work is to be performed and whether the applications are responsive to the grant program requirements. The Program Office will assess the applicant’s ability to manage federal grant funds and this grant program successfully. PHMSA will consider the completeness and clarity of responses to the programmatic questions outlined in the NOFO. PHMSA will conduct a programmatic review to assess factors identified below. 1. To what extent is the applicant’s pipeline actively leaking? (For example, actively leaking, prone to leaking, or preventing potential leaks from happening in the future?) 2. What are the total number of miles the applicant proposes to repair, replace, or rehabilitate? 3. What is the project’s potential to reduce methane/greenhouse gas emissions? 4. What is the project’s estimated ability to complete the National Environmental Policy Act (NEPA) process if it needs a right-of-way? (For example, does the applicant currently have control of the proposed project site?) Page 267 of 368 FY24 NGDISM Evaluation Plan Page 6 of 9 5. Is the US Census tract of the proposed project fully, partially, or not at all located in a disadvantaged community or a community facing other relevant disadvantages or burdens, such as those related to a lack of transportation investments or opportunities?? 6. Is there any potentially immediate danger that the existing infrastructure poses that may result in fatalities, injuries, or environmental hazards? 7. Does the budget narrative align with the SF-424A (non-construction) or SF-424C (construction)? 8. Does the total cost per project equal the federal amount requested on the SF-424? Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973 Compliance Review The Office of Civil Right (OCR) representative will conduct an evaluation of applications to ensure they comply with Title VI and Section 504 requirements. OCR may need to request additional information from applicants or assist in educating applicants on Title VI and Section 504 requirements. OCR will provide its assessment results to the Program Office Representative for rating. Funding Restrictions The following costs are not eligible for reimbursement under the NGDISM Grant Program: 1. Activities initiated prior to the execution of a grant or without written approval. 2. Entertainment, alcohol, or morale costs. 3. Expenses claimed and/or reimbursed by another federal program. 4. Excessive costs for general office supplies, equipment, computer software, printing, and copying. 5. Expenses that supplant existing operational funds/programs. 6. Any costs disallowed or stated as ineligible in Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. 7. Restrictions on Use of Funds for Lobbying, Support of Litigation, or Direct Advocacy – The recipient and its contractors may not conduct political lobbying, as defined in the statutes, regulations, and 2 CFR 200.450 – “Lobbying,” within the federally supported project. The recipient and its contractors may not use federal funds for lobbying specifically to obtain grants and cooperative agreements. The recipient and its contractors must comply with 49 CFR Part 20, U.S. Department of Transportation “New Restrictions on Lobbying.” Upon completion and approval of the Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973 Compliance, the Program Office Representative will use the overall ratings, as set forth in Section E.2 of the NOFO, to rank applications and begin to compile the recommendations for award. 3. Rating and Scoring Guidelines Based on the results of the administrative, technical, and programmatic reviews, each application will receive one of the following overall ratings: Page 268 of 368 FY24 NGDISM Evaluation Plan Page 7 of 9 Highly Recommended: The application demonstrates that the NOFO requirements are very well understood, and the approach will likely result in high-quality performance. The application clearly addresses and exceeds requirements with no weaknesses. The application contains outstanding features that meet or exceed the expectations of DOT on multiple dimensions. The application scope aligns extremely well with DOT objectives and priorities. The risk of poor performance is very low. Recommended: The application demonstrates that the NOFO requirements are understood, and the approach will likely result in satisfactory performance. The application addresses and meets requirements with some minor but correctable weaknesses. The application demonstrates requisite experience, qualifications, and performance capabilities. The application scope aligns with DOT objectives and priorities. The risk of poor performance is low. Acceptable: The application demonstrates that the NOFO requirements are mostly understood, and the approach will likely result in satisfactory performance of part of the requirements. The application addresses some of the requirements with some weaknesses. The application demonstrates some experience, qualifications, and/or performance capabilities. The application partially aligns with DOT objectives and priorities. The risk of poor performance is moderate. Not Acceptable: The application does not meet the NOFO requirements. The application fails to address many requirements. The applicant may be ineligible to apply for the grant. The application could not satisfy critical requirements without a major revision and/or a rewrite of the application or a major redirection effort. The application scope does not align with DOT objectives and priorities. The risk of poor performance is high. Additional Priorities and Selection Considerations: After completing the merit review, PHMSA may elect to prioritize projects according to the following key Administration and DOT objectives: Safety: PHMSA will assess the project’s ability to commit to advancing safe, efficient transportation. Applicants must address how their project provides substantial safety benefits. Projects that have the potential to provide the greatest safety benefits, such as those which seek to address active leaks, may be prioritized. Prior to receiving funds, all projects are expected to, at a minimum, identify and mitigate to the extent practicable any significant safety risks that could result after project completion. Applicants should include how their project will not negatively impact the overall safety of the public. Climate Change and Sustainability: PHMSA will assess how the applicant addresses the project’s consideration of climate change and environmental justice in the planning stage and in project delivery. In particular, PHMSA will consider how the project incorporates evidence- based climate resilience measures and features. PHMSA will also consider whether the project avoids adverse environmental impacts to air or water quality, wetlands, and endangered species, Page 269 of 368 FY24 NGDISM Evaluation Plan Page 8 of 9 as well as address disproportionate negative impacts of climate change and pollution on disadvantaged communities, including natural disasters, with a focus on prevention, response, and recovery. Additionally, PHMSA will consider estimated methane leakage reduction attributable to the project. Workforce Development, Job Quality, and Wealth Creation: PHMSA will assess the project’s ability to: expand strong labor standards,19 including not only compliance with prevailing wage requirements but also construction labor provisions that are relevant to the project. include high-quality workforce development programs with supportive services to help train, place, and retain people in good-paying jobs or registered apprenticeship. demonstrate clear utilization of local and economic hiring preferences that ensure workers on the project come from disadvantaged communities. track and publish aggregate workforce data, including information on demonstrating that employment opportunities are available to historically underserved workers in their communities. include local inclusive economic development and entrepreneurship such as the utilization of Disadvantaged Business Enterprises, Minority-Owned Businesses, Women-Owned Businesses, or 8(a) firms. describe a state/regional/local comprehensive plan to promote equal opportunity, including removing barriers to hire, prevent harassment on work sites, and ensure that plan demonstrates action to create an inclusive environment with a commitment to equal opportunity.20 Equity: PHMSA will assess the project’s ability to create proportional impacts to all populations in a project area, remove transportation related disparities to all populations in a project area, and increase equitable access to project benefits, consistent with Executive Order 13985, Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (86 FR 7009). PHMSA will assess how the applicant addresses the project’s consideration of climate change and environmental justice in the planning stage and in project delivery. Domestic Preference/Buy America: PHMSA will consider whether an exception/waiver of the Buy America provisions will be necessary to complete the project. Among otherwise comparable applications, projects that depend on materials or manufactured products that do not comply with domestic preference requirements will be less competitive than projects that comply with those requirements. Among otherwise comparable applications that require exceptions or waivers, an application that presents an effective plan to maximize domestic content will be more competitive than one that does not. Applicants whose projects will likely require a waiver are highly encouraged to provide a plan that demonstrates efforts to maximize domestic content. Geographic Diversity: When selecting awardees, PHMSA may consider geographic diversity, including the balance between urban, rural, and tribal communities. 19 See Definitions section, Good-paying jobs. 20 See Definitions section, Equal Opportunity Plans. Page 270 of 368 FY24 NGDISM Evaluation Plan Page 9 of 9 4. Applicant Selection PHMSA’s Administrator, or designee, after taking into consideration recommendations made during the administrative, technical, and programmatic reviews and how well the applications address PHMSA’s safety and environmental priorities, will make recommendations for award. These recommendations will take into consideration the application ratings as well as administration priorities. The Secretary, or designee, will make the final award selections, which may include applications of differing ratings. Page 271 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-426 FROM: Wes Boyett, GAS SUPERINTENDENT SUBJECT: The Superintendent of Gas Department, Wes Boyett, has requested Change Order No. 1 for the contract with Sawgrass Consulting, LLC. for RFQ PS24-003 Professional Engineering Services for the D'Olive Creek Crossing Gas Main Leak Repair. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve Change Order No. 1 and authorize the Mayor to execute the Change Order No. 1 for $3,300.00. BACKGROUND INFORMATION: Professional Engineering Services were required to retire and replace a leaking 6" gas main under D'Olive Creek. The services needed were site assessments, topographic survey, environmental permitting, and plan development for permitting to replace approximately 700 linear feet of gas main. After the initial work was done, the City requested an alternate route for the gas main, which resulted in more services than were initially contracted. The total cost of the change order is Three Thousand Three Hundred Dollars ($3,300.00). The new contract total will be Twenty-Five Thousand Two Hundred Dollars ($25,200.00). Previous Council Action: Resolution No. 4878-23 approved the selection of Sawgrass Consulting, LLC, for RFQ PS24-003 to provide professional engineering services for D'Olive Creek Crossing in the amount of $21,900.00 at the regularly scheduled meeting on October 9, 2023. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 002-50365 Gas - Maintenance (Plant) $3,300.00 $3,300.00 $0.00 Page 272 of 368 GRANT: N/A LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 273 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 1 for (RFQ PS24-003) Professional Engineering Services for the D’Olive Creek Crossing Gas Main Leak Repair with a cost of $3,300.00; and to award Change Order No. 1 to Sawgrass Consulting, LLC. The new contract total will be $25,200.00 DULY ADOPTED THIS 10TH DAY OF JUNE, 2024 ____________________________________ Corey Martin, Council President Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 274 of 368 Sawgrass Consulting, LLC 30673 Sgt. E.I. Boots Thomas Drive Spanish Fort, AL 36527- Tel: 251-544-7900 www.sawgrassllc.com City of Fairhope P.O. Box 429 Fairhope, AL 36532 Invoice Invoice Date: May 28, 2024 Invoice Num: 6018 Billing Through: May 4, 2024 D'Olive Creek Crossing - Gas Main Topographic Survey (23-177:01) - PO#: 20240769-00 - Managed by (SD) Phase ID Contract % Complete Contract Billed To Date Services ExpensesAmount Current CurrentPhase Description % of Total Fee D'Olive Creek Crossing - Gas Main Additional Topo $3,300.00 100%$3,300.00 $3,300.00 $0.00A 0.00 $3,300.00 $0.00$3,300.00$3,300.00TOTALS: 0.00 $3,300.00Amount Due This Invoice: This Invoice is due on 6/12/2024 BillQuick Standard Report Copyright © BQE Software, Inc.Page 1 of 1 Page 275 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-427 FROM: Wes Boyett, GAS SUPERINTENDENT SUBJECT: The Superintendent of Gas Department, Wes Boyett, is requesting the hiring of a professional consultant for RFQ PS24-023 Professional Consulting Services for Natural Gas Pipeline Distribution Compliance. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve negotiated not-to-exceed amount of $53,160.00 for this project and allow the Mayor to execute a contract with PipeSuite, a Division of Payne Management, Inc. BACKGROUND INFORMATION: The Superintendent of Gas Department and the Gas Department Compliance Manager have requested the hiring of a professional consultant firm to perform compliance services for the Natural Gas Department in compliance with state and federal regulatory requirements. The consulting services will meet the requirements of 40 CFR Part 192 and be customized to meet DOT/PHMSA regulatory compliance. The negotiated fees would total Fifty-Three Thousand One Hundred Sixty Dollars ($53,160.00) annually, for a total three (3) year contract cost of One Hundred Fifty-Nine Thousand Four Hundred Eighty Dollars ($159,480.00). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 002-50290 (Line 10) Gas - Professional Services $56,000.00 $53,160.00 $2,840.00 GRANT: N/A Page 276 of 368 LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 277 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That Mayor Sherry Sullivan is hereby authorized to execute a contract with PipeSuite, a Division of Payne Management, Inc. for Professional Consulting Services for Natural Gas Pipeline Distribution Compliance (RFQ PS24-023) with a not-to-exceed amount of $53,160.00 annually. DULY ADOPTED THIS 10TH DAY OF JUNE, 2024 ____________________________________ Corey Martin, Council President Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 278 of 368 Confidential Information. Not Authorized for further reproduction or distribution without permission from Payne Management, Inc. SCHEDULE OF FEES JANUARY 2024 CONFIDENTIAL Not to be distributed without prior written permission from: PipeSuite A Division of Payne Management, Inc. 7320 Hitt Road (36695) Post Office Box 850862 Mobile, Alabama 36685 Page 279 of 368 PipeSuite Page 1 of 2 January 2024 SCHEDULE OF FEES General Information: This schedule of fees is applicable for time expended during project preparation, portal to portal travel, on-site inspection, consultation, and research/report preparation. Consumable materials and subcontract costs will be invoiced on a cost plus basis. Overtime charges at one point five (1.5) times the established rate will be applicable for services rendered between 12:00 AM Saturday and 11:59 PM Sunday and on established Company holidays. Emergency call-out (less than twenty-four hour notice) will be subject to a two point zero (2.0) times the established rate. Standard Fees allow for reproduction and mailing of a total of three copies of applicable project reports. Additional copies will be charged at $0.40 per page, plus related photograph/color copy reproduction rates, where applicable. Professional services rendered relating to expert witness testimony (preparation, deposition and/or courtroom) will be invoiced at two point zero (2.0) times the listed fee. Per diem/travel accommodations will be assessed on a cost-plus basis. Expert witness services may require a retainer. All work is performed as directed and is subject to PipeSuite General Terms and Conditions. PROFESSIONAL FEES Senior Project Principal ......................................................................................................... $170.00/hr. Senior Project Engineer ......................................................................................................... $150.00/hr. Senior Project Manager ......................................................................................................... $150.00/hr. Project Engineer .................................................................................................................... $120.00/hr. Project Manager .................................................................................................................... $120.00/hr. Design Manager ..................................................................................................................... $100.00/hr. Senior Project Scientist .......................................................................................................... $100.00/hr. Pipeline Specialist .................................................................................................................... $90.00/hr. GIS Specialist............................................................................................................................ $90.00/hr. IT Specialist .............................................................................................................................. $90.00/hr. Software Developer ................................................................................................................. $90.00/hr. Staff Scientist ........................................................................................................................... $80.00/hr. CAD Technician ........................................................................................................................ $70.00/hr. GIS Technician ......................................................................................................................... $70.00/hr. Pipeline Technician .................................................................................................................. $70.00/hr. Administrative Assistant .......................................................................................................... $50.00/hr. Page 280 of 368 PipeSuite Page 2 of 2 January 2024 FIELD EQUIPMENT FEES Differential GPS .................................................................................................................... $120.00/day Aerial Drone* ........................................................................................................................ $110.00/day Optical Survey Equipment ..................................................................................................... $ 80.00/day Field Portable GPS ................................................................................................................. $ 50.00/day Audio/Video Camera ............................................................................................................. $ 10.00/day *Note: The drone unit must be rented along with a Pipeline Specialist (minimum) to set-up, fly and return the unit. OTHER EXPENSES Automotive mileage ................................................................................................................ $0.85/mile Per Diem (Meals and expenses) ................................................................................ $60.00/person/day Lodging** ................................................................................................................ $120.00/person/day **Note: Lodging in High-Cost-of-Living areas (Hotel cost in excess of $120 per day) is based upon actual cost plus 20%. ISN User Fee (for clients requiring ISN) ........................................................................... $ 1000.00/year Photographs (reproduced at client’s request) ......................................................................... $ 2.00 ea. Color Photocopies (reproduced at client’s request) ............................................................. $ 1.00/page Direct non-salary expense (direct project expenses not applicable to general and administrative overhead) ............................................. Cost Plus 20% Page 281 of 368 PUR-004 - 082522 CITY OF FAIRHOPE PURCHASING DEPARTMENT PURCHASING REQUEST FORM Name: Lewis Jones Date: May 14, 2024 Department: Gas Expenditure Threshold** Distinctions Quotes Required Approval Green Sheet Resolution Under $5,000 No restrictions Not Required N/A N/A N/A Utilities $5,001-$10,000 Operational NON-Budgeted Three Treasurer/Mayor N/A N/A Greater than: Gen Govt - $5,001 Utilities - $10,001 Operational NON-Budgeted Three Council Required Required Gen Govt - $5,001-$30,000 Utilities - $10,001 - $30,000 Operational Budgeted Three Treasurer N/A N/A Over $30,000 Operational Budget* State Bid List or Buying Group Treasurer/Mayor N/A N/A Over $30,000/$100,000 Operational Budgeted Bids Council Required Required Professional Service Over $5,000 Budgeted or Non-Budgeted Mayor Select Council Required Required *Budgeted items that meet or are under budget may be purchased with the Mayor and/or Treasurer’s approval if they are on the State Bid list or from an approved buying group. Items that are over budget must go to Council for approval and will require a green sheet and resolution. **Expenditure Threshold is a combined total of labor and materials, including materials provided by the City. If the total amount is within $10,000 of the listed threshold, Purchasing/Treasurer may require a formal bid due to potential materials cost increases. QUOTES Vendor Name Vendor Quote 1. PipeSuite $ 53,160.00 2. Click or tap here to enter text. $ 3. Click or tap here to enter text. $ Check any applicable boxes: ☐ State Contract ☐ ALDOT ☐ Purchasing Group ☐ Sole Source (Attach Sole Source Justification) ITEM OR SERVICE INFORMATION 1. What item or service do you need to purchase? Consulting Services for Gas Distribution Pipeline Compliance 2. What is the total cost of the item or service? 53,160.00 3. How many do you need? Click or tap here to enter text. 4. Item or Service Is: ☐ New ☐ Used ☐ Replacement ☒ Annual Request 5. Vendor Name (Lowest Quote): PipeSuite 6. Vendor Number: Click or tap here to enter text. If you do not have a Vendor Number, please go to the City of Fairhope page: www.FairhopeAL.gov, Departments, Purchasing, Vendor Registration, and complete the required information. BUDGET INFORMATION 1. Is it budgeted? ☒ Yes ☐ No ☐ Emergency Request 2. If budgeted, what is the budgeted amount? 56,000 3. Budget code: 50290 Email completed form with quotes and other supporting documentation to Erin.Wolfe@FairhopeAL.gov and Rhonda.Cunningham@FairhopeAL.gov. Page 282 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-429 FROM: Daryl Morefield, WATER SUPERINTENDENT SUBJECT: The Superintendent of Water/Wastewater, Daryl Morefield, and the Wastewater Treatment Plant Manager, Dennis Scott, are requesting approval for the procurement of parts and installation for the UV Signa system at the Wastewater Treatment Plant. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve this procurement of parts and installation for the UV Signa system at the Wastewater Treatment Plant for $41,048.95 plus freight and handling charges. BACKGROUND INFORMATION: Trojan Technologies parts are the only parts that can be used on the UV Signa system at the Wastewater Treatment Plant. Trojan Technologies is the only authorized provider of the UV Signa system parts. The attached quotation from Trojan Technologies includes Lamp P kit, cleaner, cable, wiper replacement, lamp driver and installation services for the parts. The quotation total is Forty-One Thousand Forty-Eight Dollars and Ninety-Five Cents ($41,048.95). Freight and handling charges will be added to the final invoice. The equipment is exempt from formal bidding per Code of Alabama 1975, Section 41- 16-57 (b)(1) which states: "The governmental body can document that the sole source goods or services are of an indispensable nature, all other viable alternatives have been explored, and it has been determined that only these goods or services will fulfill the function for which the product is needed." BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 004020- 59502 (Line 120) WWTP - Sys Imprv $50,000.00 $41,048.95 $8,951.05 Page 283 of 368 GRANT: N/A LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 284 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope approves the procurement of parts and installation for the UV Signa System at the Wastewater Treatment Plant from Trojan Technologies as the sole source and manufacturer. This cost is $41,048.95, plus freight and handling charges. The equipment is exempt from formal bidding per Code of Alabama 1975, Section 41-16-57 (b)(1). ADOPTED ON THIS 10TH DAY OF JUNE 2024 ___________________________________________ Council President, Corey Martin Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 285 of 368 QUOTATION QO0012286 TROJAN TECHNOLOGIES 3020 GORE ROAD LONDON, ON N5V 4T7 CANADA T. 519-457-3400 www.trojantechnologies.com Sold to Ship to CITY OF FAIRHOPE, WATER CITY OF FAIRHOPE, WATER PO Drawer 429 300 North Church Street Fairhope AL 36533-0429 Fairhope AL 36532-1512 UNITED STATES UNITED STATES Customer Service Contact:tuvcustomerservice@trojantechnologies.com Payment Terms :0% / 00 / 30 net Internal Sales Rep :Robert Zuniga Delivery Terms :DELIVERED DUTY PAID Customer No.:100005017 Carrier/LSP :Reference : Quote Date :05-07-2024 Quote Expiry Date :06-06-2024 Attn: Sharon Sura PJ 810134 REPORT CASE #00241858 Freight ID 8579 (Pending Update) Project Quantity Price Unit Net Price Tax Rate Line Item Discount %Net Amount Tax Amount Amount Description 1.00 /EA 0.00 0.00% 10 FREIGHT 0.00 0.00 0.00 FREIGHT & HANDLING Freight Extra 8579 (pending) 24.00 1,069.15/EA 1,069.15 0.00% 20 338299-101 25,659.60 0.00 25,659.60 LAMP P, KIT SOLO REPL SIGNA 2.00 507.00/EA 507.00 0.00% 30 900346 1,014.00 0.00 1,014.00 CLEANER, ACTICLEAN GEL 20L 1.00 397.50/EA 397.50 0.00% 40 917459-030 397.50 0.00 397.50 CABLE, PUR M12 SHLD bank-in-place sensor wire for bank 1B 30.00 208.55/EA 208.55 0.00% 50 338044 6,256.50 0.00 6,256.50 WIPER REPL KIT, 55MM RYTON 3.00 1,675.45/EA 1,675.45 0.00% 60 916841 5,026.35 0.00 5,026.35 LAMP DRIVER, PKGD SOLO 1.00 2,695.00/EA 2,695.00 0.00% 70 SERVEXP 2,695.00 0.00 2,695.00 SERVICES EXPENSES Scope of Work: Installation of parts as per Case ID 241858 1 Service day Rate to site - 8 Hours + Travelling time Page 1 /3 Page 286 of 368 QUOTATION QO0012286 TROJAN TECHNOLOGIES 3020 GORE ROAD LONDON, ON N5V 4T7 CANADA T. 519-457-3400 www.trojantechnologies.com Goods 38,353.95 Discount 0.00 Tax Amount Total USD Costs 2,695.00 Subtotal 41,048.95 0.00 41,048.95 Page 2 /3 Page 287 of 368 QUOTATION QO0012286 TROJAN TECHNOLOGIES 3020 GORE ROAD LONDON, ON N5V 4T7 CANADA T. 519-457-3400 www.trojantechnologies.com Terms and Conditions All purchases of Trojan products and/or services are expressly and without limitation subject to Trojan's Terms and Conditions of Sale ("Trojan" or "SELLER"), incorporated herein by reference and published on Trojan's website https: www.trojantechnologies.com/sales-terms-conditions/ Trojan TCS are incorporated by reference into each of Trojan's offers or quotations, order acknowledgments, and invoice and shipping documents. The first of the following acts shall constitute an acceptance of Trojan's offer and not a counteroffer and shall create a contract of sale ("Contract") in accordance with the Trojan TCS, subject to Trojan's final credit approval: (i) Buyer's issuance of a purchase order document against Trojan's offer or quotation; (ii) Trojan's acknowledgement of Buyer's order; or (iii) commencement of any performance by Trojan in response to Buyer's order. Provisions contained in Buyer's purchase documents that materially alter, add to or subtract from the provisions of the Trojan’s TCS shall be null and void and not considered part of the Contract. www.trojantechnologies.com/sales-terms-conditions Page 3 /3 Page 288 of 368 Page 289 of 368 Page 290 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-428 FROM: George Ladd , PUBLIC WORKS DIRECTOR SUBJECT: The Director of Public Works, George Ladd, is requesting the purchase of a Third Eye Camera and GPS tracking system for sanitation truck. The procurement will also include a subscription for the service. He is also requesting the transfer of funds of $63,946.68 from Sanitation - Maintenance (Veh & Equip) to Sanitation - Purchases (Veh & Equip). AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve the purchase of a Third Eye camera and GPS tracking system; and to approve the transfer of funds from Sanitation - Maintenance (Veh & Equip) to Sanitation - Purchases (Veh & Equip) for this purchase. BACKGROUND INFORMATION: The Director of Public Works, George Ladd, is requesting the purchase of Third Eye Camera and GPS tracking system. The purchase will include Third Eye Cameras and GPS Tracking, plus subscription for seven (7) sanitation trucks. This will be purchased through the Alabama Statewide Contract (Contract #MA230000003433) with Ingram Equipment Company, listed as an option for 10% off of MSRP, and therefore does not have to be let out to bid. The total cost will be Sixty-Three Thousand Nine Hundred Forty-Six Dollars and Sixty- Eight Cents ($63,946.68). Additionally, the Director of Public Works is requesting the transfer of funds from Sanitation - Maintenance (Veh & Equip) to Sanitation - Purchases (Veh & Equip) for this purchase. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 005030- 50440 Sanitation - Maintenance (Veh $63,946.68 Page 291 of 368 005030- 50470 & Equip) Sanitation - Purchases (Veh & Equip) ___________ $63,946.68 ________ $0.00 Treasury to make adjustment entry to move FY24 Budgeted Expense from Sanitation Maintenance to Sanitation Capital Purchases in the amount of $63,950.00 to cover cost. GRANT: N/A LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 292 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope approves the procurement of a Third Eye Camera and GPS Tracking System for sanitation trucks that are on the Alabama Statewide Contract (Contract #MA230000003433) with Ingram Equipment Company; and therefore, does not have to be let out for bid. The total purchase amount not-to-exceed $63,946.68; and to approve the transfer of budget funds from Sanitation – Maintenance (Veh & Equip) to Sanitation – Purchases (Veh & Equip). ADOPTED ON THIS 10TH DAY OF JUNE 2024 ___________________________________________ Council President, Corey Martin Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 293 of 368 oqo(o tr) @ (o oF ooc)ooooqqqqqqq -ooooorr)loio)ororororr)roco L ,v,o5 P o)o- (E oFI -ct J(n@@ee@@e ao-ee@@@ oooooooqqqqqqq bD ro lr) lo Lo ro Lo rf).EroroLorr)|r)lr)Ir) C)$oo o (E aeg@e@@@ oq) o)LL Co F-o-'=(J l.n a o) IJJo cf) CoE ooooooro)NNNNNC)O{=o)oo)o)o)oo)Qaoooo@@_q(o(o(o(o(ooo "@@o@@NN o) E.g o IJJ o) l-u E ct)@@@g@@@ (o .= .9pou).h.r)oou)o(o(o(o(E(o(o >.LLLLuJ(I)o)(Dq)(l)o) ==F=;C.r;(E(o(o(o(o(oi''1 ()oo()C)c) !!=oooooo6trzz.zzzz q iT .=i-r-JJJJJcchuraou)t!tJ) =<<<<<Ecc oooooeqqqqIr)tr)loLoLocD co cf) co cr) @q (o NN F{rO @ o oo C)o (E =t, (E I anEo C)o oot,o (J'o EEoo I(I) CLo (E Lt- o .=(J (o oF c Page 294 of 368 CITY OF FAIRHOPE P(TRCHA,SMTG D E PARTME NT RESUEST FORM Name: Department: George Ladd Date: sl2Ll2O24 Public Works ( Sanitation ) Expenditure Threshold Distinctions Quotes Required Approval Green Sheet Resolution Under S5,000 No restrictions Not Required N/A N/A N/A 55,001 and greater Operational NON-Budgeted Three Council Required Required s5,001 - 7,500 Operational Budgeted Three Treasu rer N/A N/A 57,501 - $15,000 Operational Budgeted Three Finance/Treasurer/ Mavor N/A N/A Vendor Name 1. lngram Equipment ComPanY 2. 3. Check any appticabte boxes: X State Contract fl ALDOT n Purchasing Group n Sole Source (Attach Sole Source Juslification) Vendor Quote 57,226.66$ s s 1. What item or service do you need to purchase? Third Eye Cameron and GPS tracking system 2. What is the total cost of the item or service? $57,226.66 3. How manydoyou need? One 4. ltemorServicels: X New tr Used .n Replacement EAnnual Request 5. Vendor Name (Lowest Quote): lngram Equipment Company 5. Vendor Number:5445 tf you do not hove a Vendor Number, please go to the City of Foirhope poge: www.FairhopeAL.qov. Deportments, Purchasing, Vendor Registration, ond complete the required information' t. ls it budgeted? X Yes X No E_ Erylergency Request 2. lf budgeted, what is the budgeted amount? 557,226.66 3. Budget code:005030-50440 move to 005030-50470 Email completed form with quotes and other supporting documentotion to Co rv. Pi erce@ Fdi rhopeAL.qov a nd Rhonda.Cu n ni n qha m @ Fai rhopeAL. qov. 555 S Section Street / Foirhope, Alobamo 36532 2 5 1.928. 8003 (p) / www. Fa irh opeAl. g ov PUR.OO4 100627 Page 295 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-425 FROM: Richard Johnson, CITY ENGINEER George Ladd , PUBLIC WORKS DIRECTOR SUBJECT: City Engineer, Richard Johnson, has requested Change Order No. 1 for the contract with Roof Doctors of Alabama, Inc. for Bid No. 24- 039-2024-PWI-019 Pecan Building Warehouse Roof Replacement. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve Change Order No. 1 and authorize the Mayor to execute the Change Order No. 1 for $54,800.00. Authorize the Treasurer to transfer $54,800.00 from General Fund to the Water and Sewer Fund. BACKGROUND INFORMATION: The Pecan Building Warehouse Roof Replacement project was to furnish, deliver and replace the existing peaked metal roofs on the City's Pecan Building located at 451 Pecan Avenue, Fairhope, AL. This would include the Main Warehouse with approximately 30,410 sq. ft and the Lower Warehouse with approximately 8,333 sq. ft. Once demolition of the existing roof began, it was discovered that the warehouse, both upper and lower, had been reroofed with a non-standard and non-code compliant system. The original R-Panel roof had been furred out with metal hat channel, a layer of insulation installed and roofed over with new R-Panels. The original bid price only included the removal and disposal of one roof system with insulation. With the double roof panels and insulation, there is a measurable increase in cost. Additionally, the demolition has identified purloins that need to be replaced due to excessive deterioration. This change order includes: 1. Demolition and disposal of secondary roof and insulation $49,800.00 2. Replacement of Z-Purlins (20 foot span each) - 10 est. $5,000.00 The total cost of the change order is Fifty-Four Thousand Eight Hundred Dollars ($54,800.00). The new contract total will be Two Hundred Sixty-Six Thousand Three Hundred Sixty-Four Dollars and Seventy-Five Cents ($266,364.75). Page 296 of 368 Previous Council Action: May 13, 2024 Council adopted Resolution No. 5067-24 awarding Bid No. 24-03-2024-PWI-019 to Roof Doctors of Alabama for the not-to-exceed amount of $211,564.75. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 004010- 50475 004010- 40900 Water - Capital Imprv Transfer In Capital Purchases $211,564.75 $266,364.75 ($54,800.00) ($54,800.00) $54,800.00 Authorize the Treasurer to transfer $54,800.00 from General Fund to the Water and Sewer Fund. General Fund interest earnings are $125,135.00 over budget as of 05/31/2024. GRANT: N/A LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 297 of 368 RESOLUTION NO. ________ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 1 for (Bid No. 24-039-2024-PWI-019) Pecan Building Warehouse Roof Replacement with a cost of $54,800.00; and to award Change Order No. 1 to Roof Doctors of Alabama, Inc.; and authorize the Treasurer to transfer $54,800.00 from the General Fund to the Water and Sewer Fund. The new contract total will be $266,364.75. ADOPTED ON THIS 10TH DAY OF JUNE 2024 ____________________________________ Council President, Corey Martin Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 298 of 368 CHANGE CITY OF FAIRHOPE ORDER REQUEST OWNER: CITY OF FAIRHOPE ARCHITECT/ENGINEER: Richard D. Johnson, PE CONTRACTOR: Roof Doctors of Alabama, Inc. PROJECT: 2024-PWI 019 – Pecan Building Warehouse Roof Replacement CHANGE ORDER REQUEST NO. #1 (No. One) DATE: May 28, 2024 1. DESCRIPTION OF CHANGE: Once demolition of the existing roof begin (May 28, 2024) it was discovered that the warehouse, both upper and lower had been reroofed with a non-standard and non-code compliant system. The original R-Panel roof had been firred out with metal hat channel, a layer of insulation installed and roofed over with new R-Panels. The bid price only included the removal and disposal of one roof system with insulation. With the double roof panels and insulation there is a measurable increase in cost. This demolition has identified purlins that need to be replaced due to excessive deterioration. (Found Conditions) 2. CHANGE ORDER COSTS: $54,800.00 Proposal Attached See Quantities Below Cost Estimated/Proposal Required Item Quantity Material Unit Price Labor (Hours) Labor Unit Price Sub-Total Cost a. Demolition and disposal of secondary roof and insulation 38,906 SF $1.28 Inc Inc $49,800.00 b. Replacement of Z-Purlins (20-foot span each) – 10 est. 200 LF $25.00 Inc Inc $5,000.00 c. * TOTAL: $54,800.00 *If more than 3 items, provide attachments. 3. INSTITUTED BY: Richard D. Johnson, PE (Project Engineer), George Ladd, PWD (Owner’s Representative) and Contractor: Roof Doctors of Alabama, Inc. 4. JUSTIFICATION OF NEED: The purpose of this project was to address the ever-persistent roof leaks within this warehouse. The discovery of the double roof system explains our constant lack of success in locating and repairing sources of leaks. Water was intruding at one location and running between the roof systems and leaking through at another location. The only way to make this roof compliant with the building code is to demo back to structure, replace any compromised structure (purlins), install new insulation and reroof with R-Panels. 5. JUSTIFICATION OF CHANGE ORDER VERSUS COMPETITIVE BIDDING: Due to the pressing nature of the project status (partially removed roof) - competitive rebidding is not a feasible option. Page 299 of 368 6. COSTS REVIEW: C.O. in the amount of $54,800.00 represents a significant change in contract amount. However, the cost for the additional work is reasonable and in line with industry pricing standards. The cost is commiserate based on the found conditions. 7. THIS CHANGE ORDER IS SUBMITTED FOR REVIEW AND APPROVAL AND IS CLASSIFIED AS THE FOLLOWING TYPE: Minor change of a total monetary value less than required for competitive bidding. Changes for matters relatively minor and incidental to the original contract necessitated by unforeseeable circumstances arising during the course of work. Emergencies arising during the course of work. Change or alternates provided for in the original bidding where there is no difference in price of the Change Order from the original best bid on the Alternate. Change of relatively minor terms not contemplated when the plans and specifications were prepared and the Project was bid and which are in the public interest and do not exceed 10% of the Contract Price. 8. EXTENSION OF TIME REQUESTED: Calendar Days: 0 (No additional days requested in the C.O.) RECOMMENDED: APPROVED: BY: BY: See attached from Contractor Fairhope’s Consulting Engineer Contractor BY: N/A BY: N/A Utility Representative OWNER’s Legal Advisor BY: OWNER’s Authorized Representative X X Page 300 of 368 Page 301 of 368 Page 302 of 368 Upon Completion All payments are expected to be made no later than 10 daysafter invoice. Payment options are check or credit cards. 05/28/2024City of Fairhope Pecan St. Warehouse 451 Pecan Ave. Fairhope, AL 36532 CHANGE ORDER Remove Hat Channel Repair damaged Perlins @ $ 25.00 per ft. Remove bottom layer of Metal & Insulation There are (2) roof on entire building 49,800.00 Page 303 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-430 FROM: Richard Johnson, CITY ENGINEER George Ladd , PUBLIC WORKS DIRECTOR SUBJECT: City Engineer, Richard Johnson, has requested Change Order No. 1 for the contract with R. H. Deas Building Co. for Bid No.24-020-2024- PWI-001 Pine Street One-Way Conversion and Parking Project. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve Change Order No. 1 and authorize the Mayor to execute the Change Order No. 1 for $31,295.00. Authorize Treasury to enter FY24 Budget Transfer of $31,295.00 from ADA Compliance Project savings (103-55887) to Pine St. Capital Improvements (103-55710). BACKGROUND INFORMATION: This change order concerns the adding to the project of ± 1,030 sq. ft. of pacer angle public parking in the northeast quadrant of Pine Street between Section and Bancroft Streets. This would add six additional public parking spaces to this city block. Work includes unclassified excavation, placement of header curbing and the installation of the paver system. This change order represents tasks within the Scope of Work, and would be an addition to work already included. Public parking within the Central Business District is needed and the original omission of this zone of parking was based on budgetary constraints that have since been resolved. The cost of the change order is Thirty-One Thousand Two Hundred Ninety-Five Dollars ($31,295.00). The new contract total will be Two Hundred Eighty-Two Thousand Six Hundred Ninety-Three Dollars ($282,693.00). Previous Council Action: February 26, 2024 Council adopted Resolution No. 4998-24 to award Bid No. 24-020-2024-PWI-001 to R.H. Deas Building Co. for a total not-to-exceed amount of $251,398.00. BUDGET IMPACT/FUNDING SOURCE: Page 304 of 368 Account No. Account Title Current Budget Cost Available Budget 103-55710 103-55887 Pine St. Cap Imprv ADA Compliance Project $251,398.00 $248,839.35 $282,693.00 ($31,295.00) $31,295.00 Authorize Treasury to enter FY24 Budget Transfer of $31,295.00 from ADA Compliance Project savings (103-55887) to Pine St. Capital Improvements (103-55710). GRANT: N/A LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 305 of 368 RESOLUTION NO. ________ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that Mayor Sherry Sullivan is hereby authorized to execute Change Order No. 1 for (Bid No. 24-020-2024-PWI-001) Pine Street One- Way Conversion and Parking Project with a cost of $31,295.00; and to award Change Order No. 1 to R.H. Deas Building Co.; and authorize the Treasurer to enter FY24 Budget Transfer of $31,295.00 from ADA Compliance Project savings (103-55887) to Pine St. Capital Improvements (103-55710). The new contract total will be $282,693.00. ADOPTED ON THIS 10TH DAY OF JUNE 2024 ____________________________________ Council President, Corey Martin Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 306 of 368 CHANGE CITY OF FAIRHOPE ORDER REQUEST OWNER: CITY OF FAIRHOPE ARCHITECT/ENGINEER: Richard D. Johnson, PE CONTRACTOR: R.H. Deas Building Company PROJECT: 2024-PWI 001 – Pine St One-Way Conv. & Parking Proj. CHANGE ORDER REQUEST NO. #1 (No. One) DATE: May 28, 2024 1. DESCRIPTION OF CHANGE: This change order request concerns the adding to the project of ±1030 Sq. Feet of paver angle public parking in the northeast quadrant of Pine Street between Section and Bancroft Streets. This would add six additional public parking spaces to this city block. Work includes unclassified excavation, placement of header curbing and the installation of the paver system. 2. CHANGE ORDER COSTS: $31,295.00 Proposal Attached See Quantities Below Cost Estimated/Proposal Required Item Quantity Material Unit Price Labor (Hours) Labor Unit Price Sub-Total Cost a. Unclassified Excavation 210-A 58 $37.50 Inc Inc $2,175.00 b. INTERLOCKING CONCRETE UNIT PAVING ON AGGREGATE BASE - Including a subbase, base. Parking delineation and all subsidiary work - per specifications 1080 $24.00 Inc Inc $25,920.00 c. Concrete Curb - 8-inch Header - Modified Type N 623-B 40 $25.00 Inc Inc $1,000.00 d. *Curb Ramp at Pine & Bancroft – ADA Reqd. 618-D 8 $275.00 Inc Inc $2,200.00 TOTAL: $31,295.00 *If more than 4 items, provide attachments. 3. INSTITUTED BY: Richard D. Johnson, PE (Project Engineer & Owner’s Representative) in consultation with the City’s Attorneys. 4. JUSTIFICATION OF NEED: Public parking within the Central Business District is desperately needed and the original omission of this zone of parking was based on budgetary constraints. Those constraints have been resolved and the additional public parking has addressed a potential pending litigation issue. 5. JUSTIFICATION OF CHANGE ORDER VERSUS COMPETITIVE BIDDING: This C.O. represents tasks within the SOW – it is just in addition to the parking work already included in the SOW (a change in magnitude). Page 307 of 368 6. COSTS REVIEW: C.O. in the amount of $31,295.00 is based on material quantities pricing competitively bid in this project. Based on the four qualifying bids received, the cost is acceptable. 7. THIS CHANGE ORDER IS SUBMITTED FOR REVIEW AND APPROVAL AND IS CLASSIFIED AS THE FOLLOWING TYPE: Minor change of a total monetary value less than required for competitive bidding. Changes for matters relatively minor and incidental to the original contract necessitated by unforeseeable circumstances arising during the course of work. Emergencies arising during the course of work. Change or alternates provided for in the original bidding where there is no difference in price of the Change Order from the original best bid on the Alternate. Change of relatively minor terms not contemplated when the plans and specifications were prepared and the Project was bid and which are in the public interest and do not exceed 10% of the Contract Price. 8. EXTENSION OF TIME REQUESTED: Calendar Days: 10 (Increase Contract Time to 40 Calendar days – May 20th to July 28th) RECOMMENDED: APPROVED: BY: BY: Based on Bid Unit Quantities Fairhope’s Consulting Engineer Contractor BY: N/A BY: N/A Utility Representative OWNER’s Legal Advisor BY: OWNER’s Authorized Representative X X Page 308 of 368 16' 16'-5" 8' 16'-6" 59.8895° 6' A A ELEV 109 ELEV 108.97 ELEV 108.58 ELEV 107.58 ELEV 107.68 ELEV 108.46 Paver Parking Zone 1 - 2360 SF Paver Parking Zone 2 - 1030 SF (Future Phase) Paver Parking Zone 3 - 1200 SF (Future Phase) PINE AVENUE - ONE-WAY CONVERSION City of Fairhope, Public Works Date: Nov. 1, 2023 Drawn By: R.D. Johnson, PE Overall Plan Scale: 1" = 20'2024-PWI 001 Page 2 of 10 5" White Edge Stripe Class 1, Type A New Asphalt Overlay 16-Feet Wide - 165#/SY 1.5" Compacted Thickness Assumed BM Elev New Street Lamp (See Notes) New Street Lamp (See Notes) New Street Lamp (See Notes) 75'75'50'-8" STREET LAMP NOTES: 1. CONTRACTOR SHALL PROVIDE 3 - 24"x24" BLOCK OUTS WITHIN THE NEW SIDEWALK AS SHOWN 2. CITY ELECTRIC DEPARTMENT WILL RUN ALL CONDUITS PRIOR TO CONTRACTOR'S PLACEMENT OF SIDEWALK 3. CITY ELECTRIC DEPARTMENT WILL PROVIDE AND INSTALL NEW STREET LAMPS 4. CONTRACTOR SHALL BE RESPONSIBLE FOR COORDINATING ALL WORK TO AVOID CONFLICTS New 6-Foot Concrete Sidewalk - 4" Thick - 77SY New 8-Foot Wide Concrete Sidewalk - 4" Thick with turndown see details - 230SY 4'-4" Tree Well Detail TW 8" 3' 4' Neenah Tree Grate & Frame R-8814-A TWTW TREE WELL NOTES: 1. TREE WELL SHALL BE INTEGRATED INTO THE NEW 8-FOOT SIDEWALK 2. GC AND CITY ENGINEER WILL ESTABLISH FINAL LOCATION & SPACING 3. FRAME SHALL BE WET CAST UNTO CONCRETE 4. SOIL WITHIN THE WELL SHALL BE CLEAR OF ANY OBSTRUCTIONS FOR A MINIMUM DEPTH OF 3 FEET 5. GRATE & FRAME SHALL BE A NEENAH FOUNDRY R-8814-A 6. CITY WILL BE RESPONSIBLE FOR PROVIDING AND PLACEMENT OF TREE IN WELLS STA 00+00 STA 01+00 STA 02+00 Change Order No. 1 - Area to be Constructed Page 309 of 368 Bid No. 24-020-2024-PWl-001 Pine Street One-Way Conversion and Parking Project OWNER: crrv OF FAIRHOPE PROJECT#: 20211-PWI 001 Project Description: PINE STREET ONE-WAY CONVERSION & PARKING PROJECT Project Location: 100 Block of Pina St. F•lrflope. AL 38552 --ITEM DESCRIPTION ALDOT UNIT Clearing & Grubbing • Trees and Shrubbery al NW Comar 201-A LS Demolition • Removal of Structures (Per Plan&) 205-A LS Removing Asphalt Pavement (Inc. full-depth saw cutting) 206-C SOYO Removal of Concrete Curb/Gutter 206-0 LINFT Unclassified Excavation 210-A CUYO MUlng/Planing ExisUng Asphalt (1 ~ to 1,5• Deep) (Full 408-A SOYD Roadway Width) Tack Coat 405-A GAL Asphalt Wearing -Bituminous Concrete Wearing Surface, 1.50" (165#/SY) Compacted Thickness (With Calculated 424-A TON Overaael Asphalt Leveling -Bituminous Concrete Leveling Surface • As 424-8 TON 1 reauired and direded bv City Enaineer -Pro""'1-Wide INTERLOCKING CONCRETE UNIT PAVING ON AGGREGATE BASE· Including a subbase, base. Parking delineation and all sub&ldiary WO<k • oar soecificaUons 4## SOFT 8-lnch HOPE (ADS N-12) 533-A1 LINFT Mobilization 600-A LUMP SUM 4-inch thick concrete sidewalk 6.foot wide 618-A SOYD 4-inch thick concrete sidewalk 8-foot wide (including the required tumdown on the front e~e. lamp post block 0111S and 618-A SOYD treewellsl Curb Ramp at NE comer of Pine & Bancroft 618-0 SOYO Inlet-Type: NOS 18" Catch Basin (1182, 1884) w/Cast Iron Snuare Grate (18131 621~ EACH Inlet/Outlet -Type: 3x2.5x2 Outlet Box (Cast In Place) Cast Iron Concave Grate • Neenah 3205 (0001 Frame) (0002 Grate) 621~ EACH Concrete Gutter• 30-lnch valley -Modified Type M (Including transkion lo exiatinQ curbin<1 at east radii I 623-A LIN FT Concrete Curb -II-Inch Header• Modified Type N 623-B LIN FT Tree Wells with Neenah Foundry Grate and Frame R.a814-A 6## EACH Bast Mana99ment PracUce (BMP's) • See Notes in Contract 665 LUMP SUM Documents -Capped al 2.5% of Base Bid Geometric Controls 680-A LUMP SUM Solid White, Class 2, Type A, Traffic Stripe, 5' Wide -E.P. Line -Bo1h Sides 701.,A MILE Traffic Control Markings, Class 2, Type A. White • Stop Bar and PedX-ing 703-A SOFT Traffic Control Markings, Class 2, Type A -White • Directionel 703-A SOFT Throu11h Lane-Use Arrow (4 total) Traffic Control, To Be Approved• May Includes temporary striping, markings and &ignage • Sae Notes In Contract 740.,A LUMP SUM Documents -Cal'>nf!<! at 5% of Base Bid BHe Bid Tole/ Total Construction Cost ITEM DESCRIPT10N Removing Asphalt Pavement (Min thickness) I 206-C I SOYO I Unclassified Excavation I 210-A I CUYD I INTERLOCKING CONCRETE UNIT PAVING ON AGGREGATE BASE· Including a subbase, base. Parking I 4## I SOFT I delineation and all subsidiary work• per apacificstions • Zone 3 Concrete Curb -8-lnch Header. Modified Type N I 623-B I LIN FT I .,..,QTY 1 1 121 34 130 115 25 .. 20 23N 120 1 IO 230 I 1 1 280 18 3 1 1 0.10 120 41 1 23 17 1200 112 Additive A/lerMfl\fe Bid Tor.I Total Additive Altematl11e Construction Cost: UNIT PRICE $2,500.00 $4 260.00 $42.00 ~4~ 75 ~~7 i.n $11.00 ;;,i.::.:,u $225.00 $265.00 $24.00 ~37.50 $37,000.00 :p!J.UU $70.00 $275.00 $1,150.00 $5,285.00 $30.00 ~25.00 ~3,000.00 $3,125.00 ;;,:,, /40.UU :_iJ.ts, I !>U. UU <u:::.? i.n $1,200.00 $12,500.00 AMOUNT $2,500.00 $4 260.00 ss 250 00 ~1 487 50 s• 971;. nn $5,665.00 ;;,~.1..:: • :>U $10,800.00 $5,300.00 $56,640.00 ~4,!>00.uu $37,000.00 ~c»,ouu.uu $16,100.00 $2,200.00 $1,150.00 $5,285.00 $8,400.00 :,~,i:,u.uo ~9,uuu.oo ~3,12S.0O -,~, , .. ;;i. uu :_iJ.,Df::J.UU ~-:a nnn nn $1,200.00 $12_1_ 500. 00 $216,320.00 $35,078.00 Page 61 of 139 Page 310 of 368 ITEMIV CONTRACTOR INFORMATION This Section must be printed, completed, and turned in with your bid response to Bid No. 24-020-2024-PWl-001 Pine Street One-Way Conversion and Parking Project Public Works Project No. 2024-PWI 001 Business Organization Name of CONTRACTOR (exactly as it appears on W-9): RH Deas Building Co.LLC Doing-Business-As Name of CONTRACTOR: 3660 Dauphin St. Suite D Mobile, AL 36608 Principal Office Address: LOCAL Telephone Number: 251-217-7939 Toll-Free _______ _ LOC~L Fax Number: 251_217_7939 Email address: _____________________ _ Website: Form of Business Entity [check one ("X1 Corporation Partnership Individual Joint Venture Other (describe): _L_L_C ____________________ _ Corporation Statement If a corporation, answer the following: Date of incorporation: Location of incorporation: ________________________ _ The corporation is held: Publicly_ Privately_ Partnership Statement If a partnership, answer the following: Date of organization: Location of organization: =---""7"----------------------The partnership is: General Limited Joint Venture Statement If a Joint Venture, answer the following: Date of organization: Location of organization: ________________________ _ JV CONTRACT recorded? Yes~ No Contact: _Richard Deas, Jr. Phone 251-217-7939 Email_ richard@rhdeasbuildingco.com Fax ------------END OF CONTRACTOR INFORMATION SECTION Page 62 of 139 Page 311 of 368 If Individual or Partnership (Name of Individual or Partnership) (Name of Representative Authorized to sign Bids and CONTRACTS for the firm Print) (Name of Partner Print) (Name of Partner Print) Address, _______________________________ _ Phone Number ( 1 Fax Number ( E-mail address _______________ Alabama Contractor's License No. ____ _ Foreign Entity ID (if outside of Alabama), _______________________ _ If Corporation or LLC Company RH Deas Building Co. LLC State of Incorporation __ A_l_ab_ama _______________________ _ Company Representative Richard Deas, Jr. ( Representative Authorized to sign Bids and CONTRACTS for the firm Print) Company Representative ______ -,--_________________________ _ ( Representative Authorized to sign Bids and CONTRACts for the firm Signature) Address 3 6 60 Dauphin St . Suite D Mobile, AL 36608 Phone Number ( 25l 217-7939 Fax Number(_), ________ _ richard@rhdeasbuildingco.com 57048 E-mail address ____________ AL Contractor's License No. __ _ Foreign Vendor Id __________________ _ BID PROPOSAL NOTARIZATION: STATE OF MaJK<-COUNTY OF f)\,J>lof \.t I, the undersigned authority i~.3nd or~~<: ~!ate and,Co nty, hereby certify that& tJt t,,rt(_ P..l4.S as. _________ respectively, of I'<../ U<Mo . , whose name is signed to the foregoing document and who is known to me, acknowledged before me o is day, that, being informed of the contents of the document they executed the same voluntarily on the day the same bears date . .. ,t1'""'"''" G;t~~~~~..._~ Notary Seal on this~ day of J d.2(~ , 2024. ~o~ • • • fA._. OA /11 CJ'I~ { I (~o-<-~~ >-\ ui \ Nor ARY Pusuc -~+-+~'---'--=--'--WL.-e--'1Y+-Yl -u S I "'II;'° .,-• I " • 3 ., I\ \ \ Pue\f., / JJ MY COMMISSION EXPIRES2t_/_O"-(A __ lc)_ 7 .. ~. .,, ~ .. ,. . . " .. .. ,..,& ···----··~,-~"" ~,,,, '1Af A Sl,_~ ,,,.~ .. ,,,,.,, ....... ,,.,. .. Page 63 of 139 Page 312 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-438 FROM: Richard Johnson, CITY ENGINEER SUBJECT: The City Engineer. Richard Johnson, has requested to procure Professional Engineering (Coastal) Services for a Gulf of Mexico Energy Security Act (GOMESA) Grant Funded Capital Improvement Project - Magnolia Beach Restoration and Stabilization Project within the existing City Park. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve the selection of an engineering firm by the evaluation team for Professional Engineering (Coastal) Services for a Gulf of Mexico Energy Security Act (GOMESA) Grant Funded Capital Improvement Project - Magnolia Beach Restoration and Stabilization Project within the existing City Park and authorize Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. BACKGROUND INFORMATION: A Request for Qualifications was issued on April 26, 2024, posted to the City of Fairhope’s website, and advertised with three (3) statewide newspapers for three (3) week. One (1) responsive proposal was received at the bid opening on May 23, 2024 at 10:00 a.m. The proposal was evaluated by three (3) City of Fairhope staff (see attached Evaluation Score Sheet). The recommendation by the City Engineer and the evaluation team is to hire Goodwin Mills Cawood (GMC). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $ $ $ GRANT: GOMESA Grant No. G-CFMB/23/CF Page 313 of 368 LEGAL IMPACT: N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 314 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City Council approves the selection by the Evaluation Team for Professional Engineering (Coastal) Services for (RFQ PS24-020) for a Gulf of Mexico Energy Security Act (GOMESA) Grant Funded Capital Improvement Project – Magnolia Beach Restoration and Stabilization Project within the existing City Park to Goodwyn Mills Cawood; and authorize Mayor Sherry Sullivan to negotiate the not-to-exceed fee to be approved by Council. DULY ADOPTED THIS 10TH DAY OF JUNE, 2024 ____________________________________ Council President, Corey Martin Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 315 of 368 Page 316 of 368 www.gmcnetwork.com Building Communities RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF — Fairhope, Alabama Submitted May 21, 2024 Page 317 of 368 Goodwyn Mills Cawood 2039 Main Street Daphne, Alabama 36526 T (251) 626-2626 www.gmcnetwork.com May 15, 2024 Erin Wolfe Purchasing Manager City of Fairhope 555 South Section Street Fairhope, AL 36532 Re: RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF Dear Ms. Wolfe and Selection Committee, We are writing to express our sincere interest in collaborating with the City of Fairhope on the crucial project aimed at the restoration and permanent stabilization of Magnolia Beach. Our partnership, consisting of Goodwyn Mills Cawood and South Coast Engineers, combines extensive local knowledge with proven expertise in coastal engineering and project management. Having closely followed the challenges posed by beach erosion along the Mobile Bay shoreline, we understand the urgency and importance of finding a sustainable solution. Over the years, the City has valiantly addressed erosion concerns through periodic beach nourishments. However, the recurring nature of these efforts underscores the need for a more permanent and effective strategy. In 2016, South Coast Engineers conducted a comprehensive study and developed a conceptual plan to address the erosion issues plaguing Magnolia Beach. The proposed solution, which encompasses a shoreline stabilization project coupled with a segmented breakwater system and significant beach nourishment, reflects a holistic approach aimed at long-term resilience. Our combined team stands ready to execute the envisioned scope of work, which includes coastal engineering, design, permitting, and construction oversight. Moreover, we are committed to implementing sustainable practices such as vegetation plantings and robust beach profile monitoring to ensure the project’s success and environmental compatibility. Furthermore, our team’s ongoing construction of the Dauphin Island East End Beach Restoration Project further fortifies our expertise in coastal engineering and restoration efforts. This additional project underscores our capability to successfully manage complex coastal restoration initiatives, in high profile locations, providing valuable insights and experience to the Magnolia Beach project. We firmly believe that our local presence, coupled with our technical expertise and dedication to timely delivery, positions us as the ideal partner for this endeavor. By leveraging our collective strengths, we are confident in our ability to not only meet but exceed the City’s expectations for Magnolia Beach restoration. We welcome the opportunity to discuss our proposal in further detail and address any questions or concerns you may have. Thank you for considering our partnership for this critical project, and we look forward to the opportunity to contribute to the preservation and enhancement of Magnolia Beach for generations to come. Sincerely, Building Communities. Scott L. Douglass, PhD, PE, BC.CE President (251) 510-2903 scott@southcoastengineers.com Scott Hutchinson, PE Vice President, Engineering (251) 680-2555 scott.hutchinson@gmcnetwork.com We acknowledge Addendum 1 that was released on May 9, 2024 Page 318 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 3 SECTION B Statement of Minimum Qualifications 1. Be full-service Professional Engineering Firm (with access to Land Survey, Professional Engineering, Coastal Engineering & EHP Services maintaining a main or divisional office within Gulf Coastal Region of Alabama, Florida or Mississippi. Goodwyn Mills Cawood (GMC) and South Coast Engineers (SCE) collectively form a comprehensive solution for the Magnolia Beach restoration project. With GMC offering a full suite of engineering services, including surveying, geotechnical, municipal, and civil engineering, and SCE specializing in coastal ecosystem restoration and erosion solutions, and understanding FEMA EHP compliance requirements for engineered beaches concerning Public Assistance Program funding after disasters, our partnership ensures access to all necessary expertise under one roof. Both firms maintain offices along the Eastern Shore, strategically positioned and familiarity with the project area. Having successfully worked together on prior projects, our teams bring unparalleled knowledge and experience in coastal engineering, making us the ideal full-service professional engineering firm for the Magnolia Beach project. 2. Hold appropriate Licenses and/or Certifications from the Alabama Board of Licensure for Professional Engineers and Land Surveyors. GMC holds appropriate Licenses and/or Certifications from the Alabama Board of Licensure for Professional Engineers and Land Surveyors. 3. Maintain a resident Professional (Coastal) Engineer in a Gulf Coastal Region of Alabama, Florida or Mississippi Office with Project Experience in Sand Beach Restoration and Breakwater Construction. Scott Douglass and Bret Webb,with South Coast Engineers, will be our lead Professional coastal engineers. Both are board Certified Coastal Engineers. 4. Meet the City’s minimum Insurance coverage requirements. GMC, the lead firm for contracting, meets the City’s minimum Insurance Coverage Requirements 5. Have expertise and experience in Coastal Engineering design for Public Parkland and Beach Facilities. GMC and SCE are well-versed in coastal engineering design for public parkland and beach facilities, backed by extensive expertise and practical experience. Our ongoing project, the Dauphin Island East End Restoration, serves as a testament to our proficiency in this field. By scanning the QR code below, you can view a time-lapse video showcasing the construction progress of the 2024 East End Beach & Dune Restoration Project on Dauphin Island, Alabama. This video captures 35 days/ nights condensed into 3 minutes, illustrating the comprehensive construction process from the initial stages. 6. Have Municipal experience in Baldwin or Mobile Counties, Alabama in Planning and/or Design Projects involving Federally Funded Grant Projects GMC and SCE bring significant municipal experience in Baldwin and Mobile Counties, Alabama, particularly in planning and designing projects involving federally funded grants. Over the past decade, GMC has successfully completed over 2500 federally funded projects, demonstrating our proficiency with various funding agencies such as GOMESA, CDBG, USDA, EDA, SRF, TEA21 Programs, CWSRF, and DCA, among others. Our extensive track record underscores our ability to navigate the complexities of federally funded grant projects, ensuring compliance and successful project outcomes. Please scan the QR code to the right for a short video about the East End Beach & Dune Restoration. Page 319 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 4 SECTION C Annual Statement of Qualifications and Performance Data SECTION D Statements Addressing Project Specific Criterion Knowledge of the GOMESA or other Federally Funded programs For projects funded by federal programs like the Gulf of Mexico Energy Security Act (GOMESA), it’s crucial to take an organized and thorough approach to make sure specific guidelines and procedures are being met in order to assure the implementation of a successful project. GMC’s approach, as demonstrated in their work on the Steele Creek Boat Launch and DeSoto Boat Launch projects, underscores the importance of meticulous planning, continuous coordination, and adherence to state and federal regulations. GMC initiates the project with a comprehensive conceptual design phase, which serves as the blueprint for the project’s development. This phase involves detailed assessments of site conditions, stakeholder consultations, and feasibility studies to ensure alignment with the objectives of GOMESA funding and the needs of the local community. Concurrently, GMC conducts preliminary budget estimates to provide a clear understanding of the project’s financial scope and feasibility. Upon approval of the conceptual design and budget estimates, GMC transitions to the design development phase, progressing through iterative stages of design refinement. These stages typically include the production of 30%, 60%, and 90% design plans, each subject to rigorous review and feedback from stakeholders, including the Alabama Department of Conservation and Natural Resources (ADCNR) and the relevant city authorities. This collaborative approach ensures that the project aligns with regulatory requirements, environmental considerations, and community preferences. Throughout the design process, GMC maintains constant coordination and oversight, facilitating transparent communication channels between all involved parties. This proactive approach enables timely resolution of any potential issues or challenges that may arise, ensuring the project remains on track for successful implementation. Upon finalization of the design plans and preliminary construction estimates, GMC proceeds to the bidding and procurement phase, where the completed design documents are made available for contractors to submit competitive bids. GMC continues to provide support during the bidding process, facilitating a fair and transparent selection of contractors. Once contracts have been executed, GMC will provide oversight and inspection during the construction phase to review and process construction documents, as well as provide representation to assure the project is constructed in accordance with the project plans and specifications. Overall, GMC’s methodology for project implementation under state and federal guidelines emphasizes thorough planning, stakeholder engagement, and compliance with regulatory standards. By adhering to this structured approach, GMC ensures the successful execution of GOMESA-funded projects for the City of Fairhope, delivering tangible benefits to the communities we serve while safeguarding the integrity of federal funding allocations. Resources and Availability and Experience of Proposed Personnel With GMC providing comprehensive engineering services, including surveying and civil engineering, and SCE specializing in coastal ecosystem restoration and beach erosion solutions, our combined team offers a one-stop solution for the project. This ensures seamless coordination, efficient communication, and streamlined project management throughout the entire process. Our in-house capabilities reinforce our commitment to completing the project in a timely manner, with dedicated resources and expertise focused on delivering high-quality results within the specified time frame. Furthermore, SCE is a national leader in the design of successful pocket beaches and living shoreline projects - projects that stabilize eroding bay shorelines with non-traditional, habitat- friendly approaches. Our professional staff is uniquely qualified to provide these services as we have been a leader in these coastal engineering applications for over 40 years. Our experience includes work in all five of the Gulf of Mexico states, as well as projects from Guam to the Virgin Islands, including: • Designing one of the first engineered bay beach with breakwaters to stabilize the shoreline in the nation (Brookley Gulf Pines Beach in the northwest corner of Mobile Bay) • Designing over two dozen successful bay shoreline beach projects with breakwaters in coastal Alabama including the largest recreational pocket beach on Mobile Bay (Marriott’s Grand Hotel at Point Clear), • Designing a coastal marsh restoration with breakwaters which received a National Engineering Excellence Recognition Award and nomination to the “Academy Awards” of the civil engineering industry from the ACEC (Little Bay at Bayou LaBatre), • Writing and presenting dozens of local, regional, national, and international professional papers and presentations on techniques for bay shoreline stabilization that preserves sandy beach habitat – pocket beaches and living shorelines, • Developing and writing the USDOT FHWA manual entitled “Nature-Based Solutions for Coastal Highway Resilience: An Implementation Guide.” In other words, we literally “wrote the book” on how to design, permit and build projects much like the Magnolia Beach Project. SECTION C Statements Addressing Project Specific Criterion Annual statement of qualifications and performance data - Not Applicable Page 320 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 5gmcnetwork.com 5 Availability We have the depth of staff and resources necessary to handle any sized project of any complexity. Our firm is staffed with seasoned professionals who have experience in all types of project requirements from planning to design to construction administration. At this time, our workload is such that we are fully capable of acquiring new projects without posing a hardship to our staff or neglecting our existing clients. We remain committed to providing the quality designs and exceptional customer service that our clients have valued over the years. Kevin Wales, PE Geotechnical Engineer Kirk Clayton, PLS Land Surveyor Scott Hutchinson, PE Client Coordinator/Vice President, Engineering Lee Walters, PWS Professional Wetland Scientist Amanda Thompson, PE Project Engineer Wesley Caputo, PE, CFM Environmental Engineer Scott L. Douglass, PhD, PE, BC.CE Project Manager Geotechnical Environmental / EcologicalSite Civil Surveying Project Management Philip Street Construction Engineering and Inspection CE & I SECTION D Statements Addressing Project Specific Criterion Bret M. Webb, PhD, PE, BC.CE Senior Coastal Engineer Thomas “Beau” Buhring, PE Coastal Engineer Coastal Engineering Goodwyn Mills Cawood South Coast Engineering p Dauphin Island East Beach Restoration Under Construction - Children’s Beach - Picture Taken April 14, 2024 p Dauphin Island East Beach Restoration Under Construction Page 321 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 6 Scott Hutchinson, PE Goodwyn Mills Cawood Project Manager / VP, Engineering (251) 626-2626 scott.hutchinson@gmcnetwork.com Education: Bachelor of Science in Civil Engineering, Auburn University, 1992 Licenses and Certifications: Licensed Engineer FL #89687, AL #21830, Erosion and Sedimentation Controls, Hydraulic Design of Highway Culverts ,StormCAD, Environmental Assessment for Real Property Transfers Scott Hutchinson serves as a Lead Professional and Project Manager for site development, roadway, environmental design, storm water management and numerous municipal solid waste and landfill projects. He is also responsible for Corps of Engineers permitting, National Pollutant Discharge Elimination System (NPDES) storm water permitting, ALDOT permitting and the permitting of landfills. Scott has provided site design for numerous piers, waterfront public access facilities and municipal parks. He has worked on the design and implementation of over 200 NRCS-EWP programs in South Alabama and has provided general engineering consulting for several municipalities. After graduating from Auburn University in 1992, he served as Environmental Engineer with the Alabama Department of Environmental Management (ADEM) where he was responsible for evaluating design plans and operational narratives to determine their compliance with applicable state and federal environmental regulations. Relevant Experience• NRCS-EWP Program Design and Implementation (200+ Projects) – Baldwin County, Daphne, Spanish Fort, and Fairhope, AL• MS4 Program Consulting – Spanish Fort, Daphne, and Fairhope, AL• Marriott’s Grand Hotel Spa and Beach Restoration – Point Clear, AL• Pier Street Beach Restoration – Daphne, AL• Bayfront Park Pier and Pavilion – Daphne, AL• “Gator Alley” Boardwalk and Sidewalk – Daphne, AL• Mayday Park and Pier – Daphne, AL• Village Point Park Preserve – Daphne, AL• Gulf State Park Back Country Trails – Gulf Shores, AL• Trione Park – Daphne, AL• Daphne Sports Complex – Daphne, AL• Beach Restoration – Dauphin Island, AL• Solid Waste Disposal Authority Engineering Consultant – Mobile County, AL• Design, Permitting, and Consulting for Numerous Landfills – AL• Baldwin Beach Express Phase II – Baldwin County, AL• County Road 99 Widening – Baldwin County, AL SECTION D Statements Addressing Project Specific Criterion Scott L. Douglass, PhD, PE, BC.CE South Coast Engineers Project Manager / President (251) 510-2903 scott@southcoastengineers.com Education: Bachelor of Science in Civil Engineering Virginia Tech 1981 , Master of Science in Civil Engineering Mississippi State 1985, PhD Drexel 1989 Licenses and Certifications: Licensed Engineer Alabama, Florida and Mississippi, Board Certified Coastal Engineer, Academy of Coastal, Ocean, Port & Nav. Engineers Scott Douglass is the Founder and President of South Coast Engineers, LLC. Dr. Douglass has over 40 years of experience in coastal engineering research and design and is a nationally recognized leader in coastal engineering related to storm damage, coastal transportation projects, living shorelines, and beach erosion solutions. Scott is a pioneer in developing the technique of bay beach nourishment with breakwaters to permanently stabilize the shoreline. He has designed many of these systems throughout coastal Alabama including the pocket beaches at Marriott’s Grand Hotel and Resort at Point Clear. Scott is an emeritus professor at the University of South Alabama and the author of a book for laypersons about the causes of and solutions to beach erosion. He has worked on beaches throughout the US including all the Pacific and Caribbean US Island Territories. He has developed several generations of the primary guidance documents and professional development courses for the Federal Highway Administration related to coastal highways and bridges. He has served as an expert witness in legal cases related to coastal science, engineering and policy including a case at the Supreme Court of the United States. He has designed several coastal stabilization projects that have won national awards for engineering excellence and is the design engineer-of-record for the presently ongoing beach and dune restoration at the east end of Dauphin Island. Scott wrote the Fairhope Beach Management Plan that is the origin of the conceptual plan now being pursued to restore and permanently stabilize Magnolia Beach. Relevant Experience • Fairhope Beach Management Plan: Recommendations for a Beach Management Plan for Fairhope’s Two Main Beaches – Fairhope, AL • East End Beach and Dune Restoration (2024) – Dauphin Island, AL • Mon Louis Island Living Shoreline Project – Mobile County, AL • Saving America’s Beaches: The Cause of and Solutions to Beach Erosion (World Scientific Press, 2002) Page 322 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 7gmcnetwork.com 7gmcnetwork.com 7 SECTION D Statements Addressing Project Specific Criterion Bret Webb, Ph.D., P.E., BC.CE. South Coast Engineers Sr. Coastal Engineer Education: PhD., Coastal & Ocean Engineering, University of Florida 2008; MS, Coastal & Ocean Engineering, University of Florida 2004; BS, Civil Engineering, University of Florida 2001 Licenses and Certifications: Licensed Engineer Alabama and Florida Bret Webb is the Vice President and Senior Coastal Engineer at South Coast Engineers. Dr. Webb has over 20 years of experience in coastal engineering design, inspections, analysis, and field investigations, and is a nationally recognized leader in the design of nature-based solutions, coastal modeling, and coastal engineering technology transfer. Bret often is an invited speaker on national panels about the how to engineer beach and marsh stabilization projects with minimal use of coastal structures to maximize the natural features and habitat. He was the lead developer on a multi- year R&D effort by the USDOT FHWA to develop their national guidance manual on Nature-Based Solutions for resilience. Bret is also the author of the FHWA’s manual on coastal modeling and a co-author of the FHWA’s primary guidance manual for coastal highway planning and design. He was the lead coastal engineer on a National Academies of Science, Engineering and Medicine research project that developed engineering practice guidance to account for climate change in transportation infrastructure design. And he is currently working a follow-up National Academies’ project to incorporation that climate guidance into engineering standards and codes. Bret designs beach nourishment projects including pocket beach systems (sand and headland breakwaters) to stabilize bay shorelines exposed to a variety of coastal situations in coastal Alabama and Florida. Relevant Experience • Fairhope Beach Management Plan: Recommendations for a Beach Management Plan for Fairhope’s Two Main Beaches – Fairhope, AL • Dauphin Island East End Beach and Dune Restoration (2024) • Living Shoreline – Pensacola Naval Air Station – Pensacola, FL • National Highway Institute Course #FHWA-NHI-142085: Addressing Climate Resilience in Highway Project Development and Preliminary Design • Nature-Based Solutions for Coastal Highway Resilience: An Implementation Guide, FHWA-HEP-19-042 • National Cooperative Highway Research Project 15-61: Applying Climate Change Information to Hydrologic and Coastal Design of Transportation Infrastructure: Design Practices • Highways in the Coastal Environment, Hydraulic Engineering Circular HEC No. 25, 3rd ed. FHWA-19-059 Thomas “Beau” Buhring, P.E.. South Coast Engineers Coastal Engineer Education: Civil Engineering, University of South Alabama, 2011 Licenses and Certifications: Licensed Engineer FL Beau Buhring is a Coastal Engineer at South Coast Engineers with graduate studies in Coastal Engineering at the University of South Alabama and 13 years of experience in coastal engineering including beach nourishment and coastal structures design/construction as well as numerical modeling of coastal hydrodynamics. Beau serves as Project Manager on a wide variety of coastal engineering design and technology transfer projects. His responsibilities include project-specific public outreach efforts and post-project monitoring of public and private sector beach nourishment and stabilization projects. He has developed and applied a variety of successful techniques for stabilizing eroding bay shorelines. He has experience with feasibility studies, preliminary design including sand search and sediment budget, permit-regulatory-legal compliance efforts, final design documents, and construction of beach and breakwater projects. Relevant Experience • Fairhope Beach Management Plan: Recommendations for a Beach Management Plan for Fairhope’s Two Main Beaches – Fairhope, AL • East End Beach and Dune Restoration (2024) – Dauphin Island • Mon Louis Island Living Shoreline Project – Mobile County, AL • East End Beach and Barrier Island Restoration Project and Post-Project Compliance Monitoring (2016) – Dauphin Island, AL • Numerical modeling of tidal exchange and flushing due to proposed modifications to the US 90/98 Causeway Hydrodynamic Modeling – Spanish Fort, AL • Highways in the Coastal Environment, Hydraulic Engineering Circular HEC No. 25, 3rd ed. FHWA-19-059 • Radcliff Pocket Beach – Lillian, AL • Coherd Pocket Beach – Fairhope, AL • King/Clark Pocket Beach – Ono Island, AL • Hargrove Pocket Beach – Lillian, AL • Deer Point Pocket Beach – Pensacola, FL • Hydrodynamic modeling of the effects of a proposed breakwater on tidal circulation-Alabama Port, AL • FHWA National Highway Institute Courses #135082A, B, C, and D • FHWA National Highway Institute Course #135082E: Nature-Based Solutions • West End Beach and Barrier Island Restoration – Dauphin Island, AL Page 323 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 8gmcnetwork.com 8gmcnetwork.com 8 SECTION D Statements Addressing Project Specific Criterion Amanda Thompson, PE Goodwyn Mills Cawood Civil Engineer Education: Bachelor of Science in Civil Engineering, Auburn University; Associate in Arts and Sciences in Drafting and Design Technology, Wallace Community College Licenses and Certifications: Licensed Engineer FL#88280, AL #36358; Amanda Thompson serves as the Proj- ect Engineer for various civil engineering projects in both the public and private sectors. Her responsibilities include civil design and project management for numerous projects, including but not limited to commercial/residential site design, transportation/roadway projects, drainage/utility projects, and landfill design. Relevant Experience• Esfeller Construction and Demoli- tion Landfill - Irvington, AL• Majestic Manor Subdivision - Foley, AL• Primland Subdivision - Foley, AL• Jimmy Johns and Smoothie King - Foley, AL• Azalea Avenue Commercial Park ALDOT Turnout Permit - Foley, AL• Broadway/Lawson Subdivision ALDOT Turnout Permit - Foley, AL• Rich’s Carwash ALDOT Turnout and Service Road - Daphne, AL• Fire Station #5 - Daphne, AL• Pollard Road/Park Drive Sidewalk TAP Grant - Daphne, AL• Pollard Road/County Road 64 Inter- section Improvements - Daphne, AL• Main Street Drainage Study and Repair - Daphne, AL• Alexander Park Subdivision - Rob- ertsdale, AL• Clearway Pain Solutions Clinic - Mobile, AL Kirk, a licensed Surveyor in Alabama, Mississippi and Florida, has served GMC and clients in various capacities since 2006. As Vice President of Survey, he oversees operations and various surveys ranging from Boundary, Topographic/Hydrographic, ALTA/ NSPS Land Title Surveys, Rights of Way/Easements, Subdivisions and FEMA elevation certificates. During his tenure with GMC, he has been the Surveyor in responsible charge for drainage studies, design surveys, documentation, construction layout and quality assurance on water, wastewater, roadway, rail and airport infrastructure projects along with numerous parks, trails, industrial/manufacturing facilities and public/private buildings. Phase 1 Environmental Site Assessments Experience • Embassy Suites - Gulf Shores, Alabma • Little Red Schoolhouse - Dauphin Island, AL • RSA - Fairhope, AL • Mobile Infirmary - Saraland, AL Hydrographic Surveys Experience • Intercoastal Waterway - Orange Beach, AL • Portersville Bay - Mobile, AL • Polecat Bay - Mobile, AL GIS Surveys Experience • Belforest Water System GIS - Daphne, AL • Raw Water Supply Intake System Georgia Pacific - New Augusta, MS • Rails To Trails - Houston, TX • Jimmy Faulkner Bicycle/Pedestrian Path TAP Grant – Spanish Fort, AL • Lake Forest USACE Permitting – Kirk Clayton, PLS Goodwyn Mills Cawood Land Surveyor Education: Bachelor of Science in Geomatics, Troy University, 2002 Licenses and Certifications: Professional Licensed Land Surveyor in AL #28569-S; FL#6880, MS #3134 Qualified Credentialed Professional (QCP) Kevin, a civil engineer with more than 36 years of experience, launched GMC’s Geotechnical and Construction Services division in 2004. As Executive Vice Pres- ident and Senior Geotechnical Engineer, he oversees operations, administration and business development related to geotechnical and construction testing. Throughout his career, Kevin has devel- oped key strengths in the design and installation of shallow and deep founda- tions, construction services and project management for education, commercial, governmental, distribution, industrial, man- ufacturing and transportation projects. Relevant Experience• Baldwin County Sports Complex – Milledgeville, GA• Willing Workers Park – Douglasville, GA• Mill Village Park - Douglasville, GA• Jessie Davis Park - Douglasville, GA• Finley Center Sports Complex - Hoover, AL • Lakeshore Trail Phase 2 – Home- wood, AL• Lincoln Park Trail – Lincoln, AL• Rails to Trails – Bessemer, AL• Red Mountain Trail – Birmingham, AL• Choccolocco Park – Oxford, AL• OWA Amusement Park – Foley, AL• OWA Indoor Water Park – Foley, AL• Montgomery Fine Arts Sculpture Garden – Montgomery, AL• Wald Park – Vestavia Hills, AL • Robert Trent Jones Golf Cart Bridges – Auburn, AL• Pelham Greenway – Pelham, AL Education: Bachelor of Science in Civil Engineering, Auburn University, 1988 Licenses and Certifications: Professional Engineer: AL #20146, GA #046948, MS #12692 Kevin Wales, PE Goodwyn Mills Cawood Executive Vice President, Geotechnical Page 324 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 9gmcnetwork.com 9gmcnetwork.com 9 SECTION D Statements Addressing Project Specific Criterion Lee Walters, PWS Goodwyn Mills Cawood Professional Wetland Scientist Education: Bachelor of Science in Wildlife Science, Auburn University, 1999 Licenses and Certifications: Professional Wetland Scientist, AL #1601 Lee Walter is one of only 15 current Pro- fessional Wetland Scientists in the state of Alabama - one of the most ecologi- cally diverse states in the country, due in large part to the countless species inhabiting its wetlands. He assisted with the first commercial stream and wetland mitigation bank in Central Alabama and the first commercial stream mitigation bank in Mississippi, and has continued making great strides that have dis- tinguished him as a leading expert in the profession. Lee works with many economic development organizations to assist with the recruitment of new industries to Alabama. With extensive training and experience in the fields of biology and environ- mental science, Lee has served as project manager for numerous wetland determination/delineations in Alabama, Mississippi and Georgia including flora and fauna identification and Section 404 wetland permitting with the U.S. Army Corps of Engineers. Lee has performed numerous Phase I Environmental Site Assessments for various entities including banks, law offices, private landowners, developers, and local/ state governments and has assisted in numerous Phase II Environmental Site Assessments. He has also conducted endangered species surveys with the U.S. Fish and Wildlife Service. Relevant Experience• Lower Fish River Restoration - Baldwin County, AL • Bayou la Batre Stormwater Mapping - Mobile County, AL• Magnolia River and Unnamed Tributary Engineering and Design – Magnolia Springs, AL Wesley Caputo, PE, CFM Goodwyn Mills Cawood Environmental Engineer Education: Bachelor of Science in Biosystems Engineer, Auburn University, 2015 Licenses and Certifications: Licensed Engineer AL #40288, TN #126316, Certified Floodplain Manager (CFM), EPSC Level I (TDEC), EPSC Level II (TDEC), Level I Rosgen (Applied Fluvial Geomorphology) Wesley has extensive experience in a variety of environmental services including environmental assessments, floodplain development, stream restoration, environmental permitting, hydraulic modeling, hydrologic determinations, topographic field surveys, and mitigation banking. Wesley is currently licensed as a Professional Engineer in the states of Tennessee and Alabama, and as a Certified Floodplain Manager (CFM) by the Association of State Floodplain Management. In addition, he is Erosion Prevention and Sediment Control Level I and II certified through the Tennessee Department of Environment and Conservation. Relevant Experience• Robinson Bayou H&H Study – Panama City, FL • Cooper Estates - Baldwin County, AL • Oxford Road Realignment No-Rise – Oxford, AL• Dora Culvert Replacement H&H Study – Dora, AL• Ivan K. Hill Recreational Park H&H Study – Winfield, AL• Forestdale Boulevard LOMR – Forest- dale, AL• Attalla Water Reclamation LOMR – Attalla, AL• Wynbrook Connector Road LOMR – Montgomery, AL• Hartselle Drainage LOMR – Hartselle, AL• River Park Subdivision LOMR – Hunts- ville, AL• VOS Townhomes LOMA – Huntsville, AL• Gulf States Mobility Hydrology Study Dynamic and results-oriented Civil En- gineering Project Manager with a proven track record of success in managing com- plex projects across various industries, including construction, engineering, and military infrastructure. With over five years of experience in project management, construction supervision, and team lead- ership, Philip possess a strong technical background coupled with exceptional communication and organizational skills. He excels in coordinating multifaceted projects, driving efficiency, and ensuring successful project delivery within budget and timeline constraints. Relevant Experience• Dauphin Island Beach Restoration - Dauphin Island, AL• Fairhope Working Waterfront - Fair- hope, AL• Chickasabogue Park - Chickasaw, AL• Isom Clemon Park - Mobile, AL• Enterprise State Community College Site Development - • Elmore County Prison - Elmore County, AL• SRF Area A-12 - Panama City, FL• Montgomery Whitewater Park - Montgomery, AL• Gulf Shores High School - Gulf Shores, AL• Battles Trace Phase 8 - Point Clear, AL• North Highland Park - Prattville, AL• Plant Barry 8 Combined Cycle - McIntosh, AL* Philip Street Goodwyn Mills Cawood Construction Engineering & Inspection Education: Bachelor of Science in Building Construction, Auburn University, 2019 Page 325 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 10gmcnetwork.com 10gmcnetwork.com 10 SECTION D Statements Addressing Project Specific Criterion d. Scope of Services Describe your Teams ability to provide all necessary services required for design, permitting, letting, project management and construction oversight of a beach restoration/breakwater project. GMC and SCE have a unique set of professional services capabilities for providing all necessary services for the Magnolia Beach Project. SCE is the premiere coastal engineering firm in Alabama with staff experience in the design, permitting and construction of sandy beach restoration projects very much like that envisioned by the City for Magnolia Beach. We understand the modern coastal engineering tools required for the proper design of this Project including evaluating the site-specific wave and longshore sand transport climate and the functional and structural design of breakwaters to stabilize nourished bay beaches. In fact, we developed some of those tools including original research at the University of South Alabama studying the shorelines of Mobile Bay. SCE staff has a deep familiarity with all the myriad permitting issues facing a beach restoration project with breakwaters. This includes the germane regulations of ADEM, ADCNR, USACE and other federal agencies, as well as tribal concerns. We fully expect, based on over three decades of interaction and cooperation with the regulatory community in coastal Alabama, that this Magnolia Beach Project can obtain all the permits and approvals required. GMC has a proven track record in the letting, project management and construction oversight of beach restoration projects with coastal structures in Alabama. p Picture taken April 29, 2024: Before the Recent Sand Placement - Fairhope, AL p Dauphin Island East Beach Restoration Under Construction - Dauphin Island, AL Page 326 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 11 gmcnetwork.com 11gmcnetwork.com 11 SECTION D Statements Addressing Project Specific Criterion e. Experience with Similar Projects DAUPHIN ISLAND East End Beach & Dune Restoration A Case Study The problem: Extensive beach erosion causing loss of dune and maritime forest habi- tat due to storms over the past several decades The solution: A series of restoration projects that recreated the dune field and a wide sandy beach south of the dune field with beach nourishment. The Town of Dauphin Island successfully secured funding from the National Fish and Wildlife Foundation Gulf Environmental Benefit Fund (NFWF GEBF) aimed at restoring the beach and dunes along the East End of the island. This 2024 project built upon the success of a 2016 beach restoration initiative, which effectively halted decades-long erosion losses. Despite the impact of hurricanes Nate, Michael, Sally, and Zeta, approximately two-thirds of the sand placed in March 2016 remains within the project limits, with the rest distributed on the island beaches to immediate west. The new 2024 project, recognized as the highest priority in the US Army Corps of Engineers (USACE) Final Alabama Barrier Island Restoration Assessment Report of 2020, aims to renourish and extend the 2016 beach restoration. Healthy beaches and dunes play a crucial role in providing unique habitats for various species, and the publicly-accessible East End beach also serves as a protective barrier for the Audubon Bird Sanctuary and other upland resources during major hurricanes. GMC and SCE teamed up on the successful 2016 project and are teamed up again on the presently ongoing 2024 project. SCE is responsible for the coastal engineering design and permitting and GMC is responsible for handling the bidding, procurement and construction inspection aspects of the project. The coordinated efforts of these firms demonstrate a multi- faceted approach to ensure the successful restoration and preservation of the East End beach and dune habitat on Dauphin Island. The presently ongoing 2024 East End project required new coastal construction permits and significant public outreach. The outreach included numerous public meetings and over 20 constantly updated “Fact Sheets” prepared by the consultant team and posted on the Town government’s web-site during all phases of the project. The project used 1,200,000 cubic yards of sand from an offshore borrow area to widen the beach about 400 feet along 1.5 miles creating about 60 acres of new beach. 20 acres of dune habitat is being created at the north edge of the new beach with miles of new sand fencing and 690,000 native plants of multiple varieties which will be planted this summer on the dunes. Healthy beaches and dunes provide unique habitats for a variety of species (including humans). The publicly- accessible East End beach protects the Audubon Bird Sanctuary and other upland resources from storms. Location: Dauphin Island, Alabama Status: Presently under construction. All sand has been placed and vegetation planting is scheduled for June-July 2024. Contact: Jeff Collier, Mayor, Town of Dauphin Island, AL | (251) 861-5525 Page 327 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 12 SECTION D Statements Addressing Project Specific Criterion Magnolia Beach Park South Coast Engineers provided coastal engineering services to the City of Fairhope for several emergency beach restorations of Magnolia Beach at Magnolia Beach Park on Mobile Bay and then developed a broader Fairhope Beach Management Plan which included Magnolia Beach. SCE used living shoreline concepts to plan, design, permit, and implement the repair and restoration of this public beach and bluff. The repairs and restoration were effective at protecting the public walkway along the top of the bluff, as well as park infrastructure. The restoration worked in concert with a timber wing-wall designed by SCE staff, in coordination with GMC staff, many years ago for the purpose of protecting the large oak tree near the parking lot and public boat launch. SCE performed pre- and post-construction monitoring of the beach and assisted in renourishment of the project in 2015. The Fairhope Beach Management Plan was developed by SCE and provided recommendations for consideration by the City for the management of its beaches to prevent erosion, establish restoration measures, reduce storm damage, and protect and enhance vegetation. That Plan identified the detailed scientific causes of the erosion at Magnolia Beach and recommended pursuit of a shoreline stabilization project at the north end of Magnolia Beach Park that includes an offshore segmented breakwater system in conjunction with a major beach nourishment project. The purpose is to more permanently stabilize that highly visible sandy beach shoreline while providing better infrastructure protection. Mon Louis Island Living Shoreline Project Location: South Mobile County, Alabama Status: Completed 2013 Contact: Mobile Bay National Estuary Prog Roberta Swann (251) 431-6409 South Coast Engineers was competitively selected to design and permit a living shoreline demonstration project along 670 feet of the western shore of Mobile Bay. A primary goal of the project was to develop a solution which would stabilize the shoreline while preserving and restoring as much natural habitat as possible. The innovative, custom solution resulted in the preservation of intertidal sandy habitat (flounder) and created nearshore oyster reef habitat that is now attracting sport fish species (speckled trout). Onshore headland rock breakwaters with sand fill and offshore rock oyster reefs were designed in consultation with a group of homeowners to maximize habitat value and stabilize the shoreline without causing any negative downdrift impacts. This project was part of a Community Development Block Grant and local citizens were engaged through visioning charrettes, planning, and project status meetings. South Coast Engineers also assisted during the construction phase of the project by providing relevant coastal engineering services. The project has been highly successful and has been documented through regular aerial imagery. Relevant Experience: • Public meetings and outreach • Planning, • Wave, Water Level, and Sediment Transport Modeling • Coastal Engineering Design • Permitting Services • Final Design, • Construction-Phase Services Relevant Experience: • Magnolia Beach coastal processes • Coastal engineering • Living Shoreline Design • Beach Nourishment • Permitting Location: Fairhope, Alabama Status: Completed 2016 Contact: City of Fairhope Jennifer Fidler (251) 928-8003 Page 328 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 13 SECTION D Statements Addressing Project Specific Criterion Grand Hotel Pocket Beach Location: Point Clear, Alabama Status: Completed 2013 Contact: Point Clear Holdings (RSA) Steve Timms (334) 517-7216 GMC and South Coast Engineers teamed up to design the recreational amenity beach built in 2002-2003 in front of the resort along the shore of Mobile Bay using beach nourishment and headland breakwaters to permanently stabilize the shoreline. This project has survived design conditions in both Hurricanes Ivan and Katrina. South Coast Engineers’ staff designed the coastal engineering aspects of this project including the overall concept and the structure and sand configuration. The shoreline has adopted a permanent, equilibrium shape in response to the wave climate and the structure configuration which is very similar to the shoreline shape predicted during design. This is another example of how South Coast Engineers projects work well and work well for decades Relevant Experience: • Coastal Engineering • Planning • Permitting Services • Shoreline Stabilization • Coastal Structures • Beach Nourishment East End Beach and Barrier Island Restoration Project Location: Dauphin Island, AL Status: Completed 2016 Contact: Town of Dauphin Island, Alabama Mayor Jeff Collier (251) 861-5525 GMC and South Coast Engineers served as the Town of Dauphin Island’s agent/coastal engineer in every phase; planning, preliminary design, permitting services, final design, and construction; of the first major beach restoration project in the history of Dauphin Island, Alabama. The project included nourishment of almost one mile of beach with 320,000 cubic yards of sand pumped from over 4 miles offshore as well as nearshore segmented rock breakwaters designed to reuse and realign rocks from a flanked groin field. The planning phase included an extensive sand search resulting in identification of a large lens of beach quality sand on the western lobe of the ebb-tidal shoals of Mobile Pass. Some unique cultural resources avoidance issues required extensive coordination with the Alabama Historical Commission including archeological, magnetometer surveys run on a 15 m grid spacing - which may be the densest spacing ever required for a beach nourishment project in the US. The project has been perceived by the public as a complete success and is extensively used for recreation every day now by the citizens of and visitors to Mobile County. Every major news outlet (TV and print media) in south Alabama has featured the new beach and its importance in providing improved beach walking and protection for the Audubon Bird Sanctuary habitats. Relevant Experience: • Public Meetings and Outreach • Planning • Sand Search Investigations • Preliminary Design • Permitting Services • Final Design • Construction Page 329 of 368 RFQ No. PS24-020 Professional Engineering (Coastal) Services GOMESA Grant No. G-CFMB/23/CF gmcnetwork.com 14 SECTION D Statements Addressing Project Specific Criterion Working in the City of Fairhope Goodwyn Mills Cawood (GMC) boasts extensive experience working within the City of Fairhope and surrounding communities in the region, spanning over three decades. Our firm has been a trusted provider of architecture and engineering services along the Eastern Shore and throughout Baldwin County, establishing a solid reputation for delivering high-quality solutions tailored to the unique needs of each community. In collaboration with the City of Fairhope, as well as neighboring municipalities such as Daphne, Foley, Loxley, Orange Beach, Robertsdale, Belforest, and others, GMC has successfully completed a wide range of projects across various sectors. From municipal infrastructure improvements to community development initiatives, our firm has played an integral role in enhancing the built environment and supporting the growth and vitality of these communities. Our familiarity with local codes and regulations, coupled with our deep-rooted understanding of the region’s socioeconomic dynamics and environmental considerations, enables us to navigate complex projects with efficiency and precision. We prioritize close collaboration with local stakeholders, including government agencies, community leaders, and residents, to ensure alignment with project goals and objectives. As we look forward to continuing our relationship with the City of Fairhope and surrounding communities, GMC remains committed to upholding the highest standards of professionalism, innovation, and client satisfaction. With our wealth of experience and dedicated team of professionals, we are well-positioned to support the ongoing development and prosperity of the region for years to come. Community Engagement GMC and SCE have cultivated a long-standing tradition of effectively engaging diverse communities of stakeholders and fostering community ownership of projects. Our collaborative approach to community engagement has been honed over numerous successful endeavors, where we prioritize inclusivity, transparency, and open communication. One key aspect of our community engagement strategy is the recognition of the unique needs and perspectives of all stakeholders involved. Whether it’s residents, local businesses, environmental groups, or government officials, we actively seek input from all parties to ensure that their voices are heard and considered throughout the project lifecycle. By facilitating meaningful dialogue and providing opportunities for participation, we empower community members to contribute to the decision-making process, thereby fostering a sense of ownership and investment in the project outcomes. Furthermore, our commitment to community engagement extends beyond mere consultation to active collaboration and partnership-building. We understand that successful projects are built on trust and mutual respect, which is why we strive to establish strong relationships with community stakeholders from the outset. Through regular meetings, workshops, public forums, and interactive sessions, we create avenues for meaningful engagement and collaboration, where stakeholders feel valued and respected as equal partners in the project. Our track record speaks volumes about our dedication to community engagement. Projects such as the Fowl River Watershed Management Plan, the Western Shore Watershed Management Plan, and the ongoing Mobile County Shoreline Management Plan, which were all performed by by GMC and SCE, are testament to our ability to effectively engage diverse communities and foster community ownership of the project. With over 15 years of combined experience in engaging local communities on shoreline and coastal resource management issues, actions, and plans, both individually and collaboratively, GMC and SCE are well-equipped to navigate the complexities of community engagement and deliver successful outcomes that benefit all stakeholders involved. p Mon Louis Island Project - Public Information Meeting Page 330 of 368 www.gmcnetwork.com Building Communities Building Communities. Scott Hutchinson, PE Vice President, Engineering (251) 680-2555 scott.hutchinson@gmcnetwork.com Scott L. Douglass, PhD, PE, BC.CE President (251) 510-2903 scott@southcoastengineers.com Page 331 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-432 FROM: Richard Johnson, CITY ENGINEER George Ladd , PUBLIC WORKS DIRECTOR SUBJECT: The City Engineer, Richard Johnson, and the Director of Public Works, George Ladd, have requested the first one (1) year extension of the annual contract for RFQ PS021-22 Consulting Urban Forester Related to the GOMESA Grant No. G-CFNP21CF for the same terms and conditions as the original contract. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To authorize the Mayor, Sherry Sullivan, to execute Extension No. 1 for the annual contract for RFQ PS021-22 Consulting Urban Forester Related to the GOMESA Grant No. G- CFNP21CF for the same terms and conditions as the original contract. BACKGROUND INFORMATION: The original contract was executed January 20, 2023 and awarded to Fulgham's Inc. The request for Extension No. 1 will extend the contract until January 19, 2025. The Vendor has agreed to Extension No. 1, with all terms and conditions of the bid award. Council awarded RFQ PS021-22 Consulting Urban Forester Related to the GOMESA Grant No. G-CFNP21CF on 12/21/2022 to Fulgham's Inc. for the not-to-exceed amount of $42,000.00. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 103-55890 North Triangle Nature Park - Grant $42,000.00 $42,000.00 $0.00 GRANT: LEGAL IMPACT: N/A Page 332 of 368 FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 333 of 368 RESOLUTION NO. ________ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that Mayor Sherry Sullivan is hereby authorized to execute a contract for Extension No. 1 for (RFQ PS021-22) Consulting Urban Forester Related to the GOMESA Grant No. G-CFNP21CF to Fulgham’s Inc. for one (1) year extension of the annual contract from January 20, 2024 to January 19, 2025 per the same terms and conditions of the original contract. ADOPTED ON THIS 10TH DAY OF JUNE 2024 ____________________________________ Council President, Corey Martin Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 334 of 368 City of Fairhope RFQ PS021-22 Consulting Urban Forester Related to the GOMESA Grant No. G-CFNP21CF Contract Extension No. 1 This EXTENSION NO.1 of CONTRACT ("Extension") is made this _____ day of _______________________ ,2024, for the purpose of extending the agreement known as RFQ No. PS021-22 Consulting Forester Related to the GOMESA Grant No. G-CFNP21CF, dated January 20, 2023, (“Original Contract") between the City of Fairhope and Fulgham’s Inc. (the "Parties"). 1. Extension 1 of this agreement, which is attached hereto as a part of this Extension, is described below: RFQ No. PS021-22 Consulting Forester Related to the GOMESA Grant No. G-CFNP21CF and will end on January 19, 2024 at midnight. 2. The Parties agree to extend Extension 1 agreement for an additional period, which will begin immediately upon the expiration of the original time period January 20, 2024 and will end on January 19, 2025. 3. This Extension binds and benefits both Parties and any successors or assigns. This document, including the attached Original Contract, is the entire agreement between the Parties. All other terms and conditions of the Original Contract, including pricing, remain unchanged. IN WITNESS WHEREOF, the parties hereto have executed this Contract Extension as of the day and year first above written. THE CITY OF FAIRHOPE, ALABAMA ATTEST: ______________________________ BY: Sherry Sullivan, Mayor BY: Lisa A. Hanks, MMC, City Clerk NOTARY FOR THE CITY STATE OF ALABAMA} COUNTY OF BALDWIN} I, the undersigned authority in and for said State and County, hereby certify that Sherry Sullivan as Mayor of the City of Fairhope whose name is signed to the foregoing document and who is known to me, acknowledged before me on this day, being informed of the contents of the document she executed the same voluntarily on the date of the same bears date. Given under my hand and Notary Seal on this _____day of__________________ , 2024. Notary Public______________________________ My Commission Expires:______________ Page 335 of 368 If Corporation, Partnership, or Joint Venture _____________________________________________________________________________________ Name of Corporation, Partnership, or Joint Venture By: _____________________________________ _______________________________________ Signature of Officer Authorized to Sign Bids Position or Title and Contracts for the Firm _____________________________________________________________________________________ Email Address _____________________________________________________________________________________ Business Mailing Address _____________________________________________________________________________________ City, State, Zip Code _____________________________________ _______________________________________ General Contractor’s License Number Foreign Corporation Entity ID (Required of out-of-state vendors) NOTARY STATE OF ______________________________} COUNTY OF ____________________________} I, the undersigned authority in and for said State and County, hereby certify that _____________________________________ , as ___________________________________________ Type or Print Name of Bid Signer Type or Print Bid Signer Title Respectively, of ______________________________________________________________________ Type or Print Company Name Whose name is signed to the foregoing document and who is known to me, acknowledged before me on this day, that, being of the contents of the document they executed the same voluntarily on the day the same bears date. Given under my hand and Notary Seal on this ________ day of _____________, 2024. Notary Public ___________________________ My Commission Expires ___________________ Page 336 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-445 FROM: Marcus E. McDowell – CITY ATTORNEY SUBJECT: City of Fairhope Accepts Statutory Warranty Deed from BYC, LLC for Certain Property that will Serve as Sewer Lift Station AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Be it hereby Resolved that the Governing Body of the City of Fairhope hereby accepts the Statutory Warranty Deed from BYC, LLC for certain property that will serve as a Sewer Lift Station. The City Clerk is authorized to record said Deed in the Probate records of Baldwin County and the Treasurer is directed to pay said monetary sum as indicated in the Deed. The parcel is approximately .08 acres and a copy is attached hereto for reference. BACKGROUND INFORMATION: Signed Warranty Deed BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 337 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIHOPE, ALABAMA, Be it hereby Resolved that the Governing Body of the City of Fairhope hereby accepts the Statutory Warranty Deed from BYC, LLC for certain property that will serve as a Sewer Lift Station. The City Clerk is authorized to record said Deed in the Probate Records of Baldwin County and the Treasurer is directed to pay said monetary sum as indicated in the Deed. The parcel is approximately .08 acres and a copy is attached hereto for reference. ADOPTED ON THIS 10TH DAY OF JUNE, 2024 __________________________________ Corey Martin, Council President Attest: ___________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 338 of 368 Page 339 of 368 Page 340 of 368 Page 341 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-443 FROM: Marcus E. McDowell, CITY ATTORNEY SUBJECT: Construction Easement Planters Point Lift Station AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: Authorize Mayor Sherry Sullivan to execute a Construction Easement for work to be done on the Planters Point Lift Station. BACKGROUND INFORMATION: Temporary Right-of-Entry Permit and Construction Easement Agreement Statutory Warranty Deed BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 342 of 368 RESOLUTION NO. _______ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIHOPE, ALABAMA, that Mayor Sherry Sullivan is hereby authorized to execute a Construction Easement for work to be done on the Planters Point Lift Station; and authorize the Mayor to sign all necessary documents. ADOPTED ON THIS 10TH DAY OF JUNE, 2024 __________________________________ Corey Martin, Council President Attest: ___________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 343 of 368 DPARCEL: 05-46-02-03-0-000-004.001 & 168 PROJECT: Planters Pointe Lift FAIRHOPE, CITY OF Station & FM Project TEMPORARY RIGHT-OF-ENTRY PERMIT AND CONSTRUCTION EASEMENT AGREEMENT STATE OF ALABAMA} COUNTY OF BALDWIN} The undersigned hereby certifies and warrants that he is the title owner, holder and/or the authorized agent of said owner of the property described herein, and the undersigned hereby authorizes the City of Fairhope (City), its successors and assigns, including its contractors and subcontractors, the temporary authority and permission to enter in and onto the premises located within the County of Baldwin, State of Alabama, more commonly identified as Temporary Sanitary Sewer Easement (As shown in Exhibit “A”) (the “Easement Area”), being a twenty foot (20´) wide strip of land along the north and west boundaries of the following property being conveyed by undersigned to the City on the date hereof (the “City Parcel”): BEGINNING AT THE NORTHEAST CORNER OF LOT 1 MARKED WITH A CAPPED REBAR (THOMPSON), NW CORNER HWY181-HWY104 SUBDIVISION AS RECORDED ON SLIDE 2725-E FOUND IN THE OFFICE OF THE JUDGE OF PROBATE BALDWIN COUNTY, ALABAMA WITH SAID CORNER LYING ON THE WEST RIGHT OF WAY LINE FOR STATE HIGHWAY 181; THENCE RUN SOUTH 00˚17'09” WEST ALONG SAID RIGHT OF WAY LINE 7.38 FEET; THENCE RUN SOUTH 15 ˚48'23” WEST FOR 47.51 FEET; THENCE RUN SOUTH 00 ˚55'28” WEST FOR 177.05 FEET; THENCE RUN SOUTH 00 ˚25'10” WEST FOR 74.75 FEET; THENCE RUN SOUTH 38 ˚45'55” WEST FOR 63.89'; THENCE RUN SOUTH 00 ˚15'38” WEST FOR 164.73 FEET TO THE POINT OF BEGINNING; SOUTH 00°15'38" WEST FOR 35.27 FEET; THENCE RUN SOUTH 33°25'46" EAST FOR 17.65 FEET; THENCE LEAVING SAID RIGHT OF WAY LINE RUN WEST FOR 77.80 FEET; THENCE RUN NORTH 50.00'; THENCE RUN EAST 68.24 FEET TO THE POINT OF BEGINNING, CONTAINING 3,478 SF (0.08 ACRES) MORE OR LESS. CITY SHALL HAVE THE RIGHT TO USE THE RIGHTS GRANTED HEREUNDER TO DO THE FOLLOWING WORK ON THE ABOVE DESCRIBED EASEMENT AREA: INGRESS & EGRESS; STORAGE OF EQUIPMENT & MATERIALS; AND WORKING AREA AS NECESSARY TO MAKE ALL SUCH SANITARY SEWER SYSTEM REPAIRS AND IMPROVEMENTS ON THE CITY PARCEL, INCLUDING, BUT NOT LIMITED TO, CONSTRUCTION OF SANITARY SEWER INFRASTRUCTURES, INSTALLATION OF A LIFT STATION, PLACEMENT/REPLACEMENT OF SEWER FORCE MAINS AND LATERALS, GRADING, STABILIZATION, MULCH, SEEDING AND ALL OTHER WORK RELATED TO PLANTERS POINT LIFT STATION AND FORCE MAIN PROJECT TO BE CONSTRUCTED ON THE CITY PARCEL; PROVIDED, IN NO EVENT SHALL THE CITY ERECT, CONSTRUCT OR INSTALL ANY FACILITIES OR IMPROVEMENTS WITHIN THE EASEMENT AREA, EXCEPT FOR INSTALLATION OF THE NECESSARY PIPING TO TIE IN THE EXISTING MANHOLE TO THE LIFT STATION. The undersigned further grants the City the temporary authority and permission to enter into and upon the area located adjacent to the south boundary of the City Parcel, as depicted on the subdivision plat that has been filed with the City for said area and other adjacent property but not yet recorded, and contemplated by said plat to be dedicated to the City upon recording of said plat (the “Intended ROW”), in connection with the construction of said improvements on the City Parcel, but the City shall not park vehicles on or otherwise block the Intended ROW, shall not disturb the surface of the Intended ROW, shall not store materials or equipment on the Intended ROW, or construct or install any facilities or improvements within the Intended ROW pursuant to this instrument, except those infrastructure improvements as shown in the Thompson Engineering Planter’s Point Lift Station Plans (Project No. 21-1101-0257) – May 2023. All at no expense to the said property owner. It is understood and agreed that any and all lands and/or improvements, excluding trees, shrubs, ornamental plantings and turf grass sod, that are disturbed in the utilization of the rights hereby granted will be restored by City to a condition substantially the same as existed immediately prior to said disturbance. All rights hereby granted are temporary in nature and (i) for the Easement Area, will expire and terminate one hundred eighty (180) days after the date of this instrument (the “End Date”), and (ii) for the Intended ROW, on the earlier of the End Date or when said plat is recorded and Intended ROW dedicated to the City. The City Page 344 of 368 shall complete the construction of said Planters Point lift station and related improvements on the City Parcel no later than the End Date. The undersigned, in consideration of allowing the City to conduct the above described work (Lift Station and Force Main Project) within the City Parcel, do hereby covenant with the City on behalf of myself, my heirs, assigns and successors that I/We will never sue the City or its agents, servants or employees for or on account of said work as long as the improvements and facilities constructed or installed by the City in connection with the work are located within the City Parcel. I/We acknowledge the City will be responsible for the standard upkeep and maintenance of its Lift Station and Force Main. I/We hereby authorize the City of Fairhope to record this document with the Judge of Probate of Baldwin County so my successors and/or assigns will be on notice regarding the existence of this Agreement. [SIGNATURE ON FOLLOWING PAGE] Page 345 of 368 Page 346 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-287 FROM: Jeff Montgomery SUBJECT: That Mayor Sherry Sullivan is hereby authorized to execute the Proposal from Granicus for the annual fee of $4,850.42. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: The Director of Information Technology is requesting that the Council authorizes Mayor Sullivan to execute the proposal from Granicus for $4,850.42. BACKGROUND INFORMATION: The proposal from Granicus, which is a sole source procurement, is less than $5,000.00, and therefore does not need approval from the City Council. However, the proposal needs the signature of Mayor Sullivan to proceed. Therefore, we are requesting authorization by the Council to allow Mayor Sullivan to sign the proposal. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 001180- 50300 Revenue - Computer Exp $5,000.00 $4,850.42 $149.58 GRANT: N/A LEGAL IMPACT: Needs legal review FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 347 of 368 RESOLUTION NO. ________ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [I] That the City of Fairhope hereby authorizes Mayor Sherry Sullivan to execute the proposal from Granicus as sole source for the annual fee of $4,850.42. ADOPTED ON THIS 10TH DAY OF JUNE 2024 ____________________________ Corey Martin, Council President Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 348 of 368 THIS IS NOT AN INVOICE Order Form Prepared for Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 1 of 14 Master Subscription Agreement US/Canada This Master Subscription Agreement (“Agreement”) is effective as of the date last signed below (“Effective Date”) between City of Fairhope (“Client”) and Granicus, LLC, a Minnesota Limited Liability Company for those Clients residing in the US, or Granicus Canada Holdings, U.L.C., an unlimited liability corporation for those Clients residing in Canada (“Granicus”). 1. Definitions. For the purpose of this Agreement, the following terms have the corresponding definitions: “Content” means any material or data: (i) displayed or published on Client’s website; (ii) provided by Client to Granicus to perform the Services; or (iii) uploaded into Products. “Products” means the online or cloud subscription services, on premise software, and embedded software licensed to Client, and hardware components purchased by Client under this Agreement; “IP Rights” means all current and future worldwide statutory or other proprietary rights, whether registered or unregistered, including but not limited to, moral rights, copyright, trademarks, rights in designs, patents, rights in computer software data base rights, rights in know-how, mask work, trade secrets, inventions, domain or company names and any application for the foregoing, including registration rights. “Order” means a binding proposal, written order, or purchasing document setting forth the Products made available to Client pursuant to this Agreement; “Services” means the consulting, integration, installation, and/or implementation services to be performed by Granicus as described in the SOW; “SOW” means a statement of work agreed to by the parties that references this Agreement and describes the Services and Deliverables provided as part of a Services engagement pursuant to the Services provisions set forth in this Agreement; and 2. Intellectual Property Ownership and Use Rights. a) Intellectual Property Ownership. Granicus and its licensors own all IP Rights in the Products. Client and its authorized users have no right, title or interest in the Products other than the license rights expressly granted herein. All rights not expressly granted in the Products are reserved by Granicus or its licensors. b) License to Products. Granicus hereby grants Client a non-exclusive, non-transferable license to access and use the Products identified in the Order during the Term set forth therein. In addition to the terms of this Agreement and the Order, product-specific license terms applicable to certain of the Products can be found at www.Granicus.com/legal/licensing and are hereby incorporated into this Agreement by reference. Granicus reserves all right, title and interest in and to all Granicus Products, including all rights not expressly granted to Client under this Agreement. DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 349 of 368 c) Third Party Contractors. Client may permit its third-party contractors to access and use the Products solely on behalf of and for the benefit of Client, so long as: (i) such contractor agrees to comply with this Agreement as if it were Client; (ii) Client remains responsible for each contractor's compliance with this Agreement and any breach thereof; and (iii) all volume or transaction-based use of the Products includes use by contractors. All rights granted to any contractor terminate immediately upon conclusion of the Services rendered to Client that give rise to such right. Upon termination of such rights, contractor will immediately cease all use of the Products and uninstall and destroy all confidential or proprietary Granicus information in its possession. Client will certify compliance with this section in writing upon Granicus’ request. d) Data Sources. Client may only upload data related to individuals that originates with or is owned by Client. Client shall not upload data purchased from third parties without Granicus’ prior written consent and list cleansing Services provided by Granicus for an additional fee. Granicus will not sell, use, or disclose any personal information provided by Client for any purpose other than performing Services subject to this Agreement. e) Content. Client can only use Products to share Content that is created by or owned by Client and/or Content for affiliated organizations, provided that use by Client for affiliated organizations is in support only, and not as a primary communication vehicle for such organizations that do not have their own license to the Products. Granicus does not own the Content submitted by Client nor is Granicus responsible for any Content used, uploaded or migrated by Client or any third party. f) Advertising. Client shall not use Products to promote products or services available for sale through Client or any third party without Granicus’ prior written consent. g) Restrictions. Client shall not: (i) Use or permit any end user to use the Products to store or display adult content, promote illegal or immoral activities, send or store infringing, obscene, threatening or unlawful or tortious material or disrupt others use of the Products, network services or network equipment, including unsolicited advertising or chain letters, propagation of computer worms and viruses, or use of the Products to make unauthorized entry into any other device accessible via the network or Products; (ii) Disassemble, decompile, reverse engineer or make derivative works of the Products; (iii) Rent, lease, lend, or host the Products to or for any third party, or disclose the Products to any third party except as otherwise permitted in this Agreement or an Order or SOW; (iv) Use the Products in violation of any applicable law, rule, or regulation, including violation of laws regarding the processing, use, or disclosure of personal information, or violation of any United States export control or regulation, United States embargo, or denied or sanctioned parties prohibitions; or (v) Modify, adapt, or use the Products to develop any software application intended for resale which uses or competes with the Products in whole or in part. 3. Term; Termination. DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 350 of 368 Order Form Prepared for Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 3 of 14 a) Agreement Term. This Agreement begins on the Effective Date and remains in effect for the period set out in the Order (“Initial Term”). Thereafter, this Agreement will continue in effect until all Orders or SOWs have expired or been terminated. b) Order Term. Each Order will be effective on the date set out therein and will remain in effect during the Initial Term identified in such Order. c) SOW Term. Each SOW will begin on the effective date of the SOW and will remain in effect until the Services are completed, this Agreement is terminated, or the termination date set out in the SOW (the “Termination Date”), whichever is later. If no specific Termination Date is designated in the SOW, Client may terminate the SOW upon thirty (30) days written notice to Granicus. d) Termination for Default. Either party may terminate this Agreement or any Order or SOW by written notice if the other party commits a material breach of this Agreement or the applicable Order or SOW and fails to cure such breach within thirty (30) days after receipt of such notice, or an additional period of time as agreed to by the parties. e) Non-Appropriation. Client may terminate this Agreement or any Order or SOW by providing Granicus written notice during the Renewal Term for lack of appropriation so long as Client has made best efforts to secure the necessary consents for renewal and obtain appropriate funds for payment of the fees. f) Effect of Termination. Upon expiration or termination of an Order or SOW for any reason: (i) Client’s right to access and use the Products will immediately cease (except for perpetual licenses granted under an Order, which will continue to be governed by this Agreement for the duration of the license); (ii) Client will promptly remit any fees due to Granicus under all Orders and SOWs; (iii) Granicus will promptly cease performance of any Services; and (iv) the parties will return or destroy any Confidential Information of the other party in its possession, and certify upon request to the other party of compliance with the foregoing. Client will have thirty (30) days from the expiration date of a subscription to extract or download any Content stored in the Products. Granicus has no obligation to retain any Content after such thirty (30)-day period nor is Granicus responsible for extracting the data on Client’s behalf absent separate written agreement and the payment of additional fees. g) Survival. Sections 4 (Fees, Payment), 9 (Confidentiality), 10 (Indemnification), 11 (Limitation of Liability), 13 (Governing Law) and any other clause that by its nature is intended to survive will survive termination of this Agreement indefinitely or to the extent set out therein. 4. Fees; Payment. a) Fees. Client will pay all fees, costs and other amounts as specified in each Order or SOW. Annual fees are due upfront at the beginning of each annual term. Services fees and one-time fees are due according to the billing frequency specified in each Order or SOW. Granicus may suspend Client’s access to any Products if there is a lapse in payment not remedied promptly upon notice to Client. A lapse in the Term of each Order or SOW will require the payment of a setup fee to reinstate the subscription. All fees are exclusive of applicable state, local, and federal taxes, which, if any, will be included in the invoice. It is Client’s responsibility to provide applicable exemption certificate(s). DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 351 of 368 b) Payment. Client will remit payment of the fees due within thirty (30) days of receipt of an accurate invoice from Granicus or its authorized reseller, or if Client is subject to different payment terms imposed by applicable regulation, such required payment duration. Any disputed amounts will be identified in writing to Granicus within the payment period or be deemed accurate and payable. With respect to any amount due to Granicus which is not paid within thirty (30) days of an undisputed invoice, Granicus may apply interest at the rate of one and half percent (1.5%) per month, or such lesser amount required by law, assessed from the due date through the date of payment. Client acknowledges and agrees that orders placed by Client for Products and Services will be non-cancellable and the fees paid are non- refundable unless otherwise expressly stated in the Agreement. c) Purchase Orders. Upon request, Granicus will reference a purchase order number on its invoices if Client provides the corresponding purchase order information to Granicus prior to generating the invoice. Client agrees that a failure to provide Granicus with purchase order information will not relieve Client of its obligations to provide payment in accordance with this section. d) Price Changes. Subject to any price schedule or pre-negotiated fees to which this Agreement or an Order may be subject, Granicus will provide notice of any price changes prior to the end of the current Term, which subject to Section 3.b, will become effective as of the next Renewal Term. Such notification may be made via Order, email, or invoice provided by Granicus. Renewals at the same volume amount will not increase more than ten percent (10%) over the prior year’s fees. Purchases of additional Products will be at Granicus’ then-current price and licenses, subject to volume or transaction metrics, and will be reviewed annually prior to commencement of the Renewal Term, with fees adjusted to cover increases in Client’s use. e) Cooperative Purchasing. To the extent permitted by law the terms of this Agreement may be extended for use by other municipalities, school districts and governmental agencies. Orders and SOWs entered into by such third parties are independent agreements between the third party and Granicus and do not affect this Agreement or any Order or SOW between Granicus and Client. f) Overages. For any Products or Services purchased in tiers, with volume caps, specified number of users, or other measured metrics, it is the Client’s responsibility to purchase up to the level of use needed by Client. Any overage will be charged to Client at the then-current rate for such tier or volume, or the rate set forth in Client’s pricing arrangements with Granicus or Granicus resellers. 5. Client Responsibilities. a) Content. Client will be solely responsible for the Content submitted to the Products and will comply with all laws, rules and regulations relating to the use, disclosure and transmission of such Content, including providing such to Granicus. Client represents and warrants it has the legal right to provide the Content to Granicus and that such use or disclosure does not violate the intellectual property, privacy or other legal rights of any third party. Content or data provided by Client and contact information gathered through Client’s own web properties or activities will remain the property of Client. Client grants Granicus a limited, non-exclusive right during the Term to access and use the Content to provide the Products and Services. Content does not include user feedback related to the Products or Services, which Granicus is free to use without any further permission or consideration to Client. In addition, Content does not include data generated by use of the Products, including system data and data derived from DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 352 of 368 Order Form Prepared for Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 5 of 14 Content in an aggregated and anonymized form, which may be used by Granicus for any and all business purposes including diagnostics and system and product improvements. b) Data Backup and Protection. Client will maintain a back-up of any data or data files provided to Granicus. For certain Products, Granicus offers functionality that requires subscribers to enable password protection of subscriber profiles and associated data. Client assumes all responsibility for implementing and enforcing this security functionality in its sole discretion. c) Passwords. Sign-on credentials used to access the Products are non-transferable. Client is responsible for keeping all passwords secure and for all use of the Products through Client’s sign in credentials. d) Cooperation. Client will provide any assistance reasonably required by Granicus to perform the Services, including timely review of plans and schedules for the Services and reasonable access to Client’s offices for Services performed onsite. e) Third-Party Technology. Client will be responsible for securing all licenses for third party technology necessary for Granicus to perform the Services (including the right for Granicus to use such technology) and will be responsible for the performance of any third-party providing goods or services to Client related to the Services, including such third party’s cooperation with Granicus. f) Use of Messaging Services. Client may use Products to send emails and messages to users and third parties. Client is solely responsible for any such message and their content, including securing the legal right to send the message. Messages may be blocked, delayed, or prevented from being delivered by destination servers and other reasons outside of Granicus’ control, and there is no warranty that messages will reach their intended destination in a given timeframe. 6. Support. Basic support and maintenance services provided to Client for Products (“Support”) is included in the fees paid for the Granicus Product subscription or maintenance during the Term and will be provided in accordance with the Service Level Agreement set forth at www.granicus.com/legal/licensing. Granicus may update its Support obligations under this Agreement, so long as the level of Support agreed to by the parties is not materially diminished due to such modification. 7. Representations; Warranties; Disclaimers. a) Representations. Each Party represents that it has validly entered into this Agreement and has the legal power to do so. b) Warranties: (i) Each party warrants that it has the rights necessary to grant to the other party the licenses granted in this Agreement. (ii) Granicus warrants that it will perform its obligations in a professional and workmanlike manner in accordance with industry standards. DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 353 of 368 (iii) Client’s sole and exclusive remedy and Granicus ’ sole obligation for breach of the warranties in this Section are as follows: (i) for a breach of the warranty in Section 7.b.(i), the indemnity in Section 10 of this Agreement; and (ii) reperformance of the non-conforming Services for a breach of the warranty in Section 7.b.(ii), provided that Client notifies Granicus of a non-conformity in this Section during the thirty (30) day period following Granicus’ completion of the applicable Services. c) Disclaimers. EXCEPT AS EXPRESSLY STATED IN THIS THIS SECTION, THE PRODUCTS AND SERVICES ARE PROVIDED “AS IS” AND GRANICUS DISCLAIMS ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, WITHOUT LIMITATION, THE IMPLIED WARRANTIES OF MERCHANTABILITY, TITLE, NON- INFRINGEMENT, AND FITNESS FOR A PARTICULAR PURPOSE. GRANICUS DOES NOT WARRANT THAT PRODUCTS OR SERVICES WILL MEET CLIENT’S REQUIREMENTS OR THAT THE OPERATION THEREOF WILL BE UNINTERRUPTED OR ERROR FREE. 8. Services. a) Granicus will perform Services in accordance with this Agreement and the SOW. Granicus is not obligated to provide any Services unless set out in the SOW. Unless otherwise set out in the SOW or as agreed to by the parties the Services will be performed remotely. Any estimates provided in the SOW, including expected hours to complete the Services and any timeline provided by Granicus, are based on known functional requirements and technical environments as of the effective date of the SOW. Changes or delays in the work schedule originating with Client are subject to the project change procedure and may result in an increase in fees. b) Granicus grants Client a non-exclusive, non-transferable, royalty-free, perpetual license to use the Deliverables on behalf of and for the benefit of Client independently and with the Products. Granicus retains all right, title and interest to the Deliverables except for those rights expressly granted to Client and reserves all rights not otherwise expressly granted herein. Deliverables and Services are deemed accepted upon delivery unless otherwise set forth in a SOW. “Deliverable(s)” means any computer software, and related written documentation, reports or materials developed by Granicus; c) Any modifications to the Services must be in writing and signed by authorized representatives of each party. Granicus personnel performing Services at Client’s offices will comply with Client’s policies and procedures in effect at such location. d) If agreed to by the Parties in the SOW, Client will also pay for all reasonable travel-related and out-of-pocket expenses incurred by Granicus in the performance of the Services in accordance with Client’s travel and expense policy which will be provided to Granicus in writing (or Granicus’ policy if none is provided by Client) and which will be billed monthly and due thirty (30) days following date of invoice. 9. Confidentiality. During performance of the Services, each party may receive Confidential Information of the other party. a) “Confidential Information” means all confidential and/or trade secret information of either party (“Disclosing Party”), including but not limited to: (i) Granicus’ Products; (ii) non-public information if it is clearly and conspicuously marked as “confidential” or with a similar designation at the time of disclosure; (iii) non-public information of the Disclosing Party if it is identified as confidential and/or proprietary before, during, or promptly after presentation or communication; and (iv) any information that should be DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 354 of 368 Order Form Prepared for Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 7 of 14 reasonably understood to be confidential or proprietary given the nature of the information and the context in which disclosed, in each case that is disclosed to the other party (“Receiving Party”) or to which the Receiving Party gains access in connection with performance of the Services. b) Subject to freedom of information, government transparency, or similar applicable law, each Receiving Party will receive and hold any Confidential Information in strict confidence and will: (i) protect and safeguard the Confidential Information against unauthorized use, publication or disclosure; (ii) not reveal, report, publish, disclose, transfer, copy or otherwise use any Confidential Information except as specifically authorized by the Disclosing Party; (iii) not use any Confidential Information for any purpose other than in performance of this Agreement; (iv) restrict access to Confidential Information to those of its advisors, officers, directors, employees, agents, consultants, contractors and lobbyists who have a need to know, who have been advised of the confidential nature thereof, and who are under express written obligations of confidentiality or under obligations of confidentiality imposed by law or rule; and (v) exercise at least the same standard of care and security to protect the confidentiality of the Confidential Information received by it as it protects its own confidential information, but no less than a reasonable degree of care. c) If a Receiving Party is requested or required in a judicial, administrative, or governmental proceeding to disclose any Confidential Information, it will notify the Disclosing Party as promptly as practicable so that the Disclosing Party may seek an appropriate protective order or waiver for that instance, unless such notification is prohibited by law or judicial order. d) The foregoing obligations do not apply to information that: (i) is already public or becomes available to the public through no breach of this section; (ii) was in the Receiving Party’s lawful possession before receipt from the Disclosing Party; (iii) is lawfully received independently from a third party who is not bound by a confidentiality obligation; or (iv) is independently developed by or on behalf of the Receiving Party without use of any Confidential Information. e) Upon written request of the Disclosing Party, the Receiving Party agrees to promptly return or destroy all Confidential Information in its possession, and certify its destruction in writing, provided that the Receiving Party may retain a copy of the returned or destroyed items for archival purposes in accordance with its records retention policies and subject to this section. f) Disclosing Party may be irreparably damaged if the obligations under this section are not enforced and as such may not have an adequate remedy in the event of a breach by Receiving Party of its obligations hereunder. The parties agree, therefore, that Disclosing Party is entitled to seek, in addition to other available remedies, an injunction restraining any actual, threatened or further breaches of the Receiving Party’s obligations under this section or any other appropriate equitable order or decree. 10. Indemnification. a) Granicus will defend, indemnify and hold Client harmless from and against all losses, liabilities, damages and expenses including reasonable attorney fees (collectively, “Losses”) arising from any claim or suit by an unaffiliated third party that the Products or Deliverables, as delivered to Client and when used in accordance with this Agreement and the applicable Order or SOW, infringes a valid U.S. copyright or U.S. patent issued as of the date of the applicable Order or SOW (a “Claim”). DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 355 of 368 b) To the extent permitted by applicable law, Granicus will have control of the defense and reserves the right to settle any Claim. Client must notify Granicus promptly of any Claim and provide reasonable cooperation to Granicus, upon Granicus’ request and at Granicus’ cost, to defend such Claim. Granicus will not agree to any settlement which requires acknowledgment of fault or an incurred liability on the part of an indemnified party not otherwise covered by this indemnification without indemnified party’s prior consent. Client may elect to participate in the defense of any claim with counsel of its choosing at its own expense. c) If the Products or Deliverables are subject to a claim of infringement or misappropriation, or if Granicus reasonably believes the Products or Deliverables may be subject to such a Claim, Granicus reserves the right, in its sole discretion, to: (i) replace the affected Products or Deliverable with non- infringing functional equivalents; (ii) modify the affected Products or Deliverable to render it non- infringing; or (iii) terminate this Agreement or the applicable Order or SOW with respect to the affected Granicus Product or Deliverable and refund to Client any prepaid fees for the then-remaining portion of the Order or SOW Term. d) Granicus will have no obligation to indemnify, defend, or hold Client harmless from any Claim to the extent it is based upon: (i) a modification to the Granicus Product or Deliverable by anyone other than Granicus; (ii) a modification made by Granicus pursuant to Client’s required instructions or specifications or in reliance on materials or information provided by Client; (iii) combination with the Products or Deliverable with non-Granicus software or data; or (iv) Client’s (or any authorized user of Client) use of any Products or Deliverables other than in accordance with this Agreement. e) This section sets forth Client’s sole and exclusive remedy, and Granicus’ entire liability, for any Claim that the Products, Deliverables or any other materials provided by Granicus violate or infringe upon the rights of any third party. 11. Limitation of Liability. a) EXCEPT FOR LIABILITY THAT CANNOT BE LIMITED OR EXCLUDED UNDER APPLICABLE LAW, UNDER NO CIRCUMSTANCES WILL EITHER PARTY BE LIABLE FOR ANY: (I) SPECIAL, INDIRECT, PUNITIVE, INCIDENTAL, OR CONSEQUENTIAL DAMAGES; OR (II) LOSS OR DAMAGE TO DATA, LOST PROFITS, SALES, BUSINESS, GOODWILL OR ANTICIPATED SAVINGS, WHETHER AN ACTION IS IN CONTRACT OR TORT (INCLUDING NEGLIGENCE) AND REGARDLESS OF THE THEORY OF LIABILITY, EVEN IF A PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. b) NOTWITHSTANDING ANY OTHER PROVISION OF THIS AGREEMENT, IN NO INSTANCE, OTHER THAN WILLFUL MISCONDUCT AND GROSS NEGLIGENCE, WILL EITHER PARTY'S LIABILITY UNDER THIS AGREEMENT, UNDER ANY THEORY OF LIABILITY AND REGARDLESS OF THE NATURE OF THE CLAIM, EXCEED THE GREATER OF ONE MILLION DOLLARS ($1,000,000 USD) OR ACTUAL MONIES COLLECTED FROM INSURANCE PROCEEDS APPLICABLE TO THE CLAIM. GRANICUS SHALL NOT BE RESPONSIBLE FOR ANY LOST PROFITS OR ANY INDIRECT, INCIDENTAL, CONSEQUENTIAL DAMAGES, HOWEVER CAUSED.. 12. General. DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 356 of 368 Order Form Prepared for Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 9 of 14 a) Force Majeure. With the exception of payment obligations, any delay in the performance by either party of its obligations hereunder will be excused when such delay in performance is due to any cause or event of any nature whatsoever beyond the reasonable control of such Party, including, without limitation, any act of God; any fire, flood, or weather condition; any computer virus, worm, denial of service attack; any earthquake; any act of a public enemy, war, insurrection, riot, explosion or strike; provided, that written notice thereof must be given by such Party to the other Party within twenty (20) days after occurrence of such cause or event. b) Independent Contractor. Each party is an independent contractor and employees of each party are not considered to be employees of the other party. No agency, partnership, joint venture or other joint relationship is created by this Agreement. The parties shall not make any commitments binding on the other or make any representation that they are acting for, or on behalf of, the other. Each party assumes full responsibility for the actions of its personnel while performing the Services and such party will be solely responsible for the supervision, daily direction, control of its personnel, and for the payment of all of their compensation and any taxes related thereto. c) Publicity. Neither party will use the name of the other party in publicity releases or similar activity without the consent of the other party, except Granicus may include Client’s name and logo in client lists and similar communications. d) Waiver. No waiver of any breach of any provision of this Agreement or the SOW by either party or the failure of either party to insist on the exact performance of any provision of this Agreement or the SOW will constitute a waiver of any prior, concurrent or subsequent breach of performance of the same or any other provisions hereof, and no waiver will be effective unless made in writing. e) Notices. Other than routine administrative communications, which may be exchanged by the Parties via email or other means, all notices, consents, and approvals hereunder will be in writing and will be deemed to have been given upon: (i) personal delivery; (ii) the day of receipt, as shown in the applicable carrier’s systems, if sent via FedEx, UPS, DHL, or other nationally recognized express carrier; (iii) the third business day after sending by U.S. Postal Service, First Class, postage prepaid, return receipt requested; or (iv) sending by email, with confirmed receipt from the receiving party. Either Party may provide the other with notice of a change in mailing or email address in which case the mailing or email address, as applicable, for that Party will be deemed to have been amended. The mailing and email addresses of the Parties are as follows: Granicus City of Fairhope Contracts ATTN: 1152 15th Street NW, Suite 800 Washington DC 20005 Address: 1-800-314-0147 Phone: contracts@granicus.com Email: f) Severability. If any provision of this Agreement, Order, or SOW, or portion thereof, is held to be invalid, illegal or unenforceable by a court of competent jurisdiction, such provision will be severed and the remaining provisions of the Agreement, Order or SOW will remain in full force and effect. DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 357 of 368 g) Assignment. Neither Party may assign, delegate, or otherwise transfer this Agreement or any of its rights or obligations hereunder without the prior written consent of the other Party (such consent not to be unreasonably withheld). Notwithstanding the foregoing, either Party may assign this Agreement with reasonable notice to the other party to an affiliate or to a successor in interest resulting from acquisition of all, or substantially all, of the assigning party’s business by means of merger, stock or asset purchase, or otherwise. Any assignment or attempted assignment in violation of this Agreement will be null and void. This Contract will bind and inure to the benefit of each party’s permitted successors and assigns. h) Amendment. This Agreement may not be amended or modified except by a written instrument signed by authorized representatives of both Parties. i) Applicable Law. Each party will, at all times, exercise its rights and perform its obligations under this Agreement in compliance with all applicable law, rules, and regulations. j) Headings. The various section headings of this Agreement are inserted only for convenience of reference and are not intended, nor will they be construed to modify, define, limit, or expand the intent of the Parties. k) No Third-Party Beneficiaries. This Agreement is binding upon and insures solely to the benefit of the Parties hereto and their respective permitted successors and assigns; there are no third-party beneficiaries to this Agreement. l) Conflict of Interest. Granicus certifies that it is not engaged in any current project or business transaction, directly or indirectly, nor has it any interest, direct or indirect, with any person or business that might result in a conflict of interest in the performance of the Agreement, Order, or SOW. m) Anti-Corruption. Neither Party has received or been offered any illegal or improper bribe, kickback, payment, gift, or item of value from an employee or agent of the other Party in connection with this Agreement. If Client learns of any violation of the above restriction, Client shall immediately notify Granicus. n) Discrimination and Harassment Prohibited. Each Party will comply with all applicable local, state and federal laws and regulations prohibiting discrimination and harassment. 13. Governing Law. If Client is a public entity (a state or any agency or authority thereof, or county, city or town, public educational institution or other entity that serves a public purpose), this Agreement will be governed by and construed in accordance with the laws of the state in which the public entity is located, with venue being a court of competent jurisdiction within Baldwin County, Alabama. No applicable principals of conflicts of laws, imputed terms of the Uniform Commercial Code, or the United Nations Convention on contracts for the international sale of goods will apply to this Agreement. 14. Entire Agreement. This Agreement and Orders and SOWs governed by this Agreement constitutes the entire agreement between Granicus and Client, and supersedes all prior agreements, requests for DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 358 of 368 Order Form Prepared for Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 11 of 14 proposals or pricing and the corresponding responses, understandings, representations or correspondence relevant to the subject matter hereof. Perpetual licenses granted to Client under prior agreements remain in full force and effect. Inconsistencies between documents will be resolved in the following order: (I) this Agreement; (ii) Orders and SOWs; (iii) all other purchase documents executed by the parties (except for any pre-printed or standard terms contained on purchase orders which shall have no force or effect); (iv) Granicus’ response to Client’s RFI, RFP, RFQ; and (v) Client’s RFI, RFP, RFQ. If Client issues a purchase order, Granicus hereby rejects any additional or conflicting terms appearing on the purchase order or any other ordering materials submitted by Client. Client has not been induced to enter into this Agreement or the SOW by any representations or promises not specifically stated herein. IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their respective duly- authorized representatives on the Effective Date set forth below. Granicus City of Fairhope By: By: (Authorized Signature) (Authorized Signature) Name: Name: (Print or Type Name of Signatory) (Print or Type Name of Signatory) Title: Title: Date: Date: Exhibit A DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Greg Eck Senior Manager, Contracts 5/30/2024 Page 359 of 368 EXHIBIT A Granicus Proposal for Fairhope AL 3.1 Order Details Prepared By: Betsy Sachs Phone: Email: betsy.sachs@granicus.com Order #: Q-311422 Prepared On: 09 May 2024 Expires On: 30 Apr 2024 Currency: USD Payment Terms: Net 30 (Payments for subscriptions are due at the beginning of the period of performance.) Period of Performance: The term of the Agreement will commence on the date this document is signed and will continue for 12 months. 3.2 Order Terms DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 360 of 368 Order Form Fairhope AL Order #: Q-311422 Prepared: 09 May 2024 Page 13 of 14 PRICING SUMMARY The pricing and terms within this Proposal are specific to the products and volumes contained within this Proposal. One-Time Fees Solution Billing Frequency Quantity/Unit One-Time Fee Address Identification - Setup and Configuration Up Front 1 Each $0.00 Address Identification - Online Training Up Front 1 Each $0.00 Compliance Monitoring - Setup and Configuration Up Front 1 Each $0.00 Compliance Monitoring - Online Training Up Front 1 Each $0.00 SUBTOTAL: $0.00 New Subscription Fees Solution Billing Frequency Quantity/Unit Annual Fee Address Identification Annual 1 Each $2,252.57 Compliance Monitoring Annual 1 Each $2,597.85 SUBTOTAL: $4,850.42 DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 361 of 368 Order #: Q-311422 Prepared: 09 May 2024 Page 14 of 14 PRODUCT DESCRIPTIONS Solution Description Address Identification Ongoing monitoring of 60+ Short Term Rental websites including major platforms Airbnb, VRBO, HomeAway, Booking.com, FlipKey, & Expedia. Our machine learning will deduplicate all known Listings into unique Rental Units, where our identification team will provide owner contact information for further enforcement. This product includes:- Ongoing monitoring of all listings in your jurisdiction - Updating listing activity and details every 3-5 days - Screenshot activity of every listing - Deduplication of listings into unique Rental Units - Activity dashboard and map to monitor trends and breakdown of compliance Compliance Monitoring Compliance monitoring provides up-to-date information for each identified Rental Unit and its compliance status. We configure your compliance definition specific to your jurisdiction rules and ordinances in order to provide up-to-date compliance status of each identified Rental Unit. Additionally, this product will:- Allow your team to send letters to non- compliant properties 24/7 - Configure letter templates with your branding and letterhead - Add as many letter sequences as you need for escalation - Monitor properties that become compliant after letter enforcement Address Identification - Setup and Configuration Setup and configuration of the platform to facilitate the systematic identification of the addresses and owner's contact information for short- term rentals located in a specific local government's jurisdiction. Note: The implementation timeline for Client is dependent on Granicus' receipt of all data from Client required to complete the services, including assessor data and registration files, in the format agreed upon by the parties prior to project kick-off. Any fees associated with the collection or receipt of required data will be borne by Client. Address Identification - Online Training Virtual training session with a Granicus professional services trainer. Compliance Monitoring - Setup and Configuration Setup and configuration of the system to enable ongoing monitoring of a specific jurisdiction's short-term rentals for compliance with the relevant registration/licensing/permitting requirements. Compliance Monitoring - Online Training Virtual training session with a Granicus professional services trainer. DocuSign Envelope ID: 1482D620-2DF8-49F4-AB80-6E0DDB8C5FEF Page 362 of 368 PUR-004 - 082522 CITY OF FAIRHOPE PURCHASING DEPARTMENT PURCHASING REQUEST FORM Name: Jeff Montgomery Date: 02/29/24 Department: IT Expenditure Threshold** Distinctions Quotes Required Approval Green Sheet Resolution Under $5,000 No restrictions Not Required N/A N/A N/A Utilities $5,001-$10,000 Operational NON-Budgeted Three Treasurer/Mayor N/A N/A Greater than: Gen Govt - $5,001 Utilities - $10,001 Operational NON-Budgeted Three Council Required Required Gen Govt - $5,001-$15,000 Utilities - $10,001 - $15,000 Operational Budgeted Three Treasurer N/A N/A Over $15,000/$50,000 Operational Budget* State Bid List or Buying Group Treasurer/Mayor N/A N/A Over $15,000/$50,000 Operational Budgeted Bids Council Required Required Professional Service Over $5,000 Budgeted or Non-Budgeted Mayor Select Council Required Required *Budgeted items that meet or are under budget may be purchased with the Mayor and/or Treasurer’s approval if they are on the State Bid list or from an approved buying group. Items that are over budget must go to Council for approval and will require a green sheet and resolution. **Expenditure Threshold is a combined total of labor and materials, including materials provided by the City. If the total amount is within $10,000 of the listed threshold, Purchasing/Treasurer may require a formal bid due to potential materials cost increases. QUOTES Vendor Name Vendor Quote 1. Granicus $ 4,850.42 2. Click or tap here to enter text. $ 3. Click or tap here to enter text. $ Check any applicable boxes: ☐ State Contract ☐ ALDOT ☐ Purchasing Group ☒ Sole Source (Attach Sole Source Justification) ITEM OR SERVICE INFORMATION 1. What item or service do you need to purchase? Yearly Renewal 2. What is the total cost of the item or service? 4850.42 3. How many do you need? 1 4. Item or Service Is: ☐ New ☒ Used ☐ Replacement ☐ Annual Request 5. Vendor Name (Lowest Quote): Granicus 6. Vendor Number: 5294 If you do not have a Vendor Number, please go to the City of Fairhope page: www.FairhopeAL.gov, Departments, Purchasing, Vendor Registration, and complete the required information. BUDGET INFORMATION 1. Is it budgeted? ☒ Yes ☐ No ☐ Emergency Request 2. If budgeted, what is the budgeted amount? 5000 3. Budget code: 001180-50300 Email completed form with quotes and other supporting documentation to Erin.Wolfe@FairhopeAL.gov and Rhonda.Cunningham@FairhopeAL.gov. Page 363 of 368 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2024-444 FROM: Stephanie Hollinghead, Chief SUBJECT: The Chief of Police, Stephanie Hollinghead, is requesting the purchase of 144 cases of Narcan® Nasal Spray and for the City to approve the use of funds from the McKesson Alabama Settlement Agreement for this purchase. AGENDA DATE: June 10, 2024 RECOMMENDED ACTION: To approve the use of McKesson Alabama Settlement Agreement funds for the purchase of 144 cases of Narcan® Nasal Spray. BACKGROUND INFORMATION: The Chief of Police is requesting the purchase of 144 cartons of NARCAN® Nasal Spray using funds from the McKesson Alabama Settlement Agreement. The McKesson Alabama Settlement Agreement was established for opioid abatement. This purchase is below the $5,000.00 threshold and therefore is not required to be let to bid. Emergent Biosolutions has provided a quote of Three Hundred Ninety-Six Dollars ($396.00) per case (12 cartons per case) for a total purchase 12 cases for Four Thousand Seven Hundred Fifty-Two Dollars ($4,752.00). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 001150- 51225 Narcotic purchases $4,752.00 (4,752.00) Drug Settlement funds available $153,541.07. GRANT: McKesson Alabama Settlement Agreement LEGAL IMPACT: Page 364 of 368 N/A FOLLOW UP IMPLEMENTATION: For time-sensitive follow up, select deadline date for follow up: N/A Individual(s) responsible for follow up: N/A Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 365 of 368 RESOLUTION NO. ________ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [1] That the City of Fairhope approves the purchase of 144 cartons of NARCAN® Nasal Spray from Emergent BioSolutions as the sole source for a not-to- exceed cost of $4,752.00; and authorizes the use of funds from the McKesson Alabama Settlement Agreement. ADOPTED ON THIS 10TH DAY OF JUNE 2024 Corey Martin, Council President Attest: _____________________________ Jenny Opal Wilson, CMC Assistant City Clerk Page 366 of 368 June 05, 2024 To whom it may concern Per your request, please see information below on pricing for NARCAN® Nasal Spray 4 mg/.1mL Fairhope Police Department qualifies to purchase NARCAN® Nasal Spray at Emergent Device's public interest pricing of $33.00 per carton. Each carton contains two 4 mg devices. The minimum order is 1 case (12 cartons) which is $396.00. There is no shipping fee, as shipping is provided free of charge. However, please note that this purchase is subject to sales tax, if applicable. If you were to purchase 12 cases (144 cartons), the subtotal would be $4,752.00. Please reference the Terms & Conditions (or your contract details) for additional information. Sincerely, Clark Baker VP, Business Operations NARCANCustomerService@ebsi.com In accordance with the Public Interest Price Terms and Conditions for the purchase of NARCAN® Nasal Spray (Naloxone HCl) 4mg executed by the Customer, the contents of this letter, specifically including, but not limited to, the pricing outlined herein, shall be considered the confidential information of Emergent and shall be held in confidence by Customer and not disclosed to any third party without the prior written consent of Emergent. ______________________________________________________________________________ 401 PLYMOUTH ROAD, SUITE 400, PLYMOUTH MEETING, PA 19462 | 844-232-7811 EMERGENTBIOSOLUTIONS.COM Page 367 of 368 PUR-004 - 082522 CITY OF FAIRHOPE PURCHASING DEPARTMENT PURCHASING REQUEST FORM Name:Sheri Swartz Date:6/5/2024 Department: Expenditure Threshold**Distinctions Quotes Required Approval Green Sheet Resolution Under $5,000 No restrictions Not Required N/A N/A N/A Utilities $5,001-$10,000 Operational NON-Budgeted Three Treasurer/Mayor N/A N/A Greater than: Gen Govt - $5,001 Utilities - $10,001 Operational NON-Budgeted Three Council Required Required Gen Govt - $5,001-$30,000 Utilities - $10,001 - $30,000 Operational Budgeted Three Treasurer N/A N/A Over $30,000 Operational Budget*State Bid List or Buying Group Treasurer/Mayor N/A N/A Over $30,000/$100,000 Operational Budgeted Bids Council Required Required Professional Service Over $5,000 Budgeted or Non-Budgeted Mayor Select Council Required Required *Budgeted items that meet or are under budget may be purchased with the Mayor and/or Treasurer’s approval if they are on the State Bid list or from an approved buying group. Items that are over budget must go to Council for approval and will require a green sheet and resolution. **Expenditure Threshold is a combined total of labor and materials, including materials provided by the City. If the total amount is within $10,000 of the listed threshold, Purchasing/Treasurer may require a formal bid due to potential materials cost increases. QUOTES Vendor Name Vendor Quote 1.Emergent $4752 2.Click or tap here to enter text.$ 3.Click or tap here to enter text.$ Check any applicable boxes: ☐ State Contract ☐ ALDOT ☐ Purchasing Group ☒ Sole Source (Attach Sole Source Justification) ITEM OR SERVICE INFORMATION 1. What item or service do you need to purchase? Narcan 2. What is the total cost of the item or service? $33 per unit / $4,752 total 3. How many do you need? 144 4. Item or Service Is: ☒ New ☐ Used ☐ Replacement ☐ Annual Request 5. Vendor Name (Lowest Quote): Click or tap here to enter text. 6. Vendor Number: Click or tap here to enter text. If you do not have a Vendor Number, please go to the City of Fairhope page: www.FairhopeAL.gov, Departments, Purchasing, Vendor Registration, and complete the required information. BUDGET INFORMATION 1. Is it budgeted? ☐ Yes ☐ No ☐ Emergency Request 2. If budgeted, what is the budgeted amount? Click or tap here to enter text. 3. Budget code: Click or tap here to enter text. Email completed form with quotes and other supporting documentation to Erin.Wolfe@FairhopeAL.gov and Rhonda.Cunningham@FairhopeAL.gov. Page 368 of 368