Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Home
My WebLink
About
01-12-2026 City Council Agenda Packet
CITY OF FAIRHOPE CITY COUNCIL REGULAR AGENDA Monday, January 12, 2026 - 6:00 PM City Council Chambers Council Members Jack Burrell Joshua Gammon Jimmy Conyers Jay Robinson Andrea Booth Invocation and Pledge of Allegiance Public Hearing Final Adoption from R-A, Residential / Agriculture to R-1, Low Density Single- District. The property is a Highway 181. PPIN #15456. (Introduced at the December 18, 2025 City Council Meeting). 7. Ordinance — An Ordinance to amend Ordinance No. 1233 known as the City of Fairhope Business License Code, Chapter 8, Section 22. License Classifications: additional NAICS Codes with Fee Schedule. 8. Ordinance – Annexation – ALDI, Inc., FAV181, LLC, and Fairhope Single Tax Corporation of property located at 10101 County Road 48, Fairhope, Alabama and to zone B-2 General Business District. Tax Parcels 46-06-14-0-000- Fairhope. The property is approximately 1.31 acres and is zoned B-2 – Business District. The northwest corner of State Highway 181 and State Highway 104. PPIN #: 626312. (Planning Commission unanimously recommends approval of SR 25.10). 10. Site Plan Review and Approval - Request of the Applicant, Chris Lieb, on behalf of the Owner, Wendelta Property Holdings LLC, for Site Plan Approval of Wendy’s Fairhope. The property is approximately 1.07 acres and is zoned B-2 – Business District. Highway 181 north of State Highway 104. PPIN #: 625448. (Planning Commission unanimously recommends approval of SR 25.05). Page 1 of 608 City Council Regular Meeting January 12, 2026 Page - 2 - 11. Site Plan Review and Approval - Request of the Applicant, Jade Consulting, LLC, on behalf of the Owner, Planters Pointe Partners LLC, for Site Plan Approval of Advanced Auto Parts. The property is approximately 1.09 acres and is zoned B-2 General Busines PPIN #: 626314. (Planning Commission unanimously recommends approval of SR 25.07). 12. Site Plan Review and Approval - Request of the Applicant, Element 3 Engineering, LLC, on behalf of the Owner, Coast Properties LLC, for Site Plan Approval of Pelc Tire Auto Service Center. The property is approximately 1.22 acres and is zoned B 2 – General PPIN #: 627497 (Planning Commission unanimously recommends approval of SR 25.06). 13. Resolution — That the City of Fairhope authorizes submission of an application to the BUILD Grant Program 2026 for a bridge system to replace a box culvert system over Fly Creek on U. S. Highway 98, Fairhope, Alabama; and authorizes the Mayor to sign all r for Extension No. 2 for (Bid No. 23- Assistance Management Services - and Consultants, L for Extension No. 2 for (Bid No. 23- Assistance Management Services - Consultants, LLC for Magnolia Beach Restoration and Stabilization Project with a bid proposal not-to Resurfacing Project to Chris Brewer Contracting for a not-to- $65,977.00. This Page 2 of 608 City Council Regular Meeting January 12, 2026 Page - 3 - 18. Resolution — That the Mayor Sherry Sullivan is hereby authorized to execute a contract for Extension No. 1 of (Bid No. 25- Contract - terms and conditions of the original contract. The annual contract cost not-to- Contracting for a not-to- project will be l Section Street Lift Station to Ballcon, Inc. for a not-to- $86,152.00. Th shall include the upgr Gas Distribution System Leak Detection Survey with a contract amount not-to #2024056- let out for bid. The Three-Year Term Renewal total amount is not-to- for Professional Services for (RFQ PS26- Prevention Education and Assistance (RFQ PS26-015) with a not-to- Page 3 of 608 City Council Regular Meeting January 12, 2026 Page - 4 - 27. Parking Authority Appointments 28. Public Participation – (3 minutes maximum) 29. Adjourn Regular Meetings of the City Council shall be held on the 2nd and 4th Monday of each month immediately following the 4:30 p.m. Work Session unless prescheduled and announced otherwise. Next Regular City Council Meeting, Monday, January 26, 2026, 6:00 p.m. Fairhope Municipal Complex City Council Chambers 161 North Section Street Page 4 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-154 FROM: Lisa Hanks, CITY CLERK SUBJECT: Minutes of the December 18, 2025, Regular City Council Meeting. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: Approve minutes of the December 18, 2025, Regular City Council Meeting. 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 5 of 608 STATE OF ALABAMA )( Page 6 of 608 18 December 2025 Page 7 of 608 18 December 2025 RESOLUTION NO. 5667-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That Mayor Sherry Sullivan is hereby authorized to execute a Contract with WAS Design for Foundation Park - Phase One (RFQ PS26- 004) with a not-to-exceed amount of $124,550.00. Page 8 of 608 18 December 2025 RESOLUTION NO. 5668-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 9 of 608 18 December 2025 RESOLUTION NO. 5669-25 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 for One (1) 2025 Ford F550 Crew Cab Truck or Equivalent with Crane Attachment (Bid No. 26-014) for the Water Department. [2] At the appointed time and place, the following bids were opened and tabulated as follows: [3] After evaluating the bid proposals with the required bid specifications, Gulf City Body & Trailer Works, Inc. is now awarded the bid for One (1) 2025 Ford F550 Crew Cab Truck or Equivalent with Crane Attachment (Bid No. 26-014) for the Water Department for a not-to- exceed amount of $164,637.00. Adopted on this 18th day of December, 2025 _________________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 10 of 608 18 December 2025 RESOLUTION NO. 5670-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 11 of 608 18 December 2025 RESOLUTION NO. 5671-25 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. 3 (Bid No. 040-22) On Call Contractor Services (Water and Sewer) to W.R. Mitchell Contractor, Inc. for two (2) month extension of the annual contract from January 4, 2026 to February 28, 2026 per the same terms and conditions of the original contract. The cost for the two (2) month extension not- to-exceed $50,000.00. This is a two (2) month extension to allow for the bid process of contract rebid. Page 12 of 608 18 December 2025 RESOLUTION NO. 5672-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That Mayor Sherry Sullivan is hereby authorized to execute a Contract with JADE Consulting, LLC. for Professional Construction Engineering and Inspection Services for the Pecan Avenue Watershed Drainage Improvements - Phase 1 Project (RFQ PS26-011) with a not-to-exceed amount of $49,500.00; and authorizes Treasurer to transfer $49,500.00 from Phase II to Phase I of project within Capital Projects fund 103-55853. DULY ADOPTED THIS 18TH DAY OF DECEMBER, 2025 _________________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk RESOLUTION NO. 5673-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That the City Council approves the selection by Mayor Sherry Sullivan for Professional Engineering Services for (RFQ PS26-012) for the Cowpen Creek Tributary Drainage Project to Sawgrass Consulting, LLC.; and hereby authorize Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. DULY ADOPTED THIS 18TH DAY OF DECEMBER, 2025 _________________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 13 of 608 18 December 2025 RESOLUTION NO. 5674-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 14 of 608 18 December 2025 RESOLUTION NO. 5675-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 15 of 608 18 December 2025 RESOLUTION NO. 5676-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 16 of 608 18 December 2025 RESOLUTION NO. 5677-25 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 for (Bid No. 26-013-2025- PGI-005) - 2" High Pressure Gas Main Extension County Road 32 and Greeno Road. [2] At the appointed time and place, the following bids were opened and tabulated as follows: Equix Energy Services, LLC $347,377.00 GMC Underground $809,292.00 Harris Contracting Services $924,000.00 Rast Construction, Inc. $396,316.00 [3] After evaluating the bid proposals with the required bid specifications, Equix Energy Services, LLC is now awarded (Bid No. 26-013-2025-PGI-005) - 2" High Pressure Gas Main Extension County Road 32 and Greeno Road with a bid proposal not-to-exceed $347,377.00; and authorize the Treasurer to transfer from the 181 and Dominion Farms Bank Feed project in the amount of $97,377.00. ADOPTED ON THIS 18TH DAY OF DECEMBER, 2025 _________________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 17 of 608 18 December 2025 RESOLUTION NO. 5678-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 18 of 608 18 December 2025 RESOLUTION NO. 5679-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF , as follows: Page 19 of 608 18 December 2025 RESOLUTION NO. 5680-25 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 of (Bid No. 25-008) Pest Control Annual Contract with Wayne's Pest Control Services, LLC per the terms and conditions of the original contract. The annual contract cost is $13,568.68. ADOPTED ON THIS 18TH DAY OF DECEMBER 2025 ________________________________ James Reid Conyers, Jr. Council President Attest: ______________________________ Lisa A. Hanks, MMC City Clerk RESOLUTION NO. 5681-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That the City Council hereby approves the negotiated price for (Bid No. 26-003- 2023-PWI-019) for Fairhope Pool Rehabilitation, and awards the bid to Bienville Construction Services for a not-to-exceed project cost of $1,200,000.00. ADOPTED ON THIS 18TH DAY OF DECEMBER 2025 ________________________________ James Reid Conyers, Jr. Council President Attest: ______________________________ Lisa A. Hanks, MMC City Clerk Page 20 of 608 18 December 2025 RESOLUTION NO. 5682-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 21 of 608 18 December 2025 RESOLUTION NO. 5683-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 22 of 608 18 December 2025 RESOLUTION NO. 5684-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That the City of Fairhope approves the procurement of the renewal of 35 user subscriptions of Citizenserve Software for the IT Department from Online Solutions, LLC; and authorizes procurement allowed by the Code of Alabama 1975, Section 41-16-51(a)(11). The total annual cost is $52,500.00. ADOPTED ON THIS 18TH DAY OF DECEMBER 2025 ________________________________ James Reid Conyers, Jr. Council President Attest: ______________________________ Lisa A. Hanks, MMC City Clerk RESOLUTION NO. 5685-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That the City Council approves the selection by Mayor Sherry Sullivan for Professional Services for (RFQ PS26-014) for the Promotion Assessment Center for the Police Department to Mark Foster Company; and hereby authorize Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. ADOPTED ON THIS 18TH DAY OF DECEMBER, 2025 ________________________________ James Reid Conyers, Jr., Council President Attest: ______________________________ Lisa A. Hanks, MMC City Clerk Page 23 of 608 18 December 2025 RESOLUTION NO. 5686-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: Page 24 of 608 18 December 2025 RESOLUTION NO. 5687-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That the City of Fairhope hereby temporarily suspends Ordinance No. 1425 from noon on December 31, 2025 to noon on January 1, 2026 for purposes of New Year’s Celebration Activities. Page 25 of 608 18 December 2025 Page 26 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-298 FROM: Lisa Hanks, CITY CLERK SUBJECT: Petition for a Declaration of Vacation of right-of-way by Montrose Cemetery Association, Cory Lee Niblett, and Kristen Harper Niblett for a portion of Adams Street, a 66-foot right of way, in Fairhope, Alabama. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: That the City Council approves or denies the vacation. Then, a resolution of the City of Fairhope of Baldwin County, Alabama for the Vacation of Portion of Street: a portion of Adams Street, a 66-foot right-of-way, will need to be prepared for the next City Council agenda. BACKGROUND INFORMATION: Ordinance No. 1801 - An Ordinance to approve the Annexation of Territory within the City Limits of the City of Fairhope, Alabama from the Baldwin County Commission was adopted on June 10, 2024 for portions of 2nd Street, 3rd Street, Ledyard Street, Taylor Street, Chapman Street, and Adams Street. See paragraph below from Ordinance. 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 Resolution No. 2022-167 - County Commission of Baldwin County, Alabama, authorizing and consenting to the transfer of ownership, maintenance, and responsibility for the portions of 2nd Street, 3rd Street, Ledyard Street, Taylor Street, Chapman Street, and Adams Street; adopted on September 20, 2022. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget Page 27 of 608 $___ $___ ($____) 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 28 of 608 STATE OF ALABAMA COUNTY OF BALDWIN DECLARATION OF VACATION WHEREAS, we the undersigned; Montrose Cemetery Association, Michael Quinn, President, (the petitioner) and Cory Lee Niblett and Kristen Harper Niblett being all of the abutting property owners of a portion of Adams Street, a 66-foot right-of-way, situated in Fairhope, Alabama as hereinafter described, which said street is not now in use nor will it ever be used as such , do hereby desire the same be vacated and do by these presents file the Declaration of Vacation with the Mayor and City Council of the City of Fairhope, Fairhope, Alabama . DESCRIPTION: BEGINNING at a concrete monument at the Northwest comer of lot 1 of Montrose Preserve a Planned Unit Development Phase One as per its plat recorded on Slide 2980-A in the Judge of Probate's Office , Baldwin County, Alabama, also being the intersection of the South Right-of-way line of Adams Street and the East Right-of-way line of Third Street run North 74 degrees 49 minutes 15 seconds East, along the South Right-of-way line of Adams Street a distance of 626 .75 feet to a concrete monument at the intersection of said South Right-of-way line and the West Right-of-way line ofU. S. Highway 98; thence run North 15 degrees 10 minutes 00 seconds West, a distance of 66.00 feet to the North Right-of-way line of Adams Street also being the South line of the Montrose Cemetery as recorded in Map Book 5, Page 40 in the Judge of Probate's Office, Baldwin County , Alabama; thence run South 74 degrees 49 minutes 15 seconds West, along sai d North Right-of-way line a distance of 626.40 feet to an iron pin marker at the intersection of said North Right-of-way line and the East Right-of-way line of Third Street also being the Southwest comer of the Cemetery; thence run South 14 degrees 51 minutes 45 seconds East, a distance of 66 .00 feet to the POINT OF BEGINNING. That this Declaration of Vacation shall be duly recorded and shall operate to destroy the force and effect of the dedication of the said street or that portion so vacated, and to divest all public rights, including any right which may have been acquired by prescription in the part of the 66 foot street (right-of-way) so vacated . Section 23-4-20 of the Alabama Code of 1975,join in the execution of this written request for vacation of said 66-foot street (right-of-way) and same being within the limits of the City of Fairhope, a municipality, do hereby pray and request the assent of the City Council of the City of Fairhope , Alabama, to said vacation of said 66-foot street (right-of-way) and its approval of same . IN WITNESS WHEREOF, we have hereunto set our hands and seal on this Declaration of Vacation on this the 10 Day of C)CT , 2025. Page 29 of 608 STATE OF ALABAMA COUNTY OF BALDWIN I, the undersigned, a Notary Public in and for said County in said State, hereby certify that, MICHAEL QUINN, President of Montrose Cemetery Association, whose name is signed to the foregoing instrument and who is known to me, acknowledged before me on this day that, being informed of the contents of said instrument, they executed the same voluntarily on the date the same bears date Given under my hand and seal on this the _·,_._o.:.. __ day of Oemw , 2025. (Affix Seal) My Commission Expires __ , _\ l+-\_6-1--~-"----"s"------- STATE OF ALABAMA COUNTY OF BALDWIN I, the undersigned, a Notary Public in and for said County in said State, hereby certify that, CORY LEE NIBLETT, whose name is signed to the foregoing instrument and who is known to me , acknowledged before me on this day that, being informed of the contents of said instrument, they executed the same voluntarily on the date the same bears date Given under my hand and seal on this the 1th (Affix Seal) My Commission Expires '1./cl-~/d--[)~61\ , 2025. Page 30 of 608 STATE OF ALABAMA COUNTY OF BALDWIN I, the undersigned, a Notary Public in and for said County in said State , hereby certify that, KRISTEN HARPER NIBLETT, whose name is signed to the foregoing instrument and who is known to me , acknowledged before me on this day that, being informed of the contents of said instrument, they executed the same voluntarily on the date the same bears date Given under my hand and seal on this the 1 t I,, day of N Q ve'rll\~ it (Affix Seal) 6 My Commission Expires Y /a.. :,/d-{) ~ ~ This instrument prepared by Lisa A. Hanks, City Clerk 161 North Section Street Fairhope, Alabama 36532 Phone: 251/928-2136 , 2025 . Page 31 of 608 Page 32 of 608 Page 33 of 608 Page 34 of 608 Page 35 of 608 Page 36 of 608 Page 37 of 608 Page 38 of 608 Page 39 of 608 Page 40 of 608 Page 41 of 608 Page 42 of 608 Page 43 of 608 .5 l "O � � a: -:,-� Q) w (/) !:!:! � (.)'9) .D a: ;::, I/} ::, ::J (7) --4 (L 8 0 -w t CJ: 0 a.. ):.I' �i� o <X:c � u. 0 -e 0 J 212945 7 l�r�BALDWIN COUNTY, ALABAMA l!lmHARRY D'OLIVE, JR. PROBATE JUDGE Filed/cert. 06/14/2024 08:43 AM TOTAL $28.00 6 Pages ORDINANCE NO. 1801 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, 3 rd 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 Yd Street to U.S. Highway 98, Chapman Street from 2nd Street to U.S. Highway 98, and Adams Street from 3 rd 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 Countymaintained 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 of3 rd 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 aresolution 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 � Page 44 of 608 Ordinance No. 1801 Page -2- 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 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 US 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 US 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 US 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 Page 45 of 608 Ordinance No. 1801 Page -3- 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, superv1s10n, 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 continuyn ; full force and effect notwithstanding such holding. / ADOPTED THIS 1 OT DA_Y-OF-n:JNE:--S.L,, J024___------ �---------,, Attest: � yv-.,ut \..../ \. ------ COREY MARTIN Council President �'-->-' �·� ADOPTED THIS 10TH DAY OF JUNE, 2024 Mayor Page 46 of 608 Exhibit A Tr ansfer of Maintenance Agreement man Strey 2,100 ft 0 350 700 1,050 1,400 Feet A part of Grant Se ction 43, Township 5 South,Range 2 East and part of the we st one half of Se ct ion 32, Township 5 South,Range 2 East, Baldwin County, Alabama an d being mo re fully described as follo ws: 2nd Street from the north int ersection of 2nd street and Cha pman Street,thence run southerly to ap proximately 663 feet ii I south of Ledyard Street. 3rd Street from north int ersec tion of Adams Street, thence run (J I sout herly ap proximat ely 2,800 feet to the end---of said right of way . Ledyard Street from the east right of way line of Main Stre et, thence runeasterly approximately 1,795 feet to the west righ t of way line of US Highway 98, Taylor St reet from the east right of way line of 3rd St reet, thence run easterly approximately 535 feet tot he we st right of way line of US Highway 98. Cha pman Street from the east rig ht of wayline of 2nd Street, thencerun easterly ap proximately 1,3 35 feet to th e west right of way line of US Highway 98. Adams Street fromthe east right of way line of 3rd Street, thence run easterly appro ximate ly 62 0 feet to the west right of way line of US Highway 98. Said right of way set out in Deed Book E, page 388, Town of Montrose, as reco rded in the Probate Rec ords, Baldwin County, Alabama. D Fairhope -us HWYS -- 911 Roads County Maintained Roads =-==-Paved Page 47 of 608 Exhibit B RESOLUTION NO. 2022 -167 RESOL UTION OF THE COUNTY COMMISSION OF BALDWIN COUNTY, ALABAMA, AUTHORIZING AND CONSENTING TO THE TRANSFER OF OWNERSHIP, MAINTENANCE, AND RESPONSIBILITY FOR PORTIONS OF z No STREET, 3 trn STREET, LEDY ARD STREET, TAYLOR STREET, CHAPMAN STREET, AND ADAMS STREET WHEREAS, 2nd Street from Chapman Street south approximately 2, I 00 feet to the end of right of way, 3 rd 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 3 rd Street to U.S. Highway 98, Chapman Street from 2nd Street to U.S. Highway 98, and Adams Street from 3 rd 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 that are not already the responsibility of the City of Fairhope have been County-maintained streets for a period of at least one (I) year prior to the effective date of this instrument; and WHEREAS. Baldwin County has found and determined that allowing the City of Fairhope to take over sole and exclusive ownership. control, management, supervision, regulation, repair, maintenance. improvement, and responsibility for the Fairhope Roads is in the best interest of Baldwin County; 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, in order to clarify and simplify the City of Fairhope's assumption of responsibility for the Fairhope Roads in accordance with Code o_f Alabama,§ 1 I-49-80(b), (c), and (d), the Baldwin County Commission is submitting its consent and petition to the City of Fairhope to annex the Fairhope Roads and to assume the responsibility thereof; and WHEREAS, Baldwin County has the legal authority to carry out the intent of this resolution pursuant Code of Alabama, § 11-49-80 and other state laws and constitutional amendments. Page 48 of 608 WHEREAS, the City of Fairhope desires to take over sole and exclusive ownership, control, management, supervision, regulation, repair, maintenance, improvement, and responsibility for the Fairhope Roads in order to facilitate the orderly development and maintenance of this area in its corporate limits. NOW, THEREFORE, BE IT RESOLVED by the Baldwin County Commission as follows: Section l. That the Baldwin County Commission hereby consents to and petitions for the annexation of the Fairhope Roads by the City of Fairhope pursuant to Code of Alabama, §§ l l -49- 80(c), and (d) and 11-42-20 to 24. Section 2. That the Chairman of the Baldwin County Commission and other appropriate County officials are hereby authorized to execute and deliver such documents or agreements to the City of Fairhope as are necessary or requested to carry out the intent of this Resolution. Section 3. To the extent that portions of the Fairhope Roads, if any, are already located within the corporate limits of the City of Fairhope, but re sponsibility is vested in the County, the Baldwin County Commission hereby consents to the assumption of responsibility of said portion or portions of the Fairhope Roads by the City of Fairhope, pursuant to Code of Alabama, § I 1-49- 80(6), in addition to their annexation or re-annexation as described herein. In accordance with Code ofA/abama, § 11-49-81, the City of Fairhope's assumption ofresponsibi lity for the Fairhope Roads is in exchange for the payment of One Hundred Dollars ($100.00) from the County. The 13aldwin County Commission and the City ofFairhope 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 4. lf any part, section or subdivision of this Resolution shall be held to be illegal, invalid or unenforceable for any reason, such holding shall not be held or construed to invalidate or impair the remaining provisions of this Resolution which shall continue in full force and effect notwithstanding such holding. AD�TED and APPROVED by the County Commission of Baldwin County, Alabama, on the _d£.f_ day of S-t.+>�huL , 2022. • ·•·\\l'. �,. ,, '. . () '' ,fr • • • • • • I .I': .... .. . � ... ii • •• ,,, : . .· -·-::..... .:" ·. -�� ,-. · .... :'"' . �--• \, ,,_of-." • .,.. : • . . ' ' : 1\ •. \ • z - ,,.. • . ... �·r· .· j� • � _.eaO. ., ,: • • ... ' -. ;·-• • ' ': I . • ..: �';:': ..... ,.� .. �- By: ��MISSION Its: nm Page 49 of 608 COUNTY OF BALDWIN: STATE OF ALABAMA: RESOLUTION NO. _____ RESOLUTION OF THE CITY OF FAIRHOPE OF BALDWIN COUNTY, ALABAMA FOR THE VACATION OF PORTION OF STREET R E C I T A L S: 1. Montrose Cemetery Association, Cory Lee Niblett, and Kristen Harper Niblett (the "Petitioners") are the owners and holders of interest of the lands abutting that portion of Adams Street described as follows, to-wit: A portion of Adams Street, a 66-foot right-of-way, described land situated in Fairhope, Alabama. More particularly described as follows: BEGINNING at a concrete monument at the Northwest corner of lot 1 of Montrose Preserve a Planned Unit Development Phase One as per its plat recorded on Slide 2980-A in the Judge of Probate’s Office, Baldwin County, Alabama, also being the intersection of the South Right-of-way line of Adams Street and the East Right-of-way line of Third Street run North 74 degrees 49 minutes 15 seconds East, along the South Right-of-way line of Adams Street a distance of 626.75 feet to a concrete monument at the intersection of said South Right-of-way line and the West Right-of-way line of U. S. Highway 98; thence run North 15 degrees 10 minutes 00 seconds West, a distance of 66.00 feet to the North Right-of-way line of Adams Street also being the South line of the Montrose Cemetery as recorded in Map Book 5, Page 40 in the Judge of Probate’s Office, Baldwin County, Alabama; thence run South 74 degrees 49 minutes 15 seconds West, along said North Right -of-way line a distance of 626.40 feet to an iron pin marker at the intersection of said North Right-of-way line and the East Right- of-way line of Third Street also being the Southwest corner of the Cemetery; thence run South 14 degrees 51 minutes 45 seconds East, a distance of 66.00 feet to the POINT OF BEGINNING. 2. The Petitioners have filed a Petition with the City of Fairhope of Baldwin County, Alabama (the "City") requesting that the City adopt a resolution to vacate that portion of Adams Street described in Paragraph 1. of this Resolution. 3. The Petitioners, pursuant to Ala. Code 1975, §23-4-20, desire to vacate that portion of Adams Street described in Paragraph 1. of this Resolution, and pursuant to applicable law, destroy the force and effect of the dedication of that portion of Adams Street described in Paragraph 1. of this Resolution, and to divest all public rights, including any and all rights which may have been acquired by prescription in and to that portion of Adams Street described in Paragraph 1. of this Resolution. Page 50 of 608 Resolution No. _____ Page 2 4. The property described in Paragraph 1. of this Resolution is located within municipal limits of the City of Fairhope of Baldwin County, Alabama and is not located within or share jurisdictional boundaries with any other municipality or Baldwin County, Alabama. 5. It is in the interest of the public that that portion of Adams Street described in Paragraph 1. of this Resolution be closed and vacated. 6. The vacation of that portion of Adams Street described in Paragraph 1. of this Resolution shall not deprive other property owners of such rights as they may have to convenient and reasonable means of ingress and egress to and from their property. NOW, THEREFORE, BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE OF BALDWIN COUNTY, ALABAMA, that the City does assent to the vacation of that portion of Adams Street described in Paragraph 1. of this Resolution and that portion of Adams Street described in Paragraph 1. of this Resolution is vacated and annulled and all public rights and easements therein divested of the lands described as that portion of Adams Street described in Paragraph 1. of this Resolution. The foregoing resolution was adopted and approved on the 12th day of January 2026, by the City of Fairhope. Approved: __________________________________ James Reid Conyers, Jr., Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 51 of 608 Legal Notice Notice is hereby given that the following property owners in Fairhope , Alabama will present a PETITION FOR VACATION to the City Council on MON DAY, JANUARY 12, 2026, AT 6:00 P.M., Fairhope Municipal Complex Council Chamber , 161 North Section Street. If you wi sh to comment on this request , you are cordially invited to be present: PROPERTY OWNERS: Montrose Cemetery Association , Cory Lee Niblett , and Kristen Harper Niblett PROPERTY TO BE VACATED: A portion Adams Street, a 66-foot right-of-way, described land situated in Fairhope , Alabama, being more particularly described as follows , to-wit : DESCRIPTION: BEGINNING at a concrete monument at the Northwest comer of lot 1 of Montrose Preserve a Planned Unit Development Phase One as per its plat recorded on Slide 2980-A in the Judge of Probate 's Office , Baldwin County , Alabama, also being the intersection of the South Right-of-way line of Adams Street and the East Right-of-way line of Third Street run North 74 degrees 49 minutes 15 seconds East , along the South Right-of-way line of Adams Street a distance of 626.75 feet to a concrete monument at the intersection of said South Right-of-way line and the West Right-of-way line of U. S. Highway 98 ; thence run North 15 degrees 10 minutes 00 seconds West , a distance of 66.00 feet to the North Right-of-way line of Adams Street also being the South line of the Montrose Cemetery as recorded in Map Book 5, Page 40 in the Judge of Probate 's Office , Baldwin County , Alabama ; thence run South 74 degrees 49 minutes 15 seconds West, along said orth Right-of-way line a distance of 626.40 feet .to an iron pin marker at the intersection of said North Right-of-way line and the East Right-of-way line of Third Street also being the Southwest comer of the Cemetery; thence run South 14 degrees 51 minutes 45 seconds East , a distance of 66.00 feet to the POINT OF BEGINNING . The said owners have fi led a Petition with the City Council of the City of Fairhope , Alabama , requesting that said City Council give an assent to the vacation of a portion of Adams Street described above. Page 52 of 608 refox GULF C,..?AST MEDIA PO Box 16'77 • Sumter, SC 291SO GulfCoastMedia.com The Courier, The Islander The Onlooker & The Baldwin Times Office: 251-943-2151 • Legals: 251-345-6805 PROOF OF PUBLICATION STATE OF ALABAMA• BALDWIN COUNTY Before me, the undersigned authority in and for said County, in said State, personally appeared April M. Perry who, by me duly sworn, deposes and says that: she is the Legal Representative of the following newspaper listed below, a newspaper of GENERAL CIRCULATION, PUBLISHED and PRINTED in Baldwin County, Alabama, and that there was published in The Courier, The Islander, The Onlooker, & or The Baldwin Times in the_ issue/s of: 12/05/2025, 12/12/2025, 12/19/2025, 12 126/2025 a legal notice, a copy of which is hereto attached. The sum charged by the Newspaper for said publication does not exceed the lowest classified rate paid by commercial customers for an advertisement of similar size and freque ncy in the same newspaper(s) in which the public notice appeared. There are no agreements between the Newspaper and the officer or attorney charged with the duty of placing the attached legal advertising notices whereby any advantage , gain or pr fit accrued to said officer r attorney. Amber Kimbler, Notary Public Baldwin County, Alabama My commission expires April I I, 2026 Sworn and subscribed to on 12/26/2025 . MONTROSE CEMETERY ASSOCI ATION -· Acct#: I 006665 Ad#: 364654 Petiton for Vaction Amount of Ad: $62 4.52 Legal File# Montrose Cem e. ~ aoou1:01i11m Lepi NG&t , • ~} / f:, ;•::r .• .... , . ,-. Notice II baebJ' pm dlld 11w· ·-• ~,. -• HM I ' ;-,,''.~•...-. . ) ro111nr1a& pnpertJ OWDCn ID •••• ·-·•-·"-.I....)JJ Falrllope, A)IJ)ama will ..--ta l!ETJ110N FOR VACAflON to tllc-Clly Col1lld1 Oil MONDAY, JANUARY 1l, 2026, AT 6.-00 p .M., Falrllepc Manldpal Com- pla Coandl Pmmlier, J6J Nonb Secdoa Send. It,-wish IO a>llllllall Oil dm nq~ yoa ' U'e eordlally loftled to be praent: PROPERTY OWNERS: Molltrose CemelaJ Assodadoa, Cary IM NIIJlettand Kristen Harper Nlblea PROPERTY TO BE VACATED: A. portion Adami Slnet, • 6'-foot rta1rt..r-way, dtkribed land sllmlcd la Falrilope, Alai. nia, ~ more partlmlutJ decrtlled • ronows, k>-wll: DF.SCRIPnON: BEGINNING at a coacrece JDODIIDlal at tile Nortlrwat _._. ol 1oC 1 of Moutrwa I Pr.ne. Pllllmd Unit Devd opam l'lmRO.• per Ill pbd ffllDl'ded OIi Slide l98G-A la dlt JIJll&e of Pro"8ie'I Olllcz, Bald win COllllty, Alabama,_, bein& Ille llltcnedloa of die South Rlght-ol•WIIJ lllle of A.dams Slrect and Ille East Rf&bt-Gl•way l1De of Third Slnd nm North 74 degrea 49 mlllutl!I 15 9ellODlls F.asl, alq the Saatll l_tlpt-of way IIDc of Adams Slnlet a dlslance of 62A5.75 feet lo • 1 coDCftle moaummt at tlR fmer. IIICtlou of said Soaib Rlpl,,o( wa:, llne and lbe Wat Jllabt-Gl-• ...1 11ne or u. s. 111p...., 98; I thcace nm Nonb 15 dql-ea 10 llllnatcs 00 -• West, a 1 dlstaaee of '6.00 feet IO die ♦ North Rlpt-of-way line ., • Adams Sired allo bein& tile South lllle of die Meatr.e l Cmletay a, ncoidccl Ill Map Book S, Paet 40 In Ille Jlld,e of Probate'• Office, Baldwin Coaa ty, Alaliama; lhencc nm Solllb 7'dcpus49 mbmlm 15__, West, aloal aid Nardi Ript-Gl• wa:,liDea~ol~r.. I roulraapiD-'-lllllae bdawcdoa of 11111 Nalth --at-way u. and * r..t Bllfd of-ny llae cf 'l1dnr Slnd ., . bein& Ille Solltbwal Clll'IICr ollbe j CcllldaJ; dlaa nm Salldll 14 dear-.5lllllaala45_.. FMt, • dlllaDce of '6.00 fed to Ille f'OINTOF BEGINNING. Tm Aid -..,. 11W •• Pdltloa wld,. die Cfly c...-of die City ol Flfrtlape, Allllama,· nq-iinl lbatald Cfl:,Comldl jreu ■-tlDdle ...... ela portloa "'A"-Sa-ed ~ bedabcm. Deca11ber S-U-n-7'. 2825 Page 53 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-444 FROM: Hunter Simmons, PLANNING DIRECTOR SUBJECT: Ordinance to amend Zoning Ordinance No. 1253 - Request of the Applicant, S.E. Civil, on behalf of the Owner, FST Bonnie Baker, to rezone property from R-A, Residential/Agriculture to R-1, Low Density Single-Family Residential District. The property is approximately 10 acres and is located at 19763 State Highway 181. PPIN #15456. (Introduced at the December 18, 2025 City Council Meeting) AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: Council Approval 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 Page 54 of 608 emailed): Page 55 of 608 ORDINANCE NO. ____ AN ORDINANCE AMENDING ORDINANCE NO. 1253 KNOWN AS THE ZONING ORDINANCE BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF FAIRHOPE, ALABAMA as follows: The ordinance known as the Zoning Ordinance (No. 1253), adopted 27 June 2005, together with the Zoning Map of the City of Fairhope, be and the same hereby is changed and altered in respect to that certain property described below: After the appropriate public notice and hearing, the Planning Commission of the City of Fairhope, Alabama has forwarded a favorable recommendation, The property of FST Bonnie Baker, (containing 10 acres, more or less, and zoned R-A) and located at 19763 State Highway 181. PPIN # 15456 Legal Description: (Case number ZC 25.10) BEGINNING AT A 3 INCH SQUARE CONCRETE MONUMENT FOUND AT THE SOUTHWEST CORNER OF THE NORTHEAST QUARTER OF THE NORTHEAST QUARTER OF SECTION 22, TOWNSHIP 6 SOUTH, RANGE 2 EAST, BALDWIN COUNTY, ALABAMA, AND RUN THENCE NORTH 00 DEGREES 21 MINUTES 25 SECONDS EAST, A DISTANCE OF 330.55 FEET TO A ONE-HALF INCH OPEN TOP PIPE FOUND; THENCE RUN SOUTH 89 DEGREES 31 MINUTES 17 SECONDS EAST, A DISTANCE OF 1278.76 FEET TO A ONE INCH CRIMP TOP PIPE FOUND ON THE WEST RIGHT-OF-WAY OF STATE HIGHWAY 181; THENCE RUN SOUTH 00 DEGREES 29 MINUTES 47 SECONDS WEST, ALONG SAID WEST RIGHT-OF-WAY, A DISTANCE OF 332.85 FEET TO A 3 INCH SQUARE CONCRETE MONUMENT FOUND; THENCE DEPARTING SAID WEST RIGHT-OF-WAY, RUN SOUTH 89 DEGREES 50 MINUTES 46 SECONDS WEST, A DISTANCE OF 532.12 FEET TO A ONE-HALF INCH OPEN TOP PIPE FOUND; THENCE RUN NORTH 88 DEGREES 53 MINUTES 36 SECONDS WEST, A DISTANCE OF 745.91 FEET TO THE POINT OF BEGINNING. TRACT CONTAINS 9.83 ACRES, MORE OR LESS. A map of the property to be rezoned is attached as Exhibit A. The property is hereby rezoned R-1, Low Density Single-Family Residential District. This property shall hereafter be lawful to construct on such property any structures permitted by Ordinance No. 1253 and to use said premises for any use permitted or building sought to be erected on said property shall be in compliance with the building laws of the City of Fairhope and that any structure shall be approved by the Building Official of the City of Fairhope and that any structure be erected only in compliance with such laws, including the requirements of Ordinance No. 1253. Page 56 of 608 Ordinance No. _____ Page -2- Severability Clause - if any part, section or subdivision of this ordinance shall be held unconstitutional or invalid for any reason, such holding shall not be construed to invalidate or impair the remainder of this ordinance, which shall continue in full force and effect notwithstanding such holding. Effective Date – This ordinance shall take effect immediately upon its due adoption and publication as required by law. ADOPTED THIS 12TH DAY OF JANUARY, 2026 ___________________________ James Reid Conyers, Jr., Council President ATTEST: ______________________________ Lisa A. Hanks, MMC City Clerk ADOPTED THIS 12TH DAY OF JANUARY, 2026 ___________________________ Sherry Sullivan, Mayor Page 57 of 608 Payton Rogers Planning Commission (8 Ayes) voted to recommend approval of ZC 25.10 City Council December 18, 2025 Page 58 of 608 ZC 25.10 – 19763 State Highway 181 November 6, 2025 Page 1 of 5 SUMMARY OF REQUEST Public hearing to consider the request of the Applicant, S.E. Civil, on behalf of the Owner, FST Bonnie Baker, to rezone property from R-A, Residential/Agriculture District to R-1, Low Density Single-Family Residential District. The property is approximately 10 acres and is located at 19763 State Highway 181. SITE HISTORY The property consists of one (1) metes-and-bounds parcel originally developed for residential and agricultural uses. There have been no Planning Commission or Board of Adjustment applications associated with the site. STAFF COMMENTS The applicant requests rezoning of the property to allow for future redevelopment of the site for a low density single-family residential subdivision. The subject site is currently zoned R-A, Residential/Agriculture District and is developed with one (1) single-family dwelling and a number of accessory structures. Additional details and the full application are available at the end of this report. The site is bordered by properties zoned R-A, Residential/Agriculture District, to the north; R-3 PGH, High Density Single-Family Patio/Garden Home Residential District and B-2, Local Business District (Baldwin County), to the east; R-2, Medium Density Single-Family Residential District and R-6, Mobile Home Park District, to the south; and R-6, Mobile Home Park District, to the west. Surrounding land uses along this section of State Highway 181 consist primarily of a mix of low and high density residential. The East side of 181, within Baldwin County jurisdiction, includes a mix of commercial uses such as automotive wholesale, HVAC repair, home improvement, and aluminum fabrication. The abutting property to the west is developed with the Magnolia Pointe mobile-home park. A survey illustrating all existing site improvements was submitted in lieu of a site plan as rezoning requests are not site-plan specific. It’s important to note that any potential redevelopment of the subject site would be subject to full compliance with all standards as detailed within the Subdivision Regulations. Article III of the City of Fairhope Zoning Ordinance defines R -1 Districts as, “intended to provide choices of low-density suburban residential environment consisting of single-family homes on large parcels of land...”. At 10± acres the subject site far exceeds the minimum lot area required of properties within R -1 zoned districts. However, it should be noted that any future lots developed out of a subdivision of the property will likewise be required to comply with current development standards, thus limiting said lots to a minimum lot area of 15,000 square feet. Article III details specific lot dimensional standards (below) and allowable Uses (exhibits at end of report). Page 59 of 608 ZC 25.10 – 19763 State Highway 181 November 6, 2025 Page 2 of 5 Excerpt from Table 3-2: Dimension Table – Lots and Principle Structure Dimension District or Use Min. Lot Area / Allowed Units Per Acre (UPA) Min. Lot Width Front Setback Rear Setback Side Setback Street Side Setback Max. Total Lot Coverage by All Structures Max. Height R-1 15,000 s.f./ - 100’ 40’ 35’ 10’ b 20’ 40% 30’ a The request is consistent with the City of Fairhope Comprehensive Plan place type designation of “Suburban Residential”. A full description of this Place Type has been included as an exhibit at the end of this report . Given the historical and proposed use of the property for low density single -family residential, and the prevalence of similar uses along this segment of State Highway 181, staff is in support of the proposal. Citizen Comments During the public comment period staff received one (1) comment from a neighboring property owner. Their complete comments are included within the application materials attached to this report. In summary, they appear to be most concerned with the amount of development within Fairhope in general and its effect on utility infrastructure and wildlife. With regard to the utility comment, any future development of the property shall be required to comply with all current development and utility standards, at time of Subdivision application and permitting. Page 60 of 608 ZC 25.10 – 19763 State Highway 181 November 6, 2025 Page 3 of 5 REZONING CONSIDERATIONS Standards of Review: The Zoning Ordinance and its associated zoning map are derived from long-range comprehensive planning studies intended to promote orderly, desirable development. Casual or unsupported amendments to the Zoning Ordinance can undermine this purpose. Therefore, rezoning requests are evaluated according to the following criteria: 1. Compliance with the Comprehensive Plan; 2. Compliance with the standards, goals, and intent of this ordinance; 3. The character of the surrounding property, including any pending development activity; 4. Adequacy of public infrastructure to support the proposed development; 5. Impacts on natural resources, including existing conditions and ongoing post-development conditions; 6. Compliance with other laws and regulations of the City; 7. Compliance with other applicable laws and regulations of other jurisdictions; 8. Impacts on adjacent property including noise, traffic, visible intrusions, potential physical impacts, and property values; and 9. Impacts on the surrounding neighborhood including noise, traffic, visible intrusions, potential physical impacts, and property values. Recommendation: Staff recommends APPROVAL of ZC 25.10 – 19763 State Highway 181, request to rezone property from R-A, Residential/Agriculture District to R-1, Low Density Single-Family Residential District. Page 61 of 608 EXHIBITS ZC 25.10 – 19763 State Highway 181 November 6, 2025 Page 4 of 5 Excerpt from Table 3-1: Use Table Zoning Districts R-1 (a, b, c) Zoning Districts R-1 (a, b, c) Use Categories / Specific Uses Use Categories / Specific Uses Dwelling Service Single-Family ● Convalescent or Nursing Home ○ Two-family Clinic ○ Townhouse Outdoor Recreation Facility ○ Patio Home Day Care ○ Multiple-family / Apartment General Personal Services Manufactured Home Mortuary or Funeral Home Mixed-use Automobile Repair Accessory Dwelling Indoor Recreation Estate Dry Cleaner / Laundry Civic Personal Storage Elementary School ● Bed & Breakfast Secondary School ● Hotel / Motel Education Facility ● Boarding House or Dormitory Library ● Recreational Vehicle Park Place of Worship Restaurant Cemetery ○ Bar Hospital Entertainment Venue Public Open Space ● Marina Common Open Space ● Kennel or Animal Hospital Community Center or Club ○ Warehouse Public Utility ○ Junk Yard or Salvage Yard Office Manufacturing General Limited Professional Light Home Occupation э General Retail Food Processing Grocery Rural Convenience Store Agriculture General Merchandise Rural Market Shopping Center Plant Nursery Automobile Service Station Outdoor Sales Limited Outdoor Sales Lot Garden Center ● = Allowed By-Right Э = Special Conditions ○ = On Appeal Page 62 of 608 EXHIBITS ZC 25.10 – 19763 State Highway 181 November 6, 2025 Page 5 of 5 Page 63 of 608 Page 64 of 608 Page 65 of 608 Legal Description PID 05-46-05-22-0-000-001.513 BEGINNING AT A 3 INCH SQUARE CONCRETE MONUMENT FOUND AT THE SOUTHWEST CORNER OF THE NORTHEAST QUARTER OF THE NORTHEAST QUARTER OF SECTION 22, TOWNSHIP 6 SOUTH, RANGE 2 EAST, BALDWIN COUNTY, ALABAMA, AND RUN THENCE NORTH 00 DEGREES 21 MINUTES 25 SECONDS EAST, A DISTANCE OF 330.55 FEET TO A ONE-HALF INCH OPEN TOP PIPE FOUND; THENCE RUN SOUTH 89 DEGREES 31 MINUTES 17 SECONDS EAST, A DISTANCE OF 1278.76 FEET TO A ONE INCH CRIMP TOP PIPE FOUND ON THE WEST RIGHT-OF-WAY OF STATE HIGHWAY 181; THENCE RUN SOUTH 00 DEGREES 29 MINUTES 47 SECONDS WEST, ALONG SAID WEST RIGHT-OF-WAY, A DISTANCE OF 332.85 FEET TO A 3 INCH SQUARE CONCRETE MONUMENT FOUND; THENCE DEPARTING SAID WEST RIGHT-OF-WAY, RUN SOUTH 89 DEGREES 50 MINUTES 46 SECONDS WEST, A DISTANCE OF 532.12 FEET TO A ONE-HALF INCH OPEN TOP PIPE FOUND; THENCE RUN NORTH 88 DEGREES 53 MINUTES 36 SECONDS WEST, A DISTANCE OF 745.91 FEET TO THE POINT OF BEGINNING. TRACT CONTAINS 9.83 ACRES, MORE OR LESS. Page 66 of 608 9.83 AC ± (ZONED RA) N 0 25 50 100 50 SCALE 0 GR I D SURVEYOR'S NOTES:FLOOD STATEMENT: LEGEND: OWNER INFORMATION: ZONING INFORMATION: SETBACKS: Civil (251) 990-6566 9969 WINDMILL ROAD FAIRHOPE, AL 36532 Engineering & Surveying PROJ MGR SHEET FILE PROJECT SCALE DED TOWER HOMES 20251589 1" = 50' CHKD.JDG DRAWN ZJH (CA-1167) PROPERTY BOUNDARY SURVEY 1 OF 1 TOWER HOMES 24 X 36 T T ST A T E H I G H W A Y 1 8 1 (8 0 F T . P U B L I C R / W ) A S P H A L T AC AC POINT OF BEGINNING SURVEYOR'S CERTIFICATE QU A I L R U N S U B D I V I S I O N (S L I D E 1 7 7 5 - A ) SITE B AAMALA HL D E.DIEDAVI Page 67 of 608 From:Connie Thompson To:planning Subject:Rezone request Date:Sunday, October 26, 2025 5:14:16 PM To whom it may concern: Why? Why do we need another housing project/ subdivision in Fairhope? Aren't there enough being built as there is? Fairhope is already overpopulated. I was born and raised here, and I have seen so many changes. Fairhope used to be a great place to live. Now, there are so many people in the area that the city has had to spend an unknown amount of money to replace the water, gas, and septic lines. And over the past several years, the city has had to send out notifications about reserving water. Maybe there is a reason for this. TOO many people in the area. The streets are already overrun with so much traffic. And it's not from people just visiting. Not to mention the wildlife. They have been chased out of their homes. They have not where else to go. We have so many deer that come in our yard every single day looking for food and a safe place to raise their babies. My family and I have lived on land ever since I was born. And over the years, we have had several gopher tortoise turtles. And if I'm not mistaken, they are now protected. Please correct me if I am wrong. The property located at 19763 State Highway 181, I ask you to please reconsider this rezone request. Thank you for your consideration. Connie M Thompson 19829A State Highway 181 Fairhope, Al. 36532 Page 68 of 608 Page 69 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-281 FROM: Jennifer Olmstead, Revenue Manager SUBJECT: Amend Ordinance No. 1233 known as the City of Fairhope Business License Code, Chapter 8, Section 22. License Classifications: additional NAICS Codes with Fee Schedule. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: That the City Council adopts Ordinance to amend Ordinance No. 1233 known as the City of Fairhope Business License Code, Chapter 8, Section 22. License Classifications: additional NAICS Codes with Fee Schedule. BACKGROUND INFORMATION: CODE NAICS TITLE; SUGGESTED LICENSE GROUPING SCHEDULE 531110 Lessors of Residential Buildings and Dwellings D 531120 Lessors of Nonresidential Buildings (except Miniwarehouses) D 531130 Lessors of Miniwarehouses and Self-Storage Units D 531190 Lessors of Other Real Estate Property D 721110 Accommodations – Hotels (except Casino Hotels) and Motels C-1 721191 Accommodations – Bed-and-Breakfast Inns C-1 721199 Accommodations – All Other Traveler Accommodation E 722330 Mobile Food Services C 312120 Breweries E 312130 Wineries E 312140 Distilleries E 425120 Wholesale Trade Agents and Brokers E 445132 Vending Machine Operators D 517111 Wired Telecommunications Carriers K 517112 Wireless Telecommunications Carriers (except Satellite) D 517121 Telecommunications Resellers D 517122 Agents for Wireless Telecommunications Services D BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) Page 70 of 608 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 71 of 608 ORDINANCE NO. _____ AN ORDINANCE TO AMEND ORDINANCE NO. 1233, KNOWN AS THE BUSINESS LICENSE CODE OF THE CITY OF FAIRHOPE SCHEDULE OF LICENSES AND FEES BE IT ORDAINED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, AS FOLLOWS: AMENDING CHAPTER 8 Section 22. License classifications. By amending/adding the following: The Code of Ordinance, City of Fairhope, Alabama, Section 22 is hereby amended to reflect the addition of the following NAICS codes with fee schedule. CODE NAICS TITLE; SUGGESTED LICENSE GROUPING SCHEDULE 531110 Lessors of Residential Buildings and Dwellings D 531120 Lessors of Nonresidential Buildings (except Miniwarehouses) D 531130 Lessors of Miniwarehouses and Self-Storage Units D 531190 Lessors of Other Real Estate Property D 721110 Accommodations – Hotels (except Casino Hotels) and Motels C-1 721191 Accommodations – Bed-and-Breakfast Inns C-1 721199 Accommodations – All Other Traveler Accommodation E 722330 Mobile Food Services C 312120 Breweries E 312130 Wineries E 312140 Distilleries E 425120 Wholesale Trade Agents and Brokers E 445132 Vending Machine Operators D 517111 Wired Telecommunications Carriers K 517112 Wireless Telecommunications Carriers (except Satellite) D 517121 Telecommunications Resellers D 517122 Agents for Wireless Telecommunications Services D The Balance of Chapter 8 – Article 1. – Business License Code, Taxes and Regulations, (Sections 8-1 through 8-29) remains as written and codified in the City of Fairhope Code of Ordinances. Severability. The sections, paragraphs, sentences, clauses and phrases of this ordinance are severable, and if any phrase, clause, sentence, paragraph or section of this ordinance 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. Page 72 of 608 Ordinance No. ____ Page -2- Effective Date. This ordinance shall take effect immediately upon its due adoption and publication as required by law. ADOPTED AND APPROVED THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President ATTEST: _______________________________ Lisa A. Hanks, MMC City Clerk ADOPTED AND APPROVED THIS 12TH DAY OF JANUARY, 2026 _______________________________ Sherry Sullivan, Mayor Page 73 of 608 Page 74 of 608 Page 75 of 608 Page 76 of 608 Page 77 of 608 Page 78 of 608 Page 79 of 608 Page 80 of 608 Page 81 of 608 Page 82 of 608 Page 83 of 608 Page 84 of 608 Page 85 of 608 Page 86 of 608 Page 87 of 608 Page 88 of 608 Page 89 of 608 Page 90 of 608 Page 91 of 608 Page 92 of 608 Page 93 of 608 Page 94 of 608 Page 95 of 608 Page 96 of 608 Page 97 of 608 Page 98 of 608 Page 99 of 608 Page 100 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-440 FROM: Mike Jeffries, Development Services Manager Hunter Simmons, PLANNING DIRECTOR Lisa Hanks, CITY CLERK SUBJECT: Annexation – ALDI, Inc., FAV181, LLC, and Fairhope Single Tax Corporation of property located at 10101 County Road 48, Fairhope, Alabama and to zone B-2 General Business District. Tax Parcels 46- 06-14-0-000-001.792 and 46-06-14-0-000-001.642. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: That the City Council adopts Ordinance to annex the property of ALDI, Inc., FAV181, LLC and Fairhope Single Tax Corporation located at 10101 County Road 48, Fairhope, Alabama and to zone B-2 General Business District. BACKGROUND INFORMATION: This is the ALDI property and the empty area to the north of ALDI. The tax map currently shows two tax parcels with split zoning by Baldwin County as B-3 (General Business District) and B-4 (Major Commercial District). The entire property is proposed in this annexation as B-2 which is similar to the current County zoning. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: LEGAL IMPACT: FOLLOW UP IMPLEMENTATION: Page 101 of 608 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 102 of 608 ORDINANCE NO. ____ WHEREAS, ALDI, INC., FAV181, LLC AND FAIRHOPE SINGLE TAX CORPORATION, the owners 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 10101 County Road 48, Fairhope, Alabama. LEGAL DESCRIPTION: TAX PARCELS 46-06-14-0-000-001.792 46-06-14-0-000-001.642 Lot 6, RESUBDIVISION OF LOT 3, BLUEBERRY ORCHARD, UNIT 3, as recorded on Slide 2365-C, Probate Court Records of Baldwin County, Alabama and being more particularly described as follows: To-wit: Commencing at the “locally accepted” Southwest corner of the Northwest quarter of Section 14, Township 6 South, Range 2 East Baldwin County, Alabama, said point lying and being at the intersection of the centerline of Alabama Highway 181, (variable width public R/W), with the centerline of Fairhope Avenue, aka, County Road 48, (80-foot public R/W); Thence S-89°- 46’-10”-E, along the centerline of said Fairhope Avenue, for 40.00 feet; Thence N-01°-00’-58”-E, leaving the centerline of said Fairhope Avenue, for 40.00 feet to a point at the Southwest corner of Lot 6, Resubdivision of Lot 3, Blueberry Orchard, Unit 3, as recorded on Slide 2365-C, Probate Court Records of Baldwin County, Alabama, and the Point of Beginning of the property herein described; Thence continue N-01°-00’-58”-E, along the East right of way line of aforesaid Alabama Highway 181, for 551.82 feet to a point at the Northwest corner of said Lot 6; Thence S-89°-00’-51”-E, leaving the East right of way line of said Alabama Highway 181 and along the North line of said Lot 6, for 564.38 feet to a point at the Northeast corner of said Lot 6; Thence S-00°-18’-19”-W, along the East line of said Lot 6, for 544.33 feet to a point at the Southeast corner of said Lot 6, said point lying on the North right of way line of aforesaid Fairhope Avenue; Thence N-89°-46’-10”-W, along the North right of way line of said Fairhope Avenue, for 571.19 feet to the Point of Beginning and containing 7.1436 acres or 311,176 square feet, more or less. This property shall be zoned B-2, General Business 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. Page 103 of 608 Ordinance No. ____ Page -2- This Ordinance shall take effect immediately upon its due adoption and publication as required by law. ADOPTED THIS 12TH DAY OF JANUARY, 2026 ______________________________ James Reid Conyers, Jr. Council President ATTEST: ______________________________ Lisa A. Hanks, MMC City Clerk ADOPTED THIS 12TH DAY OF JANUARY, 2026 _____________________________ Sherry Sullivan, Mayor Page 104 of 608 - ALDI, Inc. Page 105 of 608 Page 106 of 608 - FAV181, LLC Page 107 of 608 Page 108 of 608 Page 109 of 608 Page 110 of 608 MONUMENT AVE HALLS MILL AVE COUNTY RD 48 NO R M A N D Y S T KNOLLWOOD AVE GR E L O T S T J M I C H A E L S T ST A T E H W Y 1 8 1 ORLEANS DR SAINT CHARLES CT MEMORIAL AVE ROYAL LN FAIRHOPE AVE ^ µ Exhibit A ALDI - Real Estate Conditional Annexation to B-2, General Business District ALDI Road Zoning District: B-2 PUD R-1 R-2 R-A Corporate Limits Page 111 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-409 FROM: Hunter Simmons, PLANNING DIRECTOR SUBJECT: Site Plan Review and Approval - Request of the Applicant, Kadre Engineering, on behalf of the Owner, Fairhope Land LLC, for Site Plan Approval of Culver’s Fairhope. The property is approximately 1.31 acres and is zoned B-2 – General Business District. The property is located on Lot 7 of Planters Pointe on the northwest corner of State Highway 181 and State Highway 104. PPIN #: 626312. (Planning Commission unanimously recommends approval of SR 25.10). AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: Council Approval BACKGROUND INFORMATION: Subject Property is Lot 7 of Planters Pointe. This is one of the outparcels at the 104 Publix Development. Current plans meet regulations. Planning Commission and Staff recommend approval without any conditions. 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: Page 112 of 608 Individual(s) responsible for follow up: Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 113 of 608 Payton Rogers Planning Commission (9 Ayes) voted to recommend approval of SR 25.10 City Council January 12, 2026 Page 114 of 608 SR 25.10 – Culver’s Fairhope December 1, 2025 Page 1 of 7 SUMMARY OF REQUEST Request of the Applicant, Kadre Engineering, on behalf of the Owner, Fairhope Land LLC, for Site Plan Approval of Culver’s Fairhope. The property is approximately 1.31 acres and is zoned B -2 – General Business District. The property is located on Lot 7 of Planters Pointe on the northwest corner of State Highway 181 and State Highway 104. SITE HISTORY The subject site has been included in numerous Subdivision and Multiple Occupancy Project (MOP) requests since 2020. The Final Plat for Planter’s Pointe Subdivision was approved in December 2023 and includes a note which requires mandatory Site Plan Review prior to the development of any lot. There are no other Planning Commission or Board of Adjustment cases associated with this site. STAFF COMMENTS Site Plan The proposed site plan is attached to the end of this report as an exhibit. Setbacks - COMPLIANT The Final Plat recorded for Planter’s Pointe Subdivision establishes setback requirements for Lot 7 to be 10 feet from the North property line, 10 feet from the West property line along Rockwell Boulevard, 10 feet from the South property line, and 50 feet from the East property line along State Highway 181. All setbacks are illustrated as compliant on the proposed Site Plan. Buildings - COMPLIANT B-2, General Business District has a required maximum building height of 30 feet. The proposed building height for the one-story structure is 24± feet. Tree & Landscaping - MORE INFO NEEDED The City of Fairhope Trees and Landscaping Ordinance details all tree planting and landscape area requirements for commercial development. As proposed, the Site Plan illustrates a compliant total landscape area and frontage landscape area. However, the plan appears to be non-compliant with the number of required tree plantings. According to Staff calculations (see exhibits), the subject site requires a total of eight (8) overstory Frontage Trees to be planted within the front 25 feet of the site along State Highway 181, 23 overstory Perimeter Trees to be planted elsewhere on site, and three (3) Parking Trees (a majority of which must be overstory). As proposed, the Site Plan illustrates a total of seven (7) overstory Frontage Trees, ten (10) overstory Perimeter Trees, and three (3) overstory Parking Trees. The Tree and Landscape plan illustrates an additional nineteen (19) understory trees which do not count towards required tree plantings. The Applicant’s Tree & Landscape Plan currently proposes to remove and replace seven (7) existing understory trees (Crepe Myrtles) planted along the East property line abutting State Highway 181. It’s important to note that these trees were included in the original landscape plan approved with the Planter’s Pointe Multiple Occupancy Project (MOP), and as such, cannot be removed and must be protected throughout construction. As for the number of required tree plantings, t here appears to be other areas within the subject site in which additional plantings could be proposed to bring the plan into compliance. Also, it’s possible that an alternative tree selection may better allow for a greater number of trees to be planted on site. However the Applicant RESOLVED AT PLANNING COMMISSION Page 115 of 608 SR 25.10 – Culver’s Fairhope December 1, 2025 Page 2 of 7 wishes to address these issues, if approved, a revised Tree and Landscape plan should be submitted to staff illustrating full compliance with the Trees and Landscaping Ordinance and must be reviewed and approved by the City of Fairhope Horticulturist prior to the application being submitted to the City Council. Parking - COMPLIANT Table 4-3, Parking Schedule requires a minimum of 37 parking spaces for the subject site, 11 of which are required to be compact car spaces. The site allows for an overage of seven (7) additional spaces not to exceed a total of 44 spaces for the site. As proposed, the Site Plan illustrates 42 parking spaces in total which includes three (3) handicap spaces and 16 compact spaces. The total number of spaces is compliant and does not exceed the maximum of 44 allowed. However, the plan does exceed the maximum of 14 compact car parking spaces allowed and as such should be reduce d from 16 to 14 and revised on the Site Plan. Connectivity - COMPLIANT Sidewalks and pedestrian connectivity are illustrated along Rockwell Boulevard. Additionally, the proposed Site Plan illustrates the extension of the 12-foot-wide multi-purpose trailway along State Highway 181 as required. Drainage - COMPLIANT Drainage is unique within the Planter’s Pointe development. Publix, the anchor store, provided underground drainage for itself and those stores connected to it. Notes on the Final Plat for Planter’s Pointe Subdivision state that all other lots must have self-sufficient drainage addressing all post-development stormwater runoff on the individual lots. Within the provided Hydrology Report the Applicant states that the subject site will utilize an underground detention pond system underneath the proposed hardscape surfacing which will then tie into the existing drainage system located in the Southeast corner of the site and discharging downstream across State Highway 181. Exterior Lighting - COMPLIANT As proposed, exterior lighting is compliant with Article IV Section B.3 of the Zoning Ordinance as it relates to on-site lighting. Mechanical Equipment - MORE INFO NEEDED The Applicant did not provide any plans that illustrate the proposed location of mechanical equipment . Dumpster - MORE INFO NEEDED The Site Plan illustrates a dumpster in the Southwest corner of the subject site. It should be noted that if approved, the plans must be revised to include a dumpster detail illustrating dumpster screening in compliance with Article IV-B.2. of the Zoning Ordinance. Signage - N/A All Signage will be reviewed at time of a sign permit submittal. Erosion Control - COMPLIANT An erosion control plan was submitted with the application and is acceptable. RESOLVED AT PLANNING COMMISSION RESOLVED AT PLANNING COMMISSION Page 116 of 608 SR 25.10 – Culver’s Fairhope December 1, 2025 Page 3 of 7 Utilities - COMPLIANT A utility plan was submitted and has been reviewed and approved by the appropriate providers. No utility upgrades are required. ADA Standards - COMPLIANT ADA requirements per the Architect are met and at time of building permit will be further verified . Traffic - COMPLIANT A Traffic Study was generated with the application for Planter’s Pointe Subdivision in 2021. At that time there were not any determined land uses for each outparcel. As such, the trip generation analysis produced 395 entering trips and 302 exiting trips during a weekday AM peak hour; 573 entering trips and 559 exiting trips during a weekday PM peak hour. Per the applicant’s submitted traffic letter the proposed Culver’s is only open for lunch and dinner, and as such, will generate a total of 150 trips during the PM peak hours. Lot Access - COMPLIANT As illustrated, the subject site proposes two (2) curb cuts for the site off of Rockwell Boulevard. One curb cut is a two-way access for ingress/egress. The second curb cut is a one-way access as an additional exit directly from the drive-thru line. Comprehensive Plan - COMPLIANT Planters Pointe is in a newly recognized Suburban Mixed-Use Center in the proposed Comprehensive Plan. Impacts on Surrounding Neighborhood - COMPLIANT As previously stated, the subject site is zoned B-2. Directly adjacent to the site are additional commercial uses. Benefits to the Community - COMPLIANT As the number of residential units being developed in the area continues to grow a commercial retail center with a variety of retail/restaurant/office/commercial units will be a benefit to the residential subdivisions. SITE PLAN CONSIDERATIONS Standards of Review: Article II Section C.2.d of the City of Fairhope Zoning Ordinance sets forth all criteria for reviewing rezoning requests. Recommendation: Staff recommends APPROVAL of SR 25.10 – Culver’s Fairhope Site Plan FOR CITY COUNCIL Page 117 of 608 REVISED EXHIBITS SR 25.10 – Culver’s Fairhope December 1, 2025 Page 4 of 7 Proposed Site Plan Page 118 of 608 REVISED EXHIBITS SR 25.10 – Culver’s Fairhope December 1, 2025 Page 5 of 7 Proposed Tree & Landscape Plan Page 119 of 608 EXHIBITS SR 25.09 – 7-Brew Fairhope December 1, 2025 Page 6 of 7 Proposed Elevations Front Rear Page 120 of 608 EXHIBITS SR 25.09 – 7-Brew Fairhope December 1, 2025 Page 7 of 7 Proposed Elevations (cont.) Side Side Page 121 of 608 APPLICATION FOR SITE PLAN APPROVAL Application Type: Site Plan Attachments: Articles of Incorporation or List all associated investors Date of Application: _10/06/2025_____________________ Property Owner / Leaseholder Information Name of Property Owner: Fairhope Land LLC Phone Number:262-436-4760 Address of Property Owner: 461 Rivercrest Court Mukwonago ________________WI__________________53149__ City: ____________________________ State: _____________ Zip: ____________ Proposed Site Plan Name: ________________________________________________ Site Acreage: _______________________ Sq. Footage: ___________________ Parcel No: _______________________________ Current Zoning: ___________________ Authorized Agent Information Name of Authorized Agent: ______________________Phone Number: ____________ Address: _________________________________________________ City: ____________________________ State: _____________ Zip: ____________ Contact Person: ______________________ Engineer/Architect Information Name of Firm: __________________________________Phone Number: ____________ Address: _________________________________________________ City: ____________________________ State: _____________ Zip: ____________ Contact Person: ______________________ I certify that I am the property owner/leaseholder of the above described property and hereby submit this site plan to the City for review. *If property is owned by Fairhope Single Tax Corp. an authorized Single Tax representative shall sign this application. ___________________________________________ Signature ___________________________________________ ___________________________________________ Property Owner/Leaseholder Printed Name __10/06/2025____________________________ Date Fairhope Single Tax Corp. (If Applicable) Kadre Engineering Kadre Engineering 28678 Sampson Avenue Orange Beach AL 36561 (205) 777-9064 David Dichiara (205) 777-9064 36561ALOrange Beach 28678 Sampson Avenue David Dichiara Culver's Fairhope 1.31 AC 4602030000004243 B-2 57,141 SF Page 122 of 608 Sec. 183.0201 Wis. Stats. State of Wisconsin Department of Financial Institutions ARTICLES OF ORGANIZATION - LIMITED LIABILITY COMPANY Executed by the undersigned for the purpose of forming a Wisconsin Limited Liability Company under Chapter 183 of the Wisconsin Statutes: Article 1.Name of the limited liability company: Fairhope Land LLC Article 2.The limited liability company is organized under Ch. 183 of the Wisconsin Statutes. Article 3.Name and email address of the initial registered agent: JAY CAMPBELL jay@campbellconstructionbbg.com Article 4.Street address of the initial registered office: 461 River Crest Ct. Mukwonago, WI 53149 United States of America Article 5.Street address of the principal office: 461 River Crest Ct. Mukwonago, WI 53149 United States of America Article 6.Name and complete address of each organizer: JAY CAMPBELL 461 River Crest Ct. Mukwonago, WI 53149 United States of America Other provisions (optional).(No other provisions declared.) Other Information.This document was drafted by: Reza Hajisanei Organizer Signature: JAY CAMPBELL Page 123 of 608 Date & Time of Receipt: 7/17/2025 8:36:10 AM Order Number: 202507176720538 Page 124 of 608 ARTICLES OF ORGANIZATION - Limited Liability Company(Ch. 183) Filing Fee: $130.00 Total Fee: $130.00 ENDORSEMENT State of Wisconsin Department of Financial Institutions EFFECTIVE DATE 7/17/2025 FILED Entity ID Number F079061 Page 125 of 608 11/19/2025 City of Fairhope Planning and Zoning Department 451 Pecan Ave, PO Box 429 Fairhope, AL 36532 Attn: Payton W. Rogers, CAPZO, Planning & Zoning Manager RE: Development Review Committee Letter SD 25.10: Culver’s; Site Plan Review This letter is being submitted to your office in response to the below comment from the Development Review Committee Letter related to project traffic/trip generation. Comment: Provision of a letter from a registered engineer providing cumulative trip generation at peak hours for the site, not to exceed platted amounts. We referenced 4 other existing Culver’s and their traffic studies in order to provide an estimate of the requested information. The below table is the data from the 4 other Culver’s locations similar in size to this proposed project which reference the ITE Trip Generation Manual. LOCATION BLDG SF TRIP COUNT PM PEAK TOTAL JACKSONVILLE 4,570 151 2,136 ORLANDO 4,578 144 2,039 ST. AUGUSTINE 4,443 149 2,104 TITUSVILLE 4,443 147 2,085 Culver’s open business hours are during the lunch and dinner hours and therefore we anticipate that there will be no significant trips generated before 11 am other than staff arriving in preparation of work. Based on the above, we anticipate that a PM Peak hour Trip count be 150. Please call if you have any further questions. Sincerely, David Dichiara,PE Principal ddichiara@kadre-eng.com (205) 777-9064 Page 126 of 608 Page 127 of 608 Page 128 of 608 Page 129 of 608 Page 130 of 608 Page 131 of 608 Page 132 of 608 Page 133 of 608 Page 134 of 608 Page 135 of 608 Page 136 of 608 Page 137 of 608 Page 138 of 608 Page 139 of 608 Page 140 of 608 Page 141 of 608 Page 142 of 608 Page 143 of 608 Page 144 of 608 Jo s e p h L . O l i v e r i , A I A , N C A R B Li c e n s e # 5 4 6 6 St a t e o f A l a b a m a Ph o n e 7 2 7 . 7 8 1 . 7 5 2 5 Me m b e r o f t h e A m e r i c a n I n s t i t u t e o f A r c h i t e c t s 10 0 4 I n d i a n a A v e n u e P a l m H a r b o r , F L 3 4 6 8 3 ww w . o l i v e r i a r c h i t e c t s . c o m CA - 0 2 1 8 Scale: Project Mgr: Job: Sheet Drawn: Date: REVISIONS BY AS NOTED SEH 11. 14. 25 25-098 Ne w F r e e S t a n d i n g Ro c k w e l l B l v d . Fa i r h o p e , A L Ba l d w i n C o u n t y AS3 DD Page 145 of 608 Jo s e p h L . O l i v e r i , A I A , N C A R B Li c e n s e # 5 4 6 6 St a t e o f A l a b a m a Ph o n e 7 2 7 . 7 8 1 . 7 5 2 5 Me m b e r o f t h e A m e r i c a n I n s t i t u t e o f A r c h i t e c t s 10 0 4 I n d i a n a A v e n u e P a l m H a r b o r , F L 3 4 6 8 3 ww w . o l i v e r i a r c h i t e c t s . c o m CA - 0 2 1 8 Scale: Project Mgr: Job: Sheet Drawn: Date: REVISIONS BY AS NOTED SEH 11. 14. 25 25-098 Ne w F r e e S t a n d i n g Ro c k w e l l B l v d . Fa i r h o p e , A L Ba l d w i n C o u n t y AS4 DD Page 146 of 608 A3 DD Jo s e p h L . O l i v e r i , A I A , N C A R B Li c e n s e # 5 4 6 6 St a t e o f A l a b a m a Ph o n e 7 2 7 . 7 8 1 . 7 5 2 5 Me m b e r o f t h e A m e r i c a n I n s t i t u t e o f A r c h i t e c t s 10 0 4 I n d i a n a A v e n u e P a l m H a r b o r , F L 3 4 6 8 3 ww w . o l i v e r i a r c h i t e c t s . c o m CA - 0 2 1 8 Scale: Project Mgr: Job: Sheet Drawn: Date: REVISIONS BY AS NOTED SEH 11. 14. 25 25-098 Ne w F r e e S t a n d i n g Ro c k w e l l B l v d . Fa i r h o p e , A L Ba l d w i n C o u n t y Page 147 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-450 FROM: Hunter Simmons, PLANNING DIRECTOR SUBJECT: Site Plan Review and Approval - Request of the Applicant, Chris Lieb, on behalf of the Owner, Wendelta Property Holdings LLC, for Site Plan Approval of Wendy’s Fairhope. The property is approximately 1.07 acres and is zoned B-2 – General Business District. The property is located on Lot 1 of Rockwell Place on State Highway 181 north of State Highway 104. PPIN #: 625448. (Planning Commission unanimously recommends approval of SR 25.05). AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: Council Approval BACKGROUND INFORMATION: The subject site is included as Lot 1 within the Rockwell Place development located on State Hwy 181 North of State Hwy 104. The site has had numerous Subdivision, MOP, and Zoning Change applications before the City of Fairhope and Baldwin County Planning Commission. Most recently the site was before the Planning Commission in July 2025 as part of a request for approval of a 10-lot Major Subdivision to resubdivide Rockwell Place into the current 10-lot configuration. At its meeting in October, the Planning Commission unanimously recommended approval of this application conditioned upon revision of the proposed Parking Layout and Tree & Landscaping plans for compliance with Zoning standards. At this time, the applicant has sufficiently addressed all items required by the Planning Commission. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: Page 148 of 608 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 149 of 608 Michelle Melton Planning Commission (5 Ayes)(0 Nays) voted to recommend approval of SR 25.05 City Council January 12, 2026 Page 150 of 608 SR 25.05 – Wendy’s at Rockwell Place October 6, 2025 Page 1 of 5 SUMMARY OF REQUEST Request of the Applicant, Chris Lieb, on behalf of the Owner, Wendelta Property Holdings LLC, for Site Plan Approval of Wendy’s Fairhope. The property is approximately 1.07 acres and is zoned B -2 – General Business District. The property is located on Lot 1 of Rockwell Place on State Highway 181 north of State Highway 104. SITE HISTORY The subject site has had numerous Subdivision, Multiple Occupancy Project (MOP), and Zoning Change applications before both the City of Fairhope and County Planning Commissions. Most recently the subject site was before the Planning Commission at its July 7, 2025 meeting included as part of a request for approval of a 10-Lot Major Subdivision to resubdivide Rockwell Place Lot 1. STAFF COMMENTS Site The proposed site plan is attached to the end of this report as an exhibit. Buildings - COMPLIANT The building takes up 5.17% of Lot 1 and is 20’2’’ tall. The total impervious area excluding the building is 52.50% (24,422 sf). Building materials consist of a knotwood wall system with metal flashing. Building elevations have been attached to the end of this report as an exhibit. Traffic - COMPLIANT A traffic study was conducted for Rockwell Place Subdivision, and the road infrastructure was designed in accordance with the recommendations from the traffic study. Shared access points are on the plat to limit the number of curb cuts on Bushel Drive. Parking - NON-COMPLIANT The site plan illustrates a surplus of parking with an acceptable 19 spaces. Twenty percent (20% ) overage is allowed and is required to utilize pervious surfacing in accordance with Article IV Section E.4.c(2) of the Zoning Ordinance. The site plan does not provide any pervious parking spaces; whereas at least three (3) need to be pervious. There are six (6) compact parking spaces. Connectivity - COMPLIANT The site plan includes interior concrete sidewalks along Bushel Drive and Rockwell Boulevard. The concrete sidewalk also connects with an existing asphalt path parallel to State Highway 181. The Pedestrian Circulation Plan can be found on Sheet C8.0 in the Complete Plans. Drainage - COMPLIANT Drainage has been accounted for the entire commercial portion of Rockwell Place in accordance with SD 25.08; thus, there are no retention/detention facilities required on individual lots. Lot 1 utilizes Common Area 1 for its drainage and is detailed as such within a note on the site plan . Exterior Lighting - COMPLIANT As proposed, all exterior lighting is compliant with Article IV Section B.3 of the Zoning Ordinance. Page 151 of 608 SR 25.05 – Wendy’s at Rockwell Place October 6, 2025 Page 2 of 5 Mechanical Equipment - COMPLIANT Mechanical equipment has been finalized, and all appear on the Site Plan. Dumpster - COMPLIANT The site plan illustrates a double dumpster adjacent to Common Area 1 with compliant screening. A 1000- gallon grease trap is also illustrated on site. Tree & Landscaping - MORE INFO NEEDED A landscaping plan was submitted and is included in the packet. No comments have been received. Signage - COMPLIANT Signage will be reviewed at time of a sign permit submittal. Utilities - COMPLIANT A utility plan was submitted and has been reviewed and approved by the appropriate providers. No utility upgrades are required. ADA Standards - COMPLIANT ADA requirements per the Architect are met and at time of building permit will be further verified . Comprehensive Plan - COMPLIANT Rockwell Place is in a newly recognized Suburban Mixed-Use Center in the proposed Comprehensive Plan. Surrounding Impacts - COMPLIANT As previously stated, the subject site is zoned B-2. Directly adjacent to the site are the Rockwell Place Apartments. Proper buffers are included in the plans to mitigate the conflicting land use s. Community Benefits - COMPLIANT There are a lot of residential units being built in the immediate surrounding area, especially to the North. A commercial retail center with a variety of retail/restaurant/office/commercial units will be a benefit to the residential subdivisions. SITE PLAN CONSIDERATIONS Standards of Review: Article II Section C.2.d of the City of Fairhope Zoning Ordinance sets forth criteria for reviewing Site Plan requests. Recommendation: Staff recommends APPROVAL of SR 25.05 – Wendy’s at Rockwell Place Site Plan Page 152 of 608 EXHIBITS SR 25.05 – Wendy’s at Rockwell Place October 6, 2025 Page 3 of 5 Proposed Site Plan Page 153 of 608 REVISED EXHIBITS SR 25.05 – Wendy’s at Rockwell Place October 6, 2025 Page 4 of 5 Revised Site Plan Page 154 of 608 EXHIBITS SR 25.05 – Wendy’s at Rockwell Place October 6, 2025 Page 5 of 5 Proposed Building Elevations - South Proposed Building Elevations – East & West Proposed Building Elevations - North Page 155 of 608 Page 156 of 608 Page 157 of 608 Page 158 of 608 Page 159 of 608 Page 160 of 608 ISSUED FOR REVIEW ALABAMA ONE-CALL N VICINITY MAP NOT TO SCALE INDEX TO SHEETS BUSHEL DRIVE FAIRHOPE, AL 36532 PROJECT CONTACT INFORMATION FAIRHOPE WENDY'S SITE LOCATION Page 161 of 608 ISSUED FOR REVIEW Page 162 of 608 Ø Ø Ø Ø Ø Ø Ø Ø ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' Page 163 of 608 Ø Ø Ø Ø Ø Ø Ø Ø J R0313 ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' Page 164 of 608 Ø Ø Ø Ø Ø Ø Ø Ø J R0313 ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' Page 165 of 608 Ø Ø Ø Ø Ø Ø Ø Ø J R0313 ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' Page 166 of 608 Ø Ø Ø Ø Ø Ø Ø Ø J R0313 ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' EROSION CONTROL LEGEND Page 167 of 608 Ø Ø Ø Ø Ø Ø Ø Ø J R0313 ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' Page 168 of 608 Ø Ø Ø Ø Ø Ø Ø Ø J R0313 ISSUED FOR REVIEW NORTH 0 20'40' SCALE: 1" = 20' Page 169 of 608 ISSUED FOR REVIEW Page 170 of 608 ISSUED FOR REVIEW STOP Page 171 of 608 ISSUED FOR REVIEW Page 172 of 608 ISSUED FOR REVIEW CL CL 6 WALL SECTION 6A WALL SECTION-ALT. SPLIT FACE CMU 9 DROP PIN DETAIL ALT. COMPOSITE GATE 1 MASONRY TRASH ENCLOSURE 4 TRASH ENCLOSURE FRONT ELEVATION 5 TRASH ENCLOSURE SIDE ELEVATION 3 TRASH ENCLOSURE SIDE ELEVATION2TRASH ENCLOSURE REAR ELEVATION 7 ALTERNATE COMPOSITE GATE 10 DROP PIN DETAIL 8 ALT. SOUTHERN ZONE FOOTING Page 173 of 608 ISSUED FOR REVIEW Page 174 of 608 ISSUED FOR REVIEW Page 175 of 608 J R0313 Proposed Building (Refer to Architectural/Civil)BU S H E L D R . ST A T E H W Y 1 8 1 ROCK W E L L B L V D . Overcup Oak 2.5" Cal. 1 Bald Cypress 2" Cal. Min. 8 Bracken`s Magnolia 2" Cal. Min. 1 6 2.5" Cal. Overcup Oak 4 2" Cal. Min. Live Oak #1 Eagleston Holly 2" Cal. Min. 1 Sod ALL areas disturbed by construction. (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) SOD (Typ.) Lavender Crape Myrtle (3) Canes Min., 1" / Cane Min. 8 Lavender Crape Myrtle (3) Canes Min., 1" / Cane Min. 3 Eagleston Holly 2" Cal. Min. 1Maki Yew 48" Ht. Min. @ Time of Planting 96 SOD (Typ.) NOTES: 1.All areas disturbed by construction shall be sodded or mulched unless otherwise noted. (Typ.) 2.NO WORK SHALL BE PERFORMED WITH IN THE CITY RIGHT OF WAY WITHOUT WRITTEN PERMISSION FROM THE GOVERNING AUTHORITY. 3.See sheet L-1.2 for details & schedule. 4.Refer to Civil / Architectural drawings for all grading, drainage, utilities, hardscape, & structures. JOSEPH HENRY COMER IV NUMBER 539 REGISTERED LANDSCAPE ARCHITECT STATE OF ALABAMA SEA L N O T V A LID UNL E S S S I G NED ESPA L I E R , LLC. Bu s h e l D r i v e FA I R H O P E W E N D Y ' S Fa i r h o p e , A L NORTH NOTES: 1. BASE SURVEY PROVIDED BY LIEB ENGINEERING. 2. LOCATION OF STRUCTURES, HARDSCAPE, AND EXISTING VEGETATION SHALL BE FIELD VERIFIED. 3. VERIFY ALL LAYOUT AND DIMENSIONS IN FIELD. 4. PLANT COUNTS ARE FOR CONVENIENCE ONLY. FIELD VERIFY ACCORDINGLY. 5. CONTRACTOR IS RESPONSIBLE FOR ENSURING POSITIVE DRAINAGE. 6. CONTRACTOR TO OBTAIN ALL REQUIRED PERMITS. 7. NOTIFY LANDSCAPE ARCHITECT IMMEDIATELY OF ANY DISCREPANCIES IN DRAWINGS OR FIELD CONDITIONS. 8. REFER TO ARCH. / CIVIL FOR ALL UTILITIES, GRADING, DRAINAGE, & HARDSCAPE. Copywright. This drawing and its contents are the property of Espalier, LLC and may not be copied or used in anyway without written permission from Espalier. PLAN L-1.1 LANDSCAPE 0 SCALE: feet163248 1/16" = 1'-0" Page 176 of 608 APPROVED NURSERIES: 1. GREEN FOREST NURSERY 2. FLOWERWOOD NURSERY 3. GREENS NURSERY 4. CHERRY LAKE NURSERY Other nurseries may he approved at the discretion of the landscape architect. CITY OF FAIRHOPE LANDSCAPE REQUIREMENTS: PERIMETER REQUIREMENTS: Bushel Road Frontage Feet = 25'/30' = 1 Trees in First 25' regardless of tree credits. Hwy 181 Road Frontage Feet = 131'/30' = 4 Trees in First 25' regardless of tree credits. Rockwell Blvd Frontage Feet = 211'/30' = 7 Trees in First 25' regardless of tree credits. Remaining Perimeter Feet = 596'/30' = 20 Trees Parking Requirements (1 Tree/12 Spaces) = 19 Spaces/12 = 2 Trees Total Existing Tree Credits = 1 Total Trees Required = (1) Bushel, (3) Hwy 181 (Overstory), (7) Rockwell (Overstory), 20 Perimeter Trees (At Least 50% Overstory), & 2 Parking Lot Trees EXISTING TREE CREDIT TABLE TREES PROPOSED TO REMAIN: #1-3" Oak /8 = 1 Total Tree Credits = 1 NOTES: 1. LONG LEAF PINESTRAW ALL BEDS EXCEPT 4"& 1 GAL. POTS. 2. 4"& 1 GAL. POTS TO BE PLANTED IN 3" OF PLANTING MIX AND TOP DRESSED WITH GROUND PINEBARK. 3. APPLY GRANULAR PRE-EMERGENT TO ALL PLANTING BEDS. SEE NOTES. 4. USE WOODACE FERTILIZER TABS IN ALL PLANTING PITS. SEE NOTES. 5. PREP. PLANTING PITS & GROUNDCOVER AREAS WITH PLANTING MIX. SEE NOTES. 6. THIS PLANT LIST IS FOR CONVENIENCE ONLY. CONTRACTOR TO VERIFY. 7. SEE LANDSCAPE NOTES. SYMBOL CODE QTY BOTANICAL NAME COMMON NAME SIZE HEIGHT CONTAINER SIZE DETAIL REMARKS CITY REQUIRED TREES IE2 2 Ilex x attenuata 'Eagleston'Eagleston Holly 2" Cal. Min.8' Ht. Min.30 Gal. Single Trunk, Tree Form, No B&B. Trees Shall Meet Size Specifications Regardless of Container Size. Approve photo with LA. LM 11 Lagerstroemia x `Muskogee`Lavender Crape Myrtle (3) Canes Min., 1" / Cane Min.8' Ht. Min.30 Gal. Tree Form, Multi.Trunk, No B&B. Trees Shall Meet Size Specifications Regardless of Container Size. Cherrylake Nursery, Approve photo with LA. MB 1 Magnolia grandiflora `Brackens Brown Beauty`Bracken`s Magnolia 2" Cal. Min.10' Ht. Min.45 Gal. FTG. NO B&B. Trees Shall Meet Size Specifications Regardless of Container Size. Cherry Lake Nursery 352-429-2171, Approve photo with LA. QL 7 Quercus lyrata Overcup Oak 2.5" Cal.10' Ht. Min. Trees Shall Meet Size Specifications Regardless of Container Size. Hunter Trees QV 4 Quercus virginiana Live Oak 2" Cal. Min.10' Ht. Min.30 Gal. No B&B. Trees Shall Meet Size Specifications Regardless of Container Size. Cherrylake Nursery TD 8 Taxodium distichum Bald Cypress 2" Cal. Min.10' Ht. Min.30 Gal.No B&B. Trees Shall Meet Size Specifications Regardless of Container Size. SYMBOL CODE QTY BOTANICAL NAME COMMON NAME SIZE CONTAINER SPACING DETAIL REMARKS SHRUBS PM 96 Podocarpus macrophyllus 'Maki'Maki Yew 48" Ht. Min. @ Time of Planting 48" o.c.Hedge shall be maintained at a minimum of 48" as per City requirements. GROUND COVERS CT 11,460 sf Cynodon dactylon `Tif 419`419 Bermuda Grass sod Contractor shall verify quantity. PLANT SCHEDULE LANDSCAPE NOTES: 1. This section covers furnishing and installing all landscape plants and non-plant materials covered by the drawings and these specifications. The work shall include materials, labor, equipment and services as described herein and indicated on the drawings. Also, the work shall include the maintenance of all plants and planting areas until acceptance by the Owner, and fulfillment of all guarantee provisions as herein specified. 2. Before beginning work, the contractor shall thoroughly acquaint himself with the existing site conditions and proposed plans. The intent is to provide a smooth transition between existing conditions that are to remain and the new site features with minimal damage to existing trees and vegetation. 3. Contractor is made aware of active existing underground utilities. It is the contractors responsibility to familiarize himself with the location of said utilities and other obstructions. The contractor shall investigate and verify, in the field, the existence and location of all utilities and any existing irrigation piping, and take necessary precautions to prevent their disturbance and avoid interruption of service. Contractor is responsible for calling appropriate line location service. All damaged utilities shall be replaced to owners satisfaction by contractor with no additional charge to owner. 4. Discrepancies between site conditions and conditions on plans shall be call to the attention of the Owner immediately. 5. Existing grades shall be verified in field prior to beginning any work. Discrepancies shall be brought to the landscape architects attention immediately. Landscape contractor to provide fine grading to ensure positive drainage. 6. The landscape architect shall have the right to reject any and all work and/or materials at any stage of progress which in his opinion do not meet the requirements of these plans and specifications. Such rejected material shall be removed from the site immediately and replaced with acceptable materials. 7. Landscape contractor is responsible for obtaining all state and local permits and licenses required to perform this work. 8. Landscape contractor shall abide by all state and local laws and ordinances. Contractor shall also conform to POA or ARB guidelines if applicable. 9. All work shall comply with the current edition of the Standard Building Code published by the Southern Building Code Congress International, Inc. 10. Topsoil shall be sandy/loam natural, friable, and fertile with a PH of 5.5 to 6.5. Topsoil shall be free from roots, stones, debris, noxious weeds, or any substance harmful to plant growth. Quality of Topsoil to be approved by Landscape Architect. 11. Once delivered to the site, the contractor is responsible for the protection, including theft, of all materials. 12. The landscape plan is to serve as a guide for installation. Field adjustment and changes to layout may be made by Landscape Architect. 13. Contractor shall layout all plant material per planting plans and schedule a site meeting with landscape architect for approval with a minimum of 48 hours notice. 14. Quantities shown on plant list are for convenience only. 15. All groundcover & flower beds shall receive 3" minimum of planting mix consisting of decomposed pinebark or mushroom compost and blended into the top 6" of existing soil. Rake beds smooth and top dress with 2" min. of ground pinebark prior to planting. 16. All tree and shrub planting pits shall be backfilled with 75% excavated soil & 25% planting mix consisting of decomposed pinebark or mushroom compost. 17. All trees shrubs and groundcovers shall be planted with Woodace fertilizer tabs at rates per manufactures recommendations. All planting beds shall also be top dressed with a slow release Osmocote fertilizer or equal per manufactures recommendations prior to mulching. 18. All beds shall receive Freehand pre-emergent herbicide or equal. 19. Unless otherwise noted, all beds shall receive 3" compacted depth of fresh Long Leaf pine straw free from sticks and pine cones. Groundcover areas with 4" plants or plugs shall be mulched with pulverized pinebark mulch unless otherwise noted. 20. All bed lines shall have 3" V-Shaped trenches. See detail. 21. All plant material shall meet or exceed federal, state, and county laws requiring inspection for plant disease and insect control. 22. All plant material shall be Florida #1 or better and meet the latest standards of the "American Standards for Nursery Stock". 23. All trees shall be staked with arbor guy (or equal) tree stakes per manufactures recommendations. 24. All disturbed areas shall be irrigated and sodded. 25. Contractor shall maintain all plantings and lawn areas until final acceptance by owner and landscape architect. Unless specified otherwise, maintenance includes mowing, edging, weeding, blowing, pruning, watering, mulching, etc. 26. Brown or defoliated plants shall be removed and replaced immediately. 27. All materials and workmanship for landscape and irrigation shall be guaranteed for a minimum of one year from final acceptance. 28. No work shall be performed in any R.O.W. without approval by the appropriate Federal, State, County, or City authority. LANDSCAPE NOTES NTS LA-16 1 MULCH TREE RING 3" DEEP (TYP.) KEEP MULCH OFF TRUNK +/-2" SPECIFIED PLANTING MIX. WASH IN BACKFILL TO REMOVE AIR POCKETS AND SETTLE SOIL. 4" SOIL WATER WELL ABOVE FINISH GRADE SET TOP OF ROOTBALL 1.5" ABOVE FINISH GRADE. SLOPE SOIL AWAY FOR POSITIVE DRAINAGE. FINISH GRADE UNDISTURBED SUBGRADE SPECIFIED FERTILIZER TABS ARBORGUY STAKING KITS OR EQUAL. INSTALL PER MANUFACTURERS SPECS AND SIZING. 3 REQUIRED 120° APART. HIGH VISIBILITY FLAGGING TAPE TREE PLANTING N.T.S. ARBORGUY ANCHORS TO BE DRIVEN INTO UNDISTURBED SUBGRADE. NOT PLANTING PIT. LA-012 SHRUB PLANTING DETAIL N.T.S. NOTE: LANDSCAPE CONTRACTOR IS RESPONSIBLE TO ENSURE POSITIVE DRAINAGE IN ALL DIRECTIONS AND AWAY FROM ALL STRUCTURES. SHRUBS TO BE PLANTED 1" HIGHER THAN FINISH GRADE. 3" OF MULCH AS SPECIFIED SOIL BACKFILL AS SPECIFIED WITH FERTILIZER TABS AS SPECIFIED AT RATE PER MANUFACTURER SPECIFICATIONS. LIMITS OF MULCH BED. EDGE OF SOD, WALK, OR CURB BUILDING FACADE OR WALL 32" Min.o.c. spacing o.c. spacing 32" Min. 2 x Dia. of Rootball 6" MIN. LA-02 3 GROUNDCOVER PLANTING DETAIL N.T.S. NOTE: LANDSCAPE CONTRACTOR IS RESPONSIBLE TO ENSURE POSITIVE DRAINAGE IN ALL DIRECTIONS AND AWAY FROM ALL STRUCTURES. PLANTING BED PER SPECIFICATIONS 2" OF PINEBARK MULCH FOR ALL 4" POTS UNLESS OTHERWISE NOTED. MULCH AS SPECIFIED FOR 1 GAL. GROUNDCOVERS. O.C. SPACING (TYP.) UNDISTURBED SUBGRADE LIMITS OF MULCH BED. EDGE OF SOD, WALK, OR CURB BUILDING FACADE OR WALL LA-03 4 SUBGRADE TRENCH BED EDGE N.T.S. 3" OF MULCH AS SPECIFIED CROWN MULCH AS SHOWN TO ENSURE POSITIVE DRAINAGE MULCH TO BE 1" LOWER THAN FINISH GRADE AT EDGE FINISH GRADE NOTE: TRENCH EDGE SHALL BE LOCATED AT ALL SOFT AND HARD EDGES. 1" 3" 3" 5 LA-04 JOSEPH HENRY COMER IV NUMBER 539 REGISTERED LANDSCAPE ARCHITECT STATE OF ALABAMA SEA L N O T V A LID UNL E S S S I G NED ESPA L I E R , LLC. Bu s h e l D r i v e FA I R H O P E W E N D Y ' S Fa i r h o p e , A L Copywright. This drawing and its contents are the property of Espalier, LLC and may not be copied or used in anyway without written permission from Espalier. LANDSCAPE L-1.2 DETAILS Page 177 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-441 FROM: Hunter Simmons, PLANNING DIRECTOR SUBJECT: Site Plan Review and Approval - Request of the Applicant, Jade Consulting, LLC, on behalf of the Owner, Planters Pointe Partners LLC, for Site Plan Approval of Advanced Auto Parts. The property is approximately 1.09 acres and is zoned B-2 – General Business District. The property is located on Lot 9 of the Planters Pointe Development on the northwest corner of State Highway 181 and State Highway 104. PPIN #: 626314. (Planning Commission unanimously recommends approval of SR 25.07). AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: Council Approval BACKGROUND INFORMATION: The subject property is Lot 9 of Planters Point. The lot is part of the commercial subdivision in front of Rockwell Apartments. 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: Page 178 of 608 Action required (list contact persons/addresses if documents are to be mailed or emailed): Page 179 of 608 Planning Commission (9 Ayes) voted to recommend approval of SR 25.07 City Council January 12, 2026 Page 180 of 608 SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 1 of 6 SUMMARY OF REQUEST Request of the Applicant, Jade Consulting, LLC, on behalf of the Owner, Planters Pointe Partners LLC, for Site Plan Approval of Advanced Auto Parts. The property is approximately 1.09 acres and is zoned B -2 – General Business District. The property is located on Lot 9 of the Planters Pointe Development on the northwest corner of State Highway 181 and State Highway 104. SITE HISTORY The subject site has been included in numerous Subdivision and Multiple Occupancy Project (MOP) requests since 2020. The Final Plat for Planter’s Pointe Subdivision was approved in December 2023 and includes a note which requires mandatory Site Plan Review prior to the development of any lot. This application came before the Planning Commission at its October 6, 2026 meeting and was requested to be tabled by the applicant due to unresolved conflicts between the site plan proposed at that time and the site plan for Lot 9 Planters Pointe which has already been approved by the City Council. STAFF COMMENTS As previously mentioned, this application came before the Planning Commission in October to request Site Plan approval. However, at that time the proposed site plan , which illustrated shared access between the subject site, Lot 9 Planters Pointe (Advanced Auto Parts), and the abutting property to the South, Lot 8 Planters Pointe (Express Oil Change). This was in direct conflict with the Site Plan that was approved for Lot 8 by the City Council in March, 2025. As such, the Applicant requested to table the application at the October meeting until such time that a shared access plan could be agreed upon by both parties. Since that time, the current application has been modified by the Applicant to now include a revised site plan illustrating both Lots 8 and 9 Planters Pointe Subdivision with a proposed fourty two (42)-foot wide shared access between the two (2) lots. The access consists of a standard 28-foot wide two-way driveway plus a 14- foot wide striped area to allow for maneuverability on site for delivery trucks (exhibits). Article V-E.2.c of the Subdivision Regulations establishes driveway access widths for lots based on the street classification and provides three (3) possible options: (1) Arterial streets serving non-residential lots- 40 feet at the curb cut and 30 feet at the intersection with the sidewalk; (2) Collector streets serving non-residential lots- 30 feet at the curb cut and 20 feet at the intersection with the sidewalk; and (3) Lanes serving non-residential lots – 25 feet. It’s important to note, however, that this portion of Rockwell Boulevard, though public right-of-way (ROW), does not meet the definition of any of the above street classifications and as such the Subdivision Regulations do not explicitly provide a required driveway access width. As the shared access is designed to provide ingress/egress to two (2) separate businesses’ customer traffic, delivery vehicles, and feed directly into the three (3) bays for Express Oil Change, a wider access width may be Page 181 of 608 SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 2 of 6 appropriate to accommodate vehicular needs. As such, Staff is in support of the proposed shared access plan. Staff has received a letter from Mr. John Davis, Vice President of Engineering & Permitting with Express Oil, confirming the conceptual plan approval of the proposed shared site access (agenda package). It’s important to note that development permits for Lot 8 (Express Oil Change) have already been issued. As such, if approved, revised construction plans will be required for Express Oil Change in order to update their active permits. Tree & Landscaping - MORE INFO NEEDED The previous Tree & Landscape Plan submitted for the October meeting stated that four (4) trees were proposed for removal within Rockwell Boulevard right-of-way (ROW) but did not illustrate new trees to replace them. Other than this item the plan reviewed in October was compliant per the City of Fairhope Horticulturist. The Applicant has not submitted a revised Tree & Landscape plan addressing the replacement trees. Additionally, the proposed shift in landscaping due to the new shared access would presumably have some effect on proposed tree plantings and total landscape area for the site. Both items, however, will have a minor effect on an otherwise compliant Tree & Landscape plan and as such can be addressed prior to City Council review. If approved, the Applicant should submit a revised Tree & Landscape Plan illustrating full compliance with the City of Fairhope Tree and Landscape Ordinance to be reviewed by the City of Fairhope Horticulturist prior to the application being presented to the City Council. All other Site Plan review items included in the staff report for the October 6, 2025 Planning Commission meeting are copied below and remain the same. SITE PLAN CONSIDERATIONS Standards of Review: Article II Section C.2.d of the City of Fairhope Zoning Ordinance sets forth all criteria for reviewing Site Plan requests. Recommendation: Staff recommends APPROVAL of SR 25.07 – Advanced Auto Site Plan with the following conditions: 1. Provision of revised plans and submittal documents for all active development permits associated with Express Oil Change at Lot 8 Planter’s Pointe illustrating the proposed shared access, prior to issuance of any development permits for Advanced Auto Parts at Lot 9 Planter’s Pointe; and 2. If the Applicant elects not to pursue a proposal for shared access between Lot 8 and Lot 9 Planter’s Pointe Subdivision, the application and all supporting documents for SR 25.07 – Advanced Auto Parts must be revised and resubmitted to the Planning Commission in accordance with the next available standard submittal deadline, as outlined by the Fairhope Planning Commission Meeting and Deadline schedule. Page 182 of 608 SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 3 of 6 STAFF COMMENTS (OCTOBER 6, 2025) Site The proposed site plan is attached to the end of this report as an exhibit. Setbacks - COMPLIANT The Final Plat recorded for Planter’s Pointe Subdivision establishes setback requirements for Lot 9 to be 20 feet from the West property line along Rockwell Boulevard, 10 feet from the South property line, and 50 feet from the East property line along State Highway 181. All setbacks are illustrated as compliant on the proposed Site Plan. Buildings - COMPLIANT B-2, General Business District has a required maximum building height of 30 feet. The proposed building height for the one-story structure is 20 feet. Tree & Landscaping - MORE INFO NEEDED Per the City of Fairhope Horticulturalist’s comments, the Tree Removal table listed on the Tree Preservation & Removal Plan is misleading. The applicant states that four (4) trees are proposed for removal within Rockwell Boulevard right-of-way (ROW), however, the Tree and Landscape Plan does not appear to include a credit of four (4) trees to offset the trees removed. Parking - COMPLIANT Table 4-3, Parking Schedule requires a minimum of 25 parking spaces for the subject site and allows for an overage of five (5) additional spaces not to exceed a total of 30 spaces for the site. As proposed, the Site Plan illustrates 27 parking spaces in total which includes two (2) handicap spaces and eight (8) compact spaces. Connectivity - COMPLIANT Sidewalks and pedestrian connectivity is illustrated along Rockwell Boulevard, as required. Additionally, the proposed Site Plan illustrates the extension of the 15 -foot-wide multi-purpose trailway along State Highway 181. Drainage - COMPLIANT Drainage is unique within the Planter’s Pointe development. Publix, the anchor store, provided underground drainage for itself and those stores connected to it. Notes on the Final Plat for Planter’s Pointe Subdivision state that all other lots must have self-sufficient drainage addressing all post-development stormwater runoff on the individual lots. The Applicant is proposing to use Low-Impact Development (LID) methods to control site run off by infiltrating storm water into the ground using bio-retention swales and ponds. Within the provided Stormwater Report the Applicant states that, “The project will include a storm water management system that regulates post - development run off release rates below its respective pre -development rates for all critical storm events”. Article IV Section E.4.c(2) of the Zoning Ordinance requires any parking provided that is more than what is required by Table 4-3 shall be designed with a pervious surfacing. As such, the site is required to provide a minimum of two (2) spaces utilizing pervious material. As illustrated, the applicant is proposing eight (8) parking spaces on the North side of the property to be surfaced with pervious concrete. Page 183 of 608 SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 4 of 6 Exterior Lighting - COMPLIANT As proposed, all exterior lighting is compliant with Article IV Section B.3 of the Zoning Ordinance. Mechanical Equipment - COMPLIANT All mechanical equipment is proposed to be located on the building’s roof and is illustrated in the submitted plans. Dumpster - COMPLIANT The Site Plan illustrates a dumpster with compliant screening in the Southeastern corner of the subject site. Signage - COMPLIANT Signage will be reviewed at time of a sign permit submittal. Erosion Control - COMPLIANT An erosion control plan was submitted with the application and is acceptable. Utilities - COMPLIANT A utility plan was submitted and has been reviewed and approved by the appropriate providers. No utility upgrades are required. ADA Standards - COMPLIANT ADA requirements per the Architect are met and at time of building permit will be further verified . Traffic - COMPLIANT A Traffic Study was generated with the application for Planter’s Pointe Subdivision in 2021. At that time there were not any determined land uses for each outparcel. As such, the trip generation analysis produced 395 entering trips and 302 exiting trips during a weekday AM peak hour; 573 entering trips and 559 exiting trips during a weekday PM peak hour. Per the applicant’s submitted traffic letter the proposed Advanced Auto Parts will generate a total of 30 trips during the AM peak hour and a total of 44 trips during the PM peak hour. Lot Access - NON-COMPLIANT As illustrated, the subject site proposes two (2) access drives both entering the site from Rockwell Boulevard, one (1) on the North side of the property 220 ± feet from the intersection of Rockwell Boulevard and State Highway 181 and a second entrance on the South side of the property. If constructed the southern access drive would be a shared drive between the subject site, Lot 9 Planter’s Pointe Subdivision, and Lot 8 abutting to the South. A site plan comparison can be viewed as an exhibit at the end of this report. It is important to note that Lot 8 was recently before the Planning Commission at its December 2, 2024 meeting where the Commission recommended approval of a Site Plan Review (SR 24.06) for Express Oil Change, which was subsequently approved by the City Council. The Site Plan associated with SR 24.06 did not illustrate the aforementioned shared drive access between lots. Despite the majority of items associated with this Site Plan Review being compliant, staff cannot recommend approval of a Site Plan which is in direct conflict with another Site Plan already approved by the City Council. Page 184 of 608 SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 5 of 6 Staff has discussed this issue with the Applicant who has indicated a desire to work with Express Oil to address the need for a shared access drive. However, at the time of writing this report no plans detailing such have been submitted to staff. Comprehensive Plan - COMPLIANT Planters Pointe is in a newly recognized Suburban Mixed-Use Center in the proposed Comprehensive Plan. Surrounding Impacts - COMPLIANT As previously stated, the subject site is zoned B-2. Directly adjacent to the site additional commercial uses. Community Benefits - COMPLIANT There are a lot of residential units being built in the surrounding area. A commercial retail center with a variety of retail/restaurant/office/commercial units will be a benefit to the residential subdivisions. SITE PLAN CONSIDERATIONS (OCTOBER 6, 2025) Standards of Review: Article II Section C.2.d of the City of Fairhope Zoning Ordinance sets forth the criteria for reviewing Site Plan requests. Recommendation: Staff recommends DENIAL of SR 25.07 – Advanced Auto Site Plan due to a direct conflict between the proposed lot access plan and the lot access plan for an abutting development recently approved by the City Council as SR 24.06 – Express Oil Change. Page 185 of 608 EXHIBITS SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 6 of 6 REVISED Site Plan for Lot 8 & Lot 9 Planter’s Pointe Page 186 of 608 REVISED EXHIBITS SR 25.07 – Advanced Auto Parts (Tabled) December 1, 2025 Page 6 of 6 REVISED Tree & Landscape Plan for Lot 9 Planter’s Pointe Page 187 of 608 Page 188 of 608 Page 189 of 608 LLC Cert of Formation - 11/2021 Page 1 of 2 STATE OF ALABAMA DOMESTIC LIMITED LIABILITY COMPANY (LLC) CERTIFICATE OF FORMATION PURPOSE: In order to form a Limited Liability Company (LLC) under Section 10A-5A-2.01 of the Code of Alabama 1975, this Certificate of Formation and the appropriate filing fees must be filed with the Office of the Secretary of State. The information required in this form is required by Title 10A. 1. The name of the limited liability company (must contain the words “Limited Liability Company” or the abbreviation “L.L.C.” or “LLC,” and comply with Code of Alabama, Section 10A-1-5.06. You may use Professional or Series before Limited Liability Company or LLC (or PLLC or SLLC) if they apply: 2.A copy of the Name Reservation Certificate from the Office of the Secretary of State must be attached. 3.The name of the registered agent (only one agent): Street (no PO Boxes) address of registered office (must be located in Alabama): *COUNTY of above address: Mailing address in Alabama of registered office (if different from street address): 4.The undersigned certify that there is at least one member of the limited liability company. $200.00 ------- Alabama $100.00 06/16/2025 001-195-755 DLL Time 12:01:00 Date Haymes S Snedeker Sec. Of State File 805 Trione St Daphne, AL 36526 Planter's Pointe Partners, LLC BALDWIN $100.00 County Total Page 190 of 608 DOMESTIC LIMITED LIABILITY COMPANY (LLC) CERTIFICATE OF FORMATION LLC Cert of Formation – 11/2021 Page 2 of 2 5.Check only if the type applies to the Limited Liability Company being formed: Series LLC complying with Title 10A, Chapter 5A, Article 11 Professional LLC complying with Title 10A, Chapter 5A, Article 8 Non-Profit LLC complying with Section 10A-5A-1.04(c) 6.The filing of the limited liability company is effective immediately on the date received by the office of the Secretary of State, Business Services Division or at the delayed filing date (cannot be prior to the filing date) specified in this filing complying with Section 10A-1-4.12 The undersigned specify / / as the effective date (must be on or after the date filed in the office of the Secretary of State, but no later than the 90th day after the date this instrument was signed) and the time of filing to be : AM or PM. (cannot be noon or midnight – 12:00) Attached are any other matters the members determine to include herein (if this item is checked there must be attachments with the filing). Date (MM/DD/YYYY) Signature as required by 10A-5A-2.04 Typed title (organizer or attorney-in-fact) *County of Registered Agent is requested in order to determine distribution of County filing fees. Haymes S Snedeker6 2025 // Member 16 01 6 12 4 2025 16 Page 191 of 608 STATE OF ALABAMA June 16, 2025 Date Wes Allen Secretary of State RES225021 I, Wes Allen, Secretary of State of Alabama, having custody of the Great and Principal Seal of said State, do hereby certify that P.O. Box 5616 Montgomery, AL 36103-5616 Planter's Pointe Partners, LLC In Testimony Whereof, I have hereunto set my hand and affixed the Great Seal of the State, at the Capitol, in the city of Montgomery, on this day. This name reservation is for the exclusive use of Haymes S Snedeker, 805 Trione St, Daphne, AL 36526 for a period of one year beginning June 16, 2025 and expiring June 16, 2026 pursuant to the provisions of Title 10A, Chapter 1, Article 5, Code of Alabama 1975, and upon an examination of the entity records on file in this office, the following entity name is reserved as available: Wes Allen Secretary of State Page 192 of 608 Page 193 of 608 Page 194 of 608 Page 195 of 608 Page 196 of 608 Page 197 of 608 Page 198 of 608 Page 199 of 608 Page 200 of 608 Page 201 of 608 Page 202 of 608 Page 203 of 608 Page 204 of 608 Page 205 of 608 Page 206 of 608 Page 207 of 608 ±6,889 SF BUILDING 20 ' G R E E N S P A C E B U F F E R F.F.E. 118.35 G CO SS SS SS SS SS CO CO UG P UG P UGP UGP 45 W TP TP TP TP TP TP TP TP TPTP TP TP TP TP TP TPTP TP TP TP TP TP TP TP TP TP TP TP TP TP TP C C S S S TR TR TR TR E LP S S S W G G G G G G CC LP E LOT 9 ±1.09 AC (47,498 SF) LOT 8 UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UGE UGE UGEUGE UGE TPTPTPTP TP TP TP TP TP TP TP TP GAS GAS GAS GAS GAS GAS 118 117 118 116 115 113.5 114 115 117 117 117 117 117 11 7 118 11 8 11 9 11 8 117 11 6 . 5 11 6 116 118 11 7 115 11 6 116 (38) EG © 00 20'40' N O R T H Scale: 1"= 20' TREE PRESERVATION & REMOVAL PLAN1 TREE PRESERVATION NOTES TREE PROTECTION FENCE - FAIRHOPE NOTES: 1.Fencing to be installed prior to construction. Fencing type shall be chain link. 2.The fence shall be erected w/ a min. distance of 20' from the trunks of heritage trees & 10' from all other retained trees. If installing underground utilities near tree roots becomes a hardship, a soil auger shall be used to tunnel under tree roots. 3.All roots to be removed during site clearing &/or construction shall be severed cleanly at the perimeter of the protected radius. 4.Footers for walls shall end at the point where large roots are encountered, and the roots shall be bridged. Post holes and trenches located close to retained trees shall be adjusted to avoid damage to major roots. 5.Fencing cannot be removed until land alteration, site clearing, and construction activities are complete. METAL POST FENCE TIE FINISH GRADE No entry, storage, temporary parking, or disturbance will be allowed within barricade REQUIRED SIGNAGE SNOW FENCE OR CHAIN LINK METAL POST 2 TEMPORARY PROTECTION FENCING Page 208 of 608 ±6,889 SF BUILDING 20 ' G R E E N S P A C E B U F F E R F.F.E. 118.35 G CO SS SS SS SS SS CO CO UG P UG P UGP UGP 45 W TP TP TP TP TP TP TP TP TPTP TP TP TP TP TP TPTP TP TP TP TP TP TP TP TP TP TP TP TP TP TP C C S S S TR TR TR TR E LP S S S W G G G G G G CC LP E LOT 9 ±1.09 AC (47,498 SF) LOT 8 UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UGE UGE UGEUGE UG E TPTPTPTP TP TP TP TP TP TP TP TP GAS GAS GAS GAS GAS GAS 118 117 118 116 115 113.5 114 115 117 117 117 117 117 11 7 118 11 8 11 9 11 8 117 11 6 . 5 11 6 116 118 11 7 115 11 6 116 (34) LJ (14) LJ(5) LJ (38) EG (13) SB (10) DM2 (5) DM2 © 00 20'40' N O R T H Scale: 1"= 20' LANDSCAPE PLANTING PLAN1 DETENTION AREA, SEE CIVIL PLANS DETENTION AREA, SEE CIVIL PLANS Page 209 of 608 SYMBOL CODE QTY BOTANICAL NAME COMMON NAME CONT CAL HT REMARKS TREES LT 6 LIRIODENDRON TULIPIFERA TULIP TREE B&B OR CONT 2"10`FULL HEAD, SPECIMEN QUALITY MA 17 MAGNOLIA VIRGINIANA SWEETBAY MAGNOLIA B&B OR CONT 8`-10`3 TRUNKS; FULL HEAD PC 7 TAXODIUM ASCENDENS POND CYPRESS B&B OR CONT 2"10`FULL HEAD, SPECIMEN QUALITY SYMBOL CODE QTY BOTANICAL NAME COMMON NAME CONT HT SPACING REMARKS SHRUBS DM2 15 DISTYLIUM 'VINTAGE JADE'VINTAGE JADE DISTYLIUM 3 GAL 48" o.c. LJ 53 LIGUSTRUM JAPONICUM WAX LEAF LIGUSTRUM CG 48"48" o.c.FULL TO GROUND SB 13 VIBURNUM ODORATISSIMUM SWEET VIBURNUM 3 GAL 48" o.c. GROUND COVERS EG 38 LIRIOPE MUSCARI `EMERALD GODDESS`EMERALD GODDESS LIRIOPE 1 GAL@ 18" o.c. SOD/SEED SOD 13,017 SF CYNODON DACTYLON `TIFWAY 419`TIFWAY 419 BERMUDA GRASS SOD PLANT SCHEDULE © SHRUB PLANTING1 MULTI-TRUNK TREE STAKING 1/2" = 1'-0" 2X BALL DIA. SPECIFIED PLANTING MIX. WATER AND TAMP TO REMOVE AIR POCKETS. FORM SAUCER WITH 3" CONTINUOUS RIM 3" MULCH 2 STRAND 12 GAUGE GALV. WIRE TWISTED AND ENCASED IN RUBBER HOSE 6-9" FROM TOP OF STAKE. 2 WIRE SUPPORTS SHALL BE USED ON MAIN STRUCTURAL TRUNK. 2" x 2" HARDWOOD STAKES DRIVEN FIRMLY A MINIMUM OF 18" INTO THE SUBGRADE PRIOR TO BACKFILLING. · · 4 329343-01 STAKING DETAIL PLANT PIT DETAIL TREE PLANTING - GUY STRAP 1" = 1'-0" SPECIFIED PLANTING MIX. WATER AND TAMP TO REMOVE AIR POCKETS. TENSION BAR 1" GUYLINE WEBBING ARROWHEAD ANCHOR KEEP TURF CLEAR FOR A 24" RADIUS CIRCLE AROUND THE TREE - MULCH WITH A 3" THICK LAYER OF SHREDDED BARK. SET ROOTBALL CROWN 1 1/2" HIGHER THAN THE SURROUNDING FINISHED GRADE. SLOPE BACKFILL AWAY FROM ROOTBALL FOR POSITIVE DRAINAGE. KEEP MULCH 2" - 3" FROM BASE OF TREE. ARBORGUY TREE ANCHOR SYSTEM, INSTALL APPROPRIATE MODEL PER MANUFACTURUER'S INSTRUCTIONS FINISHED GRADE EXISTING SUBSOIL ROOTBALL 3" HIGH WATER WELL AT SHRUB AREA ROOTBALL 2X ROOTBALL PLANTING AT SHRUB AREAS FINISHED GRADE AT LAWN PLANTING AT LAWN AREAS FINISHED GRADE AT SHRUBS MULCH WATER WELL AREA TO 3" DEPTH.TRENCH EDGE RE: DETAIL 5 329343.26-02 SHRUBS AND GROUNDCOVERS ADJACENT TO STRAIGHT EDGES SHALL BE TRIANGULAR - SPACED IN ROWS PARALLED TO THE STRAIGHT EDGE. SHRUBS AND GROUNDCOVERS ADJACENT TO CURVED EDGES SHALL BE PLANTED IN ROWS PARALLEL TO THE CURVED EDGES. CURVED EDGES TO BE VERY SMOOTH RADII. A A B B BEDLINE CURB TYPICAL PLANT SPACING NOT TO SCALE2 329399-04 CROWN MULCH NEAR EDGE IN A BERM-LIKE MANNER AS SHOWN LAWN OR TOP OF CURB/ PAVING GRADE PREPARED SUBGRADE NOTE: TRENCH EDGE TO BE LOCATED BETWEEN ALL PLANTING BED AREAS AND ADJACENT TURF AREAS, UNLESS NOTED OTHERWISE. MULCH LAYER TRENCH EDGE 3" = 1'-0"329413.23-023 QUANTITY TAKEOFF DISCLAIMER: QUANTITIES NOTED ON PLANS ARE OFFERED AS A CONVENIENCE TO THE CONTRACTOR FOR BID PURPOSES ONLY. CONTRACTOR SHALL VERIFY ALL QUANTITIES AND REPORT ANY DISCREPANCIES TO THE LANDSCAPE ARCHITECT. GENERAL CONDITIONS ·CONTRACTOR SHALL BE RESPONSIBLE FOR THE SITE INSPECTION PRIOR TO LANDSCAPE CONSTRUCTION AND INSTALLATION IN ORDER TO ACQUAINT HIMSELF WITH EXISTING CONDITIONS. CONTRACTOR SHALL BE RESPONSIBLE FOR LOCATING ALL EXISTING UNDERGROUND UTILITIES BEFORE BEGINNING CONSTRUCTION. ·CONTRACTOR IS RESPONSIBLE FOR PROTECTION OF LANDSCAPE MATERIAL AT ALL TIMES. LANDSCAPE CONTRACTOR TO COORDINATE SAFE STAGING AREA WITH GENERAL CONTRACTOR AND/OR OWNER. ·CONTRACTOR SHALL GUARANTEE ALL PLANT MATERIAL, INCLUDING GRASS, FOR 365 CONSECUTIVE CALENDAR DAYS FROM SUBSTANTIAL COMPLETION OF THE WORK, AS DETERMINED BY THE PROJECT LANDSCAPE ARCHITECT. ·ALL AREAS IMPACTED NEGATIVELY BY CONSTRUCTION PROCESSES SHALL BE RETURNED TO ORIGINAL CONDITION OR BETTER PRIOR TO SUBSTANTIAL COMPLETION. LANDSCAPE AREA SOIL PREPARATION ·PLANTING SOIL SHALL BE CREATED BY AMENDING TOPSOIL WITH THE ADDITION OF COMPOST. COMPOST TYPE SHALL BE MUSHROOM COMPOST OR DECOMPOSED PINE BARK, AND SHALL BE APPROVED BY LANDSCAPE ARCHITECT PRIOR TO PURCHASE. COMPOST SHALL BE UNIFORMLY APPLIED OVER PLANTING BEDS AT AN AVERAGE DEPTH OF 2 INCHES AND OVER SOD AREAS AT AN AVERAGE DEPTH OF 3/4 INCH. ·INCORPORATE UNIFORMLY IN PLANTING BEDS TO A DEPTH OF 6 INCHES AND IN SOD AREAS TO A DEPTH OF 3 INCHES USING A ROTARY TILLER OR OTHER APPROPRIATE EQUIPMENT. PRE-PLANT FERTILIZER AND PH ADJUSTING AGENTS (E.G., LIME AND SULFUR) MAY BE APPLIED IN CONJUNCTION WITH COMPOST INCORPORATION, AS REQUIRED PER SOIL TEST (IF REQUESTED BY OWNER). ·RAKE SOIL SURFACE SMOOTH PRIOR TO PLANTING. ·REMOVE STONES LARGER THAN 1 INCH IN ANY DIMENSION AND STICKS, ROOTS, RUBBISH, AND OTHER EXTRANEOUS MATTER AND LEGALLY DISPOSE OF THEM OFF OWNER'S PROPERTY. ·WATER THOROUGHLY AFTER PLANTING. ·CONTRACTOR SHALL BE RESPONSIBLE FOR PROVIDING 3% POSITIVE DRAINAGE IN ALL PLANTING BEDS. ANY OTHER PROPOSED DRAINAGE METHODS SHALL BE COORDINATED WITH PLANTING EFFORTS TO MINIMIZE CONFLICTS AND MAINTAIN PROPER FUNCTION OF DRAINAGE SYSTEMS. PLANT MATERIAL AND PLANTING ·PLANT QUANTITIES ARE OFFERED AS A CONVENIENCE TO THE CONTRACTOR, AND ARE NOT ABSOLUTE. CONTRACTOR SHALL VERIFY PLANT COUNT FROM PLAN AND REPORT DIFFERENCES. ·ALL PLANT MATERIALS ARE SUBJECT TO APPROVAL OR REFUSAL BY THE OWNER OR LANDSCAPE ARCHITECT AT ANY TIME. ·PLANTS SHALL BE WELL FORMED, VIGOROUS, GROWING SPECIMENS WITH GROWTH TYPICAL OF VARIETIES SPECIFIED AND SHALL BE FREE FROM INJURY, INSECTS AND DISEASES. PLANTS SHALL EQUAL OR SURPASS QUALITY AS DEFINED IN THE CURRENT ISSUE OF "AMERICAN STANDARDS FOR NURSERY STOCK" AS PUBLISHED BY THE AMERICAN NURSERYMEN, INC. ·UNLESS NOTED SPECIFICALLY, ALL PLANT MATERIAL SHALL BE BALLED AND BURLAPPED OR CONTAINER GROWN. ·FRONT ROW OF SHRUBS SHALL BE PLANTED FROM CENTER OF PLANT A MINIMUM OF 24" BEHIND BED LINE @ LAWNS OR WALKS AND A MINIMUM OF 36" BACK OF CURB @ PARKING SPACES. ·NO PRUNING SHOULD BE PERFORMED DURING FIRST GROWING SEASON EXCEPT FOR REMOVING DAMAGED OF DEAD GROWTH. WOUND PAINT IS NOT RECOMMENDED FOR ANY CUTS. ·ALL PLANTING AREAS, TREE PITS, AND OTHER AREAS INDICATED ON PLANS SHALL BE MULCHED WITH A SETTLED LAYER OF THE INDICATED MULCH: ·TRENCH EDGE TO BE LOCATED BETWEEN ALL PLANTING AREAS AND LAWN, UNLESS NOTED OTHERWISE. ·TREE STAKING SHALL BE PROVIDED TO KEEP TREES PLUMB AND PROTECTED FROM EXCESSIVE WINDS. ALL TREE-STAKING APPARATUS SHALL BE REMOVED AT THE END OF THE ONE-YEAR WARRANTY PERIOD. ·ONE YEAR OF LANDSCAPE MAINTENANCE FROM SUBSTANTIAL COMPLETION SHALL BE INCLUDED AS AN OPTIONAL BID ITEM TO THE OWNER. 3" DEPTH LONG LEAF PINESTRAW, SETTLED 4" DEPTH SHREDDED HARDWOOD MULCH 3" DEPTH PINE BARK GENERAL PLANTING NOTES 1" = 1"329399-016 AlabamaSafely.Dig 800-292-8525 #DIG (Cellular)Call Page 210 of 608 ±6,889 SF BUILDING 20 ' G R E E N S P A C E B U F F E R F.F.E. 118.35 G CO SS SS SS SS SS CO CO 45 W TP TP TP TP TP TP TP TP TPTP TP TP TP TP TP TPTP TP TP TP TP TP TP TP TP TP TP TP TP TP TP C C S S S TR TR TR TR E LP S S S W G G G G G G CC LP E LOT 9 ±1.09 AC (47,498 SF) LOT 8 UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UGE UG E UGE UGE UGEUGE UGE TPTPTPTP TP TP TP TP TP TP TP TP GAS GAS GAS GAS GAS GAS 118 116 115 113.5 114 115 117 117 117 117 117 11 7 118 11 8 11 9 11 8 117 11 6 . 5 11 6 116 118 11 7 115 11 6 116 35 Q 35 H 35 H 35 H 35 Q M 51 51 51 51 51 51 5151 51 35 H 25 H 01 01 01 01 01 21 21 21 21 L S 8 8 8 51 51 51 51 51 51 51 51 51 51 51 51 51 51 51 51 5151 51 51 51 RS 8 2 19.01" 3 4.381" 4 11.71" 5 6.731" 6 13.01" 7 17.61" 8 10.71" 11 6.671" 12 10.21" 13 12.31" C RS 35 T 35 Q 35 Q 35 H 30 H 30 H 35 H 30 H 51 51 51 30 H S S S S S S S S S S BF 1 11.81" 112" 9 18.81" 10 3.531" SYMBOL MANUFACTURER/MODEL/DESCRIPTION QTY PSI RAIN BIRD 1806-SAM-PRS 15 STRIP SERIES TURF SPRAY 6.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING. 14 30 RAIN BIRD 1806-SAM-PRS 8 SERIES MPR TURF SPRAY 6.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING. 4 30 RAIN BIRD 1806-SAM-PRS 10 SERIES MPR TURF SPRAY 6.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING. 5 30 RAIN BIRD 1806-SAM-PRS 12 SERIES MPR TURF SPRAY 6.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING. 4 30 RAIN BIRD 1806-SAM-PRS 15 SERIES MPR TURF SPRAY 6.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING. 33 30 RAIN BIRD 1812-SAM-PRS 15 STRIP SERIES SHRUB SPRAY 12.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING DEVICE. 26 30 RAIN BIRD 1812-SAM-PRS 15 SERIES MPR SHRUB SPRAY 12.0" POP-UP SPRINKLER WITH CO-MOLDED WIPER SEAL. 1/2" NPT FEMALE THREADED INLET. WITH SEAL-A-MATIC CHECK VALVE, AND PRESSURE REGULATING DEVICE. 1 30 SYMBOL MANUFACTURER/MODEL/DESCRIPTION QTY PSI GPM RADIUS RAIN BIRD 5006-SAM-R-PC,FC-MPR 25 TURF ROTOR, 6.0" POP-UP, PLASTIC RISER, MATCHED PRECIPITATION ROTOR (MPR NOZZLE). ARC AND RADIUS AS PER SYMBOL. 25 FT=RED, 30 FT=GREEN, 35FT=BEIGE. WITH SEAL-A-MATIC CHECK VALVE. PRESSURE REGULATING. 16 35 24' SYMBOL MANUFACTURER/MODEL/DESCRIPTION QTY RAIN BIRD PGA 1" ELECTRIC REMOTE CONTROL VALVE 13 MATCO-NORCA 770S PVC WHITE BALL VALVE FOR SCH 40 AND SCH 80 PIPE, SOLVENT SLIP ENDS WITH "T" HANDLE, SAME SIZE AS MAINLINE. 1/2" TO 4". 7 FEBCO 765 3/4" PRESSURE VACUUM BREAKER, BRASS WITH BALL VALVE SOV. INSTALL 12" (305MM) ABOVE HIGHEST DOWNSTREAM OUTLET AND THE HIGHEST POINT IN THE DOWNSTREAM PIPING. 1 RAIN BIRD ESPLXME2 W/ (1) ESPLXMSM12 24 STATION, TRADITIONALLY-WIRED, COMMERCIAL CONTROLLER. (1) ESPLXME2 12-STATION, INDOOR/OUTDOOR, PLASTIC WALL-MOUNT ENCLOSURE W/ (1) ESPLXMSM12 - 12-STATION EXPANSION MODULES. 1 RAIN BIRD RSD-BEX RAIN SENSOR, WITH METAL LATCHING BRACKET, EXTENSION WIRE. 1 WATER METER 3/4" BASIS OF DESIGN: 1" METER W/ 37.5 GPM @ 55 PSI. CONTRACTOR TO VERIFY & SIZE ACCORDINGLY. 1 IRRIGATION LATERAL LINE: PVC CLASS 200 SDR 21 1" ONLY LATERAL TRANSITION PIPE SIZES 1 1/4" AND ABOVE ARE INDICATED ON THE PLAN, WITH ALL OTHERS BEING 1" IN SIZE. 1,835 LF IRRIGATION LATERAL LINE: PVC CLASS 200 SDR 21 1 1/2" ONLY LATERAL TRANSITION PIPE SIZES 1 1/4" AND ABOVE ARE INDICATED ON THE PLAN, WITH ALL OTHERS BEING 1" IN SIZE. 61.4 LF IRRIGATION MAINLINE: PVC CLASS 200 SDR 21 1 1/2"837.0 LF PIPE SLEEVE: PVC SCHEDULE 40 283.6 LF EST CST SSTRCSLCS E L R C S FHTQ 8 8 8 8 Q T H F 01 01 01 01 Q TQ FHT 21 21 21 21 21 Q TQ FHT 51 51 51 51 51 EST CST SSTRCSLCS Q TQ FHT 25 ARC BF C RS M Valve Number Valve Flow Valve Sie Valve Callout # ##" IRRIGATION SCHEDULE © 00 20'40' N O R T H Scale: 1"= 20' LANDSCAPE IRRIGATION PLAN1 AlabamaSafely.Dig 800-292-8525 #DIG (Cellular)Call QUANTITY TAKEOFF DISCLAIMER: QUANTITIES NOTED ON PLANS ARE OFFERED AS A CONVENIENCE TO THE CONTRACTOR FOR BID PURPOSES ONLY. CONTRACTOR SHALL VERIFY ALL QUANTITIES AND REPORT ANY DISCREPANCIES TO THE LANDSCAPE ARCHITECT. CONTRACTOR TO COORDINATE W/ OWNER & OR GENERAL CONTRACTOR ON EXACT PLACEMENT OF IRRIGATION CONTROLLER & RAIN SENSOR CONTRACTOR TO COORDINATE W/ GENERAL CONTRACTOR & UTILITY COMPANY ON EXACT LOCATION OF IRRIGATION METER Page 211 of 608 © 3" = 1'-0" TURF SPRAY FLEX ASSEMBLY1 328403.13-02 3" = 1'-0" TURF ROTOR MARLEX ASSEMBLY2 328403.16-01 3" = 12" SHRUB SPRAY HIGHPOP W/ FLEX ASSEMBLY3328403.29-01 1 1/2" = 1'-0" ELECTRIC REMOTE CONTROL VALVE4328406.13-01 1" = 1'-0" WALL MOUNT CONTROLLER5 328409.13-01 1 1/2" = 1'-0" REDUCED PRESSURE BACKFLOW6 328409.43-02 SLEEVING DETAIL 1/2" = 1'-0" 1' - 0 " VA R I E S 1' - 0 " MI N . 1'-6" 7 328409.76-05 1. ALL MAINLINES TO HAVE A MINIMUM OF 18" OF COVER. (CLASS 200 PVC PIPE). 2. ALL LATERAL AND SUB-MAIN PIPE TO HAVE A MINIMUM OF 12" OF COVER. (CLASS 200 PVC PIPE). 3. NO ROCKS, BOULDER, OR OTHER EXTRANEOUS MATERIALS TO BE USED IN BACKFILLING OF TRENCH. 4. ALL PIPE TO BE INSTALLED AS PER MANUFACTURERS' SPECIFICATIONS. 5. ALL THREADED JOINTS TO BE COATED WITH TEFLON TAPE OR LIQUID TEFLON. 6. ALL LINES TO BE THOROUGHLY FLUSHED BEFORE INSTALLATION OF SPRINKLER HEADS. 7. SPRINKLER AND RELATED EQUIPMENT TO BE INSTALLED AS PER DETAILS. 8. ALL ELECTRICAL JOINTS TO BE MADE USING WATERPROOF CONNECTIONS AS SHOWN ON DETAILS. 9. ALL EQUIPMENT NOT SPECIFIED IN THE LEGEND SHALL BE DETERMINED AND FURNISHED BY THE CONTRACTOR. 10. NO ELECTRICAL CONNECTIONS SHALL BE MADE IN THE FIELD EXCEPT AT A VALVE CONTROL BOX OR ANOTHER VALVE BOX SPECIFICALLY FOR CONNECTIONS. 11. ANY DISCREPANCY BETWEEN THIS SHEET AND OTHERS IN THIS SET MUST BE REFERRED TO THE LANDSCAPE ARCHITECT BY THE CONTRACTOR FOR CLARIFICATION BEFORE PROCEEDING WITH THE WORK. 12. ALL 24 VOLT WIRE SHALL BE #12 UF/UL FOR COMMON WIRE, AND #14 UF/UL FOR CONTROL WIRES, DIRECT BURIAL, SOLID COPPER. 13. CONTRACTOR TO BE RESPONSIBLE FOR PROPER COVERAGE OF AREAS TO BE WATERED. I.E. ADJUST HEADS WITH INSUFFICIENT COVERAGE DUE TO BLOCKAGE BY EXISTING OR PROPOSED SITE FEATURES. 14. CONTRACTOR TO REFER TO LANDSCAPE PLAN TO KEEP SPRINKLER EQUIPMENT AND ACCESSORY MATERIAL FROM INTERFERING WITH PROPER PLANTING, i.e. VERIFY ROOT BALL SIZE FOR PLANTING. 15. CONTRACTOR SHALL PROVIDE EXPANSION COILS AT EACH WIRE CONNECTION IN VALVE BOX (WRAP AROUND 3/4" PIPE 12 TIMES). GENERAL IRRIGATION NOTES 1" = 1" 16. CONTRACTOR TO UTILIZE APPROPRIATE AUTOMATIC DRAIN DEVICE WHERE LOW HEAD DRAINAGE MAY OCCUR. 17. CONTRACTOR SHALL UTILIZE VALVE I.D. TAGS ON ALL REMOTE CONTROL VALVES. 18. 24 VOLT WIRE SHALL BE COLOR CODED; COMMON-WHITE, CONTROL-RED. 19. CONTRACTOR SHALL INSTALL MANUFACTURERS' RECOMMENDED GROUNDING EQUIPMENT FOR POWER SUPPLY AND VALVE OUTPUT WITH (2) 5/8" COPPER CLAD GROUND RODS. 20. CONTRACTOR SHALL INSTALL MANUFACTURERS' RECOMMENDATION ON FAULT GROUND AND LIGHTNING PROTECTION. 21. ALL MATERIAL TO BE SUPPLIED BY CONTRACTOR TO OWNER: A. TWO WRENCHES FOR DISASSEMBLING AND ADJUSTING EACH TYPE OF SPRINKLER HEADS AND VALVE SUPPLIED. B. TWO KEYS FOR EACH OF THE AUTOMATIC CONTROLLERS. C. TWO QUICK COUPLER KEYS WITH MATCHING HOSE SWIVELS. 22. SYSTEM IS DIAGRAMMATIC TO IMPROVE CLARITY. ALL MAINLINE PIPING ELECTRIC VALVES AND WIRING ARE TO BE INSTALLED IN LANDSCAPE AREAS AND WITHIN PROPERTY BOUNDARIES. CONTRACTOR SHALL REFERENCE THE LANDSCAPE PLAN PRIOR TO THE INSTALLATION OF PIPING TO AVOID CONTACT WITH PLANT MATERIALS EXISTING OR NEW. 23. CONTRACTOR TO ADD EXTENSION RISER TO POP-UP HEADS WHEN NEEDED FOR PROPER COVERAGE. 24. CONTRACTOR SHALL INSTALL SPRINKLER EQUIPMENT 12" FROM FOUNDATIONS. ALSO INSTALL SPRINKLERS 4" FROM CURB OR WALKS.. 25. PRIOR TO BID, IRRIGATION CONTRACTOR SHALL VERIFY RIGHT-OF-WAY AND BACKFLOW REQUIREMENTS. NO LATER THAN FIVE DAYS BEFORE BID SUBMITTALS. CONTRACTOR SHALL NOTIFY CONSULTANT OF ANY CHANGES FROM PLANS AND SPECIFICATIONS. 26. IRRIGATION CONTRACTOR SHALL PROVIDE THE OWNER AND LANDSCAPE ARCHITECT WITH A REPRODUCIBLE CROSS MEASURED AS-BUILT DRAWING OF THE INSTALLED IRRIGATION SYSTEM IN AUTOCAD 2000 FORMAT BEFORE FINAL ACCEPTANCE. 27. A 1-YEAR WARRANTY PERIOD SHALL BE PROVIDED FOR SYSTEM AFTER SUBSTANTIAL COMPLETION IS ACCEPTED. START UP AND ADJUSTING OF SYSTEM IN SPRING TIME SHALL BE INCLUDED IN WARRANTY. 9 328415-01 1 1/2" = 1'-0" TRUE UNION BALL ISOLATION VALVE8328406.33-04 Page 212 of 608 ±6,889 SF BUILDING 20 ' G R E E N S P A C E B U F F E R F.F.E. 118.35 G CO SS SS SS SS SS CO CO UG P UG P UGP UGP 45 W C C TR TR E LP S S S G G G G G G CC LP LOT 9 ±1.09 AC (47,498 SF) LOT 8 UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UG E UGE UGE UGEUGE UG E GAS GAS GAS GAS GAS GAS 118 117 118 116 115 113.5 114 115 117 117 117 117 117 117 118 118 119 118 117 116. 5 116 116 118 117 115 116 116 00 20'40' © N O R T H SITE LIGHTING PLAN1 STREET LIGHT DETAIL NOT TO EXCEED MAX. HEIGHT PER AHJ REQ'S 6" 3' 2 GENERAL LIGHTING NOTES · · Page 213 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-451 FROM: Hunter Simmons, PLANNING DIRECTOR SUBJECT: Site Plan Review and Approval - Request of the Applicant, Element 3 Engineering, LLC, on behalf of the Owner, Coast Properties LLC, for Site Plan Approval of Pelc Tire Auto Service Center. The property is approximately 1.22 acres and is zoned B-2 – General Business District. The property is located on Lot 7 of the Encounter Development on the northeast corner of State Highway 181 and State Highway 104. PPIN #: 627497 (Planning Commission unanimously recommends approval of SR 25.06). AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: Council Approval BACKGROUND INFORMATION: The lot is included as Lot 7 within the Encounter Development (northeast corner of the intersection of State Hwy 181 and 104). The Encounter Development was annexed into the City in 2023 (Ord. # 1772) and was later subdivided into the current configuration of lots in 2024 (SD 24.13). This application was unanimously recommended for approval by the Planning Commission conditioned upon revisions being made to the proposed Tree & Landscape Plan and the Photometric Site Plan to bring each into full compliance with the Zoning Ordinance. At this time, the applicant has satisfied all conditions of approval required by the Planning Commission. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: Page 214 of 608 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 215 of 608 Planning Commission (9 Ayes) voted to recommend approval of SR 25.06 City Council January 12, 2026 Page 216 of 608 SR 25.06 – Pelc Tire Auto Service Center December 1, 2025 Page 1 of 9 SUMMARY OF REQUEST Request of the Applicant, Element 3 Engineering, LLC, on behalf of the Owner, Coast Properties LLC, for Site Plan Approval of Pelc Tire Auto Service Center. The property is approximately 1.22 acres and is zoned B -2 – General Business District. The property is located on Lot 7 of the Encounter Development on the northeast corner of State Highway 181 and State Highway 104. SITE HISTORY The Encounter Development was annexed into the City on March 22, 2023, via Ordinance #1772 (ZC 23.01). The Ordinance and ZC 23.01’s NOA are within the packet. SD 24.13 subdivided the subject property into the current existing lots in July 2024. SD 24.13’s NOA is within the packet. There are no other Planning Commission or Board of Adjustment cases associated with this site. STAFF COMMENTS Site Plan The proposed site plan is attached to the end of this report as an exhibit. Setbacks - COMPLIANT The Encounter Development has the following setbacks: Front – 20’; Rear -0’ (20’ if abutting residential); Side – 0’ (10’ if abutting residential); Side Street – 20’; AL Hwy 104 – 100’ from ROW centerline; and AL Hwy 181 – 125’ from ROW centerline. The building on Lot 7 is situated so that it faces Bushel Drive where the entrance is located. The side street is Encounter Drive where there is a 25’ setback. The side street setback is the only setback that exceeds the minimum setbacks for Encounter Development. Buildings - COMPLIANT B-2, General Business District has a required maximum building height of 30 ’. The proposed building height for the one-story structure is 22’-8”. The proposed building is 7,965 sf and occupies almost 15% of the site. Building materials consist of EIFS siding and stacked stone veneer with metal flashing. Building elevations have been attached to the end of this report as an exhibit. Tree & Landscaping - NON-COMPLIANT The City Horticulurist states that the proposed palm trees do not count towards the required perimeter trees. There are existing overstory (frontage) trees that do count towards the required perimeter trees. He further suggests spacing the proposed palm trees away from the existing frontage trees for optimum growth and to use appropriate tree protection during the construction phase. Section 20.5-4(4) of the Tree and Landscape Ordinance (#1444) calls for “The required landscape area between vehicle use area and public right-of-way shall be planted with a solid unbroken visual screen at least forty-eight (48) inches in height at planting…” Page 217 of 608 SR 25.06 – Pelc Tire Auto Service Center December 1, 2025 Page 2 of 9 The northern part of subject property that is adjacent to Encou nter Drive is lacking the aforementioned requirement. Proposed sweet viburnum provides the “solid unbroken visual screen” along Bushel Drive and AL Hwy 104. Forty-eight inch (48”) plantings need to be added along Encounter Drive. This will help screen the dumpster enclosure as well. See Exhibits. Parking - COMPLIANT The site plan illustrates a surplus of parking with an acceptable 21 spaces. Twenty percent (20% ) overage is allowed and is required to utilize pervious surfacing in accordance with Article IV Section E.4.c(2) of the Zoning Ordinance. The site plan provides three (3) pervious parking spaces facing Encounter Drive. There are seven (7) compact parking spaces. More than the 30% required. Connectivity - COMPLIANT The site plan includes an existing concrete sidewalk along Encounter Drive. The concrete sidewalk connects with an existing asphalt path parallel to Bushel Drive. There is an additional access from the parking lot to the aforementioned asphalt path. There is a 5’ interior sidewalk or 6’ concrete apron around ¾ of the building. Drainage - COMPLIANT Drainage has been accounted for the entire Encounter Development in accordance with SD 24.13; thus, there are no retention/detention facilities required on individual lots. Stormwater from the site will be distributed to a pipe network that runs along the east property line that carries runoff to the existing shared detention pond on Lot 12. Drainage Report included in the packet. Exterior Lighting - NON-COMPLIANT Per Article IV, Section B(3) parking lots with 50 or fewer spaces shall have light poles that do not exceed 10 ’ overall height. There are 21 proposed parking spaces. Sheet C1.2 is the photometric plan. The second light listed (Label G) on the Luminaire Schedule reads 14’ for mounting height. These lights shall be amended or replaced so as not to exceed 10’ overall height, and an amended photometric plan shall be submitted with the building permit. Mechanical Equipment - COMPLIANT The proposed mechanical equipment is included in the plans with proper screening. There is not any mechanical equipment located on the roof. Dumpster - COMPLIANT The Site Plan illustrates a dumpster with fenced screening just northwest of the proposed building. The dumpster enclosure is adjacent to Encounter Drive. Extending the aforementioned required “solid unbroken visual screen” along the northern property line adjacent to Encounter Drive beyond the vehicular use area to include the dumpster enclosure better satisfies screening requirements. Signage - N/A Signage will be reviewed at time of a sign permit submittal. Erosion Control - COMPLIANT An erosion control plan was submitted with the application and is acceptable. Page 218 of 608 SR 25.06 – Pelc Tire Auto Service Center December 1, 2025 Page 3 of 9 Utilities - COMPLIANT A utility plan was submitted and has been reviewed and approved by the appropriate providers. No utility upgrades are required. ADA Standards - COMPLIANT ADA requirements per the Architect are met and at time of building permit will be further verified . Traffic - COMPLIANT Note #8 on the Final Plat for Encounter Commercial Development requires a projected trip generation for each lot. Applicant provided a Trip Generation Memo that is included in the packet. The Memo concluded that the trip generation rates should not negatively impact the overall traffic flow within Encounter Development. Three (3) turning radii are provided to illustrate how each type of vehicle will maneuver throughout the site. See Sheets C1.3-C1.5. Lot Access - COMPLIANT SD 24.13 provided certain road cuts for each lot within Encounter Commercial Development. Lot 7 may have up to two (2) turn-outs. One (1) from Encounter Drive and one (1) from Bushel Drive. The site has one (1) entrance/exit to Bushel Drive. Comprehensive Plan - COMPLIANT Encounter Development is in a newly recognized Suburban Mixed-Use Center in the proposed Comprehensive Plan. Impacts on Surrounding Neighborhood - COMPLIANT As previously stated, the subject site is zoned B-2. Directly adjacent to the site additional commercial uses. Benefits to the Community - COMPLIANT There are several residential units being built in the surrounding area. A commercial retail center with a variety of retail/restaurant/office/commercial units will be a benefit to the residential subdivisions. Page 219 of 608 SR 25.06 – Pelc Tire Auto Service Center December 1, 2025 Page 4 of 9 SITE PLAN CONSIDERATIONS Standards of Review: Article II Section C.2.d of the City of Fairhope Zoning Ordinance sets forth all criteria for reviewing Site Plan Review requests. Recommendation: Staff recommends APPROVAL of SR 25.06 – Pelc Tire Auto Service Center Site Plan Page 220 of 608 EXHIBITS SR 25.07 – Pelc Tire Auto Service Center December 1, 2025 Page 5 of 9 Proposed Site Plan Page 221 of 608 EXHIBITS SR 25.07 – Pelc Tire Auto Service Center December 1, 2025 Page 6 of 9 Elevations Page 222 of 608 EXHIBITS SR 25.07 – Pelc Tire Auto Service Center December 1, 2025 Page 7 of 9 Original Landscape Plan Add unbroken visual screen of 48” plantings to this area Page 223 of 608 REVISED EXHIBITS SR 25.07 – Pelc Tire Auto Service Center December 1, 2025 Page 8 of 9 Revised Tree & Landscape Plan Page 224 of 608 REVISED EXHIBITS SR 25.07 – Pelc Tire Auto Service Center December 1, 2025 Page 9 of 9 Page 225 of 608 Page 226 of 608 !"!# $ % " #&'(( Q]^TR^T]TV Page 227 of 608 !"# $ % &'' P\]SQ]S\SU Page 228 of 608 ! "#$ ! % & '(( Page 229 of 608 !"# $ % &'' UU^US^X\XR Page 230 of 608 !" #$% " & ' ()) WW`WU`Z^ZT Page 231 of 608 !"#$%& '() !&" *+",-- [[d[Yd^b^X Page 232 of 608 !"# $ % &'' UU^US^X\XR Page 233 of 608 ! "#$ ! % & '(( Q]^TR^T]TV Page 234 of 608 !" #$% " & ' ()) R^_US_U^UW Page 235 of 608 !"# $ % &'' P\]SQ]S\SU Page 236 of 608 !"#$%&%'#( ) &"'*+ ,, UabXVbXaXZ Page 237 of 608 Page 238 of 608 Page 239 of 608 Page 240 of 608 Page 241 of 608 Page 242 of 608 Page 243 of 608 #1 #2 #3 #4 #5 #6 #7 #8 #9 #10 #11 #12 EXISTING TREE PROTECTIVE BARRICADE, TYP. EXISTING TREE PROTECTIVE BARRICADE, TYP. EXISTING TREE PROTECTIVE BARRICADE, TYP. TRANSPLANT TREES 9, 10 & 11 - 8' NORTH OF CURRENT LOCATION; SEE PLANTING PLAN NORTH 0'10'20'40' SCALE 1"=20'-0"' C:\Users\Camilla\Desktop\Camilla\LA Element 3 Robbie D. Wood\Support\ORDINANCE CHART.jpg L1 TREE SURVEY SHEET: REVISION: TITLE: DRAWN: CHECKED: DATE: PROJECT MANAGEMENT PLANNING ARCHITECTURE BU S H E L D R I V E FA I R H O P E , A L Ph 251-433-0217 Daphne, Al. 36526 6425 Jordan Road PE L C T I R E A U T O S E R V I C E C E N T E R LA N D S C A P E D E V E L O P M E N T P L A N S F O R CHL CHL 8/25/25 3 10.27.25 PROJECT NOTES: The contractor shall thoroughly acquaint himself/herself prior to commencing work. Contractor shall compare existing layout with the proposed layout before site preparation / demolition begins. The intent is to construct a smooth transition between the new site elements and existing elements to remain, and to execute the work with a minimum amount of disturbance to the existing trees, vegetation and site elements to remain. Prior to commencement of work Contractor shall: 1. Verify existing grades prior to commencement of site preparation. If existing grades are at variance with drawings, notify Landscape Architect immediately and receive instructions prior to proceeding. 2. Coordinate with Owner's Representative delineation of staging areas and procedures. 3. Verify with owner's representative existing trees & vegetation to remain. Tree Protection During Execution of Work: 1. Protect tree root system from damage due to deleterious materials caused by run-off or spillage during mixing, using or discarding of construction materials or drainage from stored materials. Protect root system from compaction (vehicular & pedestrian circulation), flooding, erosion or excessive wetting. 2. No construction materials, debris excavated materials shall be stored within the protected root zone. Permit no parking within protected root zone area. 3. Engage a qualified tree surgeon to remove branches from trees which are to remain, if required to clear for new construction. Where directed by Owner, extend pruning operations to restore natural shape of trees. 4. Where cutting is required, tree surgeon shall cut branches and roots with sharp pruning instruments; do not break or chop. Excavation Around Trees to Remain: 1. No trenching is permitted within tree drip-lines. Where trenching for utilities is required near the drip-line, hand dig around or under roots. Cut no lateral roots or tap roots: cut only smaller roots which interfere with new construction. When cutting, make all cuts cleanly at 90 degrees. 2. Where excavating for new construction is required within drip line of trees, hand excavate to minimize damage to root systems and provide sheeting at excavations if required, Use narrow tine spading forks and comb soil to expose roots. Relocate roots in backfill areas. If large, main lateral root is encountered, bend and relocate without breaking. 3. Allow no exposed roots to dryout before permanent backfill is placed: provide temporary earth cover, or pack with peat moss and wrap with burlap. Water and maintain in mist condition and temporary support and protect from damage until permanently relocated and covered with backfill. 4. Prune branches in accordance with standard horticulture practice to balance loss to root system caused by damage or cutting of root system. Treatment of Damaged Trees: 1. Engage a qualified tree surgeon to perform tree repair work. 2. Make repairs promptly after damage occurs to prevent progressive deterioration of damaged trees. LANDSCAPE PLANTING Mulch all trees and shrubs with 4" of new longleaf pine straw mulch. Mulch all groundcovers and color plantings with 3" of new shredded pine bark mulch. All excavations shall be dug by hand in all R.O.W.s and 15' from the drip line of existing trees. Any root pruning to existing trees shall be done by hand using sharp cutting tools such as shears or loppers for a clean smooth cut. Also, no loaders or equipment shall enter or park within drip lines of existing trees. Install fencing and barricades to prevent equipment from entering these areas. (See 'Tree Protection' specifications.) All natural buffers shall be undisturbed during construction. Prior to construction these areas and existing trees will be flagged by the landscape architect and tree protection devices/barricades erected to prevent any damage or disturbance. TREE PROTECTION BARRIER N. T. S. 1 4 11.11.25 5 12.9.25 6 12.16.25 Page 244 of 608 1 2" cal. 'Shumard' Oak SOD SOD SOD 6 2" cal. Black Gum 9 7 gal.'Oct. Magic Rose' Camellia sas. "O.M. Rose' 23 4' ht. Sweet Viburnum 2 2" cal. Bald Cypress 7 4' ht. Sweet Viburnum 3 10-12' ht. 'Dura Heat' River Birch 2 15 gal. 'Brodie' Juniper 6 3 gal. 'Red' Drift Rose 3 2" cal. Bald Cypress 10 7 gal.'Oct. Magic Rose' Camellia sas. "O.M. Rose' REPLACE DEAD TREE 22 4' ht. Sweet Viburnum 15 4' ht. Sweet Viburnum 3 10-12' ht.M.T.; min. 3 trunks 'Dura Heat' River Birch 20 4' ht. Sweet Viburnum 3 7 gal.'Oct. Magic Rose' Camellia sas. "O.M. Rose' 3 7 gal.'Oct. Magic Rose' Camellia sas. "O.M. Rose' SOD SOD 1 2" cal. Bald Cypress TREE TRANSPLANTED TREE TRANSPLANTED SOD SOD SOD SOD MEASURE FROM BACK CURB 2 2" cal. Bald Cypress NORTH 0'10'20'40' SCALE 1"=20'-0"' C:\Users\Camilla\Desktop\Camilla\LA Element 3 Robbie D. Wood\Support\ORDINANCE CHART.jpg L2 PLANTING PLAN SHEET: REVISION: TITLE: DRAWN: CHECKED: DATE: PROJECT MANAGEMENT PLANNING ARCHITECTURE BU S H E L D R I V E FA I R H O P E , A L Ph 251-433-0217 Daphne, Al. 36526 6425 Jordan Road PE L C T I R E A U T O S E R V I C E C E N T E R LA N D S C A P E D E V E L O P M E N T P L A N S F O R CHL CHL 8/25/25 3 10.27.25 4 11.11.25 5 12.9.25 6 12.16.25 Page 245 of 608 NOTES: Irrigation layout as shown is schematic. All irrigation is to be located inside of property line. Contractor shall provide 100% irrigation coverage to all newly planted areas. Notify Landscape Architect of any discrepancies or necessary modifications prior to beginning irrigation work. All pipe shall be 1" diameter unless otherwise noted on plan. Zone #18 GPM 32.77 1 1/2"PEB Irrigation Zone Number L E G E N D Gallons Per Minute Valve Size Schedule 40 PVC Sleeve 1" Dia. Class 200 Lateral Line 1" Dia. Class 200 Mainline Rainbird XCZ-150-LCS Control Zone Kit Rainbird PEB Valve Rainbird XQ 1/4" Distribution Tubing Rainbird 3500 Series Rotor 15 18 1.5 Rainbird 5000 Series Rotor 2.0 Rainbird 1800 Spray Head Rainbird R-VAN-SST Rainbird R-VAN Nozzles Rainbird 9 SST Rainbird R-VAN-RCS unless otherwise noted on plan 18 24 2.0 2.02.0 1.52.02.0 2.0 18 18 24 24 24 24 24 24 24 18 ZONE 4 9.16 GPM 1-1/2" PRF ZONE 2 38.73 GPM 1-1/2" PRF ZONE 1 34.73 GPM 1-1/2" PRF 14 24 1818 18 24 24 24 24 24 24 24 24 18 18 18 18 18 18 18 18 18 18 18 18 18 18 14 14 14 14 14 Rainbird XF Series Tubing ZONE 5 1 GPM XCZ-150 Rainbird R-VAN-LCS Rainbird 1/4" Tubing Stake with PC-05 Pressure compensating module 1" Cut-off Valve (Red/White) Backflow Preventer 1" Water Meter ZONE 3 23.16 GPM 1-1/2" PRF NORTH 0'10'20'40' SCALE 1"=20'-0"' L3 IRRIGATION PLAN SHEET: REVISION: TITLE: DRAWN: CHECKED: DATE: PROJECT MANAGEMENT PLANNING ARCHITECTURE BU S H E L D R I V E FA I R H O P E , A L Ph 251-433-0217 Daphne, Al. 36526 6425 Jordan Road PE L C T I R E A U T O S E R V I C E C E N T E R LA N D S C A P E D E V E L O P M E N T P L A N S F O R CHL CHL 8/25/25 3 10.27.25 4 11.11.25 5 12.9.25 6 12.16.25 Page 246 of 608 C1.2 PHOTOMETRIC PLAN engineering 3938 GOVERNMENT BLVD SUITE 104 MOBILE, AL. 36693 engineering NE W B U I L D I N G PE L C T I R E ( F A I R H O P E ) EN C O U N T E R D R I V E , FA I R H O P E , A L 3 6 5 3 2 Page 247 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-232 FROM: Nicole Love, Grants Coordinator SUBJECT: Submission of an application to the BUILD Grant Program 2026 for a bridge system to replace a box culvert system over Fly Creek on U. S. Highway 98, Fairhope, Alabama; and authorizes the Mayor to sign all required grant application documents on behalf of the City. If awarded, the money will be passed through to ALDOT who will manage the project. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: That the City Council authorizes submission of an application to the BUILD Grant Program 2026 for a bridge system to replace a box culvert system over Fly Creek on U. S. Highway 98, Fairhope, Alabama; and authorizes the Mayor to sign all required grant application documents on behalf of the City. If awarded, the money will be passed through to ALDOT who will manage the project. BACKGROUND INFORMATION: The City has worked with ALDOT in 2024 and 2025 to submit to this funding opportunity; however, the project was still very conceptual during those applications. At this time, ALDOT is fully committed to the bridge and is currently working on getting to at least 60% design but will still need funding to move forward with the full project. Application is due February 24th and is not included because it is not complete at this time. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $ $ $ GRANT: FHWA - USDOT - Better Utilizing Investments to Leverage Development (BUILD) Grant LEGAL IMPACT: Page 248 of 608 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 249 of 608 RESOLUTION NO. ____ AUTHORIZING THE SUBMISSION OF AN APPLICATION FOR THE FY 2026 BETTER UTILIZING INVESTMENTS TO LEVERAGE DEVELOPMENT (“BUILD”) GRANT PROGRAM WHEREAS, the United States Department of Transportation (U.S. DOT) released the Notice of Funding Opportunity for Better Utilizing Investments to Leverage Development (“BUILD”) Grant Program for 2026. The minimum award is $5 million and maximum award for capital projects is $25 million. Capital projects include highway, bridge or other road projects eligible under Title 23, USC; and WHEREAS, BUILD grants help project sponsors at state and local level, including municipalities, Tribal governments, counties, and others complete critical freight and passenger transportation infrastructure projects. The eligibility requirements of BUILD allow project sponsors to obtain funding for projects that may be harder to support through other U.S. DOT Grant Programs; and WHEREAS, the City of Fairhope is requesting approval to apply for up to $20 million funding to convert a box culvert system to a bridge system over Fly Creek on U.S. Highway 98. The grant is being supported by ALDOT, who will also manage this project. The City of Fairhope will only serve as a Grant Facilitator. NOW THEREFORE BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, that by this Resolution the City of Fairhope authorizes submission of an application for the FY 2026 Better Utilizing Investments to Leverage Development (“BUILD”) Grant Program for a bridge system to replace a box culvert system over Fly Creek on U. S. Highway 98, Fairhope, Alabama; and authorizes Mayor Sherry Sullivan to sign all required grant application documents on behalf of the City. DULY ADOPTED THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 250 of 608 FY 2026 Notice of Funding Opportunity Better Utilizing Investments to Leverage Development (BUILD) Grant Program Office of the Secretary U.S. Department of Transportation (DOT) Table of Contents A. Basic Information.................................................................................................................. 3 1. FY 2026 BUILD Round ...................................................................................................... 4 2. Changes from the FY 2025 NOFO ..................................................................................... 5 B. Eligibility ................................................................................................................................ 6 1. Eligible Applicants .............................................................................................................. 6 2. Minimum Funding Request For Capital Projects ............................................................... 6 3. Application Limit ................................................................................................................ 7 4. Cost Sharing ........................................................................................................................ 7 5. Pre-Award Authority ........................................................................................................... 8 6. Location Designations ........................................................................................................ 8 7. Eligible Projects ................................................................................................................ 10 8. Project Components ...........................................................................................................11 9. Reduced Awards ................................................................................................................ 12 10. Previous BUILD/BUILD/TIGER Recipients ............................................................... 12 C. Program Description .......................................................................................................... 12 1. Program History and Authorization .................................................................................. 12 2. Program Goals and Objectives.......................................................................................... 12 3. Restrictions on Funding .................................................................................................... 12 4. Availability of Funds ......................................................................................................... 13 5. Performance Goals ............................................................................................................ 13 6. Previous Awards ................................................................................................................ 13 D. Application Content and Format ...................................................................................... 14 1. Standard Form 424 ............................................................................................................ 14 2. Key Information Questions ............................................................................................... 15 3. Project Description File .................................................................................................... 16 4. Project Location File ......................................................................................................... 17 Page 251 of 608 2 5. Project Budget Files .......................................................................................................... 17 6. Merit Criteria File ............................................................................................................. 19 7. Project Readiness File ....................................................................................................... 19 8. Cost effectiveness review: Benefit-Cost Analysis ............................................................ 23 E. Submission Requirements and Deadline .......................................................................... 24 1. Address to Request Application Package ......................................................................... 24 2. Unique Entity Identifier (UEI) and System for Award Management (SAM) ................... 24 3. Submission Deadline ........................................................................................................ 25 4. Intergovernmental Review ................................................................................................ 25 5. Compliance with Section 508 of the Rehabilitation Act of 1973 ..................................... 25 F. Application Review Information ....................................................................................... 26 1. Criteria .............................................................................................................................. 26 2. Review and Selection Process .......................................................................................... 42 G. Award Notices ...................................................................................................................... 45 1. How Project Selections Are Announced ........................................................................... 45 2. Announcement Dates ........................................................................................................ 45 3. Pre-Award Costs ............................................................................................................... 46 4. Reimbursable Program...................................................................................................... 46 H. Post-Award Requirements and Administration ............................................................... 46 1. Administrative and National Policy Requirements........................................................... 46 2. Reporting........................................................................................................................... 49 I. Federal Awarding Agency Contact(s) ................................................................................ 50 J. Other Information .............................................................................................................. 51 1. Protection of Confidential Business Information ............................................................. 51 2. Publication and Sharing of Application Information ........................................................ 51 Page 252 of 608 3 A. BASIC INFORMATION The Office of the Secretary (OST) announces the intention to hold one round of selections under the FY 2026 Better Utilizing Investments to Leverage Development (BUILD) Grant Notice of Funding Opportunity (NOFO). Basic Information: Announcement Type Notice of Funding Opportunity Funding Opportunity Title FY 2026 National Infrastructure Investments Funding Opportunity DTOS59-26-RA-BUILD Assistance Listing Number 20.933 Objective Program Overview BUILD grants will be awarded on a competitive basis, per statute, for planning or constructing surface transportation infrastructure projects that will improve safety; environmental sustainability; quality of life; mobility and community connectivity; economic competitiveness and opportunity including tourism; state of good Funding Minimum Award Size • $1 million for rural capital projects • $5 million for urban capital projects • Planning projects do not have a minimum award size Maximum Award Size $25 million Eligible Applicants • States and the District of Columbia • Any territory or possession of the United States • A unit of local government • A public agency or publicly chartered authority established by one or more States • A special purpose district or public authority with a transportation function, including a port authority • A Federally recognized Indian Tribe or a consortium of such Indian Tribes • A transit agency • A multi-State or multijurisdictional group of entities that are separately eligible Page 253 of 608 4 Eligible Project Types • highway or bridge projects eligible under title 23; • public transportation projects eligible under chapter 53 title 49; • passenger and freight rail transportation projects; • port infrastructure investments including inland port infrastructure and land ports of entry; • the surface transportation components of an airport project eligible for assistance under part B of subtitle VII; • project investing in surface transportation facilities located on Tribal land, the title or maintenance responsibility of which is vested in the Federal Government; • projects to replace or rehabilitate a culvert or prevent stormwater runoff for the purpose of improving habitat for aquatic species that will advance the goal of the program; • intermodal projects whose components are otherwise an eligible project type; • any other surface transportation infrastructure project that the Secretary considers to be necessary to advance the goals of the program Submission Requirements and Deadlines Applications must be submitted online via Valid Eval no later than 5:00 pm eastern on February 24, 2026. • Complete instructions on how to apply can be found at grants.gov and the BUILD program website • Customer support for Valid Eval can be reached at support@valideval.com Prior Awards • eligible applications requesting over $10 billion • 30 projects were awarded a total of $488 million • Awards were made to projects in 27 states Agency Contact Information Email: BUILDgrants@dot.gov Website: https://www.transportation.gov/BUILDgrants Due to the competitive nature of the program, during the application submittal phase, the Department is unable to accommodate individual meeting requests to discuss the opportunity or specific project ideas, and unable to provide individualized guidance or render opinions about the 1. FY 2026 BUILD ROUND Funding for FY 2026 BUILD Applications The Department intends to make one round of selections under this NOFO using the $1.5 billion provided by the Infrastructure Investments and Jobs Act (IIJA) for FY 2026 and will include any additional funding appropriated for National Infrastructure Investments in an Appropriations Act. Page 254 of 608 5 The Department may also make available through this NOFO funds from recently cancelled or withdrawn RAISE projects. 2. CHANGES FROM THE FY 2025 NOFO The FY 2026 BUILD NOFO makes the following changes from the FY 2025 BUILD NOFO: • There will be one round of project selections for the FY 2026 BUILD grant program. • FY 2025 BUILD applications designated “Projects of Merit” will not be carried over into the FY 2026 BUILD competition. Applicants with an FY 2025 BUILD Project of Merit designation need to submit a new application to be considered under the FY 2026 competition. • FY 2026 BUILD applications advanced by the Senior Review Team to the Highly Rated List, but that are not awarded, are automatically designated as “Projects of Merit.” Projects with this designation will be carried over into FY 2027 BUILD, subject to authorization and appropriations, and considered by the SRT for advancement to the Highly Rated List, along with other FY 2027 applications eligible for advancement to the Highly Rated List. • Updates Areas of Persistent Poverty to account for the most recent annual Small Area Income Poverty Estimates as estimated by the Bureau of the Census. • Project elements and benefits under the merit criteria rating rubric have been updated to align with Administration priorities and executive orders. • Changes priority merit criteria to: safety, quality of life, mobility and community connectivity, and economic competitiveness. • Changes “Technical Capacity Review” to “Applicant Capacity” and “Environmental Risk Review” to “Project Risk Review” under the Project Readiness review. • Conforms to the Department’s Benefit-Cost Analysis ratings of “High,” “Medium-High,” “Medium,” “Medium-Low,” and “Low” instead of “Positive” and “Negative. Other selection considerations have been added including: increased cost share, project readiness, projects located in Qualifying Opportunity Zones, and receiving a previous TIGER/RAISE/BUILD grant. Page 255 of 608 6 B. ELIGIBILITY 1. ELIGIBLE APPLICANTS Eligible BUILD grant applicants are: • States and the District of Columbia • Any territory or possession of the United States • A unit of local government • A public agency or publicly chartered authority established by one or more States • A special purpose district or public authority with a transportation function, including a port authority • A Federally recognized Indian Tribe or a consortium of such Indian Tribes • A transit agency • A multi-State or multijurisdictional group of entities that are separately eligible The following are not eligible BUILD grant applicants: • Federal agencies • Non-profits • Private entities • Individuals Multiple states or jurisdictions may submit a joint application, designating a lead applicant as the primary contact and award recipient. The application should outline each applicant's roles and responsibilities. DOT expects the applicant to manage and deliver the project. If the applicant plans to transfer the award to another agency, this should be stated in the application, along with a supporting letter from the designated entity. 2. MINIMUM FUNDING REQUEST FOR CAPITAL PROJECTS Rural Areas $1 million Urban Areas $5 million Applicants submitting capital grant applications for projects located in rural areas must request at least $1 million in BUILD funding. Applicants submitting capital grant applications for projects located in urban areas must request at least $5 million in BUILD funding. Failure to request the minimum funding amount for a capital grant application will result in the application being ineligible. There is no minimum funding request requirement for planning grant applications. Page 256 of 608 7 3. APPLICATION LIMIT Each applicant can submit up to three applications. Unrelated project components should not be combined in one application to meet this limit. If an applicant submits more than three applications, only the first three will be considered. 4. COST SHARING Cost sharing means the portion of the project’s cost that is not paid by Federal funds. Cost share funds are typically stated as a percentage of the total project cost. The Department considers an application’s Federal share to: • confirm eligibility; and • may consider it as a competitive selection factor Project Location Cost Share Requirement Urban Rural Up to 100% Federal Funding Area of Persistent Poverty Historically Disadvantaged Community The Federal share for BUILD grant projects shall not exceed 80 percent unless the project receives one of the following location designations (see Location Designations for definitions): • Rural • Area of Persistent Poverty (APP) / Historically Disadvantaged Community (HDC) Applicants with projects located in one of the designated areas above are eligible to fund the project up to 100 percent with Federal funding. Projects located in an urban area, that are not designated APP/HDC, that have more than 80 percent federal funding will be ineligible. Applicants should use the following equation when determining the cost share for their project: (𝑩𝑩𝑩𝑩𝑩𝑩𝑩𝑩𝑩𝑩 𝑮𝑮𝑮𝑮𝑮𝑮𝑮𝑮𝑮𝑮 𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑹𝑮𝑮+𝑶𝑶𝑮𝑮𝑶𝑶𝑹𝑹𝑮𝑮 𝑭𝑭𝑹𝑹𝑭𝑭𝑹𝑹𝑮𝑮𝑮𝑮𝑭𝑭 𝑭𝑭𝑹𝑹𝑮𝑮𝑭𝑭𝑹𝑹)𝑻𝑻𝑻𝑻𝑮𝑮𝑮𝑮𝑭𝑭 𝑷𝑷𝑮𝑮𝑻𝑻𝑷𝑷𝑹𝑹𝑷𝑷𝑮𝑮 𝑪𝑪𝑻𝑻𝑹𝑹𝑮𝑮=𝑭𝑭𝑹𝑹𝑭𝑭𝑹𝑹𝑮𝑮𝑮𝑮𝑭𝑭 𝑪𝑪𝑻𝑻𝑹𝑹𝑮𝑮 𝑺𝑺𝑶𝑶𝑮𝑮𝑮𝑮𝑹𝑹 Total Project Cost means the sum of future eligible Federal and non-Federal costs yet to be incurred. Eligible sources of non-Federal funds include: • State funds originating from programs funded by State revenue • Local funds originating from State or local revenue-funded programs • Private funds • Tribal transportation program funds under section 202 of title 23 • Federal lands transportation program funds under section 203 of title 23 Page 257 of 608 8 • TIFIA program funds (as defined in section 601(a) of title 23) • Railroad Rehabilitation and Improvement Financing Program under chapter 224 • Federal credit assistance (if repaid from non-Federal sources) Toll credits under 23 U.S.C. 120(i) are considered a Federal source under the BUILD program. Unless otherwise authorized by statute, funds used to satisfy the cost-share requirements of a different Federal program may not be counted as the cost-share for both the BUILD grant and another Federal grant program. Non-Federal funds are subject to the same Federal requirements as BUILD grant funds. For each project that receives a BUILD grant award, the terms of the award will require the recipient to complete the project using at least the amount of non-Federal funding that was specified in the application. If the actual costs of the project are greater than the costs estimated in the application, the recipient will be responsible for addressing the funding shortfall and maintaining the level of non-Federal funding stated in the application. If the actual costs of the project are less than the costs estimated in the application, the Department will generally reduce the Federal contribution to ensure federal cost share requirements are met. 5. PRE-AWARD AUTHORITY Unless authorized by the Department in writing after announcement of FY 2026 BUILD awards, any costs incurred prior to the Department’s obligation of funds for a project (“pre-award costs”) are ineligible for reimbursement and cost share requirements.1 In general, BUILD Program funds are administered on a reimbursement basis. Grant recipients will generally be required to pay project costs upfront using their own funds, and then request reimbursement for those costs. If a recipient cannot complete a project on reimbursement basis, DOT will—on a case-by-case basis—consider recipient requests to use alternate payment methods as described in 2 CFR 200.305(b), including advance payments. 6. LOCATION DESIGNATIONS i. Urban or Rural Urban and rural definitions differ across DOT programs. For the BUILD program: • Urban: A project is designated as urban if it is located within (or on the boundary of) a Census-designated urban area that had a population greater than 200,000 in the 2020 Census.2 1 Pre-award costs are costs incurred after award announcement, but directly pursuant to the negotiation of a grant agreement where such costs are necessary for efficient and timely performance of the scope of work, as determined by DOT. Costs incurred under an advance construction (23 U.S.C. 115) authorization before the DOT announces that a project is selected for a FY 2026 BUILD award cannot be charged to FY 2026 BUILD funds. Likewise, costs incurred under an FTA Letter of No Prejudice under Chapter 53 of title 49 U.S.C. before the DOT announces that a project is selected for a FY 2026 BUILD award, cannot be charged to FY 2026 BUILD funds. 2 For the purpose of this NOFO, the definition of urban and rural is based on the 2020 Census-designated urbanized areas. The Department is required by IIJA to use the most recent decennial census information. Page 258 of 608 9 • Rural: A project is designated as rural if it is located outside a Census-designated urban area that had a population greater than 200,000 in the 2020 Census. The Department provides an interactive map to show Census-designated urban areas with populations greater than 200,000 in the 2020 Census. A project located in both an urban and a rural area will be designated as urban if the majority of the project’s costs will be spent in urban areas. Conversely, a project located in both an urban area and a rural area will be designated as rural if the majority of the project’s costs will be spent in rural areas. For BUILD planning grants, the location of the project being planned, prepared, or designed will be used for the urban or rural designation. Urban and rural designations impact the following aspects of the BUILD program: • Minimum BUILD funding requirements • Fundings restrictions • Cost share ii. Areas of Persistent Poverty and Historically Disadvantaged Communities The Department provides an interactive map to show Areas of Persistent Poverty and Historically Disadvantaged Communities. Areas of Persistent Poverty (APP) are defined by BUILD statute: • 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 2000 decennial census and the most recent annual Small Area Income Poverty Estimates as estimated by the Bureau of the Census o The FY 2026 BUILD NOFO updated county APP designations to utilize the most recent annual Small Area Income Poverty Estimates as estimated by the Bureau of the census. • 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 Census • Any territory or possession of the United States Historically Disadvantaged Communities (HDC) will use the same definition as APP for purposes of this NOFO. iii. Qualified Opportunity Zones The Department provides more information as well as an interactive map to show Qualified Opportunity Zones. The Internal Revenue Service (IRS) designates Qualified Opportunity Zones and maintains a list on the IRS website. The Department may consider prioritizing the selection of projects located in designated Qualified Opportunity Zones. Page 259 of 608 10 7. ELIGIBLE PROJECTS i. Capital Projects Eligible capital projects activities include: • Highway or bridge projects eligible under title 23, United States Code • Public transportation projects eligible under chapter 53 of title 49, United States Code • Passenger and freight rail transportation projects • Port infrastructure investments (including inland port infrastructure and land ports of entry) • The surface transportation components of an airport project eligible for assistance under part B of subtitle VII of title 49, United States Code 3 • Projects investing in surface transportation facilities that are located on Tribal land and for which title or maintenance responsibility is vested in the Federal Government • Projects to replace or rehabilitate a culvert or prevent stormwater runoff for the purpose of improving habitat for aquatic species while advancing the goals of the BUILD program • Intermodal projects whose component parts are otherwise an eligible project type • Any other surface transportation infrastructure project that the Secretary considers to be necessary to advance the goals of the program 4 o Public road and non-motorized projects that are not otherwise eligible under title 23, United States Code o Surface transportation components of transit-oriented development projects o Surface transportation components of mobility on-demand projects that expand access and reduce transportation cost burden Ineligible projects are: • Purchasing school buses • Deploying broadband as a standalone project • Improving stormwater management as a standalone project • Creating dedicated facilitates for nursing mothers as a standalone project • Installing accessible changing tables as a standalone project • Planning or constructing housing and parks • Improvements to Federally owned facilities o Unless the project is investing in surface transportation facilities that are located on Tribal land and for which title or maintenance responsibility is vested in the Federal Government 3 Eligible surface transportation components of eligible airport projects are those projects listed in “Appendix P: Road and Surface Transportation Projects” of the Airport Improvement Program (AIP) handbook. For more details on airport project eligibility, please see the Frequently Asked Questions on the BUILD website. 4 DOT may award a BUILD grant to pay for the surface transportation components of a broader project that has non- surface transportation components, and applicants are encouraged to apply for BUILD grants to pay for the surface transportation components of these projects. However, costs for non-surface transportation components are not eligible to count as matching funds for the BUILD grant. Page 260 of 608 11 If a project type isn't explicitly listed as eligible or ineligible, applicants should explain its necessity for advancing the BUILD program goals in their application. The Department will then determine eligibility individually. Research, demonstration, or pilot projects are only eligible if they lead to long-term, permanent surface transportation infrastructure with independent utility as defined in the Project Components section. ii. Planning Projects Eligible planning projects activities include: • Planning, preparation, design, or engineering of eligible surface transportation capital projects described in the Capital Projects section that will not result in construction with FY 2026 BUILD funding. o Examples include: feasibility studies, benefit-cost analysis, environmental analysis, permitting, and other pre-construction activities • Development of master plans, comprehensive plans, transportation corridor plans, and integrated economic development, land use, housing, and transportation plans • Planning activities related to the development of a multimodal freight corridor • Development of port and regional port planning, including State-wide or multi-port planning within a single jurisdiction or region • Risk assessments and planning to identify vulnerabilities and address the transportation system’s ability to withstand probable occurrence or recurrence of an emergency or major disaster If an application includes right-of-way acquisition, the project will be considered a capital project. 8. PROJECT COMPONENTS An application for a BUILD grant can include multiple components, which may be executed by different parties. The Department requires all components, whether or not they receive Federal funding, to be delivered as part of the BUILD project. Components may be funded individually if they meet the following criteria: • Independently satisfy minimum award amounts and eligibility requirements. • Independently align with selection criteria • Meets National Environmental Policy Act (NEPA) requirements for independent utility – meaning the component must be a usable improvement on its own and ready for use upon completion. Components in a single application must be related. Each component's status should be clearly outlined, for example, in the project schedule. Applicants should also detail independent components and their costs separately, showing how each one meets selection criteria and benefits on its own, in addition to how the full proposal does. Federal funding for some components might subject others to additional Federal requirements. Page 261 of 608 12 9. REDUCED AWARDS If selected for award, the Department may decrease the BUILD funding amount from the applicant’s request if some elements of the project are ineligible or to comply with statutory set asides such as awarding funding evenly between projects located in rural and urban areas. 10. PREVIOUS BUILD/RAISE/TIGER RECIPIENTS Previous recipients of a BUILD grant may apply for funding to support additional phases of their project.5 The application should demonstrate the extent to which the previously funded project has met estimated project schedules and budget, as well as the ability to realize the benefits expected for the project. Receiving a previous BUILD/RAISE/TIGER award may impact the competitiveness of an application under the FY 2026 BUILD competition. C. PROGRAM DESCRIPTION 1. PROGRAM HISTORY AND AUTHORIZATION The Better Utilizing Investments to Leverage Development (BUILD) program, previously known as the Rebuilding American Infrastructure with Sustainability and Equity (RAISE) and Transportation Investment Generating Economic Recovery (TIGER) discretionary grants, was established under the American Recovery and Reinvestment Act of 2009 to create jobs and spur economic recovery through transportation infrastructure investments. The Infrastructure Investment and Jobs Act (Pub. L. 117-58, November 15, 2021), authorized and appropriated $1.5 billion annually to be awarded by the Department of Transportation (“DOT”) 2022 – FY 2026 for Local and Regional Project Assistance Program Grants under National Infrastructure Investments to fund eligible surface transportation projects with significant local or regional impact. As of July 2025, the program has awarded more than $18 billion in 18 rounds to local governments, Tribes, transit and port authorities, states, and other entities. The program is codified at 49 U.S.C. 6702. 2. PROGRAM GOALS AND OBJECTIVES The goal of the BUILD program is to fund eligible surface transportation projects that will have a significant local or regional impact. The Department seeks to fund projects that advance the priorities of this Administration as described in DOT’s mission statement, and across executive orders. Note, the BUILD program can only fund the surface transportation infrastructure elements of a project that may also include housing, parks, economic development strategies, etc. 3. RESTRICTIONS ON FUNDING The Department must comply with the following funding restrictions: Funding Restriction Amount 5 Includes recipients of grants under former names of the program (Rebuilding American Infrastructure with Sustainability and Equity (RAISE) and Transportation Investment Generating Economic Recovery (TIGER)). Page 262 of 608 13 Per State Rural Projects Urban Projects Planning Projects Projects Located in Areas of Persistent Poverty and/or History Disadvantaged At least 1% which is $15 million The Department may retain up to $30 million for oversight and administration of grants. Additionally, the Department may use up to 20 percent of available funds (or $300 million) to pay the subsidy and administrative costs of a project receiving credit assistance under the Transportation Infrastructure Finance and Innovation Act of 1998 (TIFIA) or Railroad Rehabilitation and Improvement Financing (RRIF) programs. Note, applicants must apply to both the BUILD program and TIFIA or RRIF loan program to be eligible for the Department to pay for subsidy and administrative costs associated with credit assistance. Federal funds awarded under this program may not be used to support or oppose union organizing, whether directly or as an offset for other funds. 4. AVAILABILITY OF FUNDS The table below outlines the obligation and expenditure deadlines for FY 2026 IIJA funding. Fiscal Year Obligation Deadline Expenditure Deadline FY 2026 BUILD grant funds must be obligated by September 30, 2030. • Obligation occurs when a grant recipient and the Department enter into a written grant agreement after the recipient has satisfied applicable local, State and Federal requirements. FY 2026 BUILD funds must be expended by September 30, 2035. • Expenditure occurs when a recipient is reimbursed for eligible project costs. • After this date, unexpended funds are no longer available to the project. 5. PERFORMANCE GOALS BUILD program performance measures can be found on the BUILD website. 6. PREVIOUS AWARDS Previous program awards can be seen in Fact Sheets on the BUILD website. Page 263 of 608 14 D. APPLICATION CONTENT AND FORMAT The Department requires the application to include the following files, in this order and with these specific names: Information File Name NOFO Section Page Limit Funding Commitments D.5 N/A BCA Narrative D.8 N/A Calculations BCA Calculations D.8 N/A The Department requires application files to be formatted as follows: • Single-spaced, 12-point standard font with 1-inch margins. • PDF unless otherwise specified (e.g., project information form in Excel; location files as Shapefile or KML/KMZ; and BCA calculations in Excel). Applications should include all necessary information to demonstrate compliance with the Eligibility section and to meet selection criteria in the Criteria section. Applications must be complete at submission; the Department may request additional data, but applicants are not obligated to provide it. Title page and table of contents are not required, but if included, these parts of the document do not count against the page limits. Supporting documents may be included but are not required to be reviewed by evaluators. Different evaluation teams review the merit criteria, the benefit-cost analysis, budget, and project readiness files. The Department expects application files to include the following detailed information: 1. STANDARD FORMS All applicants must submit the following standard forms: • SF-424 Application for Federal Assistance • SF-LLL Disclosure of Lobbying Activities Page 264 of 608 15 If the funding amounts differ between the SF-424 and other application materials, the amount in the SF-424 will be used as the project budget. Funding amounts must be in whole numbers (no cents). 2. KEY INFORMATION QUESTIONS The following questions must be answered in the FY 2026 BUILD application in Valid Eval. Field Instructions Unique Entity Identifier same UEI entered on the SF-424. See Section F.2 for how to obtain a UEI from sam.gov Project Name used on the SF-424 and throughout the application. Project Description than 100 words. BUILD Funding Request request amount is $25 million. The minimum amount for capital projects in rural areas is $1 million and $5 million in urban areas. Other Federal Funding project. Non-Federal Funding project. Total Project Cost and non-Federal funding. The Total Project Cost means total future eligible project costs. Do not include previously incurred costs. Project Type Construction Start Date project. Planning Project Start Date 2020 Census-Designated Urban Area Select the Urban Area the project is located or “not located in an Urban Area” if the project is outside of an Urban Area Urban or Rural A project is designated as Urban if it is located in a 2020 Census-designated Urban Area with a population greater than 200,000. If a project is located outside a 2020 Census- designated Urban Area with a population greater than 200,000, it is designated Rural. Page 265 of 608 16 Project Zip Code is located in multiple zip codes, identify the zip code in which most of project costs will occur. Please leave blank if the project is located in a territory that does not have zip codes. County is located. If the project is located in multiple counties, identify the county in which most of project costs will occur. Additional Counties 2020 Census Tract(s) Area of Persistent Poverty and Historically Disadvantaged Community Select if the project is located in an Area of Persistent Poverty/Historically Disadvantaged Community as defined by statute. Project Location Latitude (e.g., 38.87586, -77.00365). Note, that latitude is the first number in the example coordinates. Project Location Longitude degrees (e.g., 38.87586, -77.00365). Note, that longitudinal is the second number in the example coordinates. Qualified Opportunity Zones (26 U.S. Code § 1400Z-1) Previous Submission to BUILD/RAISE/TIGER If this exact project was submitted in a previous BUILD, RAISE, or TIGER round, please list the name of the round (e.g., BUILD 2025, RAISE 2024, etc.) Private Corporation Involvement Does this project involve a private entity or entities that will receive a direct and predictable financial benefit if the project is selected for award? This includes, but is not limited to, private owners of infrastructure facilities being improved and private freight shippers or carriers directly benefitting from completion of the proposed project. Private Corporation Name(s) please list the corporation(s) separated by a comma. TIFIA or RRIF Transportation Infrastructure Finance and Innovation Act (TIFIA) or Railroad Rehabilitation & Improvement Financing (RRIF) loans to fund the project? This form is used to determine applicant and project eligibility. 3. PROJECT DESCRIPTION FILE This file should include: Page 266 of 608 17 • description of the project to be planned or constructed • scope of work covering technical and engineering aspects • current design level • description of the project location • map • “before” and “after” renderings of the project, as appropriate • transportation challenges project will solve This file may also include: • project’s history • how project fits within the applicant's broader transportation infrastructure investments 4. PROJECT LOCATION FILE Applicants should submit one of the following file types that detail the project’s location so the Department can verify location designations: Shapefile (.zip with .shp, .shx, .dbf, and .prj) or KML/KMZ. Google Earth can be used to create KML/KMZ files. The files should only include the project's direct physical location, not a broad service area or area of impact. Accurate location data is crucial as it affects eligibility for the FY 2026 BUILD grants program. 5. PROJECT BUDGET FILES This file should describe the budget for the BUILD project using the below table and also include a narrative section. The budget table should show only future eligible project costs and should not include previously incurred expenses. Note: The cost classifications listed above are for example only. Include Cost Classifications relevant for the project described in the application. Funding Source [Component 1] [Component 2] Total Funding BUILD Funds [$XXX] [$XXX] [$XXX] Other Federal Funds [$XXX] [$XXX] [$XXX] Non-Federal Funds [$XXX] [$XXX] [$XXX] Total Project Cost [$XXX] [$XXX] [$XXX] Cost Classification BUILD Funds Other Federal Funds Non-Federal Funds Total Project Cost Preliminary Engineering [$XXX] [$XXX] [$XXX] [$XXX] Design [$XXX] [$XXX] [$XXX] [$XXX] Environmental [$XXX] [$XXX] [$XXX] [$XXX] Construction [$XXX] [$XXX] [$XXX] [$XXX] Contingency [$XXX] [$XXX] [$XXX] [$XXX] Total Funding [$XXX] [$XXX] [$XXX] [$XXX] Page 267 of 608 18 At a minimum, the budget table must show the total project cost by project component and the following funding sources: • BUILD funding request • Other Federal funds • Non-Federal Funds Ideally, project budget table(s) will show project components by cost classification, and funding source. The budget table and narrative must identify the amount, type (e.g., grant, loan, bond, etc.), and source of all other Federal funds and non-Federal funds included in the budget. The budget table should demonstrate compliance with the statutory cost share requirements. Applicants must also include the three tables listed below in their project budget file. The Department will use these tables to determine where the majority of project costs occur for the purposes of making APP/HDC, and Urban designations. The total project cost listed in each table should match the total project cost listed in the budget table above, in the SF-424 and in Key Information Form. Applicants should reference the BUILD Grant Project Location Verification mapping tool when filling out the below tables. 2020 Census Tract(s) Project Costs per Census Tract Note: Please reference the Census Tracts (2020 Census) layer in the BUILD Grant Project Location Verification mapping tool. Additional rows may be added if necessary. Urban and Rural Project Costs designated urban area with a population Note: Please reference the Census Designated Urban Areas with Population Greater Than 200,000 (2020 Census) layer in the BUILD Grant Project Location Verification mapping tool. The budget narrative should include: • Sources, Uses, and Availability: Provide complete information on how all capital or planning project funds may be used, their availability, and documented funding commitments. For example, if a source of funds is available only after a condition is satisfied, the application should identify that condition and describe the applicant’s control over whether it is satisfied. Similarly, if a source of funds is available for Page 268 of 608 19 expenditure only during a fixed period, the application should describe that restriction. Examples of documentation include, but are not limited to, a letter signed by a governing official or chief financial officer confirming the amount and source of funding, a page or pages from the Statewide Improvement Program (STIP) or Transportation Improvement Program (TIP) (please do not include a link to the entire STIP/TIP), a signed city ordinance, or a county administrator committing previously approved general obligation bonds. • Contingency Amount and Plan: Indicate the specific contingency amount included in the budget to demonstrate there is sufficient funding to cover unanticipated cost increases and describe a plan to address potential cost overruns. • Level of Design: Indicate the degree of design completion (e.g., no design, 30, 60, 90 percent design) for which the cost was estimated in the case of a capital project; • Cost Estimates: Indicate how, when, and by whom project costs were estimated. Cost estimates should be no older than a year from the application deadline and include an inflation factor. • Cost Share: Explain how the project budget satisfies the statutory cost share or non- federal funds matching requirements shown in the project budget table, if applicable. 6. MERIT CRITERIA FILE This file should demonstrate how the project aligns with each of the 8 statutory merit criteria described in the Merit Criteria section by: • Organizing the narrative in the order the merit criteria are described in the Merit Criteria section • Addressing each merit criteria separately by: o Identifying the bullet(s) from the rubric the project addresses o Identifying the element(s) of the project that address the bullet(s) from the rubric o Providing supporting justification using data or descriptive details. Unsupported claims may harm the application's competitiveness. Insufficient information to assess any criterion will negatively impact the project rating. Merit reviewers will focus on this file and will not be required to reference links or the other files in the application package. 7. PROJECT READINESS FILE Project readiness describes an applicant’s preparedness to move a proposed project forward once it receives a BUILD grant. The Project Readiness file should include information that, when considered with the project budget information, is sufficient for the Department to evaluate whether the project is reasonably expected to begin the project timely and well in advance the obligation deadline. For most projects awarded under this NOFO, the obligation deadline will be September 30, 2030; a smaller subset of funds awarded under this NOFO may have an earlier obligation deadline, depending on the specific source of funds. To assist the Department’s Project Readiness Review team, the applicant should provide the information requested on project schedule, required approvals and permits, NEPA class of action and status, public involvement, Page 269 of 608 20 right-of-way acquisition plans, risk assessment, and risk mitigation strategies. Applicants can see a general Project Readiness checklist on the Department’s website. The Project Readiness file should include the sections outlined below. Supporting material that exceeds page limits may be provided as hyperlinks, attachments, or appendices. i. Planning and Constructability Applicants should demonstrate that a project that is required to be included in the relevant State, metropolitan, and local planning documents has been or will be included in such documents. • STIP / TIP / TTIP / TAM Plan: Is the project already listed in the STIP, TIP, Tribal Transportation Improvement Program (TTIP), and/or Transit Asset Management (TAM) Plan, if applicable? If so, provide links or attachments that show the project listing in the applicable plans/programs. If the project is not yet listed, describe any coordination that has/will occur to facilitate listing in the applicable plans/programs and the anticipated date when listing will occur. • Consistency with Other Plans: Is your proposal listed in and/or consistent with any other plans (e.g., the Long-Range Statewide Transportation Plan and/or Metropolitan Long- Range Plan)? If so, please summarize and provide a link to appropriate project listing. • Freight Plans: To the extent possible, freight projects should be included in a State Freight Plan and supported by a State Freight Advisory Committee (49 U.S.C. 70201, 70202), if these exist. Applicants should provide links or other documentation supporting this consideration such as letters of support from the State DOT if the project is intended to be included in the State Freight Plan, or results from application of the FHWA Freight Mobility Trends Tool. • Property Acquisition / Right-of-Way (ROW): Who is the owner of the existing facility? Will any new ROW acquisition be required, and if so, from whom? If acquisition will be required, describe the status and anticipated schedule for the acquisition. Will any special ROW permits or approvals be needed? If so, please describe. • Construction Techniques and Phasing: Will the proposed improvements require unique construction techniques, non-standard project delivery methods (e.g., approaches other than design-bid-build), and/or phasing? If so, please describe. ii. Proposed Schedule • List the completed and/or anticipated dates (calendar month and year, not fiscal year or quarter) for the following key milestones. Dates provided should reflect a realistic amount of time to complete each milestone. Ensure that dates provided here are consistent with dates provided elsewhere in the application. o Start and end of preliminary design o Start and end of the NEPA process o Start and end of obtaining permits/approvals (if required) o Project listed in STIP, TIP, TTIP, and/or TAM Plan (as applicable) o Start and end of final design o Start and end of ROW acquisition (if required) o Anticipated finalization of BUILD grant agreement (if awarded) Page 270 of 608 21 o Start and end of construction • Project Development Phases to be Funded with BUILD: Describe the project development phase(s) proposed to be funded with BUILD funds (if awarded), and whether BUILD funds are proposed to be used for phases other than ROW acquisition and construction (e.g., for design, NEPA, etc.). Typically, milestones for establishing the grant agreement and obligation of funds should be scheduled before any activities/phases that will use BUILD funds. iii. NEPA and Permitting • NEPA Class of Action: List the class of action/type of document that has already been or will be prepared to comply with the National Environmental Policy Act (NEPA) of 1969, as amended (e.g., a categorical exclusion, an environmental assessment, an environmental impact statement, or class of action not yet determined/or anticipated). If multiple NEPA documents are being prepared for this proposal, briefly explain why, and complete the prompts below for each document. • NEPA Status and Milestones: Briefly describe the status of NEPA compliance (e.g., not started, underway, or complete), the anticipated project impacts, and proposed mitigation measures. If the NEPA process has been completed, provide the final approval date for the NEPA document. If the NEPA process has not yet been completed, list the key remaining milestones for the NEPA process, their status, and their anticipated completion dates. Identify any anticipated challenges to timely completing the NEPA process. • Link to NEPA Documentation: If draft or final NEPA documentation is available, provide a hyperlink, attach it, or append it. • Reevaluation and Post-Approval Changes: Describe any planned and/or completed efforts to reevaluate the NEPA documentation between the final NEPA approval and beginning of construction. Reevaluation may be warranted based on the passage of time and/or changes in the project scope, setting, impacts, or applicable requirements since the final NEPA approval. • Permits and Approvals: List any federal, state, or local permits and approvals anticipated to be needed for the project (e.g., Clean Water Act Section 404 permit, Endangered Species Act Section 7 consultation, etc.) and how the need for those permits and approvals was determined. Provide the status of each permit or approval and the date that the permit or approval was obtained or is anticipated to be obtained. Summarize and attach relevant correspondence or documentation of consultation with permitting agencies. • Coordination with DOT: Identify the federal lead agency for the NEPA process and any joint-lead agencies. Describe any coordination that has occurred with an agency or operating administration of USDOT regarding the project proposal and/or NEPA analysis. Describe any coordination with state, county, or local transportation agencies regarding preliminary design and the NEPA process. Page 271 of 608 22 iv. Project Support • Public and Agency Involvement Process: Summarize the key events and techniques used to engage the public and other stakeholders during the NEPA process. Highlight efforts to engage communities likely to be affected by the project, including details on access for persons with disabilities. These efforts may include public meetings, a public website, presentations to community groups, newsletters, online outreach, etc. • Public and Agency Involvement Results: Summarize the support, opposition, and/or other notable feedback related to the project from the following groups and describe how stakeholder feedback has been integrated into project development and design: o The public, including members of communities affected by the proposal, o Elected officials and/or bodies (e.g., federal and state legislators, city and county councils and boards, etc.), o Other entities (e.g., members of business or industry, community organizations, advocacy groups, etc.), and o Federal, state, or local agencies (reference any relevant information provided in the NEPA and Permitting section above). • Attach and reference documentation of support as applicable (e.g., letters of support, letters of commitment, resolutions, summaries of public comments, etc.) v. Risks and Mitigation Project risks, such as procurement delays, environmental uncertainties, increases in real estate acquisition costs, uncommitted local match (non-federal funding), lack of support from stakeholders or impacted communities, or lack of legislative approval affect the likelihood of successful project start and completion. Project risks can also include the unavailability of vehicles that either comply with Federal Motor Vehicle Safety Standards or are exempt from Federal Motor Vehicle Safety Standards in a manner that allows for their legal acquisition and deployment, and unavailability of domestically manufactured equipment. • The applicant should identify all material risks and harms to the project and the strategies that the lead applicant and any project partners have undertaken or will undertake to mitigate those risks and describe the potential effects of each risk on meeting the key project delivery schedule milestones presented in the Proposed Schedule. The applicant should assess the greatest risks to the project and identify how the project parties will mitigate those risks. • If an applicant anticipates pursuing a waiver for relevant domestic preference laws, the applicant should describe steps that have been or will be taken to maximize the use of domestic goods, products, and materials in constructing its project. To the extent the applicant is unfamiliar with the Federal program, the applicant should contact the appropriate DOT operating administration field or headquarters offices, as found in contact information on the BUILD website, for information on the prerequisite steps to obligate Federal funds in order to ensure that their project schedule is reasonable and that there are no risks of delays in satisfying Federal requirements. Page 272 of 608 23 vi. Applicant Capacity Review All applications should include a section in the Project Readiness file that demonstrates their capacity, knowledge, and experience to successfully deliver the project in compliance with applicable Federal requirements including, but not limited to, compliance with Buy America provisions. The applicant should address the following in the applicant capacity section of the Project Readiness file: • Roles and Responsibilities: provide clear responsibilities and roles within the project, especially to administer the grant and deliver/implement the project. • Federal Funding: demonstrate experience implementing federally funded transportation projects. • Federal Regulations: understanding of federal contract and procurement requirements, and other federal requirements including Buy America, Americans with Disabilities Act, Uniform Relocation Assistance and Real Property Acquisition Act, Davis Bacon Act, etc. • Project Planning: practice incorporating projects into long-range development plans or adding projects to the TIP/STIP through the MPO planning process, if relevant. • Project Delivery: provide detailed description of successfully delivered projects of similar size, scope, and complexity. 8. COST EFFECTIVENESS REVIEW: BENEFIT-COST ANALYSIS The purpose of the Benefit-Cost Analysis (BCA) is to enable the Department to evaluate the cost-effectiveness of the proposed project by comparing its expected benefits to its expected costs. These expected benefits and costs are estimated by comparing the world with the proposed project, the “build scenario” with a “baseline” or “no-build alternative” representing the world without the proposed project. Any benefits claimed for the proposed project, both quantified and unquantified, should be clearly tied to the expected outcomes of the proposed project. While benefits should be quantified wherever possible, applicants may also describe other categories of benefits in the BCA that are more difficult to quantify and/or value in economic terms. There should be two BCA files included in the application: (1) a narrative description of the BCA; and (2) an unlocked spreadsheet revealing the underlying calculations: • Narrative Description of Analysis: The BCA narrative should describe the current baseline, the sources of data used to estimate the benefits of the project, explain all assumptions, and the values of key input parameters. Applicants may also provide a table similar to the one shown below summarizing the impacts of the project and how those impacts would translate into expected benefits. Page 273 of 608 24 This is shown as an example only: Baseline / Current Status and Problem Project to Address Problem A bridge has deteriorated to the point where trucks are forced to detour to a rehabilitated to remove restrictions on trucks operating costs due to a reduction in average truck trip length by X miles high number of fatal and injury crashes stemming from a replaced with a roundabout property damage-only crashes by X, Y, and Z per year • Spreadsheet Revealing Underlying Calculations: The BCA spreadsheet file should be unlocked and present calculations in sufficient detail and transparency to allow evaluators to reproduce the analysis. DOT does not have a prescribed format for the BCA spreadsheet, but the Department has a BCA spreadsheet template that is available to assist applicants in structuring their analysis. Applicants should review the Department’s detailed guidance on how to conduct a BCA. Both the guidance document and spreadsheet template will be available on the BUILD website. E. SUBMISSION REQUIREMENTS AND DEADLINE 1. ADDRESS TO REQUEST APPLICATION PACKAGE All application materials may be found on grants.gov and the BUILD website. 2. UNIQUE ENTITY IDENTIFIER (UEI) AND SYSTEM FOR AWARD MANAGEMENT (SAM) Each applicant must: • Be registered in SAM.gov before submitting its application; • Provide a valid unique entity identifier in its application; and • Continue to maintain an active registration in SAM.gov with current information at all times during which it has an active Federal award or an application under consideration by a Federal agency. Please note that the SAM registration process takes several weeks to complete, if not longer. i. Submission Instructions All applications must be submitted electronically through Valid Eval at: • Capital Project - https://usg.valideval.com/teams/usdot_build_2026_capital/signup Page 274 of 608 25 • Planning Projects - https://usg.valideval.com/teams/usdot_build_2026_planning/signup Capital and Planning projects have different application submission requirements and must be submitted using the appropriate link. The Department does not accept applications via mail, fax machine, email, or other means. ii. Submission Issues Email Valid Eval at support@valideval.com for technical assistance with the application portals. 3. SUBMISSION DEADLINE Applications must be submitted through Valid Eval by 5:00 PM eastern on February 24, 2026. The Valid Eval application portals will not accept late applications. i. Consideration of Applications Only applicants who comply with all submission deadlines described in this notice and electronically submit valid, on-time applications through Valid Eval will be eligible for evaluation and possible selection for award. ii. Late Applications The Department does not accept late BUILD grant applications. Applicants are strongly encouraged to complete submissions days, if not weeks, in advance of the deadline. Applicants facing technical issues are advised to email Valid Eval at support@valideval.com well in advance of the deadline. 4. INTERGOVERNMENTAL REVIEW This program is not subject to EO 12372, Intergovernmental Review of Federal Programs. 5. COMPLIANCE WITH SECTION 508 OF THE REHABILITATION ACT OF 1973 The Department encourages applicants to submit documents that are compliant with Section 508 of the Rehabilitation Act of 1973 (see Section 508 guidelines). Page 275 of 608 26 F. APPLICATION REVIEW INFORMATION 1. CRITERIA This section describes the statutory merit criteria, cost effectiveness test, and project readiness review the Department will use to evaluate applications. TIER 1 Merit Criteria Review TIER 2 All applications rated “Highly Recommended” under the merit criteria review automatically advance for second tier analysis. The Senior Review Team (SRT) can advance applications Project Readiness Review Benefit-Cost Analysis The Department will review the statutory merit criteria for all applications. Highly Recommended capital applications will automatically advance to receive second-tier analysis consisting of three Project Readiness reviews: (1) Project Risk Review; (2) Applicant Capacity Review; and (3) Financial Completeness Review, as well as a Benefit-Cost Analysis (BCA). Highly Recommended planning applications will automatically advance to receive second-tier analysis consisting of an: (a) Applicant Capacity Review; and (2) Financial Completeness Review. The SRT can advance select Recommended capital and planning applications for second-tier analysis under the circumstances described in the Review and Selection Process section. i. Merit Criteria The Department will evaluate whether the application uses data-driven and evidence-based methods to demonstrate that the project will provide the anticipated benefits for each statutory merit criterion and will assign individual ratings of: High, Medium, Low, or Non-Responsive. Page 276 of 608 27 Individual Merit Criteria Ratings High ancillary or incidental consideration), must include clear, direct, data- driven (capital projects only), and significant benefits, and must align with at least one of the benefits described in the high column of the merit criteria rubric. For the Partnership and Innovation criteria, the project has, or demonstrates plans to, support one or more of the activities in the merit Medium benefits do not meet at least one of the requirements for a High rating, Low Non-Responsive Planning grant applications will be evaluated against the same merit criteria as capital grants. Planning grant applications should include data on the problem intended to be addressed, but information does not need to be as driven by data as a capital project when estimating benefits of the implemented project since data is often an outcome of the project to be planned. The Department will consider how the plan, once implemented, will ultimately further the merit criteria. Page 277 of 608 28 Merit Criteria Non-Responsive Low Medium High Safety not address the Safety criterion OR Project negatively affects safety contains insufficient information to assess safety benefit of the following safety benefits, but safety may not be a primary project purpose or does not meet the description(s) of a High rating: • Reduce any number of fatalities and/or serious injuries the project has clear, direct, data-driven (for capital projects only), and significant benefits that targets a known, documented safety problem, by doing one or more of the following: • Implement autonomous systems designed to improve safety outcomes • Prevent fatalities and serious injuries by: o Eliminating at-grade crossings; or o Facilitating the separation of freight and passenger traffic • Protect motorized and non- motorized travelers from safety risks; or • Reduce fatalities and/or serious injuries in the project area to bring them below the state-wide average; or • Incorporate and cite specific actions and activities identified in FTA’s Safety Advisory 23-1: Bus-to- Person Collisions; or • Incorporate specific safety improvements that are part of a documented safety risk mitigation strategy and that have, for example, corridor, port-wide, or transit system Page 278 of 608 29 Merit Criteria Non-Responsive Low Medium High Environmental Sustainability Application did not address the Environmental Sustainability criterion OR Project negatively affects environmental sustainability contains insufficient information to assess environmental sustainability benefits the following environmental sustainability benefits, but environmental sustainability may not be a primary project purpose or does not meet the description(s) of a High rating: • Make basic stormwater improvements; or • Remove, replace, or restore culverts for the purpose of improving habitat for aquatic species project purpose AND the project has clear, direct, data-driven (for capital projects only), and significant by doing one or more of the following: • Improve the resilience of at-risk infrastructure to be resilient to extreme weather events and natural disasters including the construction of parallel or redundant alternatives if appropriate; or • Include project in a resilience improvement plan that considers risk across transportation modes, regions, and critical interdependent sectors or similar plan; or • Incorporate permeable pavements, bioswales, vegetated swales and berms, urban tree canopies, stone Quality of Life not address the Quality of Life criterion OR Project negatively affects quality of life contains insufficient information to assess quality of life benefits the following quality of life benefits but quality of life may not be a primary project purpose or does not meet the description(s) of a High rating: • Reduce transportation and housing cost burdens by integrating mixed- AND the project has clear, direct, data- driven (for capital projects only) and significant benefits, by doing one or more of the following: • Beautify transportation infrastructure (e.g. engaging landscape, shade trees) with context- appropriate design that enhance user experience while maintaining safety and operational efficiency; or Page 279 of 608 30 Merit Criteria Non-Responsive Low Medium High types, including affordable housing, with multimodal transportation infrastructure; or • Coordinate and integrate land use, affordable housing, and transportation planning in order to create more livable communities; or • Implement transit- oriented development. • families (e.g., dedicated facilities for mothers such as nursing/pumping spaces, improved accommodations for strollers, accessible changing tables, intuitive design elements, small parks, playground-inspired edging); or • Improves wayfinding and user experience (clear signage, intuitive layouts, and predictable operations for caregivers); or • Makes transportation more affordable. Mobility and Community Connectivity Application did not address the Mobility and Community Connectivity criterion OR Project negatively affects mobility and community connectivity contains insufficient information to assess mobility and community connectivity benefits the following mobility and community connectivity benefits, but mobility and community connectivity may not be a primary project purpose or does not meet the description(s) of a High rating: • Decrease roadway traffic congestion and does not propose limits on roadway primary project purpose AND the project has clear, direct, data-driven (for capital projects only) and significant benefits, by doing one or more of the following: • Improve vehicular roadway capacity; or • Enhance the accessibility of the transportation system for families and Americans with disabilities using Universal Design; or • Remove physical barriers for individuals by reconnecting Page 280 of 608 31 Merit Criteria Non-Responsive Low Medium High artificial chokepoints for motor vehicles; or • Incorporate Americans with Disabilities Act improvements transportation options; or • Include transportation features that increase the accessibility for non- motorized travelers in underserved communities; or • Provides additional options for intermodal and multimodal freight shippers; or • Consider last-mile freight plans in a multimodal approach. Economic Competitiveness and Opportunity Application did not address the Economic Competitiveness and Opportunity criterion OR Project negatively affects economic competitiveness and opportunity contains insufficient information to assess economic competitiveness and opportunity benefits the following economic competitiveness and opportunity benefits, but economic competitiveness and opportunity may not be a primary project purpose or does not meet the description(s) of a High rating: • Reduce travel time or improve travel time reliability; or • Improve the safety, security, or efficiency of the movement of goods; or project purpose AND the project has clear, direct, data-driven (for capital projects only), and significant benefits, by doing one or more of the following: • Advance the nation’s domestic energy sector, in accordance with Executive Order 14154 Unleashing American Energy; or • Revitalize and restore domestic maritime industries, in accordance with Executive Order 14269 Restoring America’s Maritime Dominance; or • Promote economic growth, and other broader economic and fiscal benefits; or • Promote or reshore industries of Page 281 of 608 32 Merit Criteria Non-Responsive Low Medium High • the project’s delivery and on-going operations industrial base, and pharmaceutical manufacturing; or • Includes union participation or project labor agreements which promote cost-effectiveness and open competition; or • Improve intermodal and/or multimodal freight mobility; or • Address a freight bottleneck, as identified in the National Freight Strategic Plan, a State Freight Plan, or as measured by relevant freight industry associations (ATRI, e.g.); or • Support growth and expansion of American exports; or • Expand access to safe truck parking; or • Facilitate tourism opportunities. Page 282 of 608 33 Merit Criteria Non-Responsive Low Medium High State of Good Repair Application did not address the State of Good Repair criterion OR Project negatively affects state of good repair contains insufficient information to assess state of good repair benefits the following state of good repair benefits but state of good repair may not be a primary project purpose or does not meet the description(s) of a High rating: • Routine or deferred maintenance; or • Identify the party responsible for maintenance and describe how the new or improved asset(s) will be maintained in a state of good repair. purpose AND the project has clear, direct, data-driven (for capital projects only) and significant benefits, by doing one or more of the following: • Restore and modernize the existing core infrastructure assets that have met their useful life; or • Prioritize improvement of the condition and safety of existing transportation infrastructure, particularly infrastructure with high cost of failure, such as bridges with lengthy detours; or • Reduce construction and maintenance burdens through efficient and well-integrated design; or • Create new infrastructure in remote communities that will be maintained in a state of good repair; or • Address current or projected Partnership and Collaboration Application did not address the Partnership and Collaboration criterion OR contains insufficient information to assess the partnership and collaboration benefits the following partnership and collaboration benefits but partnership and collaboration may not be a primary project purpose or does not meet the description(s) of a High support one or more of the following: • Engage residents and community- based organizations to ensure those who live and work in the project area are meaningfully engaged throughout the lifecycle of the project; or Page 283 of 608 34 Merit Criteria Non-Responsive Low Medium High affects partners or community members (e.g., negative impacts from ROW acquisition, lack of support for the project, etc.) • public and/or private entities; or • Document support from local, regional, or national levels • partnerships or joint ventures to restore, expand, or create new infrastructure; or • Coordinate with other types of projects such as economic development, commercial or residential development, power/electric infrastructure projects, or broadband deployment; or • Partner with high-quality workforce development programs to help train, place, and retain people in good- paying jobs or registered Innovation not address the Innovation criterion. OR Includes non- innovative practices or components contains insufficient information to assess innovation benefits the following innovation benefits but does not meet the description(s) of a High rating: • Deploy technologies, project delivery, or financing methods that are new or innovative to the applicant or community or more of the following innovative benefits. Innovative Technologies • Advance the development and deployment of autonomous vehicles • Enhance the environment for connected or automated vehicles to improve the detection and mitigation of safety risks; or • Deploy innovative and emerging transportation technologies; or • Improve safety using Advanced Driver Assistance Systems on public Page 284 of 608 35 Merit Criteria Non-Responsive Low Medium High keeping or lane centering; or • Use sensors or small unmanned aerial vehicles to enhance infrastructure inspection and asset management processes; or • Use sensors to monitor real-time conditions of pavement quality, signage, crosswalks, transit headways, or other public infrastructure; or • Use caps, land bridges, or underdecks; or • Use active grade crossing detection systems to enable responsive traffic management; or • Use detection systems on railroads to target and deter trespassing; or • Deploy technology to: o digitize curb management to optimize use across purposes and modes, including freight, pick-up/drop-off, and transit usage; or o support more efficient freight operating practices; or o help combat cargo theft through enhanced prevention and recovery; or Innovative Project Delivery • Use practices that facilitate Page 285 of 608 36 Merit Criteria Non-Responsive Low Medium High arrangements, Advanced Digital Construction Management, Accelerated Bridge Construction, Digital as-builts, or an up-to-date programmatic agreement between an environmental resource agency and a state DOT, or other NEPA lead agency, that establishes a streamlined process for environmental consultations and permits for commonly encountered project types. Innovative Financing • Secure TIFIA, RRIF, or private activity bond financing; or • Use congestion pricing or other Page 286 of 608 37 Safety The Department will evaluate whether and how the project demonstrates safety benefits. For this assessment, the Department will consider, for example, the extent to which the project improves safety outcomes by implementing autonomous systems; prevents fatalities and serious injuries by eliminating at-grade crossings or facilitating the separation of freight and passenger traffic; protects motorized and non-motorized travelers from safety risks; reduces fatalities and/or serious injuries in the project area to bring them below the state-wide average; incorporates specific actions and activities identified in FTA’s Safety Advisory 23-1: Bus-to-Person Collisions; or incorporate specific safety improvements that are part of a documented safety risk mitigation strategy and that have, for example, corridor, port-wide, or transit system impact. Environmental Sustainability The Department will evaluate whether and how the project demonstrates environmental sustainability benefits. For this assessment, the Department will consider, for example, to the extent to which the project improves the resilience of at-risk infrastructure to be resilient to extreme weather events and natural disasters including the construction of parallel or redundant alternatives if appropriate; includes the project in a resilience improvement plan that considers risk across transportation modes, regions, and critical interdependent sectors or similar plan; or incorporates permeable pavements, bioswales, vegetated swales and berms, urban tree canopies, or stone breakwaters, etc., as appropriate. If applicable, applicants are encouraged to make floodplain upgrades consistent with the Federal Flood Risk Management Standard, to the extent consistent with current law. Quality of Life The Department will consider the extent to which the project beautifies transportation infrastructure (e.g. engaging landscape, shade trees) with context-appropriate design that enhance user experience while maintaining safety and operational efficiency; improves the travel experience for families (e.g., dedicated facilities for mothers such as nursing/pumping spaces, improved accommodations for strollers, accessible changing tables, intuitive design elements, small parks, playground-inspired edging, improves wayfinding and user experience (clear signage, intuitive layouts, and predictable operations for caregivers); or makes transportation more affordable. The inclusion of dedicated facilities for mothers such as nursing/pumping spaces, accessible changing tables, and improved accommodations for strollers are not eligible as standalone projects and need to be included as elements within an eligible surface transportation infrastructure project. Note: Parks and housing are not eligible project costs under the BUILD grant program. They cannot be included in the total project cost. Mobility and Community Connectivity The Department will assess whether and how the project will improve mobility and community connectivity. For this assessment, the Department will consider how the project will improve vehicular roadway capacity; enhance the accessibility of the transportation system for families Page 287 of 608 38 and Americans with disabilities using Universal Design; 6 remove physical barriers for individuals by reconnecting communities to direct, affordable transportation options; include transportation features that increase the accessibility for non-motorized travelers in underserved communities; provides additional options for intermodal and multimodal freight shippers; or consider last-mile freight plans in a multimodal approach. Economic Competitiveness and Opportunity The Department will assess whether and how the project will improve economic competitiveness and opportunity. For this assessment, DOT will consider the extent to which the project will advance the nation’s domestic energy sector, in accordance with Executive Order 14154 Unleashing American Energy; revitalize and restore domestic maritime industries, in accordance with Executive Order 14269 Restoring America’s Maritime Dominance; promote economic growth, and other broader economic and fiscal benefits; promote or reshore industries of national interest, including the critical minerals, steel, the defense industrial base, and pharmaceutical manufacturing; includes union participation or project labor agreements which promote cost- effectiveness and open competition; improve intermodal and/or multimodal freight mobility; address a freight bottleneck, as identified in the National Freight Strategic Plan, a State Freight Plan, or as measured by relevant freight industry associations (ATRI, e.g.); support growth and expansion of American exports; expand access to safe truck parking; or facilitate tourism opportunities. State of Good Repair The Department will assess whether and to what extent the project improves state of good repair. For this assessment, DOT will consider the extent to which the project will restore and modernize the existing core infrastructure assets that have met their useful life; or prioritize improvement of the condition and safety of existing transportation infrastructure; or reduce construction and maintenance burdens through efficient and well-integrated design; or create new infrastructure in remote communities that will be maintained in a state of good repair; or address current or projected transportation system vulnerabilities. Partnership and Collaboration The Department will consider the extent to which the project has or will support and engage people and communities. For this assessment, DOT will consider how the project has or will engage residents and community-based organizations to ensure those who live and work in the project area are meaningfully engaged throughout the lifecycle of the project; establish formal public-private partnerships or joint ventures to restore, expand, or create new infrastructure; coordinate with other types of projects such as economic development, commercial or residential development, power/electric infrastructure projects, or broadband deployment; or partner with high-quality workforce development programs to help train, place, and retain people in good- paying jobs or registered apprenticeships. 6 Definition for “Universal Design” found on the General Services Administration’s Section508.gov website and states, “Universal design is a concept in which products and environments are designed to be usable by all people, to the greatest extent possible, without the need for adaption or specialized design.” Page 288 of 608 39 DOT will assess the level of detail and description provided about the partnerships listed above. Applications that provide more details and descriptions about the project partnership will be rated higher than those that do not, in alignment with the merit rating rubric. Innovation The Department will assess the extent to which the applicant uses innovative: (1) technologies; (2) project delivery; or (3) financing. If this project is the first time the applicant or community will deploy specific innovations, the Department will consider them innovative, to the extent applicants provide enough detail to determine whether the innovations being deployed are new or innovative to the applicant or community regardless of whether other applicants or communities have implemented these innovations. • Innovative Technologies: The Department will consider how the project advances the development and deployment of autonomous vehicles; enhances the environment for connected or automated vehicles to improve the detection and mitigation of safety risks; deploys innovative and emerging transportation technologies; improves safety using Advanced Driver Assistance Systems on public transit vehicles, including functions such as precision docking; lane keeping or lane centering; uses sensors or small unmanned aerial vehicles to enhance infrastructure inspection and asset management processes; uses sensors to monitor real-time conditions of pavement quality, signage, crosswalks, transit headways, or other public infrastructure; or uses caps, land bridges, or underdecks; uses active grade crossing detection systems to enable responsive traffic management; uses detection systems on railroads to target and deter trespassing; or digitalizes curb management to optimize use across purposes and modes, including freight, pick-up drop- off, and transit usage. o Please note that all innovative technology must follow 2 CFR § 200.216. If an applicant is proposing to deploy autonomous vehicles or other innovative motor vehicle technology, the Department will consider whether and how the applicant demonstrates that all vehicles will comply with applicable safety requirements, including those administered by the National Highway Traffic Safety Administration (NHTSA) and Federal Motor Carrier Safety Administration (FMCSA). Specifically, the Department will consider whether the vehicles acquired for the proposed project will comply with applicable Federal Motor Vehicle Safety Standards (FMVSS) and Federal Motor Carrier Safety Regulations (FMCSR). If the vehicles may not comply, the Department will consider applications that do one of the following more competitive than applications that do not: either (1) show that the vehicles and their proposed operations are within the scope of an exemption or waiver that has already been granted by NHTSA, FMCSA, or both agencies or (2) directly address whether the project will require exemptions or waivers from the FMVSS, FMCSR, or any other regulation and, if the project will require exemptions or waivers, present a plan for obtaining them. Page 289 of 608 40 • Innovative Project Delivery: The Department will consider the extent to which the project uses practices that facilitate accelerated project delivery such as single contractor design- build arrangements, project bundling, Advanced Digital Construction Management, Accelerated Bridge Construction, Digital as-builts, or an up-to-date programmatic agreement between an environmental resource agency and a state DOT, or other NEPA lead agency, establishing a streamlined process for environmental consultations and permits for commonly encountered project types. • Innovative Financing: The Department will assess the extent to which the project incorporates innovations in transportation funding and finance, for example through private sector funding or financing, using congestion pricing or other demand management strategies to address congestion, securing a TIFIA or RRIF loan, or receiving an allocation for private activity bonds through DOT’s Build America Bureau. DOT will assess the level of detail and description provided about the Innovative elements listed above. Applications that provide more details and descriptions about the innovative technology, project delivery, or financing will be rated higher than those that do not, in alignment with the merit rating rubric. ii. Project Readiness Capital project applications that receive second-tier analysis will be reviewed for Project Readiness and assigned three evaluation ratings: • Project Risk Review • Applicant Capacity Review • Financial Completeness Review Planning project applications that receive second-tier analysis will be reviewed for Project Readiness and assigned two evaluation ratings: • Applicant Capacity Review • Financial Completeness Review Low ratings in any of these readiness areas do not disqualify projects from award, but competitive applications clearly and directly describe achievable risk mitigation strategies. Project Risk Review The Project Risk Review evaluates information provided in the Project Readiness file. The review analyzes the likelihood of the project to meet major milestones including the timely obligation and expenditure of grant funds given the constructability of the project, the current level of design, the extent to which the applicant has secured necessary environmental permits and approvals, whether acquiring right-of-way and/or a railway agreement is needed, if there is support for the project, and other considerations outlined in Section F.2.v. The review considers all elements relevant to the project and assigns a risk rating of: High Risk, Moderate Risk, or Low Risk. Page 290 of 608 41 Applicant Capacity Review The Applicant Capacity Review evaluates only the information provided in the Project Readiness file. The review evaluates the extent to which the applicant has the knowledge, experience, and capacity to successfully deliver the project in compliance with applicable Federal requirements as well as the recipient’s experience working with Federal funds, civil rights compliance, and previous experience delivering infrastructure projects. Applicant Capacity ratings will be one of the following: Certain, Somewhat Certain, or Uncertain. DOT will assign the highest rating of Certain, if the application demonstrates that the applicant has: • experience managing Federal funds; • extensive experience completing projects with similar scope; • resources to deliver the project; and • knowledge of all applicable Federal requirements including, but not limited to, Buy America provisions, ADA regulations, Civil Rights requirements, Federal Motor Vehicle Safety Standards, and/or the Federal Motor Carrier Safety Regulations. If an applicant is proposing to adopt innovative technology or other innovative practices, DOT will assess whether the applicant’s capacity to implement those innovations, the applicant’s understanding of applicable Federal requirements and whether the innovations may require extraordinary permitting, approvals, exemptions, waivers, or other procedural actions, and the effects of those innovations on the project delivery timeline. Financial Completeness Review The Financial Completeness Review reviews the project budget to confirm the availability of funding for the project and whether the applicant presented a complete funding package based on reasonable cost estimates. Financial Completeness ratings are: Complete, Partially Complete, or Incomplete. DOT will assign the highest rating of Complete if the application: • identifies all funding sources for the project budget; • documents all funding is available and committed to the project; • includes contingency amount and source in the project budget; • describes a plan to address potential cost overruns; • provides cost estimates prepared according to industry standards and/or DOT guidance; and • includes an inflation factor. Projects with funding gaps, estimates that are based on early stages of design (e.g., less than 30 percent design), or outdated cost estimates without specified budget contingencies will receive a lower rating. All applicants, including those requesting 100 percent grant funding, should describe a plan to address potential cost overruns. Page 291 of 608 42 iii. Benefit-Cost Analysis For capital projects that receive second-tier analysis, the Department will consider the costs and benefits of projects seeking BUILD grant funding in determining the extent to which a project is cost effective. To the extent possible, the Department will rely on quantitative, evidenced-based and data-supported analysis to assess how well a project addresses this criterion, including an assessment of the project’s estimated benefit-cost ratio (BCR) based on the applicant-supplied BCA described in the Cost effectiveness review: Benefit-Cost Analysis section. Based on the Department’s assessment, the Department will assign BCA rating of: High, Medium-High, Medium, Medium-Low, or Low The project’s benefits will exceed its costs, with a benefit-cost ratio of at least 2.0 The project’s benefits will exceed its costs The project’s benefits are likely to exceed its costs The project’s costs are likely to exceed its benefits The project’s costs will exceed its benefits 2. REVIEW AND SELECTION PROCESS This section addresses the IIJA requirement to describe the methodology for evaluation in the NOFO, including how applications advance through the evaluation process and the other considerations made during selection. The BUILD grant application review and selection process consist of eligibility reviews, merit criteria review, second-tier analysis, Senior Review, and selection by the Secretary. i. Eligibility Review DOT staff will review all applications to determine eligibility based on requirements outlined in Section C. This process confirms the applicant is an eligible entity, the project type is eligible, and the requested non-Federal cost share is eligible. DOT staff will also verify the project location to verify eligibility to request up to 100 percent federal funding. Applicants may only submit up to three applications. Any applications submitted above the limit will be marked as ineligible. Page 292 of 608 43 ii. First-Tier: Merit Criteria Review All eligible BUILD grant applications receive a Merit Criteria Review to see how well the project described in the application aligns with the eight statutorily required merit criteria listed in Section F.1. Merit Review teams will evaluate the significance of the benefits and the extent to which the project is likely to achieve the benefits described in the application. Each criterion is assigned an individual rating: High, Medium, Low, and Non-Responsive. The individual ratings are tallied to calculate an overall merit rating of: Highly Recommended, Recommended, Not Recommended. Overall Merit Rating Highly Recommended Recommended no more than three of the merit criteria ratings are “low” Not Recommended • Highly Recommended - Automatically advance for second-tier analysis. • Recommended - The Senior Review Team (SRT) reviews all Recommended projects to determine if the benefits of a particular criterion are so significant that the project merits advancing for second-tier analysis. The SRT can advance a Recommended project if: o The project received a High in one or more of the priority criteria of safety, quality of life, mobility and community connectivity, and economic competitiveness and the benefits in that criterion are exceptional; or o The SRT provides additional information to demonstrate that a criterion has benefits that are aligned with a High rating for one or more of the priority merit criteria listed Page 293 of 608 44 above (whether the Merit Review Team assigned a High rating) and the benefits in that criterion would be exceptional. • Not Recommended - Do not advance and are not considered for selection. iii. Second-Tier: Project Cost Effectiveness and Readiness Review Second-tier analysis consists of: • Capital Projects o Cost Effectiveness Review in the form of a Benefit-Cost Analysis (BCA) o Project Readiness Review evaluates: risk of project not meeting obligation and construction timeline; applicant capacity and experience to deliver the project; and financial completeness of project funding. • Planning Projects o Project Readiness Review evaluates: applicant capacity and experience to deliver the project; and financial completeness of project funding iv. Senior Review The SRT reviews the outcomes of second-tier analysis to determine which projects are designated as Highly Rated. SRT will prioritize projects that can be delivered quickly and efficiently. • Capital Projects with the following ratings can be designated Highly Rated: o Medium to High BCA Rating o Favorable Project Readiness Ratings o Begin construction within 18 months of selection • Planning Projects with the following ratings can be designated Highly Rated: o Favorable Project Readiness Ratings o Begin project within 6 months of selection The SRT can justify rating projects as Highly Rated that do not meet all items listed above if the project proposes exceptional benefits in priority merit criteria. The SRT advances all Highly Rated projects to the Highly Rated List given to the Secretary. v. Selections Using the discretionary authority provided in statute, the Secretary selects projects from the Highly Rated List for award consistent with the selection criteria and statutory set asides that require: Page 294 of 608 45 • 50 percent of funds be awarded to projects located in rural areas and 50 percent of funds be awarded to projects located in urban area; • At least 5 percent of funds be awarded to planning projects; and • At least 1 percent of funds be awarded to projects located in Areas of Persistent Poverty/Historically Disadvantaged Communities. Statute also requires the Secretary to consider geographic and modal diversity in making selections. The Secretary may, depending on the pool of qualified applications, seek to award at least one project per state or territory. Per statute, “not more than 15 percent of the funds available to carry out the program for a fiscal year may be awarded to eligible projects in a single state during that fiscal year.” The Secretary may prioritize the selection of projects that: • can begin construction within 18 months of selection; or • are located in a designated Qualified Opportunity Zone (26 U.S. Code § 1400Z-1); or • have a higher percent of non-federal funding committed to the project; or • have not received a BUILD/RAISE/TIGER grant previously. Projects for which an FY 2026 BUILD application is advanced by the Senior Review Team to the Highly Rated List, but that are not awarded, are automatically designated as “Projects of Merit.” Projects with this designation will be carried over into FY 2027 BUILD, subject to authorization and appropriation, and considered by the SRT for advancement to the Highly Rated List, along with other FY 2027 applications eligible for advancement to the Highly Rated List. Due to overwhelming demand, the Department is unable to provide a BUILD award to every competitive project that applies. Consistent with past practice and statute, the Department offers debriefs to applicants not selected for award to receive information about the BUILD project’s evaluation. G. AWARD NOTICES 1. HOW PROJECT SELECTIONS ARE ANNOUNCED The Department emails each successful applicant and posts all selections in Fact Sheets as well as an excel file on the BUILD website. • Notice of selection is not authorization to begin or to incur costs for the proposed project. • Following that announcement, the BUILD program Office and relevant Operating Administration will contact the point of contact listed on the SF-424 to initiate development of the grant agreement. 2. ANNOUNCEMENT DATES • Selections will be announced no later than June 28, 2026, per statute. Page 295 of 608 46 3. PRE-AWARD COSTS Unless authorized by the Department in writing after announcement of FY 2026 BUILD selections, any costs incurred prior to the Department’s obligation of funds for a project are ineligible for reimbursement and are ineligible cost share requirements.7 • Project costs incurred before project selections are announced cannot be paid for with funds from this competition. • Funds must be used only for the specific purposes as outlined in the award letter and/or authorized by the Department. 4. REIMBURSABLE PROGRAM Recipients of BUILD Grant awards will not receive lump-sum cash disbursements at the time of award announcement or obligation of funds. In general, BUILD Program funds are administered on a reimbursement basis. Grant recipients will generally be required to pay project costs upfront using their own funds, and then request reimbursement for those costs. • BUILD funds will reimburse recipients only after a grant agreement has been executed, allowable expenses are incurred, and valid requests for reimbursement are submitted. • Obligation occurs when a selected applicant and the Department enter into a written grant agreement after the applicant has satisfied applicable local, State and Federal requirements. If a recipient cannot complete a project on reimbursement basis, DOT will—on a case-by-case basis—consider recipient requests to use alternate payment methods as described in 2 CFR 200.305(b), including advance payments. H. POST-AWARD REQUIREMENTS AND ADMINISTRATION 1. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS i. Administrative Requirements Please visit the BUILD website for the General Terms and Conditions for FY 2025 BUILD awards. The FY 2026 BUILD Terms and Conditions will be similar to the FY 2025 BUILD Terms and Conditions, but it will include relevant updates consistent with this notice. All awards will be administered pursuant to the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards found in 2 C.F.R part 200, as adopted by 7 Pre-award costs are costs incurred after award announcement, but directly pursuant to the development of a grant agreement where such costs are necessary for efficient and timely performance of the scope of work, as determined by DOT. Costs incurred under an advance construction (23 U.S.C. 115) authorization before the DOT announces that a project is selected for a FY 2026 BUILD award cannot be charged to FY 2026 BUILD funds. Likewise, costs incurred under an FTA Letter of No Prejudice under Chapter 53 of title 49 U.S.C. before the DOT announces that a project is selected for a FY 2026 BUILD award, cannot be charged to FY 2026 BUILD funds. Page 296 of 608 47 DOT at 2 C.F.R part 1201. Federal wage rate requirements included in subchapter IV of chapter 31 of title 40, U.S.C., apply to all projects receiving funds under this program, and apply to all parts of the project, whether funded with BUILD Grant funds, other Federal funds, or non- Federal funds. In connection with any program or activity conducted with or benefiting from funds awarded under this notice, recipients of funds must comply with all applicable requirements of Federal law, including, without limitation, the Constitution of the United States; the conditions of performance, non-discrimination requirements, and other assurances made applicable to the award of funds in accordance with regulations of the Department of Transportation; and applicable Federal financial assistance and contracting principles promulgated by the Office of Management and Budget. In complying with these requirements, recipients, in particular, 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 DOT determines that a recipient has failed to comply with applicable Federal requirements, DOT may terminate the award of funds and disallow previously incurred costs, requiring the recipient to reimburse any expended award funds. Additionally, applicable Federal laws, rules and regulations of the relevant operating administration administering the project will apply to the projects that receive BUILD grant awards, including planning requirements, Service Outcome Agreements, Stakeholder Agreements, Buy America compliance, and other requirements under DOT’s other highway, transit, rail, and port grant programs. For projects that are eligible under BUILD but are not eligible under DOT’s other programs or projects that are eligible under multiple DOT programs, the BUILD program will determine the appropriate requirements to ensure the project is delivered consistent with program and Department goals. In particular, Executive Order 14005 directs the Executive Branch Departments and agencies to maximize the use of goods, products, and materials produced in, and services offered in, the United States through the terms and conditions of Federal financial assistance awards. If selected for an award, grant recipients must be prepared to demonstrate how they will maximize the use of domestic goods, products, and materials in constructing their project. BUILD grant projects involving vehicle acquisition must involve only vehicles that comply with applicable Federal Motor Vehicle Safety Standards and Federal Motor Carriers Safety Regulations, or vehicles that are exempt from Federal Motor Vehicle Safety Standards or Federal Motor Carrier Safety Regulations in a manner that allows for the legal acquisition and deployment of the vehicle or vehicles. For projects administered by FHWA, applicable Federal laws, rules, and regulations set forth in Title 23 U.S.C. and Title 23 C.F.R generally apply, including the 23 U.S.C. 129 restrictions on the use of toll revenues, and Section 4(f) preservation of parklands and historic properties requirements under 23 U.S.C. 138. For an illustrative list of the other applicable laws, rules, regulations, executive orders, polices, guidelines, and requirements as they relate to a BUILD grant project administered by the FHWA, please see the BUILD website. For BUILD projects administered by the Federal Transit Administration and partially funded with Federal transit assistance, all relevant requirements under chapter 53 of title 49 U.S.C. Page 297 of 608 48 apply. For transit projects funded exclusively with BUILD grant funds, some requirements of chapter 53 of title 49 U.S.C. and chapter VI of title 49 CFR apply. For projects administered by the Federal Railroad Administration, all relevant requirements under 49 U.S.C. § 22905 apply. ii. Program Requirements 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 National Security Memorandum (NSM-22) on 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. 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 domestic preference requirements based on the Operating Administration that administers the project, including 23 U.S.C. 313 (FHWA projects); 49 U.S.C. 5323(j) (FTA projects); 49 U.S.C. 22905(a) (FRA projects); and section 70914(a) of the Build America, Buy America Act (all projects). The Department expects all applicants to comply with that requirement. Compliance with Federal Law and Policies Except where prohibited by court order “the applicant assures and certifies, with respect to any application and awarded Project under this NOFO, that 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.” Federal Anti-Discrimination • Except where prohibited by court order, pursuant to Executive Order 14173, Ending Illegal Discrimination and Restoring Merit-Based Opportunity, as a condition of grant award, each Recipient must agree that its compliance in all respects with all applicable Federal anti- discrimination laws is material to the government’s payment decisions for purposes of section 3729(b)(4) of title 31, United States Code • Except where prohibited by court order, pursuant to Executive Order 14173, Ending Illegal Discrimination and Restoring Merit- Based Opportunity, as a condition of grant award, each Page 298 of 608 49 Recipient must certify that it does not operate any programs promoting diversity, equity, and inclusion (DEI) initiatives that violate any applicable Federal anti-discrimination laws. To the extent a court order bars the implementation or enforcement of one or more of the provisions with respect to a particular applicant or recipient, the Department will not implement or enforce the relevant provision(s) against that applicant or recipient for as long as the order remains in place. Civil Rights and Title VI As a condition of a grant award, grant recipients should 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 § 21), the Americans with Disabilities Act of 1990 (ADA), and Section 504 of the Rehabilitation Act, 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 may work with awarded grant recipients to ensure full compliance with Federal civil rights requirements. 2. REPORTING i. Progress Reporting on Grant Activities Each applicant selected for BUILD grant funding must submit quarterly progress reports and Federal Financial Reports (SF-425) to monitor project progress and ensure accountability and financial transparency in the BUILD grant program. ii. Performance Reporting Each applicant selected for BUILD grant funding must collect and report to the DOT information on the project’s performance based on performance indicators DOT identifies related to program goals (e.g., travel time savings, greenhouse gas emissions, passenger counts, level of service, etc.) and other information as requested by DOT. Performance indicators should include measurable goals or targets that DOT will use internally to determine whether the project meets program goals, and grant funds achieve the intended long-term outcomes of the BUILD Grant Program. To the extent possible, performance indicators used in the reporting should align with the measures included in the application and should relate to at least one of the selection criteria defined in the Criteria section. Performance reporting continues for several years after project construction is completed, and DOT does not provide BUILD grant funding specifically for performance reporting. BUILD grant performance measures are posted on the BUILD website. iii. Program Evaluation As a condition of grant award, BUILD 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 Page 299 of 608 50 analysis of all or selected sites within or across grant recipients, or a benefit/cost analysis or assessment of return on investment. The Department may require applicants to collect data elements to aid the evaluation. As a part of the evaluation, as a condition of award, grant recipients must agree to: (1) make records available to the evaluation contractor; (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 sub-recipients 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 the effectiveness of their projects and strategies. 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 intended to assess their effectiveness and efficiency” (codified at 5 U.S.C. § 311). For grant recipients, evaluation expenses are allowable costs (either as direct or indirect), unless prohibited by statute or regulation, and such expenses may include the personnel and equipment needed for data infrastructure and expertise in data analysis, performance, and evaluation (2 CFR § 200). 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). iv. Reporting of Matters Related to Recipient Integrity and Performance If the total value of a selected 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 applicant during that period of time must maintain the currency of information reported to the SAM that is made available in FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. 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 designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. I. FEDERAL AWARDING AGENCY CONTACT(S) For further information concerning this notice please contact the BUILD grant program staff via e-mail at BUILDgrants@dot.gov. In addition, DOT will post answers to questions and requests for clarifications on the BUILD website. To ensure applicants receive accurate information about eligibility or the program, the applicant is encouraged to contact DOT directly, rather than through intermediaries or third parties, with questions. DOT staff may also conduct briefings on the BUILD grant selection and award process upon request. Page 300 of 608 J.OTHER INFORMATION 1.PROTECTION OF CONFIDENTIAL BUSINESS INFORMATION 51 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 do the following: (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; and ( 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, DOT will follow the procedures described in its FOIA regulations at 49 CFR § 7 .29. Only information that is in the separate document, marked in accordance with this section, and ultimately determined to be confidential under § 7.29 will be exempt from disclosure under FOIA. 2.PUBLICATION AND SHARING OF APPLICATION INFORMATION Following the completion of the selection process and announcement of awards, the Department intends to publish a list of all applications received along with the names of the applicant organizations and funding amounts requested. Except for the information properly marked as described in the Protection of Confidential Business Information section. The Department may make application narratives publicly available or 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. Sean P. Duffy ?-0 Issued in Washington D.C. on December 15, 2025 Page 301 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-475 FROM: Kim Creech, CITY TREASURER Richard Johnson, CITY ENGINEER SUBJECT: The City Treasurer, Kim Creech, and City Engineer, Richard Johnson, have requested a one (1) year extension of the annual contract for Bid No. 23-031 Consulting Services for FEMA Public Assistance Management Services - Utility's Damage Projects for the same terms and conditions as the original contract and contract amendment no. 1. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To authorize the Mayor, Sherry Sullivan, to execute Extension No. 2 for the annual contract for Bid No. 23-031 Consulting Services for FEMA Public Assistance Management Services - Utility's Damage Projects for the same terms and conditions as the original contract and contract amendment no. 1. The cost of this contract will be determined if it is activated at the time of a disaster. BACKGROUND INFORMATION: The original contract was executed January 22, 2024 and awarded to Royal Engineers and Consultants, LLC. Contract Amendment No. 1 amended the contract to comply with FEMA contract regulations, including a not-to-exceed annual contract amount of $500,000.00. The request for Extension No. 2 will extend the contract until January 21, 2027. The Vendor has agreed to Extension No. 2, with all terms and conditions of the bid award and contract amendment no. 1. Council awarded Bid No. 23-031 Consulting Services for FEMA Public Assistance Management Services -Utility's Damage Projects on 12/11/2023. Previous Council Actions: December 11, 2023 - Resolution No. 4942-23 - Approval of the award of Bid No. 23-031 Consulting Services for FEMA Public Assistance Management Services - Utility's Damage Projects to Royal Engineers and Consultants, LLC. The cost of this contract will be determined if it is activated at the time of a disaster. The hourly rates for this firm are included in proposal. July 22, 2024 - Resolution No. 5123-24 - That Mayor Sherry Sullivan is hereby authorized to execute a contract amendment for Bid No. 23-031 Consulting Services for Page 302 of 608 FEMA Public Assistance Management Services - Utility's Damage Projects with Royal Engineers & Consultants, LLC to comply with FEMA contract regulations, including a not-to-exceed annual contract amount of $500,000.00. January 13, 2025 - Resolution No. 5325-25 - That Mayor Sherry Sullivan is hereby authorized to execute a contract for Extension No. 1 for (Bid No. 23-031) Consulting Services for FEMA Public Assistance Management Services - Utility's Damage Projects to Royal Engineers and Consultants, LLC for one (1) year extension of the annual contract from January 22, 2025 to January 21, 2026 per the same terms and conditions of the original contract and contract amendment No. 1. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget TBD Disaster Costs $0.00 $0.00 $0.00 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 303 of 608 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. 2 for (Bid No. 23-031) Consulting Services for FEMA Public Assistance Management Services - Utility's Damage Projects to Royal Engineers and Consultants, LLC for one (1) year extension of the annual contract from January 22, 2026 to January 21, 2027 per the same terms and conditions of the original contract and contract amendment No. 1. ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 304 of 608 City of Fairhope Bid No. 23-031 Request for Proposal Consulting Services for FEMA Public Assistance Management Services – Utility’s Damage Projects Contract Extension No. 2 This EXTENSION NO.2 of CONTRACT ("Extension") is made this _____ day of _______________________ ,202___, for the purpose of extending the agreement known as Bid No. 23-031 Request for Proposal Consulting Services for FEMA Public Assistance Management Services – Utility’s Damage Projects, dated January 22, 2024, (“Original Contract") between the City of Fairhope and Royal Engineers and Consultants, LLC (the "Parties"). 1. Extension No. 2 of this agreement, which is attached hereto as a part of this Extension, is described below: Bid No. 23-031 Request for Proposal Consulting Services for FEMA Public Assistance Management Services – Utility’s Damage Projects and will end on January 21, 2026 at midnight. 2. The Parties agree to extend Extension No. 2 agreement for an additional period, which will begin immediately upon the expiration of the original time period January 22, 2026 and will end on January 21, 2027. 3. This Extension binds and benefits both Parties and any successors or assigns. This document, including the attached Original Contract, Contract Amendment No. 1, and Contract Extension No. 1, 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__________________ , 202___. Notary Public______________________________ My Commission Expires:______________ Page 305 of 608 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 _____________, 202___. Notary Public ___________________________ My Commission Expires ___________________ Page 306 of 608 RESOLUTION NO. 5325-25 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 (Bid No. 23-031) Consulting Services for FEMA Public Assistance Management Services -Utility's Damage Projects to Royal Engineers and Consultants , LLC for one (1) year extension of the annual contract from January 22 , 2025 to January 21 , 2026 per the same terms and conditions of the original contract and contract amendment No . 1. ADOPTED ON THIS 13TH DAY OF JANUARY , 2025 Attest : ~~4ff.L City Clerk Page 307 of 608 RESOLUTION NO. 5123-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA , that Mayor Sherry Sullivan is hereby authorized to execute a contract amendment for (Bid No. 023-31) Consulting Services for FEMA Public Assistance Management Services -Utility 's Damage Projects with Royal Engineers & Consultants , LLC to comply with FEMA contract regulation s, including a not-to-exceed annual contract amount of $500 ,000.00 . ADOPTED ON THIS 2 Corey Martin , Council President Attest: iliraA.Hnks , City Cler Page 308 of 608 RESOLUTION 0. 4942-23 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALAB MA, as fo llo w : [1] That the did reque t, receive, and open bids to procure services for (Bid No . 23- 031) Consu ltin g Services for City of Fa irhop e FEMA Public Assistance Management Services -Uti lity 's Damage Projects at 555 South Section Street in the City of Fairhope offices , Fairhope , Alabama. [2] At th e appo inted time and place , bids were received and tabulated as follows: Please see attached Bid Tabulation for Consulting Services for FEMA Public A si tance Management Services - Uti lity 's Dam age Projects [3] After evaluating the bids with the required specifications , Royal Engineers and Consultants , LLC is now awarded (Bid o. 23-031) for Consulting Services for FEMA Public Assistance Management Services -Utilit s amage Projects. The cost of thi contract will b e determined if it is activated at t e ti e of a disaster. The hourly rates for this finn are included in proposal. DULY ADOPTED THIS 11 TH DA Corey Martin, Council President Attest: Page 309 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-474 FROM: Kim Creech, CITY TREASURER Richard Johnson, CITY ENGINEER SUBJECT: The City Treasurer, Kim Creech, and City Engineer, Richard Johnson, have requested a one (1) year extension of the annual contract for Bid No. 23-030 Consulting Services for FEMA Public Assistance Management Services - Government Services for the same terms and conditions as the original contract and contract amendment no. 1. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To authorize the Mayor, Sherry Sullivan, to execute Extension No. 2 for the annual contract for Bid No. 23-030 Consulting Services for FEMA Public Assistance Management Services - Government Services for the same terms and conditions as the original contract and contract amendment no. 1. The cost of this contract will be determined if it is activated at the time of a disaster. BACKGROUND INFORMATION: The original contract was executed January 22, 2024 and awarded to Royal Engineers and Consultants, LLC. Contract Amendment No. 1 amended the contract to comply with FEMA contract regulations, including a not-to-exceed annual contract amount of $500,000.00. The request for Extension No. 2 will extend the contract until January 21, 2026. The Vendor has agreed to Extension No. 2, with all terms and conditions of the bid award and contract amendment No. 1. Council awarded Bid No. 23-030 Consulting Services for FEMA Public Assistance Management Services - Government Services on 12/11/2023. Previous Council Action: December 11, 2023 - Resolution No. 4941-23 - Approval of the award of Bid No. 23030 Consulting Services for FEMA Public Assistance Management Services - Government Services to Royal Engineers and Consultants, LLC. The cost of this contract will be determined if it is activated at the time of a disaster. The hourly rates for this firm are included in proposal. July 22, 2024 - Resolution No. 5122-24 - That Mayor Sherry Sullivan is hereby authorized to execute a contract amendment for (Bid No. 023-30) Consulting Services Page 310 of 608 for FEMA Public Assistance Management Services - Government Services with Royal Engineers & Consultants, LLC to comply with FEMA contract regulations, including a not-to-exceed annual contract amount of $500,000.00. January 13, 2025 - Resolution No. 5324-25 - That Mayor Sherry Sullivan is hereby authorized to execute a contract for Extension No. 1 for (Bid No. 23-030) Consulting Services for FEMA Public Assistance Management Services - Government Services to Royal Engineers and Consultants, LLC for one (1) year extension of the annual contract from January 22, 2025 to January 21, 2026 per the same terms and conditions of the original contract and contract amendment No. 1. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget TBD Disaster Costs $0.00 $0.00 $0.00 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 311 of 608 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. 2 for (Bid No. 23-030) Consulting Services for FEMA Public Assistance Management Services - Government Services to Royal Engineers and Consultants, LLC for one (1) year extension of the annual contract from January 22, 2026 to January 21, 2027 per the same terms and conditions of the original contract and contract amendment No. 1. ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 312 of 608 City of Fairhope Bid No. 23-030 Request for Proposal Consulting Services for FEMA Public Assistance Management Services – Government Services Contract Extension No. 2 This EXTENSION NO.2 of CONTRACT ("Extension") is made this _____ day of _______________________ ,202___, for the purpose of extending the agreement known as Bid No. 23-030 Request for Proposal Consulting Services for FEMA Public Assistance Management Services – Government Services, dated January 22, 2024, (“Original Contract") between the City of Fairhope and Royal Engineers and Consultants, LLC (the "Parties"). 1. Extension No. 2 of this agreement, which is attached hereto as a part of this Extension, is described below: Bid No. 23-030 Request for Proposal Consulting Services for FEMA Public Assistance Management Services – Government Services and will end on January 21, 2026 at midnight. 2. The Parties agree to extend Extension No. 2 agreement for an additional period, which will begin immediately upon the expiration of the original time period January 22, 2026 and will end on January 21, 2027. 3. This Extension binds and benefits both Parties and any successors or assigns. This document, including the attached Original Contract, Contract Amendment No. 1, and Contract Extension No. 1, 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__________________ , 202___. Notary Public______________________________ My Commission Expires:______________ Page 313 of 608 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 _____________, 202___. Notary Public ___________________________ My Commission Expires ___________________ Page 314 of 608 RESOLUTION NO. 5324-25 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 (Bid No. 23-030) Consulting Services for FEMA Public Assistance Management Services -Government Services to Royal Engineers and Consultants , LLC for one (1) year extension of the annual contract from January 22 , 2025 to January 21 , 2026 per the same terms and conditions of the original contract and contract amendment No. 1. ADOPTED ON THIS 13TH DAY OF JANUARY , 2025 Attest: ~s,MMC City Clerk Page 315 of 608 RESOLUTION NO. 5122-24 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA , that Mayor Sherry Sullivan is hereby authorized to execute a contract amendment for (Bid No. 023-30) Consulting Services for FEMA Public Assistance Management Services -Government Services with Royal Engineers & Consultants , LLC to comply with FEMA contract regulations , including a not-to-exceed annual contract amount of $500 ,000.00 . ADOPTED ON THIS 22ND DAY OF ruL Y 2024 Corey Martin , Council President Attest: ~-~ L~,MNIC City Clerk Page 316 of 608 RESOL UTIO N 0 . 4941-23 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE , ALAB AMA , as fo ll ows: [1] Th at th e C ity of Fairh ope did requ es t, receive , and op en bid s to procure services fo r (Bid No. 23 -0 30) Co nsultin g Servi ces fo r FEMA Publi c Ass istan ce Man agem ent Serv ices -Governm en t Serv ices at 55 5 So uth Secti on Street in th e Ci ty of Fairhope offices , Fairhop e, A lab am a. [2 ] At th e app ointed ti m e and pl ace , bid s were received and tabul ated as fo ll ows: Pl ease see attached Bid Tabul ati on for Co nsultin g Services fo r FEMA Publi c Assistance Managem ent Services - Governm ent Services [3] After eva lu ating th e bid s with th e requ ired specifi cati o ns, Royal Engin eer s an d Co nsultan ts, LLC is now award ed (Bid o. 23-030) for Co nsulti ng Serv ices fo r FEMA Publi c Ass istance Managem ent Services -Governm ent Serv ices . Th e cost of thi s co ntract will b e determin ed if it is acti vated tim e o f a di sas t er. Th e h ourl y rates fo r thi s firm are includ ed in prop osal. DU LY AD OP TED THI S 11 TH Corey Martin , Co unci l President Attes t: Page 317 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-449 FROM: Richard Johnson, CITY ENGINEER Nicole Love, Grants Coordinator SUBJECT: City Engineer. Richard Johnson, and Interim Director of Public Works, John Thomas, are requesting to procure a qualified contractor for the Magnolia Beach Restoration and Stabilization Project. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the award of Bid No. 26-001-2023-PWI-018 Magnolia Beach Restoration and Stabilization Project to American Asphalt, Inc. for a not-to-exceed amount of $494,712.00. BACKGROUND INFORMATION: A service bid was issued on November 19, 2025, posted to the City of Fairhope's website, and published in three (3) statewide newspapers and Gulf Coast Media. Five (5) responsive bids were received at the bid opening on December 18, 2025 at 10:00 a.m. The City Engineer recommends the award be made to American Asphalt, Inc. Their low bid price was $494,712.00. The City Engineer is requesting to award the project to American Asphalt, Inc. for a not- to-exceed contract cost of Four Hundred Ninety-Four Thousand Seven Hundred Twelve Dollars ($494, 712.00). This project is funded by Gulf of Mexico Energy Security Act of 2006 ("GOMESA") Grant through ADCNR. Previous Council Action: March 6, 2024 - Resolution No. 5008-24 the City Council authorizes acceptance of the GOMESA Grant award from ADCNR and authorizes the Mayor to sign the Grant Agreement and other grant related documents on behalf of the City. July 8, 2024 - Resolution No. 5111-24 authorized execution of contract with Goodwyn Mills & Cawood for professional engineering services for the not-to-exceed amount of Page 318 of 608 $120,000.00. (Contract No. 2025084 has a balance of $28,900.00 as of 12/31/2025). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 103-55760 Line 10 Magnolia Beach Improvements $494,712.00 $494,712.00 $0.00 Project No.: 2023PWI018 Project Expense String: 2023PWI018-CONS Grant Amount: $500,000.00 for construction GRANT: ADCNR Grant # G-CFMB/23/CF GOMESA Grant # G-CFNP21CF 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 319 of 608 RESOLUTION NO. _____ 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 for Bid No. 25-056- 2025-PWI-024 Magnolia Beach Restoration and Stabilization Project for the City of Fairhope Public Works Department. [2] At the appointed time and place, the following bids were opened and tabulated as follows: Please see attached Bid Tabulation for Magnolia Beach Restoration and Stabilization Project [3] After evaluating the bid proposals with the required bid specifications, Asphalt Services, Inc. is now awarded Bid No. 25-056-2025-PWI-024 Magnolia Beach Restoration and Stabilization Project for the City of Fairhope Public Works Department with a bid proposal not-to-exceed $494,712.00. . ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _________________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 320 of 608 Page 321 of 608 Page 322 of 608 Page 323 of 608 PRF - Magnolia Beach Restoration Final Audit Report 2025-09-04 Created:2025-09-03 By:Erin Wolfe (erin.wolfe@fairhopeal.gov) Status:Signed Transaction ID:CBJCHBCAABAA9rPEdzlAkXsxcAuplb7Bjl-wXnNAa7PW "PRF - Magnolia Beach Restoration" History Document created by Erin Wolfe (erin.wolfe@fairhopeal.gov) 2025-09-03 - 9:06:53 PM GMT Document emailed to Suzanne Doughty (suzanne.doughty@fairhopeal.gov) for signature 2025-09-03 - 9:07:17 PM GMT Email viewed by Suzanne Doughty (suzanne.doughty@fairhopeal.gov) 2025-09-03 - 9:18:08 PM GMT Document e-signed by Suzanne Doughty (suzanne.doughty@fairhopeal.gov) Signature Date: 2025-09-03 - 9:18:51 PM GMT - Time Source: server Document emailed to Kimberly Creech (kimberly.creech@fairhopeal.gov) for signature 2025-09-03 - 9:18:52 PM GMT Email viewed by Kimberly Creech (kimberly.creech@fairhopeal.gov) 2025-09-03 - 10:04:19 PM GMT Document e-signed by Kimberly Creech (kimberly.creech@fairhopeal.gov) Signature Date: 2025-09-03 - 10:04:44 PM GMT - Time Source: server Document emailed to Sherry Sullivan (sherry.sullivan@fairhopeal.gov) for signature 2025-09-03 - 10:04:46 PM GMT Email viewed by Sherry Sullivan (sherry.sullivan@fairhopeal.gov) 2025-09-04 - 2:32:59 AM GMT Document e-signed by Sherry Sullivan (sherry.sullivan@fairhopeal.gov) Signature Date: 2025-09-04 - 2:33:44 AM GMT - Time Source: server Agreement completed. 2025-09-04 - 2:33:44 AM GMT Page 324 of 608 Page 325 of 608 Page 326 of 608 Page 327 of 608 Page 328 of 608 Page 329 of 608 Page 330 of 608 Page 331 of 608 Page 332 of 608 Page 333 of 608 Page 334 of 608 Page 335 of 608 Page 336 of 608 Page 337 of 608 Page 338 of 608 RESOLUTION NO. 5008-24 AUTHORIZING THE EXECUTION OF A GOMESA GRANT AGREEMENT WITH THE ALABAMA DEPARTMENT OF CONSERVATION AND NATURAL RESOURCES FOR THE MAGNOLIA BEACH SHORELINE RESTORATION WHEREAS, the City of Fairhope was recently awarded a Gul f of Mexico Energy Security Act of 2006 (GOMESA) Grant (No . G-CFMB /23 /CF) w ith the Agreement by and between the State of Alabama Department of Conservation and Natural Resources (ADCNR) for the Magnolia B eac h Shoreline Restoration; and WHEREAS , the total estima ted project cost is $700 ,000.00 , of which the grant amount is a not-to -exceed amount of $620,000 .00 to allow sa ti sfacto1y comp letion of a ll Project Services following th e execution of this Agreement; and WHEREAS, the City of Fairhope wa1n nt s and represents that it w ill use the GOMESA funds provided und er this Agreement in accordance wi th approved GOMESA and consistent w ith a ll applicable stated and federal laws ; and WHEREAS, Ci ty Staff will provide oversight of the project which sha ll begin on the date of the Mayor's signature and end in approximate ly 24 mont hs; BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, that City Council authorizes acceptance of the GOMESA Grant award from ADCNR and autho1izes the Mayor to sign the Grant Agreement and other grant related documents on behalf of the City; DULY ADOPTED THIS 6TH DA Corey Martin, Counci l President Page 339 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-476 FROM: Richard Johnson, CITY ENGINEER Pat White, PARKS & RECREATION DIRECTOR SUBJECT: City Engineer, Richard Johnson, and Director of Parks and Recreation, Pat White, are requesting to approve the award of the Request for Quotes for Labor and Materials for the Stimpson Park Walking Track Repair and Resurfacing Project. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the award of the Request for Quotes for Labor and Materials for the Stimpson Park Walking Track Repair and Resurfacing Project to Chris Brewer Contracting for a project cost not-to-exceed $65,977.00. This Public Works project will be less than $100,000.00, and therefore does not need to be formally bid out. BACKGROUND INFORMATION: City Engineer, Richard Johnson, and Director of Parks and Recreation, Pat White, are requesting to approve the award of the Request for Quotes for Labor and Materials for the Stimpson Park Walking Track Repair and Resurfacing Project. A Request for Quotes was sent to ten (10) qualified contractors and published on the City website. Five (5) qualified quotes were received. The lowest quote was from Chris Brewer Contracting. The City Engineer and the Director of Parks and Recreation requests approval to award the Request for Chris Brewer Contracting for the not-to- exceed cost of Sixty-Five Thousand Nine Hundred Seventy-Seven Dollars ($65,977.00). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 001250- 50475 Line 170 Recreation - Capital Improvements $50,000.00 $65,977.00 ($15,977.00) Project No.: 2026REC170 Project Expense String: 2026REC170-CONS Page 340 of 608 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 341 of 608 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 award of the Request for Quotes for Labor and Materials for the Stimpson Park Walking Track Repair and Resurfacing Project to Chris Brewer Contracting for a not-to-exceed project cost of $65,977.00. This Public Works project will be less than $100,000.00; and therefore, does not need to be formally bid out. DULY ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 342 of 608 Page 343 of 608 Page 344 of 608 PUR-004 - 082522 CITY OF FAIRHOPE PURCHASING DEPARTMENT PURCHASING REQUEST FORM Under $5,000 No restrictions Not Required N/A N/A N/A Utilities $5,001-$10,000 Operational -Budgeted Three Treasurer/Mayor Greater than: Gen Govt - $5,001 NON Required Required N/A N/A N/A N/A Required Required 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. Chris Brewer Contracting See attached quote tabulation – 5 respondents Click or tap here to enter text. Check any applicable boxes: ☐ State Contract ☐ ALDOT ☐ Purchasing Group ☐ Sole Source (Attach Sole Source Justification) 1. What item or service do you need to purchase? RFQ 2026-REC 170 Walking Track Resurfacing 2. What is the total cost of the item or service? Stimpson Park – Repair and resurfacing of the walking track 3. How many do you need? Singular Contract via P.O. 4. Item or Service Is: ☒ New ☐ Used ☐ Replacement ☐ Annual Request 5. Vendor Name (Lowest Quote): Chris Brewer Contracting 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. 1. Is it budgeted? ☒ Yes ☐ No ☐ Emergency Request 2. If budgeted, what is the budgeted amount? $50,000.00 3. Budget code: 001250-50475 Line 170 Email completed form with quotes and other supporting documentation to Erin.Wolfe@FairhopeAL.gov and Rhonda.Cunningham@FairhopeAL.gov. Page 345 of 608 Page 346 of 608 Page 347 of 608 Page 348 of 608 Page 349 of 608 Page 350 of 608 Page 351 of 608 Page 352 of 608 Page 353 of 608 Page 354 of 608 Page 355 of 608 Page 356 of 608 Page 357 of 608 Page 358 of 608 Page 359 of 608 Page 360 of 608 Page 361 of 608 Page 362 of 608 Page 363 of 608 Page 364 of 608 Page 365 of 608 Page 366 of 608 Page 367 of 608 Page 368 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-479 FROM: John Thomas, Interim Public Works Director SUBJECT: The Interim Director of Public Works, John Thomas, is requesting approval of Contract Extension No. 1 for Bid No. 25-013 Citywide Tree Removal Annual Contract - Public Works Department for the same terms and conditions as the original bid award. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the Contract Extension No. 1 for Bid No. 25-013 Citywide Tree Removal Annual Contract - Public Works Department for the same terms and conditions as the original bid award. The original annual contract not-to-exceed $50,000.00. BACKGROUND INFORMATION: The Interim Director of Public Works, John Thomas, is requesting approval of Contract Extension No. 1 for Bid No. 25-013 Citywide Tree Removal Annual Contract - Public Works Department for the same terms and conditions as the original bid award. Extension No. 1 will extend the contract until March 6, 2027. Previous Council Action: February 10, 2025 - Resolution No. 5367-25 Approved the award of Bid No. 25-013 Citywide Tree Removal Annual Contract to Looks Great Services of MS, Inc. for a not- to-exceed cost of $50,000.00. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 001360- 50360-30 Landscape - General Maint. $50,000.00 $50,000.00 $0.00 This contract will be available for use by all city-wide departments. GRANT: Page 369 of 608 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: Treasury to enter Contract in Accounting Contract Module. Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 370 of 608 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 of (Bid No. 25-013) Citywide Tree Removal Annual Contract - Public Works Department with Looks Great Services of MS, Inc. per the terms and conditions of the original contract. The annual contract cost not-to- exceed $50,000.00. ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 371 of 608 City of Fairhope Bid No. 25-013 Citywide Tree Removal Annual Contract Public Works Department Contract Extension No. 1 This EXTENSION NO.1 of CONTRACT ("Extension") is made this _____ day of _______________________ ,202___, for the purpose of extending the agreement known as Bid No. 25-013 Citywide Tree Removal Annual Contract – Public Works Department, dated March 7, 2025, (“Original Contract") between the City of Fairhope and Looks Great Services of MS, Inc. (the "Parties"). 1. Extension 1 of this agreement, which is attached hereto as a part of this Extension, is described below: Bid No. 25-013 Citywide Tree Removal Annual Contract – Public Works Department and will end on March 6, 2026 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 March 7, 2026 and will end on March 6, 2027. 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__________________ , 202___. Notary Public______________________________ My Commission Expires:______________ Page 372 of 608 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 _____________, 202___. Notary Public ___________________________ My Commission Expires ___________________ Page 373 of 608 RESOLUTION NO. 5367-25 BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows: [ 1] That the City of Fair hope did request, receive , and open bids for City Wide Tree Removal Annual Contract (Bid Number 25-013) for the City of Fairhope. [2] At the appointed time and place , the following bids were opened and tabulated as follows: Please see attached Bid Tabulation for (Bid Number 25-013) City Wide Tree Removal Annual Contract [3] After evaluating the bid proposals with the required bid specifications , Looks Great Services of MS , Inc. is now awarded the bid for City Wide Tree Removal Annual Contract for bid proposal not-to-exceed of $50 ,000 .00 . Adopted on this 10th day of February, 2025 /4~ ackBurrel ocil P;esident Attest: ~~~ City Clerk Page 374 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-452 FROM: Daryl Morefield, WATER SUPERINTENDENT SUBJECT: The Superintendent of Water/Wastewater, Daryl Morefield, is requesting to approve the award of the Request for Quotes for Labor and Materials for the Yacht Club Lift Station Rehabilitation. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the award of the Request for Quotes for labor and materials for the Yacht Club Lift Station Rehabilitation Project to QR Contracting for the low bid not-to-exceed cost of $64,873.00. BACKGROUND INFORMATION: The Superintendent of Water/Wastewater, Daryl Morefield, is requesting approval for the procurement of labor and materials for the Yacht Club Lift Station Rehabilitation Project. This Public Works project will be less than $100,000.00, and therefore does not need to be formally bid out, but done as a Request for Quotes. A Request for Quotes was received by three (3) qualified contractors. The lowest quote was from QR Contracting. The Superintendent of Water/Wastewater requests approval to award the Request for Quote to QR Contracting for the not-to-exceed cost of Sixty- Four Thousand Eight Hundred Seventy-Three Dollars ($64,873.00). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 004020- 59501-10 Wastewater - Sys Imprv Lift Stations $64,873.00 $64,873.00 $0.00 FY2026 Budget for General Lift Station Upgrades (004020-59501) is $500,000.00. Project No.: 2026SEW008 GRANT: N/A Page 375 of 608 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: Treasury Department to input Project No. 2026SEW008 in Project Ledger and create corresponding budget. Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 376 of 608 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 award of the Request for Quotes for Labor and Materials for the Yacht Club Lift Station Rehabilitation to QR Contracting for a not-to-exceed project cost of $64,873.00. This Public Works project will be less than $100,000.00, and therefore does not need to be formally bid out. DULY ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 377 of 608 Page 378 of 608 Page 379 of 608 Page 380 of 608 Page 381 of 608 Page 382 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-477 FROM: Daryl Morefield, WATER SUPERINTENDENT Noel Berry, Utilities Engineer SUBJECT: The Superintendent of Water/Wastewater, Daryl Morefield, and the Public Utilities Engineer, Noel Berry, are requesting to approve the award of the Request for Quotes for Labor and Materials to Replace a Failed Section of Piping Near the South Section Street Lift Station. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the award of the Request for Quotes for labor and materials to Replace a Failed Section of Piping Near the South Section Street Lift Station to Ballcon, Inc. for a not-to-exceed project cost of $86,152.00. BACKGROUND INFORMATION: The Superintendent of Water/Wastewater, Daryl Morefield, is requesting approval for the procurement of labor and materials to replace a failed section of piping near the South Section Street Lift Station. This Public Works project will be less than $100,000.00, and therefore does not need to be formally bid out, but done as a Request for Quotes. A Request for Quotes was sent to three (3) qualified contractors. The lowest quote was from Ballcon, Inc. The Superintendent of Water/Wastewater and the City Utilities Engineer request approval to award the Request for Quote to Ballcon, Inc. for the not- to-exceed cost of Eighty-Six Thousand One Hundred Fifty-Two Dollars ($86,152.00). BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 004020- 50366 Line 10 Wastewater - Maint. Collection System $86,152.00 $86,152.00 $0.00 Total repairs and maintenance to the wastewater collection system is budgeted at $200,000.00. Page 383 of 608 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 384 of 608 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 award of the Request for Quotes for Labor and Materials to Replace a Failed Section of Piping Near the South Section Street Lift Station to Ballcon, Inc. for a not-to-exceed project cost of $86,152.00. This Public Works project will be less than $100,000.00, and therefore does not need to be formally bid out. DULY ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _______________________________ Lisa A. Hanks, MMC City Clerk Page 385 of 608 Page 386 of 608 Page 387 of 608 Page 388 of 608 Page 389 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-480 FROM: Daryl Morefield, WATER SUPERINTENDENT Noel Berry, Utilities Engineer SUBJECT: Cost Sharing Agreement for Water Main Upgrade along County Road 32 between Forestar (USA) Real Estate Group, Inc. and the City of Fairhope, which shall include the upgrade, replacement, and extension of the existing water main line approximately 5,167 feet from County Road 33 to the Forestar Property. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: That the City Council hereby authorizes Mayor Sherry Sullivan to execute a Cost Sharing Agreement for Water Main Upgrade along County Road 32 between Forestar (USA) Real Estate Group, Inc. and the City of Fairhope, which shall include the upgrade, replacement, and extension of the existing water main line approximately 5,167 feet from County Road 33 to the Forestar Property. BACKGROUND INFORMATION: Forestar shall cause its contractor to undertake the construction of the Water Main Upgrade pursuant to and in accordance with those certain plans set forth in Exhibit C. Fairhope has agreed to procure and supply, in accordance with this Agreement, all of the 12 inch and 8 inch ductile iron pipe required in connection with the Water Main Upgrade in accordance with the specifications set forth in Exhibit D. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $___ $___ ($____) GRANT: Page 390 of 608 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 391 of 608 RESOLUTION NO. _____ BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF FAIRHOPE, ALABAMA, That the City Council hereby authorizes Mayor Sherry Sullivan to execute a Cost Sharing Agreement for Water Main Upgrade along County Road 32 between Forestar (USA) Real Estate Group, Inc. and the City of Fairhope which shall include the upgrade, replacement, and extension of the existing water main line approximately 5,167 feet from County Road 33 to the Forestar Property. Adopted on this 12th day of January, 2026 ______________________________ James Reid Conyers, Jr. Council President Attest: ______________________________ Lisa A. Hanks, MMC City Clerk Page 392 of 608 1 COST SHARING AGREEMENT FOR WATER MAIN UPGRADE This COST SHARING AGREEMENT FOR WATER MAIN UPGRADE (“Agreement”) is made effective January ____, 2026 (“Effective Date”), by and between FORESTAR (USA) REAL ESTATE GROUP INC., a Delaware corporation (“Forestar”) and CITY OF FAIRHOPE, a municipal corporation (“Fairhope”) (Forestar and Fairhope are hereinafter sometimes collectively referred to as the “Parties” and individually as a “Party”). A. Forestar is under contract to purchase that certain real property located Baldwin County, Alabama, and being more particularly described on Exhibit A attached hereto and incorporated herein by this reference (the “Forestar Property”). Forestar intends to develop the Forestar Property into a residential subdivision if and when it acquires the same (the “Project”). B. The proposed development of the Project will require certain offsite roadway improvements along County Road 32 (the “Roadway Improvements”). C. As a part of the Roadway Improvements, the existing water main line running in and along the right-of-way of County Road 32 will need to be upgraded, replaced and extended in order to provide service to the Forestar Property and Project (collectively, the “Water Main Upgrade”). For the avoidance of doubt, the Water Main Upgrade, as used herein this Agreement, shall include the upgrade, replacement and extension of the existing water main line approximately 5,167 feet from County Road 33 to the Forestar Property as more particularly depicted on Exhibit B attached hereto and made a part hereof. D. Forestar shall cause its contractor to undertake the construction of the Water Main Upgrade pursuant to and in accordance with those certain plans set forth in Exhibit C attached hereto and incorporated herein by this reference (the “Plans”), a copy of which has been delivered to Fairhope. E. Fairhope has agreed to procure and supply, in accordance with this Agreement, all of the 12” and 8” ductile iron pipe required in connection with the Water Main Upgrade in accordance with the specifications set forth in Exhibit D attached hereto (the “Specifications”) and incorporated herein by this reference (collectively, the “Pipe”) and in accordance with the delivery schedule attached hereto as Exhibit E (the “Delivery Schedule”). F. The Parties recognize and agree that the Water Main Upgrade shall be mutually beneficial and that it is the best interest of both Partes to cooperate and share in the engagement and expense of certain components of the Water Main Upgrade. G. The Parties acknowledge and agree that Forestar has not yet acquired the Forestar Property and that the Parties’ obligations hereunder are wholly contingent upon Forestar’s consummation and closing on the Forestar Property. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein and for other valuable consideration, the receipt and sufficiency of which the undersigned expressly acknowledge and agree, the undersigned agree as follows: 1. Notice of Acquisition, Fairhope Procurement, Cost and Delivery. Page 393 of 608 2 (a) Forestar agrees to provide written notice to Fairhope upon Forestar’s closing and acquisition of the Forestar Property (the “Closing”), which is expected to occur on or before January 6, 2026. Forestar acknowledges and agrees that Fairhope shall have no obligations under this Agreement unless and until the occurrence of the Closing. (b) Subject to the occurrence of the Closing, Fairhope agrees to procure, supply and deliver the Pipe in accordance with this Agreement, at its sole cost, expense and liability. Fairhope agrees to promptly order the Pipe upon notice of the occurrence of the Closing from Forestar and to use its best efforts to order and procure the Pipe with the proper lead time required in order to deliver the Pipe to the Forestar Property in accordance with the Delivery Schedule. However, after placement of the Pipe order by Fairhope, Forestar or its general contractor, shall be primarily responsible for scheduling and coordinating delivery of the Pipe to the Forestar Property. Without limiting the foregoing, in connection with the delivery of the Pipe to the Forestar Property, the Parties further agree to jointly communicate and coordinate with one another, including, without limitation, coordination and communication with Forestar’s general contractor undertaking the work for the Water Main Upgrade, so as to assist in the efficient delivery and incorporation of the Pipe into the Water Main Upgrade. The Parties acknowledge and agree that Fairhope shall have no responsibility for or obligation to construct and install any of the Pipe. (c) Fairhope shall at all times bear all risk of loss and damage to the Pipe until such time as the Pipe has been delivered to the Forestar Property. Fairhope shall further pay and be solely responsible for all costs and expenses incurred in connection with the acquisition of the Pipe and the delivery thereof. (d) Forestar or its general contractor, shall inspect the Pipe upon receipt and either accept, or, only if such Pipe fails to conform to the Specifications or materially exceeds the quantity of Pipe included in the Specifications (“Nonconforming Pipe”), reject such Pipe by written notice to Fairhope specifying the nonconformity in reasonable detail. If Forestar does not reject the pipe in writing within 36 hours, it will be deemed to have accepted the Pipe. (e) Any and all manufacturer’s warranties provided in connection with the Pipe shall be provided to and/or assigned to Forestar upon delivery to the Forestar Property. 2. Forestar Obligations. Contingent upon the occurrence of the Closing, Forestar shall be responsible for the installation and construction of the Pipe (after acceptance from Fairhope) for the Water Main Upgrade, in accordance with the Plans, at its sole cost and expense. Without limiting the foregoing, in connection with the Water Main Upgrade, Forestar acknowledges and agrees that Forestar will be solely responsible for obtaining, at Forestar’s sole cost and expense, any and all hydrants, valves and fittings required by and in accordance with the Plans. Fairhope acknowledges and agrees that Forestar shall have no obligations under this Agreement unless and until the occurrence of the Closing. 3. Notices. Any notice or other communication under this Agreement must be in writing and shall be effective if delivered to the recipient’s address stated below by: (i) personal delivery; (ii) certified United States Mail, return receipt requested; (iii) FedEx or comparable guaranteed next business day delivery service; or (iv) electronic mail. If a notice cannot be delivered because the intended recipient changed its address without at least ten (10) days prior notice to the other Party, then the notice that could not be delivered will be deemed refused by the intended recipient. Any Party may change its address for notice on ten (10) days advance written notice to the other Party. All notices Page 394 of 608 3 required to be delivered to more than one Party shall be delivered on the same calendar day by the same medium. Notices shall be deemed to be given upon personal delivery or delivery via electronic mail, or two business days after deposited with the United States mail service, or the following business day if deposited with an overnight delivery service. Any required notice shorter than 10 days shall be delivered via email or by hand delivery within the time set forth in the agreement. Fairhope: City of Fairhope Attn: Lisa A. Hanks, MMC City Clerk P.O. Drawer 429 Fairhope, AL 36533 Forestar: Forestar (USA) Real Estate Group Inc. Attn: Mark Schlauder 22000 Town Center Ave., Suite 100 Spanish Fort, AL 35527 Phone: (251) 263-1660 Email: markschlauder@forestar.com with copies to: Forestar (USA) Real Estate Group Inc. Attn: David Murphy 3330 Cumberland Blvd SE, Suite 275 Atlanta, Georgia 30339 Phone: (470) 330-1589 Email: DavidMurphy@forestar.com 4. Successors and Assigns. This Agreement shall be binding upon and inure to the benefit of the successors and assigns of the Parties hereto. This Agreement shall not be assigned by any Party, except in whole (including the assumption in writing of all obligations hereunder) without the prior written consent of the other Party, which consent shall not be unreasonably withheld, conditioned or delayed. 5. Amendments and Modifications. Neither this Agreement nor any provision hereof may be amended, waived, discharged or terminated except by an instrument in writing signed by all of the Parties hereto such instrument in writing not to be unreasonably withheld or delayed by any Party. 6. Entire Agreement. This Agreement shall constitute the entire agreement among the Parties pertaining to the subject matter hereof and shall supersede all prior agreements and all other understandings, negotiations and discussions, whether oral or written, of the Parties, and there shall be no warranties, representations or other agreements among the Parties in connection with the subject matter hereof except as specifically set forth in this Agreement. 7. Headings. The headings in this Agreement are for convenience of reference only and shall not limit or otherwise affect the meaning hereof. 8. Counterparts. This Agreement may be executed in any number of counterparts and by different Parties hereto in separate counterparts, each of which when so executed shall be an original, but all of which shall together constitute one (1) and the same instrument. Faxed, scanned, or electronic copies of any party’s executed signature page hereof shall be effective as an original. Page 395 of 608 4 9. Governing Law. THIS AGREEMENT SHALL BE GOVERNED BY, CONSTRUED AND ENFORCED IN ACCORDANCE WITH THE LAWS OF THE STATE OF ALABAMA WITHOUT REFERENCE TO THE CONFLICTS OR CHOICE OF LAW PRINCIPLES THEREOF. ANY LITIGATION MATTERS RELATED THIS AGREEMENT OR OTHER CAUSES OF ACTION ARISING FROM THIS AGREEMENT SHALL BE HEARD ONLY IN THE CIRCUIT OF BALDWIN COUNTY, ALABAMA OR THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF ALABAMA. 10. No Third-Party Beneficiaries. This Agreement is solely for the benefit of the Parties and their successors and assigns permitted under this Agreement. Except as otherwise specifically provided herein, no provision of this Agreement shall be deemed to confer upon any other Person any remedy, claim, liability, reimbursement, cause of action or right. 11. Interpretation. Each of the Parties has agreed to the use of the particular language of the provisions of this Agreement and any questions of doubtful interpretation shall not be resolved by any rule or interpretation against the drafters, but rather in accordance with the fair meaning thereof, having due regard to the benefits and rights intended to be conferred upon the Parties hereto and the limitations and restrictions upon such rights and benefits intended to be provided. 12. Severability. If any article, section, subsection, term or provision of this Agreement or the application of the same to any Party or circumstances shall, to any extent, be invalid or unenforceable, the remainder of the article, section, subsection, term or provision of this Agreement or the application of the same to the Parties or circumstances other than those to which it is held invalid or enforceable shall not be affected thereby and each remaining article, section, subsection, term or provision of this Agreement shall be valid and enforceable to the fullest extent as permitted by applicable laws. 13. Relation of the Parties. Nothing contained in this Agreement shall be deemed or construed by the Parties hereto or by any third party to create the relationship of principal and agent, partnership, joint venture or contractor/subcontractor. 14. Time. Time set forth in this Agreement for the performance of obligations shall be strictly construed, time being of the essence. With the exception of the delivery and inspection period set forth herein, in the event the date specified or computed under this Agreement or for the performance, delivery, completion or observation of a covenant, agreement, obligation or notice by any Party hereto or for the occurrence of any event provided for herein shall fall on a Saturday, Sunday or federal holiday, then the date for such performance, delivery, completion, observation or occurrence shall automatically be extended to the next calendar day that is not a Saturday, Sunday or federal holiday. [Signature Pages Follow] Page 396 of 608 The undersigned have executed this Agreement as of the Effective Date. FAIRHOPE: CITY OF FAIRHOPE By: Name: Title: FORESTAR: FORESTAR (USA) REAL ESTATE GROUP INC., a Delaware corporation By: Name: Title: Page 397 of 608 Exhibit A (Forestar Property) COMMENCING AT THE SOUTHWEST CORNER OF SECTION 36, TOWNSHIP 6 SOUTH, RANGE 2 EAST MARKED BY A COTTON SPINDLE IN THE CENTER OF THE INTERSECTION OF COUNTY ROAD 32 AND PIERCE STREET; THENCE SOUTH 89°37’55” EAST A DISTANCE OF 20.00 FEET TO A POINT; THENCE NORTH 00°04’38” WEST A DISTANCE OF 42.38 FEET TO A POINT AT THE INTERSECTION OF THE NORTH MARGIN OF SAID COUNTY ROAD 32 AND THE EAST MARGIN OF SAID PIERCE STREET, MARKED BY A CAPPED IRON ROD (REBAR) AND THE POINT OF BEGINNING OF THE PROPERTY HEREIN DESCRIBED; THENCE CONTINUING ALONG SAID EAST MARGIN NORTH 00°04’38” WEST A DISTANCE OF 2,633.94 FEET TO A POINT MARKED BY A MASONRY NAIL IN THE ASPHALT (PK NAIL); THENCE DEPARTING SAID EAST MARGIN SOUTH 89°28’39” EAST A DISTANCE OF 1,314.11 FEET TO A POINT MARKED BY AN IRON ROD (REBAR); THENCE SOUTH 00°15’09” WEST A DISTANCE OF 1,330.47 FEET TO A POINT MARKED BY AN OPEN TOP PIPE; THENCE NORTH 89°58’02” WEST A DISTANCE OF 662.05 FEET TO A POINT MARKED BY A CAPPED IRON ROD (REBAR); THENCE SOUTH 00°04’38” EAST A DISTANCE OF 1,296.01 FEET TO A POINT ON THE AFORESAID NORTH MARGIN MARKED BY A CAPPED IRON ROD (REBAR); THENCE ALONG SAID NORTH MARGIN NORTH 89°37’55” WEST A DISTANCE OF 205.95 FEET TO A POINT MARKED BY A CAPPED IRON ROD (REBAR); THENCE DEPARTING SAID NORTH MARGIN NORTH 00°20’36” EAST A DISTANCE OF 279.91 FEET TO A POINT MARKED BY A CAPPED IRON ROD (REBAR); THENCE NORTH 89°36’02” WEST A DISTANCE OF 249.96 FEET TO A POINT MARKED BY A CAPPED IRON ROD (REBAR); THENCE SOUTH 00°21’13” WEST A DISTANCE OF 280.05 FEET TO A POINT ON THE ON SAID NORTH MARGIN MARKED BY A CAPPED IRON ROD (REBAR); THENCE ALONG SAID NORTH MARGIN NORTH 89°37’55” WEST A DISTANCE OF 188.40 FEET TO THE POINT OF BEGINNING. Page 398 of 608 Exhibit B Page 399 of 608 Exhibit C (Plans) Lone Oak Farms – CR 32 Turn lane Widening plans, Job. No. 24-1946.20, dated December 2025, prepared by Jinright & Associates Development Engineers. Page 400 of 608 Exhibit D1 12" D.I. CL 350 WATER PIPE (641-A) 5,458 linear feet 8" D.I. CL 350 WATER PIPE (641-A) 97 linear feet 1 Note: Forestar to provide engineered specifications, quantities, etc. Page 401 of 608 Exhibit E (Delivery Schedule) Pipe Delivery to Forestar Property by February 28, 2026. Page 402 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-478 FROM: Wes Boyett, GAS SUPERINTENDENT SUBJECT: The Superintendent of the Gas Department, Wes Boyett, is requesting to hire a qualified contractor to perform Natural Gas Distribution System Leak Detection Survey. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the award of Bid No. 26-011 Natural Gas Distribution System Leak Detection Survey to Surview Field Services, Inc. for a contract amount not-to-exceed $100,000.00. BACKGROUND INFORMATION: A Request for Proposal was issued on October 10, 2025, posted to the City of Fairhope's website, and advertised in the Gulf Coast Media. Four (4) responsive proposals were received at the bid opening on November 20, 2025 at 2:30 p.m. The proposals were evaluated by five (5) City of Fairhope staff (see attached Evaluation Score Sheet). The recommendation by the evaluation team is to award the contract to Surview Field Services, Inc. Surview Field Services, Inc. Cost Proposal included: 1. Leak survey using remote methane leak detection (RMLD) equipment for gas services lines for $7.00/each. 2. Leak survey using remote methane leak detection (RMLD) equipment for gas mains for $165.00/mile. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 002-50290 Gas - Professional Services $100,000.00 $100,000.00 $0.00 GRANT: N/A Page 403 of 608 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: Treasury to input Contract in Accounting system. Action required (list contact persons/addresses if documents are to be mailed or emailed): N/A Page 404 of 608 RESOLUTION NO. _____ 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. 26-011) for Natural Gas Distribution System Leak Detection Survey for the Gas 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 Natural Gas Distribution System Leak Detection Survey [3] After evaluating the bids with required specifications, Surview Field Services, Inc. is now awarded (Bid No. 26-011) for Natural Gas Distribution System Leak Detection Survey for the Gas Department for a not-to-exceed annual contract of $100,000.00. DULY ADOPTED THIS 12TH DAY OF JANUARY, 2026 _____________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 405 of 608 Page 406 of 608 Page 407 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope Deadline: November 20, 2025 11:00 a.m. Page 408 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope I Erin Wolf, Purchasing Manager City of Fairhope November 20, 2025 Surview Field Services is pleased to provide City of Fairhope (the City) with a quote to perform your Leak Detection Survey. Surview leverages the latest technologies in its leak detection services. In addition to providing leak detection at tremendous precision, our comprehensive leak survey solution is a streamlined spatial based workflow that allows utilities to make data driven decisions in addition to maintaining compliance more efficiently and accurately. Through our extensive industry experience and our advanced field solutions, we are the trusted industry professionals to help you maintain regulatory compliance. Please feel free to reach out to Adam Barnes, Director of Leak Survey if you have any questions. He can be reached at (205)703-3935 or adam.barnes@surviewfieldservices.com. Sincerely, Adam Barnes Director Surview Field Services, Inc. State of Incorporation: Alabama Corporate office: 7047 Old Madison Pike NW, Huntsville, AL 35806 Headquarters: 705 Wildflower Avenue, Oneonta, AL 35121 Page 409 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 2 COMPANY PROFILE In November 2020, Surview Field Services (Surview) acquired the assets of LiSCO and retained the services of the existing, experienced leak survey staff. We are pleased to continue the legacy of LiSCO with Surview while providing technologically superior deliverables to our clients. Our company’s professional solutions are designed to exceed expectations through careful consideration of the needs of our clients and top-notch service provided by sincere, personal attention. Surview was able to adopt the FlowGIS platform, created by the Technology Division within our subsidiary, Magnolia River Services, Inc. (Magnolia River), as our preferred leak survey module, thereby utilizing the experienced and professional Magnolia River GIS staff for project setup and support. This partnership allows for mutual success between Surview and our clients in terms of helping maintain regulatory compliance, efficiently tracking and managing asset inventory, and streamlining integrity management workflows. Through these efforts, Surview continues to provide the data and reports needed to maintain compliance at the state and federal levels. Surview’s success has been based in great part on how we endeavor to improve the quality of the services we provide to our clientele, and the subsequent impact it has within each community and across the industry. FIRM EXPERIENCE Surview continually strives to ensure we have the most technologically advanced operation in the industry, as well as the most highly trained, certified, and competent personnel on staff. Surview will provide a leak technician based on the skill sets and experience needed to successfully execute this leak survey. Surview has a dedicated staff along with the availability and commitment to provide quality services for this project. Surview has completed several leak survey projects using GPS capability while recording atmospheric corrosion conditions. Surview has experienced remarkable success utilizing FlowGIS to collect and report data in near real time for other gas operators. Surview completed projects for the City of Brewton, AL and North Alabama Gas District where our technicians collected GPS points for missing gas attributes. While doing so, our technicians also collected GPS points of inactive service lines where meters were removed. In doing this, Surview helped these operators maintain compliance and update their GIS systems for improved accuracy and efficiency. These projects are coordinated at the front end by the Magnolia River GIS group for project setup and implementation. Throughout the project, one of our office administrators reviews daily documentation and workflows to ensure mutual success between Surview and the client. Surview also utilizes the experienced and professional Magnolia River software group to manage these projects from a support and function aspect. The software group plays an integral part in compiling and sending the necessary data and shape files at the required intervals. Page 410 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 3 STATEMENT OF FINANCIAL CONDITION Surview Field Services, Inc. will submit the most recent confidential financial statements after an NDA has been signed by both parties. PROJECT TEAM Surview continually strives to ensure we have the most technologically advanced operation in the industry, as well as the most highly trained, certified, and competent personnel on staff. Surview will provide a leak technician, or technicians based on the skill sets and experience needed to successfully execute this leak survey. Surview has a dedicated staff along with the availability and commitment to provide quality services for this project. COMPOSITION AND QUALIFICATION OF STAFF A. Number of employees – 33 B. OQ Qualification of Individual staff members: a. EWN-CBT - Outside Gas Leak Investigation (1241) b. EWN-CBT - Walking Gas Leak Survey (1261) c. EWN-CBT – Mobile Gas Leak Survey (1271) d. EWN-CBT – Gas Detection with a Remote Methan Laser Detector (1281) e. EWN-CBT – Perform Visual Inspection for Atmospheric Corrosion (0141) f. EWN-CBT – Leak Classification (2280) g. EWN-CBT – Properties of Natural Gas (2314) C. Quarterly PHMSA Drug & Alcohol Statistics a. The 2023 and 2024 Q1 MIS Data Collection Form will be submitted with this proposal. D. Employee Experience and Training Procedures a. Surview employees are hired based on skillset and experience in the natural gas industry. Once hired, training procedures are followed based on the experience of the technician. Our technicians go through a two-week training in the office to review the following: Basic properties of natural gas, leak classification and grading, leak survey Software review, our leak survey policies and procedures and company policies and procedures. Page 411 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 4 b. Once the in-office training is completed, our technicians train with a seasoned leak survey technician who is also qualified to review and conduct the EWN performance evaluations after the field training has commenced. This employee has over 35 years of experience in the natural gas industry. In his former role, he conducted and completed all OQ and field training for a large investor-owned utility before coming to work for Surview. PROJECT ASSUMPTIONS • To perform these services, Surview will rely on the accuracy and completeness of the City’s natural gas line using maps and/or directions provided by the City to the suspected leak location. To obtain accurate results, the City must provide Surview with timely and accurate information. • Surview will complete natural gas leak survey and/or atmospheric corrosion inspection based on the meter information provided in the GIS shapefile before the beginning of the survey. • Surview will be pleased to provide services outside the above-defined scopes of work as requested and agreed upon by the City in writing. • All leak survey equipment needed for the proposed scope of services will be provided by Surview. • Surview will need to enter and/or cross private property to conduct the scope of services; however, the rights of property owners will be respected. LEAK SURVEY DEVICES Our technicians are each equipped with an Apple iPad to access FlowGIS for daily documentation and leak survey processes and procedures. The iPads are also used to communicate project specific assignments and tasks while working for a client. Our technicians are also equipped with a Heath RMLD -CS for the walking leak survey. Our technicians also have a Bascom Turner Rover or Explorer to quantify any leaks found. This instrument is also used to take methane samples in barholes to determine peak and sustained methane readings. Page 412 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 5 PAST PERFORMANCES Surview Field Services leverages its proven experience and industry knowledge to offer a minimal risk and best value solution to meet the requirements of this proposal. We have included some past project information below: Client: Jackson Energy Authority Project Name: Natural Gas Leak Survey Project Description: Surview Field Services Leak Survey division surveyed all underground and aboveground assets identified by Jackson Energy Authority. Scope Responsibility: Surview performed a walking leak survey for Jackson Energy Authority for 1/5th of their distribution gas system including mains, service lines and meters. Surview leveraged Magnolia River’s proprietary software (FlowGIS) to breadcrumb our efforts, collect leaks and report on them via email notifications to the client. During this project, we also assessed the condition of all above ground piping for atmospheric corrosion and utilized FlowGIS to report in real time. Client: City of Brewton, AL Project Name: Natural Gas Leak Survey Project Description: Surview Field Services Leak Survey division collected missing assets and surveyed the entire gas system for The City of Brewton Scope Responsibility: Surview performed a walking and mobile leak survey of the entire distribution system for The City of Brewton. While completing this leak survey and atmospheric corrosion inspection, we also collected missing above ground assets for the city. This included regulator stations, first cut regulators, meters and risers. We collected riser locations to help the city assess their Rule 13 inactive service lines. This was a turnkey leak survey, atmospheric corrosion inspection and data collection project that enabled The City of Brewton to better manage their data and allowed our technicians to work without the use of a guide for future surveys. Page 413 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 6 Client: North Alabama Gas District Project Name: Natural Gas Leak Survey – AMLD Project Description: Surview conducted a sample leak survey for North Alabama Gas District using AMLD technology to cover above ground and below ground gas assets. Scope Responsibility: Surview performed a compliance AMLD and traditional leak survey for North Alabama Gas District. This survey consisted of driving all gas mains using AMLD technology and doing real time leak investigations on indications found. A follow up traditional leak survey was completed for all “Gap” areas as defined by the Discover Software and completed in FlowGIS. LEAK SURVEY SCOPE OF WORK Surview will provide City of Fairhope with the following: • Natural gas leak detection survey, including 130 miles of gas main and 4,553 service lines and meters as listed in the RFP. • This natural gas leakage survey will be done in accordance with the Code of Federal Regulations (CFR) 49 Part 192, latest revision. This survey will be completed using accepted leak detection equipment for all underground and aboveground piping and services. Also included will be atmospheric testing in manholes, valve boxes, pavement, sidewalk cracks, and any other probable areas for gas leaks. Reports will be uploaded into FlowGIS, our proprietary software, compiled at the end of the project, and submitted to the Utility Department at the completion of the project. Reports will include all leaks found, their classification, number of each type, and location of each leak. • Any leak located by the flame ionization method will be pinpointed and graded at the time of the discovery. The amount of gas in the atmosphere will be determined by use of a combustible gas indicator (CGI). The leak report will show the location of the leak, percent of gas at the leak location, and the classification of the leak. Grade 1 leaks will be reported to the proper utility company personnel immediately. In the event of a Grade 1 leak, Surview will ensure personal safety, safety of the public, and remain onsite until Fairhope Gas Department personnel arrive. • A breadcrumb will be maintained throughout the duration of the survey. Access to this information will be provided in the form of a web map to company personnel for a real -time view of the survey. This web map will be accessible for 90 days after the compl etion of the leak survey. Figure 1: FlowGIS Leak Survey Using iPad. Page 414 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 7 • All aboveground and belowground leaks will be reported to an Operation Supervisor immediately via email notifications. • Daily Technician Sheets will be filled out and submitted at the end of each day. This sheet includes the following: total number of services surveyed for the day, total survey mileage for the day, total leaks found (both aboveground and belowground), survey hours (start time and end time), AM and PM temperature and weather conditions (including wind speed), and any other pertinent information regarding the natural gas leak survey throughout the day. • The technician will take a picture of the proposed leak location and upload this information into FlowGIS. • GIS data will be utilized to identify business district/schools for proper implementation into FlowGIS. These meters will be identified with a “B” for easy identification. • GIS data will be used to create a boundary around the leak survey section for the 2024 Leak Survey. • Meters that cannot be accessed will change colors from orange to purple. • Meters that have successfully been surveyed will change colors from orange to green. • The survey will be completed Monday through Friday during normal working hours (7 AM to 4 PM). • Surview will make a good faith effort to survey all meters, regulator stations, farm taps and aboveground piping with a minimum of two attempts. • Surview truck magnets will be displayed on all Surview vehicles for identification, as well as contractor signage from the City of Fairhope. • All Surview technicians will be OQ certified (Both CBT’s and PE’s) per the Code of Federal Regulations and B31Q utilizing the Energy WorldNet Operator Qualification system. Page 415 of 608 Leak Detection Survey Bid No. 26-011 City of Fairhope 8 PROPOSED PROJECT PRICING The Services described in this Price Quote and Order will be governed by the terms and conditions listed in the “Client Contract.” The Client Contract shall mean and shall consist of the following documents to the extent that each exists, listed in their order of priority in the event of conflicti),g terms: (a) the Master Contract; (b) this Surview Price Quote and Order, including the terms and conditions listed hereafter; and (c) any exhibit(s), schedule(s), map(s) or descriptions utilized by Surview in performance of the Services. Surview and the Client agree that a Purchase Order issued by the Client to Surview for this Project may serve as a reference for billing purposes, but that any pre-printed terms and conditions that may be attached to or reflected on the front or back of the Client’s Purchase Order shall not be applicable to Surview or this Project. Traditional Leak Survey Pricing: Item No. Description Unit Estimated Quantity Bid Unit Price Bid Price 1 Leak survey using remote methane leak detection (RMLD) equipment of approximately 4,268 Gas Service Lines from the main to the meter installation. This includes grading, classifying, and pinpointing all leaks found. Each 4,553 $7.00 $31,871 2 Leak survey using remote methane leak detection (RMLD) equipment of approximately 224 Miles of Gas Main. This includes grading, classifying, and pinpointing all leaks found. Miles 130 $165 $21,450 TOTAL: $53,321 The above price includes the estimated labor and out-of-pocket expenses associated with the performance of the stated Scope. Surview realizes that inclement weather days could cause a delay in survey completion. These delays will be communicated with the City of Fairhope to ensure the work is completed in a timely manner. Page 416 of 608 Operator Qualification Plan Surview Field Services, Inc. Created Date: 4/13/2016 Last Update Date: 11/16/2020 Page 417 of 608 P a g e | 2 Surview Field Services Operator Qualification Program Table of Contents 1.0 Introduction .................................................................................................... 3 2.0 Purpose .......................................................................................................... 3 3.0 Scope ............................................................................................................. 3 4.0 Definitions ...................................................................................................... 3 5.0 Responsibilities .............................................................................................. 4 6.0 Qualification Program ..................................................................................... 5 7.0 Covered Tasks ............................................................................................... 6 8.0 Qualification Methods ..................................................................................... 6 9.0 Abnormal Operating Conditions ..................................................................... 6 10.0 Training Requirements ................................................................................... 6 11.0 Review Of Individuals ..................................................................................... 7 12.0 Communicating Changes Affecting Covered Tasks ....................................... 8 13.0 Maintaining Qualifications .............................................................................. 8 14.0 Sub-Contractor Employees ............................................................................ 8 15.0 Recordkeeping ............................................................................................... 9 16.0 Index Of Changes .......................................................................................... 9 Appendix A: Index Of Changes .............................................................................. 10 Page 418 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 3 1.0 INTRODUCTION Surview Field Services is committed to promoting employee and gas system safety throughout our organization. Surview Field Services has established this operator qualification program to ensure that all individuals performing covered tasks for our company on DOT-regulated pipelines are OQ qualified in accordance to 49 CFR Part 192, Subpart N and 49 CFR Part 195, Subpart G. This program includes: requirements for identifying covered tasks, qualifying individuals who perform those tasks, and managing those qualifications. All employees performing covered tasks will be OQ-qualified under this program before they perform any covered tasks. 2.0 PURPOSE The purpose of Surview Field Services Operator Qualification Program is to establish a certified qualification program with documented results to ensure compliance with D.O.T. regulations to qualify each person to perform assigned "covered" tasks and to recognize and react to abnormal operating conditions. This program will: Encourage professionalism and integrity in the safe performance of job duties Raise the level of technical competency of operating personnel Raise the performance level of operating personnel Establish job performance criteria against which the performance level of operating personnel can be evaluated Create an incentive for personal improvement of operating personnel 3.0 SCOPE This Operator Qualification program will address the training and qualification of all individuals that perform covered tasks on a pipeline for Surview Field Services. The requirements of this plan must be satisfied before any individual can perform any covered task on any pipeline. 4.0 DEFINITIONS Covered Tasks- A task that meets all four (4) parts of the four-part test set out by Part 192. A covered task is an activity that 1) is performed on a pipeline facility; 2) is an operations or maintenance task; 3) is performed as a requirement of Part 192; and 4) affects the operation or integrity of the pipeline. Abnormal Operating Condition -A condition identified by the operator that may indicate a malfunction of a component or deviation from normal operations that may 1) indicate a condition exceeding design limits or 2) result in a hazard(s) to persons, property or the environment. Normal Condition- A situation or event which can be worked or scheduled during normal hours or placed on a waiting list if necessary. This would constitute the vast majority of activities performed on a daily basis. Page 419 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 4 Evaluation -A process established and documented by the o perator, to determine an individual's ability to perform a covered task by any of the following: (a) Written examination; (b) Oral examination; (c) Observation during performance of task; (d) Performance on the job; (e) On the job testing; (f) Simulations Qualified Employee -An individual working for Surview Field Services or its sub- contractor who has been evaluated and can: (a) Perform assigned covered tasks; and (b) Recognize and react to abnormal operating conditions. Training Module -A single unit of training that generally covers one specific area of qualification. DOT -Department of Transportation 5.0 RESPONSIBILITIES Surview Field Services is committed to making the training segment of our operation the very best and safest it can possibly be in order to comply with federal and state regulations. Our leadership will continue to monitor various methods of training to make certain our employees will react safely and responsively to events and emergencies as they occur. Training Development Surview Field Services accepts the responsibility of making sure our employees are receiving good quality training and that Surview will develop as part of this plan, a full schedule of training needs to ensure employees are properly trained. Director of Training and Operation Support will administer the internal training curriculum. Training resources outside of Surview Field Services may be employed from time to time in an effort to enhance the qualification of our employees. These resources will meet or exceed the standards that Surview has set for all internal training courses. OQ ADMINISTRATOR The responsibilities of the Director include: • Ensuring personnel receive appropriate training • Ensuring evaluation methods are applied consistently for all employees by assigning training by Group. Page 420 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 5 • Coordinate and assist with personnel training • Maintain internal training records and field certification requirements • Update training procedures as technology becomes available • OQ plan review annually, not to exceed 15 months • Manage changes to plan and communication of changes 6.0 QUALIFICATION PROGRAM Program Components • Identify covered tasks • Evaluate persons performing covered tasks in a fair and consistent manner across corporate boundaries. • Ensure through Evaluation that Individuals Performing Covered Tasks are qualified • Define provisions to allow non-qualified persons to perform covered tasks if directed and observed by a person who is qualified. • Evaluate an individual’s performance of covered tasks that may have contributed to a reportable incident or related accident or near miss • Evaluate individuals that Surview Field Services has reason to believe may no longer be qualified to perform a covered task. • Communicate changes that affect covered tasks to individuals performing those tasks. • Identify the intervals for which re-evaluation of the individual’s qualifications are required. • Identify Abnormal Operating Conditions, (AOCs) generic and specific, that may reasonably occur in the performance of each task. • The provisions of the Operator Qualification Program (192.805) are documented in this plan and within the EWN records management system. • Covered tasks have been accepted or changed to tho se specifically performed by Surview Field Services. • Evaluations appropriate to the Surview Field Services activities have been assigned to covered tasks according to the unique requirements of the Surview. • Definitions have been modified to meet the Surview Field Services operating practices. • Re-evaluation intervals have been reviewed and defined by ASME and adopted by Surview Field Services. • Abnormal Operating Conditions (AOCs) have been reviewed with additions, deletions and modifications unique to the Surview Field Services requirements. Page 421 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 6 7.0 COVERED TASKS Surview Field Services follows the requirements set forth by each Operator for determining covered tasks and the appropriate requalification intervals and the Span of Control for each task. 8.0 QUALIFICATION METHODS Surview Field Services will use various methods for qualifying employees performing covered tasks including written examination, oral examination, simulation, and observation during performance on the job. The qualification method will be determined by the task being qualified and is written into this plan. Qualification methods for each covered task are determined by the Operator, and are also saved as a part of any qualification record. Any individuals not qualified by the methods above will be observed and directed by a qualified person during performance of the task. 9.0 ABNORMAL OPERATING CONDITIONS Employees will be taught to identify/recognize and respond to certain conditions considered to be abnormal operating conditions. Examples of abnormal operating conditions include, but are not limited to: • Unintended valve closures or shutdowns • Abnormal pressure changes (high or low) • Loss of communications • Malfunction of a component • Deviation from normal operating conditions • Personnel error • Explosion • Leak • Fire • Natural disasters such as tornado, hurricane or flood Dependent upon their job responsibilities, employees are not required to make decisions concerning the abnormal operating condition, if unrelated to their expertise, but to notify the appropriate supervisor for course of action. 10.0 TRAINING REQUIREMENTS An Evaluator will be chosen based on the following factors: 1. Has the required knowledge, through training or experience, to ascertain the employee’s ability to perform the specific details of the covered task and to recognize and react to abnormal operation conditions that might occur while performing that covered task Page 422 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 7 2. Communication skills 3. Personal integrity 4. Specific approval of the nomination by management Initial Training (New hires / Job Transfers) - Classroom instruction and/or computer- based training (CBT) with associated exams will be used to ascertain the knowledge elements required. New hires/job transfers will be observed and directed by qualified personnel until such time as they are qualified to perform the task. Requalification - OQ qualified individuals who perform covered tasks will be evaluated before or during the final year of the subsequent OQ qualification interval for that task. If the subsequent OQ qualification does not take place before the end of the qualification period, the individual will be deemed unqualified to perform that task. Re-Evaluation after a Failed OQ qualification -If an individual fails an evaluation on a covered task, their OQ qualification on that task is revoked. They must successfully complete the failed evaluation before their OQ qualification is re-instated. 11.0 REVIEW OF INDIVIDUALS If there is reason to believe that an employee in a covered position is no longer qualified, an area supervisor will review circumstances surrounding the employee's performance. Based upon the results of this review, the employee will either: • Receive remedial training • Be allowed to perform the same duties provided a qualified person is on the job site and working with the individual • Be reassigned to another task for which he/she is qualified • Any other action deemed appropriate. If an individual is or may have been involved in an incident or accident, an area supervisor will review circumstances surrounding the employee's performance. Based upon the results of this review, the employee will either: • Receive remedial training • Be allowed to perform the same duties provided a qualified person is on the job site and working with the individual • Be reassigned to another task for which he/she is qualified • Any other action deemed appropriate. Page 423 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 8 12.0 COMMUNICATING CHANGES AFFECTING COVERED TASKS Changes may occur that impact how a covered task is performed and, as such, may need to be communicated to those individuals performing the affected tasks. Examples include but are not limited to: • Modifications to company policies or procedures; • Changes in state or federal regulations; • Utilization of new equipment and/or technology; • New information from equipment or product manufacturers. When significant changes occur, the appropriate supervisors will be notified of said changes on a monthly basis. Those changes will then be communicated to the affected individuals by their supervisors. Substantive changes may require additional qualification requirements and re-evaluation of individuals performing the affected covered task. The time a change is approved until the impact of the change is communicated to persons expected to perform covered tasks will not exceed 10 working day(s). Each change will be reviewed against all work performed on covered tasks. Adam Barnes, Director, will communicate changes to sub-contractor employees that perform affected covered tasks. The changes will be communicated to all individuals affected including sub- contractors. The method of communication will be expedient and accomplished via any of the following: morning briefing, policies and procedures, safety meetings, pre- job briefings, management directives, written or electronic notification. Records of changes will be maintained showing that all employees including sub- contractors assigned to affected tasks are informed of the changes. Records will be maintained showing the impact on the performance of the task. 13.0 MAINTAINING QUALIFICATIONS Surview Field Services will follow the recommendations of ASME and follow the requalification intervals outlined in the standard ASME B31Q task list in absence of a qualification plan for the applicable Operator. 14.0 SUB-CONTRACTOR EMPLOYEES All individuals including sub-contractors are required to be qualified in order to perform covered tasks on a pipeline. Any sub-contractor employed by Surview Field Services will be required to follow this plan when qualifying their employees. If necessary, Surview Field Services will provide a list of available (approved) training providers to the sub-contractors to choose from. Surview Field Services will review the sub-contractor’s records for compliance with the Operator Qualification rule and this Operator Qualification plan before any individual is allowed to work on a pipeline and at random intervals to ensure continued qualification. Page 424 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 9 15.0 RECORD KEEPING Qualification records will be maintained by Adam Barnes, Director and will include: 1) The identity of each qualified individual such as employee name 2) Each covered task for which he/she is qualified 3) Date of current qualification 4) Evaluation method Qualification records will be maintained for a period of five (5) years for all individuals who perform covered tasks on any pipeline including company employees and sub- contractors for both OQ and AOCs. 16.0 INDEX OF CHANGES All changes to Operator Qualification plans and qualification procedures will be written and maintained so the impact of changes can be tracked and evaluated. This index will include the date of change, reason for the change and the dates of communication of the change to all individuals necessary. These changes will be kept in Appendix A: Index of Changes. Page 425 of 608 Surview Field Services, Inc. Operator Qualification Program P a g e | 10 Appendix A: Index of Changes Notification Date Date Change Reason for Change Internal Contractor Page 426 of 608 July 25, 2025 In order to comply with Operator Qualification and Re-qualification mandate of Pipeline Safety Personnel, we are pleased to submit the following information: All Surview Field Services, Inc., technicians performing a covered task (Leakage Survey) have successfully completed and passed CBT’s relevant to Leakage Surveys. These modules were developed by ENERGY WorldNet, Inc. Surview Field Services, Inc. technicians have successfully completed the following modules: EWN-CBT-Perform Outside Gas Leak Investigation (1241) EWN-CBT-Walking Gas Leak Survey (1261) EWN-CBT-Perform Mobile Gas Leak Survey (1271) EWN-CBT-Gas Detection with a Remote Methane Leak Detector (Health RMLD) (1281) EWN-CBT-Perform Visual Inspection for Atmospheric Corrosion (0141) EWN-CBT-Leak Classification (2280) Surview Field Services, Inc., technicians are re-evaluated and must pass the CBTs on the above modules every three years. Technician Exam Date Technician Exam Date This information should be made permanent and should be retained in your files. If you have any questions or need additional information regarding the enclosed, please feel free to contact us. Sincerely, Surview Field Services, Inc. Adam Barnes Director Leak Survey Page 427 of 608 ANTI-DRUG AND ALCOHOL MISUSE PREVENTION PLAN U.S. DEPARTMENT OF TRANSPORTATION PIPELINE & HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA) PREPARED IN ACCORDANCE WITH THE REQUIREMENTS OF: 49 CFR PART 199 49 CFR PART 40 SURVIEW FIELD SERVICES 711 NANCE FORD RD SW HARTSELLE, AL 35640 256-612-9974 Original Date of Implementation: 7/17/2023 New Effective Date: 1/1/2025 PLAN REVISION DATE: January 1, 2023 REVISION DATE MODIFIED BY NCMS ONLY. ©NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2023 Copyright Certificate of Registration TX 8-415-218 Page 428 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.2 Table of Contents I. INTRODUCTION 4 1.Development of "Combined" Plan 4 2.Approach 4 3.Background 5 II.GENERAL 5 1. Scope 5 2.Applicability 5 3. Compliance 6 4."DOT" vs. "PHMSA 6 5.DOT Procedures 6 6.Stand-down Waiver 6 7.Preemption of State and Local Laws 6 8.Definitions 7 III.POLICY AND RESPONSIBILITIES 12 1.Company Policy 12 2.Responsibilities of Key Personnel 12 3. Responsibilities of Covered Employees 13 4. Use of Service Agents 13 5. Critical Service Agent Positions 14 6. "NON-DOT" Testing Program 15 IV.DOT PROGRAM REQUIREMENTS 15 1. Employees Subject to Testing 15 2.Acknowledgement/Receipt Form 15 3. History Check Requirement 16 4.Employee Notification of Tests 16 5.DOT Drug Violations 17 6. DOT Alcohol Violations and Prohibited Conduct 17 7. Violation Consequences and Company Actions 18 V. ANTI-DRUG PROGRAM 18 1.DOT- Required Drug Tests 18 2. Drug Tests That Require Direct Observation Procedures 21 3.Specimen Collection Procedures 21 4.PHMSA Inspection Protocol for Specimen Collection Sites 23 5.Drug Testing Laboratory 24 6. Laboratory Retention Period and Reports 26 7.Laboratory Quality Control 26 8.MRO Review of Drug Test Results 26 9.Split Specimen Testing 27 10.Medical or Recreational Marijuana 28 Page 429 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.3 VI. ALCOHOL MISUSE PREVENTION PROGRAM 28 1. DOT- Required Alcohol Tests 28 2. Alcohol Test 30 3. PHMSA Inspection Protocol for Alcohol Testing Sites 31 VII. PROGRAM ELEMENTS COMMON TO DRUG AND ALCOHOL 34 1. Substance Abuse Professional 34 2. Employee Assistance Program 35 3. Supervisor Training 35 4. Contractor Monitoring 35 5. Recordkeeping 36 6. Management Information System 37 VIII. APPENDIX A Acknowledgement/Receipt Form 38 IX. APPENDIX B Designated Personnel and Service Agents 39 X. APPENDIX C Covered Positions 40 XI. APPENDIX D Company Disciplinary Actions and Additional Procedures 41 XII. APPENDIX E PHMSA Anti-Drug and Alcohol Misuse Prevention Program Inspection Protocol Form, Substance Abuse Program Comprehensive Audit and Inspection Protocol Form Specimen Collection Sites, Alcohol Testing Sites and Changes to Model Plan 43 XIII. APPENDIX F Post-Accident or Reasonable Cause/Suspicion Supervisor Written Record 56 XIV. APPENDIX G Reasonable Cause/Suspicion Observation Checklist 57 Page 430 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.4 I. INTRODUCTION 1. Development of "Combined" Plan The Pipeline and Hazardous Materials Safety Administration (PHMSA) is the agency within the Department of Transportation (DOT) that regulates operators in the natural gas and hazardous liquid pipeline industry. PHMSA's Drug and Alcohol Testing Regulation, 49 CFR Part 199,.1 requires each operator to develop, maintain, and follow an Anti-Drug and an Alcohol Misuse Prevention Plan. Historically, companies have produced these plans as two separate documents. This "combined" Anti- Drug and Alcohol Misuse Prevention plan, merges both PHMSA-required plans into a single document. Authorization for a combined plan was granted by PHMSA’s Office of Pipeline Safety stating: “PHMSA will allow the combining of the two plans into one written plan, as long as all requirements of each regulation are met.” The “requirements of each regulation” means the requirements of Part 199 and the requirements of DOT’s “Procedures for Transportation Workplace Drug and Alcohol Testing,” 49 CFR Part 402 . The Anti-Drug and Alcohol Misuse Prevention Plan henceforth referred to as the “Plan,” meets the requirements of Part 199 and Part 40. 2. Approach The Plan will use the generic word "Company" in reference to the operator or contractor, as applicable, for which it is written. PHMSA's requirement for plan development and implementation applies equally to each operator and contractor that performs covered safety-sensitive operations, maintenance, or emergency- response functions on a pipeline or LNG facility within the natural gas and hazardous pipeline industry. The Plan will describe how the Company will comply with government requirements. The Plan will identify "Company-additional" requirements - those that go beyond the minimum requirements of DOT. Company-additional requirements will be underscored. Therefore, consider anything that is not underscored a requirement of DOT or a process put in place by the Company to meet a DOT requirement. Appendix D outlines the Company disciplinary actions and additional procedures. The Plan is written in "plain language" and follows the requirements of each rule. However, the Plan does not repeat the language of either Part 40 or Part 199. Doing so would require the Company to produce a new plan every time DOT or PHMSA issued a change to their respective rule. The goal of DOT is to know that the company understands the requirements of the rules and how the Company will go about achieving compliance. The Plan makes use of existing DOT language in places where summaries are used to explain a more detailed process (e.g., specimen collection and alcohol test procedures are extracted from DOT's "Employee Guide").3 Appendix E. of the Plan includes references to the PHMSA Inspection Protocol Forms4 for the purposes of assisting inspectors with specific areas of Plan compliance. 1 Title 49 Code of Federal Regulations (CFR), Part 199, “Drug and Alcohol Testing Requirements,” Pipeline and Hazardous Materials Safety Administration, Department of Transportation. 2 Title 49, Code of Federal Regulations (CFR), Part 40, “Procedures for Transportation Workplace Drug and Alcohol Testing Programs,” Office of the Secretary, Department of Transportation. 3 “What Employees Need To Know About DOT Drug & Alcohol Testing,” ODAPC, DOT. 4 “PHMSA Anti-Drug and Alcohol Misuse Program Inspection Protocol Form, PHMSA Substance Abuse Program, Comprehensive Audit and Inspection Protocol Form, Specimen Collection Sites and PHMSA Substance Abuse Program, Comprehensive Audit and Inspection Protocol Form, Alcohol Testing Sites.” Page 431 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.5 3. Background Safety. The DOT requires transportation employers to develop and implement drug and alcohol testing programs in the interest of public safety. Safety is the highest priority for DOT. One of the means by which the DOT helps ensure safety is by subjecting those workers responsible for transportation safety to drug and alcohol testing. Workers tested under the DOT program have a direct impact on the safety of the traveling public or the safety of those potentially affected by the transportation of hazardous products, such as natural gas, liquefied natural gas (LNG) and hazardous liquids. Test Procedures. The overall responsibility for management and coordination of the DOT program resides within the Office of the Secretary of Transportation's (OST), Office of Drug and Alcohol Policy and Compliance (ODAPC). ODAPC issues Part 40. Whether the transportation employee is a pipeline worker, truck driver, or airline pilot, their drug and alcohol tests are conducted using the same Part 40 procedures. This consistency benefits all employees affected by DOT regulations in each agency's regulations must adhere to DOT's testing procedures. Better known simply as "Part 40", this rule has become the standard for workplace testing in the United States. Compliance Enforcement. Regulation and enforcement within the different transportation industries is the responsibility of the DOT agency that has authority over the particular industry. The regulatory authority requiring drug and alcohol testing of safety-sensitive employees in aviation, trucking, railroads, and mass transit industries is the Omnibus Transportation Employee Testing Act of 19915 (OTETA). The OTETA did not specifically address the pipeline industry. PHMSA has regulatory authority over the pipeline industry and conveyed their authority, for drug and alcohol testing, through the issuance of their regulation - Part 199. Part 199 spells out who is subject to testing, when and in what situations. Operators, and in turn, their associated contractors, implement the regulations. II. GENERAL 1. Scope Operators of pipeline facilities subject to 49 CFR Parts 1926, 1937, or 1958 are required to test covered employees for the presence of prohibited drugs and alcohol. Contractors doing similar work on the behalf of their operators are subject to the same requirements. Part 199 requires of each operator the assurance that any contractor performing any DOT covered safety-sensitive work for that operator, under Parts 192, 193, or 195, is in full compliance with the provisions of the DOT's drug and alcohol program, as applicable. 2. Applicability Part 199, and the provisions of the Plan, applies to operators and contractors only with respect to their employees located within the territory of the United States, including those employees located within the limits of the "Outer Continental Shelf". Part 199 and the provisions of the Plan do not apply to covered functions performed on master meter systems or pipeline systems that transport only petroleum gas or petroleum gas/air mixtures. 5 Public Law 102-143, October 28, 1991, Title V – Omnibus Transportation Employee Testing, 105 Stat. 952-965; 49 U.S.C. 45104(2). 6 Part 192 – Transportation of Natural and Other Gas by Pipeline: Minimum Federal Safety Standards 7 Part 193 – Liquefied Natural Gas Facilities: Federal Safety Standards 8 Part 195 – Transportation of Hazardous Liquids by Pipeline Page 432 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.6 3. Compliance Plan Development. The Plan meets the requirements of Part 199, paragraphs §199.101 and §199.202, respectively, to develop a written anti-drug and a written alcohol misuse prevention plan. The Plan describes the methods and procedures for compliance with the drug and alcohol program requirements of the DOT, including the employee assistance program. The Plan covers the operational, day-to-day requirements that are found in Part 199, and the procedural, testing requirements that are found in Part 40. The Plan provides appendices for the name and address of each laboratory that analyzes specimens for the Company, the Company's Medical Review Officer, and Substance Abuse Professionals. The Plan communicates to employees, Company officials, and DOT officials the path that the Company will follow in order to comply with the requirements for a successful DOT drug and alcohol program. Plan Availability. The Plan will be posted in a common place, selected by the Company, for employee review and feedback. A copy of the Plan will be made available to all covered safety-sensitive employees. Any covered safety- sensitive employee desiring a copy of Part 40 and/or Part 199 must contact the Designated Employer Representative (see Appendix B). The Plan provides a basic description of the rules and testing requirements, and shows how the Company implements and follows them. The Plan is not meant as a substitute for the detail provided in either rule. If there is any difference in instruction or interpretation between the Plan and the rules, the rules prevail. The Plan will be updated at any time its language, or the intent of its language, differs from that of either Part 40 or Part 199. Employees are encouraged to obtain and read Part 40 and Part 199 on their own. 4. “DOT” vs. “PHMSA” All DOT testing procedures will follow Part 40 requirements. All DOT procedural responsibilities for pipeline operators and contractors will follow Part 199. In the Plan, the term "DOT" will be used for reference to general requirements (e.g., testing procedures) placed on all transportation employers, including operators and contractors. The use of the term "PHMSA" will be to distinguish specific, unique administration requirements versus general, DOT requirements (e.g., random alcohol testing is not authorized by PHMSA). 5. DOT Procedures The company will assure that the procedures of Part 40 are followed for drug and alcohol testing conducted under the requirements and authority of Part 199; a violation of Part 40 is a violation of Part 199. If the Company employs a Consortium/Third-Party Administrator (C/TPA) to assist in program development, implementation, and management, the C/TPA will, likewise, follow all the requirements of Part 40 and Part 199. It is the Company's goal to establish and maintain compliance with the DOT drug and alcohol program. 6. Stand-down Waiver DOT "stand-down" is not in effect for this Company. The Company does not hold a stand-down waiver under Part 40, and has not applied for one. Should this status change, the Company will notify all covered safety-sensitive employees and Company officials, in accordance with Part 40 requirements. 7. Preemption of State and Local Laws Part 40 and Part 199 are Federal laws. Federal law preempts any state or local law, rule, regulation or order to the extent that: (a) compliance with both the state or local requirement and Part 40 or 199 is not possible; or (b) compliance with the state or local requirement is an obstacle to the accomplishment and execution of any requirement of Part 40 or 199; or (c) the state or local requirement is a pipeline safety standard applicable to interstate pipeline facilities. This provision does not preempt provisions of state criminal law that impose sanctions for reckless conduct leading to actual loss of life, injury, or damage to property, whether the provisions apply specifically to transportation employees or employers or to the general public. Page 433 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.7 8. Definitions Definitions from Parts 40, 191, 195, and 199 have been combined in alphabetical order and are provided in a single listing. For purposes of the Plan, the following definitions apply: Accident/Incident - An incident reportable under Part 191 involving gas pipeline facilities or LNG facilities or an accident reportable under Part 195 involving hazardous liquid pipeline facilities. a) (§191.3) – An accident on a gas pipeline or LNG facility is defined as an "incident," as follows: (1)An event that involves a release of gas from a pipeline, gas from an underground natural gas storage facility, liquefied natural gas, liquefied petroleum gas, refrigerant gas, or gas from an LNG facility, and that results in one or more of the following consequences: (a) A death, or personal injury necessitating inpatient hospitalization; (b)Estimated property damage of $129,300* or more, including loss to the operator and others, or both, but excluding the cost of gas lost.; or (c) Unintentional estimated gas loss of three million cubic feet or more; *For adjustments for inflation observed in calendar year 2021 onwards, changes to the reporting threshold will be posted on PHMSA’s website. These changes will be determined in accordance with the procedures in Appendix A to Part 191. (2)An event that results in an emergency shutdown of an LNG facility or an underground natural gas storage facility. Activation of an emergency shutdown system for reasons other than an actual emergency does not constitute an incident. (3)An event that is significant, in the judgment of the operator, even though it did not meet the criteria of paragraphs (1) or (2). b) (§195.50) – An accident report is required for each failure in a pipeline system in which there is a release of the hazardous liquid or carbon dioxide transported resulting in any of the following: (1)Explosion or fire not intentionally set by the operator. (2)Release of 5 gallons (19 liters) or more of hazardous liquid or carbon dioxide, except that no report is required for a release of less than 5 barrels (0.8 cubic meters) resulting from a pipeline maintenance activity if this release is: (a) Not otherwise reportable under this section; (b) Not one described in §195.52(a)(4); (c) Confined to Company property or pipeline right-of-way; and (d) Cleaned up promptly; (3)Death of any person. (4)Personal injury necessitating hospitalization; (5)Estimated property damage, including cost of clean-up and recovery, value of lost product, and damage to the property of the operator or others, or both, exceeding $50,000. Administrator - The Administrator, Pipeline and Hazardous Materials Safety Administration (PHMSA) or his or her delegate. Adulterated specimen - A specimen that has been altered, as evidenced by test results showing either a substance that is not a normal constituent for that type of specimen or showing an abnormal concentration of an endogenous substance. Affiliate - Persons are affiliates of one another if, directly or indirectly, one controls or has the power to control the other or a third party controls or has the power to control both. Indicators of control include, but are not limited to: interlocking management or ownership; shared interest among family members; shared facilities or equipment; or common use of employees. Following the issuance of a Public Interest Exclusion (PIE), an organization having the same or similar management, ownership, or principal employees as the service agent concerning who public interest exclusion is in effect is regarded as an affiliate. This definition is used in connection with the public interest exclusion procedures of Part 40, Subpart R. Page 434 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.8 Air blank - In evidential breath testing devices (EBTs) using gas chromatography technology, a reading of the device's internal standard. In all other EBTs, a reading of ambient air containing no alcohol. Alcohol - The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular weight alcohols, including methyl or isopropyl alcohol. Alcohol concentration - The alcohol in a volume of breath expressed in terms of grams of alcohol per 210 liters of breath as indicated by a breath test under this part. Alcohol confirmation test - A subsequent test using an EBT, following a screening test with a result of 0.02 or greater, that provides quantitative data about the alcohol concentration. Alcohol screening device (ASD ) - A breath or saliva device, other than an EBT, that is approved by the National Highway Traffic Safety Administration (NHTSA) and appears on ODAPC’s Web page for “Approved Screening Devices to Measure Alcohol in Bodily Fluids” because it conforms to the model specifications from NHTSA. Alcohol screening test - An analytic procedure to determine whether an employee may have a prohibited concentration of alcohol in a breath or saliva specimen. Alcohol testing site - A place selected by the employer where employees present themselves for the purpose of providing breath or saliva for an alcohol test. Alcohol use - The drinking or swallowing of any beverage, liquid mixture or preparation (including any medication), containing alcohol. Aliquot - A fractional part of a specimen used for testing. It is taken as a sample representing the whole specimen. Breath Alcohol Technician (BAT) - A person who instructs and assists employees in the alcohol testing process and operates an evidential breath testing device. Cancelled test - A drug or alcohol test that has a problem identified that cannot be or has not been corrected, or which Part 40 otherwise requires to be cancelled. A cancelled test is neither a positive nor a negative test. Chain-of-custody (or Custody and Control Form (CCF) - The procedure used to document the handling of the urine specimen from the time the employee gives the specimen to the collector until the specimen is destroyed. This procedure uses the Federal Drug Testing Custody and Control Form (CCF) as approved by the Office of Management and Budget. Collection Container - A container into which the employee urinates to provide the specimen for a drug test. Collection Site - A place selected by the employer where employees present themselves for the purpose of providing a urine specimen for a drug test. Collector - A person who instructs and assists employees at a collection site, who receives and makes an initial inspection of the specimen provided by those employees, and who initiates and completes the CCF. Confirmatory drug test - A second analytical procedure performed on a different aliquot of the original specimen to identify and quantify the presence of a specific drug or drug metabolite. Confirmation (or confirmatory) validity test - A second test performed on a different aliquot of the original urine specimen to further support a validity test result. Page 435 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.9 Confirmed drug test - A confirmation test result received by an MRO from a laboratory. Consortium/Third-Party Administrator (C/TPA) - A service agent that provides or coordinates the provision of a variety of drug and alcohol testing services to employers. C/TPAs typically perform administrative tasks concerning the operation of the employers’ drug and alcohol testing programs. This term includes, but is not limited to, groups of employers who join together to administer, as a single entity, the DOT drug and alcohol testing programs of its members. C/TPAs are not “employers” for purposes of Part 40. Continuing education - Training for substance abuse professionals (SAPs) who have completed qualification training and are performing SAP functions, designed to keep SAPs current on changes and developments in the DOT drug and alcohol testing program. Covered function (or safety-sensitive function) - An operations, maintenance, or emergency- response function regulated by 49 CFR Part 192, 193, or 195 that is performed on a pipeline or on an LNG facility. Designated employer representative (DER) - An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties, and to make required decisions in the testing and evaluation processes. The DER also receives test results and other communications for the employer, consistent with the requirements of Part 40. Service agents cannot act as DERs. Dilute specimen - A urine specimen with creatinine and specific gravity values that are lower than expected for human urine. DOT Procedures (or Part 40) - The Procedures for Transportation Workplace Drug and Alcohol Testing Program published by the Office of the Secretary of Transportation in 49 CFR Part 40. DOT, The Department, DOT agency - These terms encompass all DOT agencies, including, but not limited to, the Federal Aviation Administration (FAA), the Federal Railroad Administration (FRA), the Federal Motor Carrier Safety Administration (FMCSA), the Federal Transit Administration (FTA), the National Highway Traffic Safety Administration (NHTSA), the Pipeline and Hazardous Materials Safety Administration (PHMSA), and the Office of the Secretary (OST). For purposes of this part, the United States Coast Guard (USCG), in the Department of Homeland Security, is considered to be a DOT agency for drug testing purposes only since the USCG regulation does not incorporate Part 40 for its alcohol testing program. These terms include any designee of a DOT agency. Drugs- The drugs for which tests are required under Part 40 and DOT agency regulations are marijuana, cocaine, amphetamines, phencyclidine (PCP), and opioids. Employee (covered employee) - Any person who is designated in a DOT agency regulation as subject to drug testing and/or alcohol testing. The term includes individuals currently performing safety- sensitive functions designated in DOT agency regulations and applicants for employment subject to pre-employment testing. For purposes of drug testing under Part 40, the term employee has the same meaning as the term "donor" as found on CCF and related guidance materials produced by the Department of Health and Human Services. For the purposes of regulation under Part 199, the term employee means a person who performs a covered function, including persons employed by operators, contractors engaged by operators, and persons employed by such contractors. This includes full-time, part-time and temporary employees. It also includes any applicant for a covered function. Employer - A person or entity employing one or more employees (including an individual who is self-employed) subject to DOT agency regulations requiring compliance with Part 40. The term includes an employer’s officers, representatives, and management personnel. Service agents are not employers for the purposes of Part 40. Error Correction Training - Training provided to BATs, collectors, and screening test technicians (STTs) following an error that resulted in the cancellation of a drug or alcohol test. Error correction training must be provided in person or by a means that provides real-time observation and interaction between the instructor and trainee. Page 436 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.10 Evidential Breath Testing Device (EBT) - A device that is approved by the National Highway Traffic Safety Administration (NHTSA) for the evidential testing of breath at the .02 and .04 alcohol concentrations, and appears on ODAPC’s Web Page for “Approved Evidential Breath Measurement Devices” because it conforms with the model specifications available from NHTSA. HHS, Department of Health and Human Services - The Department of Health and Human Services or any designee of the Secretary, Department of Health and Human Services. Initial drug test (also known as a ``Screening drug test'') - The test used to differentiate a negative specimen from one that requires further testing for drugs or drug metabolites. Initial specimen validity test - The first test used to determine if a urine specimen is adulterated, diluted, substituted, or invalid. Invalid drug test – The result reported by an HHS-certified laboratory in accordance with the criteria established by HHS Mandatory Guidelines when a positive, negative, adulterated, or substituted result cannot be established for a specific drug or specimen validity test. Invalid result – The result reported by a laboratory for a urine specimen that contains an unidentified adulterant, contains an unidentified interfering substance, has an abnormal physical characteristic, or has an endogenous substance at an abnormal concentration that prevents the laboratory from completing testing or obtaining a valid drug test result. Laboratory - Any U.S. laboratory certified by HHS under the National Laboratory Certification Program as meeting the minimum standards of Subpart C of the HHS Mandatory Guidelines for Federal Workplace Drug Testing Programs; or, in the case of foreign laboratories, a laboratory approved for participation by DOT under this part. Limit of Detection (LOD) - The lowest concentration at which a measurand can be identified, but (for quantitative assays) the concentration cannot be accurately calculated. Limit of Quantitation - For quantitative assays, the lowest concentration at which the identity and concentration of the measurand can be accurately established. Medical Review Officer (MRO) - A person who is a licensed physician and who is responsible for receiving and reviewing laboratory results generated by an employer's drug testing program and evaluating medical explanations for certain drug test results. Negative result - The result reported by an HHS-certified laboratory to an MRO when a specimen contains no drug or the concentration of the drug is less than the cutoff concentration for the drug or drug class and the specimen is a valid specimen. Non-negative specimen - A urine specimen that is reported as adulterated, substituted, positive (for drug(s) or drug metabolite(s)), and/or invalid. Office of Drug and Alcohol Policy and Compliance (ODAPC) - The office in the Office of the Secretary, DOT, that is responsible for coordinating drug and alcohol testing program matters within the Department and providing information concerning the implementation of Part 40. Operator - A person who owns or operates pipeline facilities subject to 49 CFR Part 192, 193, or 195. Oxidizing adulterant - A substance that acts alone or in combination with other substances to oxidize drugs or drug metabolites to prevent the detection of the drug or drug metabolites, or affects the reagents in either the initial or confirmatory drug test. Page 437 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.11 Performs a covered function - Actually performing, ready to perform, or immediately available to perform a covered function. Pipeline or Pipeline System - All parts of those physical facilities through which gas, hazardous liquids or carbon dioxide moves in transportation, including, but limited to, pipe, valves, and other appurtenance attached to pipe, compressor units, metering stations, regulator stations, delivery stations, holders, pumping units, breakout tanks and fabricated assemblies. Pipeline facility – New and existing pipelines, rights-of-way, and any equipment, facility, or building used in the transportation of gas or in the treatment of gas, or transportation of hazardous liquids or carbon dioxide during the course of transportation. Positive rate for random drug testing - The number of verified positive results for random drug tests conducted under Part 199, plus the number of refusals of random drug tests required by Part 199, divided by the total number of random drug tests conducted plus the number of refusals of random tests under Part 199. Positive result - The result reported by an HHS-certified laboratory when a specimen contains a drug or drug metabolite equal to or greater than the cutoff concentrations. Primary specimen - In drug testing, the urine specimen bottle that is opened and tested by a first laboratory to determine whether the employee has a drug or drug metabolite in his or her system; and for the purpose of validity testing. The primary specimen is distinguished from the split specimen, defined in this section. Prohibited drug – Means any of the substances specified in 49 CFR Part 40. Qualification Training - The training required in order for a collector, BAT, MRO, SAP, or STT to be qualified to perform their functions in the DOT drug and alcohol testing program. Qualification training may be provided by any appropriate means (e.g., classroom instruction, internet application, CD- ROM, video). Reconfirmed - The result reported for a split specimen when the second laboratory is able to corroborate the original result reported for the primary specimen. Refresher Training - The training required periodically for qualified collectors, BATs, and STTs to review basic requirements and provide instruction concerning changes in technology (e.g., new testing methods that may be authorized) and amendments, interpretations, guidance, and issues concerning Part 40 and DOT agency drug and alcohol testing regulations (e.g., Part 199). Refresher training can be provided by any appropriate means (e.g., classroom instruction, internet application, CD-ROM, video). Refusal to submit, refuse, or refuse to take - Behavior consistent with Part 40 concerning refusal to take a drug test or refusal to take an alcohol test. Rejected for testing - The result reported by an HHS-certified laboratory when no tests are performed for a specimen because of a fatal flaw or a correctable flaw that is not corrected. Screening drug test - See Initial drug test definition above. Screening Test Technician (STT) - A person who instructs and assists employees in the alcohol testing process and operates an ASD. Secretary - The Secretary of Transportation or the Secretary's designee. Service agent – Any person or entity, other than the employee of the employer, who provides services to employers and/or employees in connection with DOT drug and alcohol testing requirements. This includes, but is not limited to, collectors, BATs and STTs, laboratories, MROs, substance abuse professionals, and C/TPAs. To act as service agents, persons and organizations must meet DOT qualifications, if applicable. Service agents are not employers for purposes of this part. Page 438 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.12 Shipping container - A container that is used for transporting and protecting urine specimen bottles and associated documents from the collection site to the laboratory. Specimen bottle - The bottle that, after being sealed and labeled according to the procedures in Part 40, is used to hold the urine specimen during transportation to the laboratory. Split specimen - In drug testing, a part of the urine specimen that is sent to a first laboratory and retained unopened, and which is transported to a second laboratory in the event that the employee requests that it be tested following a verified positive test of the primary specimen or a verified adulterated or substituted test result. Split specimen collection - A collection in which the urine collected is divided into two separate specimen bottles, the primary specimen (Bottle A) and the split specimen (Bottle B). State agency - An agency of any of the several states, the District of Columbia, or Puerto Rico that participates under the pipeline safety laws (49 U.S.C. 60101 et seq.) Stand-down - The practice of temporarily removing an employee from the performance of safety- sensitive functions based only on a report from a laboratory to the MRO of a confirmed positive test for a drug or drug metabolite, an adulterated test, or a substituted test, before the MRO has completed verification of the test result. Substance Abuse Professional (SAP) - A person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare. Substituted specimen - A specimen with creatinine and specific gravity values that are so diminished or so divergent that they are not consistent with normal human urine. Verified test - A drug test result or validity testing result from an HHS-certified laboratory that has undergone review and final determination by the MRO. III. POLICY AND RESPONSIBILITIES 1. Company Policy Policy Statement. The Company has a long-standing commitment to maintain the highest standards for employee safety and health. The use of controlled substances and the misuse of alcohol are contrary to these high standards. The use or possession of illegal controlled substances or alcoholic beverages while on Company property, or in any Company vehicle, or on Company time, including breaks or lunch, paid or unpaid, on any shift, is strictly prohibited. DOT Compliance. The Company is aware that it is ultimately responsible for meeting the requirements of Part 40 and 199. The DOT authorizes transportation employers to use a service agent(s) to perform tasks necessary to comply with the Plan. The Company understands that, under the DOT regulations, it is responsible for the actions of its service agents. The Company is responsible for developing and implementing a successful and comprehensive DOT drug and alcohol program. Components of the Company's program include clear policies, provisions for education and training, drug and alcohol testing, and when needed, referral for evaluation, education, and treatment. The Company shall ensure that all covered safety-sensitive employees are aware of the provisions and coverage of the Plan. 2. Responsibilities of Key Personnel The Company will convey to responsible individuals -- the Designated Employer Representative(s) and affected supervisors - that, to the best of their ability, the privacy and confidentiality of any covered safety-sensitive employee subject to the Plan must be maintained at all times. Page 439 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.13 Designated Employer Representative (DER). Appendix B contains the name, address, and phone number of the DER(s). The DER is: a.the key employee for the Company’s drug and alcohol program functions, and has the knowledge and authority to make decisions about the testing process and answer questions about it. b.not a service agent. c.one or more employees of the Company assigned to ensure adequate coverage on all shifts and at all locations. d.responsible for the preparation of the Plan, as well as providing oversight and evaluation on the Plan. e.responsible to review all adverse personnel action or discipline applied under the Plan for consistency and conformance to human resources policies and procedures. f.responsible for scheduling random, return-to-duty and follow-up testing, as applicable, and is authorized to receive and maintain, in a secure file system, all drug and alcohol testing results. g.responsible for providing answers to employee questions regarding the testing program, and information on the resources available for drug and alcohol counseling. h.responsible for overseeing the employee assistance program (EAP). Supervisor. A Company individual(s) responsible for observing the performance and behavior of employees that is suggestive enough to lead to reasonable suspicion/cause drug and/or alcohol testing. Supervisors who will determine whether an employee must be drug tested and/or alcohol tested based on reasonable suspicion/cause will be trained in the "signs and symptoms" of each substance. The supervisor is required to document a reasonable suspicion/cause event. The supervisor may also be responsible for requests as the second supervisor for substantiation and concurrence for reasonable suspicion/cause drug test, if applicable. 3. Responsibilities of Covered Employees Compliance. Each covered safety-sensitive employee must comply with the requirements of the Plan, and the DOT drug and alcohol rules it pertains to; in order to remain eligible to work in a DOT covered safety- sensitive position. Each covered safety-sensitive employee has the responsibility to read, be knowledgeable of, and comply with, the requirements of the Plan, and Parts 40 and 199. Committing a DOT violation will result in the employees’ immediate removal from the covered function, and remain so until successfully completing the DOT return-to-duty conditions of Part 40. The Plan describes circumstances for being tested, violations, prohibited conduct and their subsequent consequences. The Plan describes what is available to each covered safety-sensitive employee as services (e.g., EAP) in such cases where the employee has a potential problem with drugs or alcohol prior to a drug or alcohol test. It is a condition of employment for all covered safety- sensitive employees to sign the Acknowledgement/Receipt Form (Appendix A). In doing so, the employee attests to comply with the drug and alcohol program requirements of the Company and the requirements of the Plan. Failure to comply with this condition may result in disciplinary action up to and including termination. 4. Use of Service Agents Compliance. The Company will contract with service agents to accomplish many of the requirements of Parts 40 and 199. Appendix B (Designated Personnel and Service Agents) provides the names and addresses of service agents that are under contract. Service agents, including C/TPA’s, will comply with Parts 40 and 199 in the services provided. The work of any service agent providing services to the Company will be open to inspection by the Company. The service agent must allow access to property and records by the operator, the Administrator, and if the operator is subject to the jurisdiction of a state agency, a representative of the state agency for the purpose of monitoring the operator's compliance with the requirements of Part 199. No service agent will serve as DER for this Company. Public Interest Exclusion. The Company will not use a service agent against whom a Public Interest Exclusion (PIE) has been issued. The Company will stop using the services of a service agent no later than 90 days after the DOT has published the decision in the Federal Register or posted it on its web site that a PIE has been issued. The Company may apply to the ODAPC Director for an extension of 30 days if it is demonstrated that a substitute service agent cannot be found within 90 days. Page 440 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.14 Consortium/Third Party Administrator. The Company may employ the service of a Consortium/Third Party Administrator (C/TPA) to assist the DER with overall program management and consultation on any program issue. While the C/TPA will not serve as the DER, the C/TPA may support the DER by explaining the regulations and offering guidance on program-compliance issues. Service Agent Limitations. Service agents are subject to the following limitations concerning activities in the DOT drug and alcohol testing program. (a) A service agent must not require an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process. (b) A service agent must not act an intermediary in the transmission of drug test results from the laboratory to the MRO. All confirmed drug test results for the Company are received by the MRO directly from the laboratory. (c) A service agent must not transmit drug test results directly from the laboratory to the Company. All confirmed drug test results for the Company are received by the MRO directly from the laboratory. (d) A service agent must not act as an intermediary in the transmission of alcohol test results 0.02 or higher from the STT or BAT to the DER. (e) A service agent must not act as an intermediary in the transmission of individual SAP reports to the Company. The service agent is allowed to receive and maintain individual SAP summary reports and follow-up testing plans from the DER. The SAP is allowed to transmit the reports and testing plans simultaneously to the DER and service agent. The only exception, to the limitation of the service agent acting as an intermediary, is the transmission of the SAP report from the SAP to an owner-operator or other self-employed individual. (f) A service agent must not make decisions to test an employee based upon reasonable suspicion, post-accident, return-to-duty and follow-up determination criteria. A DER cannot delegate these duties to a C/TPA. The C/TPA may provide advice and information to the DER regarding testing issues and how the Company should schedule required testing. The only exception to this limitation would involve making the determination for testing of an owner-operator or other self-employed individual. (g) A service agent must not make a determination that an employee has refused a drug or alcohol test. The DER and the Company must make this determination. However, a service agent my provide advice and information to the DER regarding refusal-to-test issues. Exceptions to this limitation are in the case of a required test for an owner-operator or other self-employed individual, and the individual fails to appear for the test with a legitimate reason; or an MRO determines that an individual has refused to test on the basis of adulteration or substitution. (h) A service agent must not act as the DER, including Company actions to remove employees from safety-sensitive duties. (i) A service agent must ensure that the laboratory conducting testing receives only Copy 1 of the CCF. Transmission of other copies of the CCF or any ATF’s are not allowed. (j) A service agent must not impose conditions or requirements on the Company that DOT regulations do not authorize. (k) A service agent must not intentionally delay the transmission of drug or alcohol testing-related documents concerning actions you have performed, because of a payment dispute or other reasons. (l) While a service agent must follow the DOT agency regulations, the Company remains accountable to DOT for compliance, and the failure of a service agent to implement any aspect of the program and other applicable DOT agency regulations would make the Company subject to enforcement action by DOT. 5. Critical Service Agent Positions Compliance. The Company recognizes the significance of critical service agent positions within the DOT drug and alcohol program. The Company understands the importance of each service agent meeting their initial qualifications, as applicable, and then maintaining compliance throughout the conduct of their program functions, all in accordance with Part 40 and Part 199 requirements. The Company will ensure that the follow critical positions meet DOT rule requirements. a) Medical Review Officer (MRO) (§40.121 and §199.109(b)); (See Plan Section V.8) b) Substance Abuse Professional (SAP) (§40.281); (See Plan Section VII.1) c) Urine Specimen Collector (§40.33); (See Plan Section V.4.) d) Screening test Technician (§40.213); and, (See Plan Section VI. 2. & 3.) e) Breath Alcohol Technician (§40.213) (see Plan Section VI.2. & 3.) Page 441 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.15 6. ”Non-DOT” Testing Program Compliance. The Company may implement an additional drug and/or alcohol testing program, referred to as a "non-DOT program". Any additional testing program would be completely independent of the DOT testing program. Such a testing program would be developed under the Company's own authority and kept separate from the DOT program. All DOT testing would be accomplished first; the Company's non-DOT program would commence afterwards. The non-DOT program would use different forms and not use the Federal Custody and Control Form or the DOT Alcohol Testing Form. The non-DOT program could test different people, for different drugs, and different reasons-for-testing. If the Company implements its own non-DOT testing program, the Company will define the program and notify all employees through a non-DOT Program Plan. IV. DOT PROGRAM REQUIREMENTS 1. Employees Subject to Testing Compliance. Any employee who would perform an operations, maintenance, or emergency-response function, regulated by Part 192, 193, or 195, on a pipeline or LNG facility, is subject to mandatory DOT drug and alcohol testing under this program. Such individuals are subject to DOT testing because their job functions have been determined to be a covered, safety-sensitive, transportation function. Appendix C (Covered Positions) provides specific employee titles, for this Company, of those subject to testing under this program. However, it is the work that an individual performs, not their title of their job, which determines whether their work is covered and therefore subject to drug and alcohol testing Operator or Contractor. Covered employees may be employed by the operator, be a contractor engaged by the operator, or be employed by such a contractor; this includes full-time, part-time and temporary employees and includes any applicant for a covered function. 2. Acknowledgement/Receipt Form The "Acknowledgement/Receipt Form", (Appendix A), applies to all drug and/or alcohol tests, or related foregoing or subsequent DOT procedures, while the employee is in a covered safety-sensitive function with the Company. The signed form will be maintained by the Company. For any test, the expectations placed on the employee by the Company are to "follow all instructions" in order to accomplish the test. Page 442 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.16 3. History-check Requirement Compliance. Prior to the first time that the Company uses an employee to perform covered safety-sensitive duties (i.e., a new hire or an employee transferring into a covered safety-sensitive position) the Company will require a "history check" of the employee. The history check will look back into the employee's past two years of DOT employment for DOT violations. History checks are conducted only after obtaining the employee's written authorization to do so. Any employee refusing to provide written consent will not be permitted to perform covered safety-sensitive functions. The Company will not allow the covered safety-sensitive employee to perform their functions after 30 days from the date on which the employee first performed safety- sensitive functions, unless the Company has obtained or made and documented a good faith effort to obtain alcohol and drug testing information from previous DOT-regulated employers. Information request. The Company will request the following information about the employee: a) Alcohol tests with a result of 0.04 or higher alcohol concentration; b) Verified positive drug tests; c) Refusals to be tested (including verified adulterated or substituted drug test results); d) Other violations of DOT agency drug and alcohol testing regulations; and e)With respect to any employee who violated a DOT drug and alcohol regulation, documentation of the employee's successful completion of DOT return-to-duty and follow- up testing requirements. The Company will make at least two attempts by telephone, e-mail or fax, and maintain documentation associated with the attempts to obtain history-check information (e.g., date and time of the attempt, persons contacted). If the Company finds evidence of past DOT violations, those violations may be used as the reason for not hiring the individual or for termination. Violation Consequences. The Company will not use any employee in a DOT covered safety-sensitive position that has had a past DOT violation and has not complied with DOT eligibility standards for returning to covered safety-sensitive work. The Company will also ask the employee if they had any pre-employment test that was positive for which the previous employer did not hire them. The employee's answer to this question will be maintained as part of the employee's history-check information. 4. Employee Notification of Tests Employees will be notified directly when a test must be conducted. While the circumstances for a test will differ by its reason-for-test, the Company will endeavor to conduct all tests with only a limited number of Company personnel having knowledge of the reason for the test. All testing will be unannounced until the last possible moment. The timing will vary in conjunction with the reason- for-test. For example, a pre-employment test will be announced during the job application; a random test is announced within the test period, but just prior to the test, to maintain the element of surprise; and, announcements of post-accident or reasonable suspicion tests are controlled by the circumstances that come to light around the time of the event (e.g., accident). All alcohol tests will be conducted just prior to, during, or just after the performance of covered safety-sensitive duties. Drug tests may be conducted anytime the employee is at work. The DER and Company supervisors will be responsible for notifications and to help maintain the element of confidentiality. When an employee is notified for a test, the employee must proceed to the collection site immediately. Immediately means that after notification, all the employee's actions must lead to an immediate specimen collection (or test). The Company considers "travel time to the collection site, plus 30 minutes" as the maximum acceptable interval of time between notification and testing. Page 443 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.17 In test situations such as post-accident and reasonable suspicion/cause, where the employee’s job performance is called into possible question, supervisors will use their discretion and training to minimize further confrontation. A reasonable attempt will be made by the supervisors to isolate and inform the employee of the decision to test, the steps that must be taken to accomplish the test, and the consequences of refusing the test. If possible, for post-accident and reasonable suspicion tests, the Company will have the DER or a supervisor accompany the employee to the collection site. 5. DOT Drug Violations Drug Violations. The following provides a listing of DOT drug violations prohibited of covered safety-sensitive employees: a) A verified positive drug test result; b) A refusal to be tested, determined by: (1) Having a verified adulterated or substituted drug test result; (2) Failing to appear for any drug test (except a pre-employment test) within a reasonable time, as determined by the Company, after being directed to do so by the Company; (3) Failing to remain at the drug testing site until the testing process is complete; (4) Failing to provide a urine specimen for any drug test; (5) Failing to allow a directly observed or monitored collection in a drug test that requires such a collection procedure; (6) Failing to provide a sufficient amount of urine for a drug test when directed, and it has been determined, through a required medical evaluation, that there was no adequate medical explanation for the failure; (7) Failing or declining to take an additional drug test the Company or collector has directed the employee to take; (8) Failing to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER; or, (9) Failing to cooperate with any part of the testing process (e.g., refuse to empty pockets or failure to wash hands when so directed by the collector, behave in a confrontational way that disrupts the collection process, tampering with a specimen). (10) For an observed collection, fail to follow the observer’s 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. (11) Possess or wear a prosthetic or other device that could interfere with the collection process; (12) Admit to the collector or MRO that a specimen has been adulterated or substituted. 6. DOT Alcohol Violations and Prohibited Conduct Alcohol Violations. The following provides a listing of DOT alcohol violations prohibited of covered safety-sensitive employees: a) A test result of 0.04 or higher alcohol concentration; b) A refusal to be tested, determined by: (1)Failing to appear for any alcohol test (except a pre-employment test) within a reasonable time, as determined by the Company, after being directed to do so by the Company; (2)Failing to remain at the alcohol testing site until the testing process is complete; (3)Failing to provide an adequate amount of saliva or breath for an alcohol test; (4)Failing to provide a sufficient amount of breath for an alcohol test when directed, and it has been determined, through a required medical evaluation, that there was no adequate medical explanation for the failure; (5)Failing to undergo a medical examination or evaluation, as directed by the DER; (6)Failing to sign the certification statement on the Alcohol Testing Form; or, (7)Failing to cooperate with any part of the testing process. Page 444 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.18 c) On-duty use of alcohol while performing covered functions. d)Pre-duty use of alcohol within four (4) hours prior to performing covered functions, or if the employee is called to duty to respond to an emergency, within the time period after the employee has been notified to report for duty. e) Use of alcohol within eight (8) hours following an accident in which the performance of covered functions has not been discounted by the Company as a contributing factor to the accident, unless the employee has already been given a post-accident alcohol test. Alcohol Prohibited Conduct. The following is prohibited conduct of DOT covered safety-sensitive employees: a) A test result of 0.02 or greater alcohol concentration, but less than 0.04. 7. Violation Consequences and Company Actions After DOT Rule Violations. The Company will not allow any covered employee who has a DOT drug or alcohol violation to perform covered safety-sensitive duties for the Company. Immediately upon learning of the violation, the DER shall assure the removal of the employee from all covered safety-sensitive duties. That employee will be ineligible to work in any DOT covered safety-sensitive function for the Company until the employee has successfully completed the DOT return-to-duty process; however, whether or not to do so is a business decision of the Company, not DOT. The company will refer the employee to a Substance Abuse Professional (SAP) as soon as practicable after the verified violation report. If the Company has a zero tolerance policy, any covered safety-sensitive employee who has a DOT drug or alcohol violation will be terminated upon such violation (refer to Appendix D, Company Disciplinary Actions and Additional Procedures). However, the employee will be referred to a SAP. The employee will be made aware that they must complete the DOT return-to-duty process prior to again performing covered safety-sensitive work for a company that is subject to the DOT alcohol and drug testing regulations. After DOT Alcohol Prohibited Conduct. The Company will not allow any covered safety-sensitive employee to perform, or continue to perform, any function covered by Part 199 when the employee is found to have an alcohol concentration of 0.02 or higher, but less than 0.04. The Company may continue testing the employee until the alcohol concentration is less than 0.02, or the Company may not use the employee in a covered safety-sensitive function until the start of the employees next regularly scheduled shift, which must be not less than eight hours follow the test that indicated, "prohibited conduct". V. ANTI-DRUG PROGRAM 1. DOT-Required Drug Tests Compliance. The Company will ensure that each employee who performs a DOT-covered function will be drug tested for the following reasons when called for by Part 199: All drug tests will be conducted following the procedures of Part 40. Only urine specimens screened and confirmed at HHS certified laboratories are allowed for drug testing. Point-of-collection urine testing or instant tests are not authorized. Pre-Employment Testing. A pre-employment drug test will be conducted before an individual is hired or contracted into a covered position and when an individual is transferred or promoted from a non- covered to a covered position. This includes when an individual switches back and forth from a covered position to a non-covered position and back again. Pre-employment drug testing also applies to covered employees that were not available for random testing or employees that were removed from the random pool. Page 445 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.19 A negative DOT urine drug test results is required prior to performing a covered functions. DOT does not allow the use of a "quick test" (e.g., a urine test that produces an immediate test results) or any other methodology other than urine. Pre-employment tests are normally unobserved by the collector. However, provisions will be available at the collection site for a directly observed collection to take place should the circumstances requires such action. Post-Accident Testing. As soon as possible but no later than 32 hours after an accident, the Company will drug test each surviving covered safety-sensitive employee whose performance of a covered function either contributed to the accident or cannot be completely discounted as a contributing factor to the accident. The Company may decide not to test under this paragraph but such a decision will be based on specific information that the covered employee’s performance had no role in the cause(s) or severity of the accident. The Company will document the decisions that support the determination not to conduct a post-accident drug test. If a test required by this section is not administered within the 32 hours following the accident, the company will prepare and maintain its decision stating the reasons why the test was not promptly administered. If a test required by the above paragraph of this section is not administered within 32 hours following the accident, the Company will cease attempts to administer a drug test and will state in the record the reasons for not administering the test. Refer to Appendix F: Post-Accident or Reasonable Cause/Suspicion Supervisor Written Record. The Company must take all reasonable steps to obtain a urine specimen from an employee after an accident, but any injury should be treated first. Nothing in this section shall be construed to require the delay of necessary medical attention for injured people following an accident, to prohibit a covered safety-sensitive employee 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. The affected employee will not be allowed to proceed alone to or from the collection site. An employee who is subject to post-accident testing who fails to remain readily available for such testing, including notifying the Company or Company's representative of their location if they leave the scene of the accident prior to submission to such a test, may be deemed by the Company to have refused to submit to testing. Post-accident tests are normally unobserved by the collector. However, provisions will be available at the collection site for a directly observed collection to take place should circumstances require such action. Depending on the circumstances of the accident, and if feasible, the employee will not be allowed to perform covered functions pending, the results of the drug test. Random Drug Testing: The company will conduct a number of random tests each calendar year that meets or exceeds the current minimum annual percentage random testing rate. The current annual random drug testing rate is 25 percent. The Company may use the services of the C/TPA to manage all aspects of the Company's random testing program. If the Company conducts random testing through a C/TPA, the number of employees to be tested may be calculated for each individual Company or may be based on the total number of covered safety-sensitive employees covered by the C/TPA who are subject to random testing (e.g., consortium random testing pool). All covered safety-sensitive employees will be immediately placed in the random pool after obtaining a negative result on their pre-employment test. Covered safety-sensitive employees will remain in the random selection pool at all times, regardless of whether or not they have been previously selected for testing. The selector of employees shall be made by using a computer-based, scientifically valid method (e.g., random number generator or equivalent random selection method) that is matched with an employee's social security or employee ID number. When requested during an audit or inspection, the DER will provide the name of the computer-based application that is currently being used by the Company for random number selection. The DER will assure the pool contains employee social security number or employee ID numbers that are current, complete, and correct. Employees will have an equal chance of being selected for testing. Page 446 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.20 Random testing will occur on a quarterly basis. Prior to selection, the DER shall ensure that the random testing pool has been updated to include all current covered employees in the Company's workforce. The number of tests to be conducted will be based on the number of covered employees at the beginning of each quarter's test cycle. The DER, or C/TPA, shall use the random selection procedures to compile a list of covered employees selected for testing in each testing cycle. The number of employees selected shall be sufficient to assure that the minimum number of required tests can be achieved. The list of employees selected will be retained by the DER in a secure location until the time of testing when the list will be provided to the appropriate division manager, department head, or supervisor who will, in turn, notify the employee(s) to report for testing. Random testing is unannounced, with employees being notified that they have been selected for testing after they have reported for duty on the day of collection. Specimen collection will be conducted on different days of the week throughout each test cycle to prevent employees from matching their drug use patterns to the schedule for collection. Random tests are normally unobserved by the collector. However, provisions will be available at the collection site for a directly observed collection to take place should circumstances require such action. Once notified by the appropriate Company official, employees will be instructed to report immediately to the collection site. Reasonable Suspicion/Cause Testing. The Company will conduct reasonable suspicion testing, also known as reasonable cause testing, based on the Company's observation of "signs and symptoms" of specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the employee. At least two Company supervisors, one of whom is trained in detection of the possible signs and symptoms of drug use, shall substantiate and concur in the decision to test an employee. The concurrence between the two supervisors may be by telephone. If the Company has 50 or fewer employees subject to testing under PHMSA regulations, only one supervisor, trained in detecting possible drug use signs and symptoms, is needed to make the decision to test. The supervisor making the determination to test shall document, in writing, the behavioral signs and symptoms that support the determination to conduct a reasonable suspicion/cause test. This documentation of the employee's conduct shall be prepared and signed within 24 hours of the observed behavior or before the results of the test are released, whichever is earlier. Refer to Appendix G: Reasonable Cause/Suspicion Observation Checklist. The potentially affected employee should not be allowed to proceed alone to or from the collection site. In addition to the safety concerns for the employee, accompanying the employee also assures that there is no opportunity in route to the collection site for the employee to compromise the test through any method of tampering that could affect the outcome of the test results. Reasonable suspicion/cause tests are normally unobserved by the collector. However, provisions will be available at the collection site for a directly observed collection to take place should circumstances require such action. The employee shall not perform a covered function pending the receipt of the drug test results. The employee should make arrangements to be transported home. The employee should be instructed not to drive any motor vehicle due to the reasonable belief that the employee may be under the influence of a drug. If the employee insists on driving, a supervisor should notify the proper local law enforcement authority that an employee believed to be under the influence of a drug is leaving the Company premises driving a motor vehicle. Return-to-Duty Testing. The Company will conduct a return-to-duty test prior to an employee returning to covered safety-sensitive duty following a DOT violation. When an employee has a DOT violation the employee cannot work again in any DOT covered safety-sensitive function until successfully completing the Substance Abuse Professional (SAP) return-to-duty requirements. Only after the SAP has reported to the Company that the employee is eligible to return to covered safety-sensitive duties is the Company authorized to return the employee to a covered function. However, whether or not to do so is a business decision of the Company, not the DOT. When the Company makes the decision to return the employee to covered safety-sensitive duty, the Company will initiate the order for the return-to-duty test. All return-to-duty tests will be conducted using direct-observation collection procedures. Page 447 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.21 A return-to- duty test may, however, be for both drugs and alcohol. The decision belongs solely to the SAP from information gained during the SAP-evaluation/treatment processes. The results of a return-to-duty drug test must be negative in order "to count" and allow the employee to return to work. A cancelled test must be recollected; a positive test or refusal-to-test will be considered as a new, separate violation. When the employee "passes" their return-to-duty test, their name is immediately placed into the Company's random testing pool. If the Company has a zero tolerance policy, any covered safety-sensitive employee who has a DOT drug or alcohol violation will be terminated upon such violation (refer to Appendix D, Company Disciplinary Actions and Additional Procedures). However, the employee will be referred to a SAP. The employee will be made aware that they must complete the DOT return-to-duty process prior to again performing covered safety-sensitive work for a company that is subject to the DOT alcohol and drug testing regulations. Follow-up Testing. The Company will conduct follow-up testing, as a series of tests that occur after an employee returns to covered safety-sensitive work, following a negative result on the return-to-duty drug and/ or alcohol tests. Follow-up testing may be for both drug and alcohol, as directed by the SAP's written follow-up testing plan. Follow-up testing is the Company’s responsibility to conduct. Follow-up testing will run concurrently with random testing. All follow-up tests will be conducted using direct-observation collection procedures. The number and frequency of the follow-up tests will be determined by the SAP, but shall consist of at least six tests in the first 12 months following the covered employee's return to duty. The follow-up plan will give both the number of tests and their frequency; the Company will select the actual day and time of the test and the tests are unannounced. Follow-up testing shall not exceed 60 months from the date of the covered employee's return to duty. The SAP may terminate the requirement for follow-up testing at any time after the first six tests have been administered, if the SAP determines that such testing is no longer necessary. Even if the Company has a zero tolerance policy, in the case where the Company hires an employee who previously had a positive test and successfully completed the return-to-duty process and has an acceptable SAP evaluation, the Company must follow the follow-up testing procedure in accordance with the DOT alcohol and drug testing regulations. 2. Drug Tests That Require Direct Observation Procedures Compliance. The Company will conduct all return-to-duty and follow-up drug tests using the direct observation collection procedures specified by Part 40. Pre-employment, post-accident, reasonable suspicion/cause and random drug tests are normally conducted by giving the employee the privilege of privacy when providing the urine specimen. However, should it become required that these collections be conducted under direct observation procedures, the Company will explain to the employee the reason(s) and convey instructions to the collector to ensure that this done. Direct observation procedures will also be used for collections when a specimen is provided and the temperature is out of range, when the specimen appears to have been tampered with or when a previous specimen has been reported as invalid, adulterated, substituted or negative-dilute with a creatinine concentration greater than or equal to 2 mg/dL but less than or equal to 5 mg/dL, as defined in Part 40. If a service agent is aware that a directly observed collection should have been collected but was not, the service agent will inform the Company to direct the employee to have an immediate recollection under observation. 3. Specimen Collection Procedures Compliance. The Company will follow the requirements of Part 40 for its DOT collections. A full description of DOT collection requirements that collectors will follow can be found in Part 40, Subpart C ("Urine Collection Personnel"), and Subpart D ("Collection Sites, Forms, Equipment and Supplies Used in a DOT Urine Collection"), and Subpart E ("Urine Specimen Collections"). Page 448 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.22 Collection Site Personnel. The Company will ensure that collection sites utilized by its employees are aware of their responsibilities with regard to the DOT specimen collection process. These responsibilities are to collect urine specimens using Part 40 procedures, current “DOT Urine Specimen Collection Guidelines” and applicable DOT agency regulations, ship the specimens to a Department of Health and Human Services (HHS) certified laboratory for analysis, and distribute copies of the Federal Drug Testing Custody and Control Form (CCF) to the laboratory, Medical Review Officer, employer or employer's C/TPA and employee in a confidential manner. All attempts are made to use collectors who have been trained in accordance with Part 40. The Company, or the Company's C/TPA, will ask the collection sites conducting DOT collections to attest to the fact that they comply with DOT standards of practice. The direct supervisor of a covered safety-sensitive employee shall not serve as a collector in conducting any required drug test unless it is otherwise impracticable. Collectors will complete requalification/certification every five years. Collectors will subscribe to the ODAPC list-serve website to keep current on any changes to the DOT alcohol and drug testing regulations. Collection Site, Forms, and Specimen. The Company will provide the employee with the specific location of the collection site where the drug test will take place. The collector will select or allow the employee to select an individually wrapped or sealed collection container from collection kit materials. In most cases, the Company will provide the employee with a drug testing kit, which includes the CCF, to present to the collector. The only specimen that will be conducted for any DOT collection is urine; the only form that will be used is the Federal CCF. Collections. The Company will inform every employee that they are required to carry and present a current valid photo ID, such as a driver's license, passport, or employer-issued picture ID to the collection site. The employee will be advised that the collector will ask them to empty their pockets, remove any unnecessary garments (the employee may retain their wallet) and wash and dry their hands prior to the collection. The employee will be instructed to follow the collector's instructions throughout the collection process. Normally, the employee will be afforded privacy to provide a urine specimen. Exceptions to the rule generally surround issues of attempted adulteration or substitution of a specimen or any situation where questions of specimen validity arise, like an unusual specimen temperature. After the employee has provided the specimen (a minimum of 45 mL) of their urine into a collection container, the collector will check the temperature and color of the urine. All DOT collections are "split specimen collections." The collector will pour the urine into two separate bottles (bottle "A" as the primary specimen and bottle "B" as the split specimen), seal them with tamper-evident tape, and then ask the employee to initial the seals after they have been placed on the bottles. (Remember: Neither the employee nor the collector should let the specimen out of their sight until it has been poured into two separate bottles and sealed.) Next, the employee will write their name, date of birth, and daytime and evening phone numbers on the MRO Copy (Copy 2) of the CCF. This is so the MRO can contact the employee directly if any questions arise about their test. Lastly, the collector will complete the necessary documentation on Copy 1 of the CCF and package the CCF and the two specimen bottles in the plastic bag and seal the bag for shipment to the laboratory. Copies of the CCF will be distributed: Copy 2 to the MRO and Copy 4 to the employer or the employer's C/TPA; the collector keeps Copy 3; and the employee gets Copy 5. The employee may list any prescription and over-the-counter medications they may be taking on the back of their copy of the CCF (this may serve as a reminder for the employee in the event the MRO calls to discuss their test results). Possible collection issues. If the employee is unable to provide 45mL of urine on the first attempt, the time will be noted, and they will be required to remain in the testing area under the supervision of the collection site personnel, their supervisor, or a representative from their Company (e.g., supervisor accompanying the employee). Leaving the testing area without authorization may be considered a refusal to test. The employee will be urged to drink up to 40 oz. of fluid, distributed reasonably over a period of up to three hours, and asked to provide a new specimen (into a new collection container). If the DER is contacted, the DER should instruct the employee to remain at the collection site to complete the collection process. If the employee does not provide a sufficient specimen within three hours, the DER, in consultation with the MRO, will direct the employee to obtain a medical evaluation within five days to determine if there is an acceptable medical reason for not being able to provide a specimen. If it is determined that there is no acceptable physiological or pre-existing psychological reason for not providing a urine specimen, it will be considered a refusal to test. Page 449 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.23 Directly observed collections. If a direct observation collection is required of the employee, the Company will ensure that the DOT requirements (i.e., direct observation by the same-sex collector, observation of body- to-bottle urination, and use of full turn-around observation) procedures are followed. 4. PHMSA Inspection Protocol for Specimen Collection Sites Compliance. “PHMSA's Substance Abuse Program Comprehensive Audit and Inspection Protocol Form, Specimen Collection Sites, Form No.: 3.1.7 (Revision 2)” provides a separate inspection protocol for Specimen Collection Sites. The Company provides this protocol to correspond with the detail found in the PHMSA Inspection Form. As previously stated, the Company will ensure that all DOT drug tests comply with Part 40 requirements. Collection Personnel. The Company will ensure that only qualified collectors are used to conduct Company DOT tests. An immediate supervisor of an employee may be used in cases where there are no qualified collectors available, and where their use is the only way to get the test conducted. Collectors will maintain documentation to verify they meet training requirements and will make that documentation available to the Company on request. If an error occurs causing a test to be cancelled and the error is directly attributed to the collector, the collector will undergo error-correction training within 30 days of the date of notification of the error that led to the need for training. Collection Sites, Forms and Supplies. The Company will use designated collection sites that meet DOT requirements. If the collection site uses a facility normally used for other purposes, the collector will ensure that it meets DOT standards before continuing the collection. Access to collection materials and specimens will be restricted, and the facility will be secured against access during the procedure to ensure privacy to the employee and prevent distraction of the collector. Limited-access signs will be posted as necessary. The collector will maintain personal control over each specimen and CCF throughout the collection process and will prevent unauthorized personnel from entering any party of the site in which urine specimens are collected or stored. The current CCF and a collection kit, that meets the requirements of Appendix A to Part 40, will be used for DOT collections. Specimen Collections. Collectors will explain the basic collection procedures to the employee, including showing the employee the instructions on the back of the CCF. In most all collections, the Company will provide the employee with a kit and CCF to carry to the collection site. In other collections, collectors will provide the employee with an individually wrapped or sealed collection container from the collection kit materials. Precautions will be taken to ensure that unadulterated specimens are obtained and correctly identified. Specimen integrity will be maintained by: bluing agents being added in the toilet tank and all water sources secured; positive photo identification of the employee for collection, notification of the DER if the employee fails to arrive at the assigned time; having the employee remove any unnecessary outer garments (purses or briefcases will remain with the outer garments); having employees wash and dry their hands; and, to the greatest extent possible, the collector will keep an employee’s collection container within view of both the collector and the employee between the time the employee has urinated and the specimen is sealed. Any unusual behavior will be noted on the CCF. Following the collection, the specimen will be checked for sufficient volume (i.e., 45 mL), acceptable temperature range (i.e., between 90-100 degrees F), and shows no signs of tampering (e.g., color, odor). Having problematic issues with specimen volume, the collector will follow DOT's "shy bladder" procedures; problems with temperature or tampering will result in the collector conducting a second collection under direct observation (see Section V.2, "Drug Tests That Require Direct Observation Procedures"). Direct observation procedures will be used for all collections where the reason-for-test is either return-to-duty or follow-up. Direct observation procedures will also be used for collections when a specimen is provided and the temperature is out of range, when the specimen appears to have been tampered with or when a previous specimen has been reported as invalid, adulterated, substituted or negative-dilute with a creatinine concentration greater than or equal to 2 mg/dL, but less than or equal to 5mg/dL, as defined in Part 40. If the collector does a monitored collection, same gender monitors will be used if the monitors are non-medical personnel. Page 450 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.24 All collections are completed by the specimens being sealed and labeled, the CCF being properly executed, and the specimens and the CCF being sealed in a plastic bag for shipment to the laboratory. 5. Drug Testing Laboratory Compliance. “PHMSA's Substance Abuse Program Comprehensive Audit and Inspection Protocol Form, Specimen Collection Sites, Form No.: 3.1.7 (Revision 2)” provides a separate inspection protocol for Specimen Collection Sites. The Company provides this protocol to correspond with the detail found in the PHMSA Inspection Form. As previously stated, the Company will ensure that all DOT drug tests comply with Part 40 requirements. Laboratory. The Company shall ensure that all DOT testing is conducted only by a laboratory that is certified by the Department of Health and Human Services (HHS) under the National Laboratory Certification Program (NLCP). Doing so ensures that the Company complies with the requirements of Part 40 and with all applicable requirements of HHS in testing DOT specimens, whether or not those requirements are explicitly stated in the Plan. The laboratory used by this Company is specified in Appendix B. The laboratory will report the certified results to the MRO and only to the MRO, at the address provided on the Federal CCF. Results will not be reported directly to the Company or to or through another service agent, such as the C/TPA. Specimen. Urine is the only specimen that is authorized for DOT drug testing. The Company will not use any other specimen (e.g., hair or saliva) for a DOT-required drug test. A "quick test" (e.g., a urine test that produces an immediate test result) is also prohibited by DOT. Drug Testing. The laboratory will ensure that, on each DOT test, each specimen is tested for marijuana, cocaine, amphetamines, opioids, and phencyclidine (PCP). (See Table 1) The testing is a "two step" process: all presumptive positive results on the initial test must be confirmed by a confirmation test. The initial and the confirmation tests use different chemical principles, and separate portions of the original specimen, for test. DOT specimens will not be tested for any other drugs. DOT specimens will not be subjected to DNA testing. Validity Testing. The laboratory will ensure that, on each DOT test, each specimen is also subjected to "validity testing". The purpose of validity testing is to determine if the employee tampered with their specimen during the collection process. Validity testing measures the creatinine concentration and specific gravity to detect a diluted or substituted specimen; ph is measured as one criterion established to detect an adulterated specimen. Validity testing also incorporates HHS criteria (used by DOT) in testing for specific adulterants such as nitrites, chromates, surfactants, and other active chemical compounds. Laboratory Specimen Handling and Reporting. When the laboratory receives a DOT specimen they will unpack and enter it into the testing process. Part of that process is to examine the condition of the specimen bottles and accompanying CCF. The laboratory will look closely for any specific reason to stop the testing process (e.g., "fatal flaws"). If the laboratory determines a fatal flaw exists, the specimen is rejected for testing and the test is cancelled by the MRO. If a fatal flaw does not exist, the specimen will be tested. The following are DOT “fatal flaws”: a) There is no CCF; b) In cases where a specimen has been collected, there is no specimen submitted with the CCF; c) There is no printed collector’s name and no collector’s signature; d) Two separate collections are performed using one CCF; e) The specimen ID numbers on the specimen bottle and the CCF do not match; f) The specimen bottle seal is broken or shows evidence of tampering (and a split specimen cannot be re- designated, (see §40.83(h)); and g) Because of leakage or other causes, there is an insufficient amount of urine in the primary specimen bottle for analysis and the specimens cannot be re-designated, (see §40.83(h)). The laboratory will open only the primary specimen (Bottle “A”) to conduct the two tests (initial and confirmatory). If the specimen tests negative in either test and does not have any specimen validity issues, the result will be reported to the MRO as negative. Only if the specimen test results are positive, adulterated, substituted, and/or invalid under both tests will the specimen be reported to the MRO as positive, adulterated, substituted, and/or invalid, respectively. These results are also referred to as "non-negative" results. Page 451 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.25 Required DOT Drug Tests & Cutoffs TYPE OF DRUG Initial Test Analyte INITIAL TEST Cutoff Concentration9 CONFIRMATORY TEST Analyte CONFIRMATORY TEST Cutoff Concentration Marijuana metabolites (THCA) 10 50 ng/mL11 THCA 15 ng/mL Cocaine metabolite (Benzoylecgonine) 150 ng/mL11 Benzoylecgonine 100 ng/mL Opioids: Codeine/Morphine Hydrocodone/Hydromorphone Oxycodone/Oxymorphone 6-Acetylmorphine 2000 ng/mL 300 ng/mL 100 ng/mL 10 ng/mL Codeine Morphine Hydrocodone Hydromorphone Oxycodone Oxymorphone 6-Acetylmorphine 2000 ng/mL 2000 ng/mL 100 ng/mL 100 ng/mL 100 ng/mL 100 ng/mL 10 ng/mL Phencyclidine 25 ng/mL Phencyclidine 25 ng/mL Amphetamine/Methamphetamine MDMA12/MDA13 500 ng/mL 500 ng/mL Amphetamine Methamphetamine MDMA MDA 250 ng/mL 250 ng/mL 250 ng/mL 250 ng/mL Table 1 9 For grouped analytes (i.e., two or more analytes that are in the same drug class and have the same initial test cutoff): Immunoassay: The test must be calibrated with one analyte from the group identified as the target analyte. The cross-reactivity of the immunoassay to the other analyte(s) within the group must be 80 percent or greater. If not, separate immunoassays must be used for the analytes within the group. Alternate technology: Either one analyte or all analytes from the group must be used for calibration, depending on the technology. At least one analyte within the group must have a concentration equal to or greater than the initial test cutoff or, alternatively, the sum of the analytes present (i.e., equal to or greater than the laboratory’s validated limit of quantification) must be equal to or greater than the initial test cutoff. 10 An immunoassay must be calibrated with the target analyte Delta-9-tetrahydrocannabinol-9-carboxylic acid (THCA) 11 Alternate technology (THCA and benzoylecgonine): When using alternate technology to test for THCA and Benzoylecgonine, the screening and confirmatory test cutoff concentrations must be the same respectively (i.e., 15 ng/mL for THCA and 100 ng/mL for Benzoylecgnine). 12 Methylenedioxymethamphetamine (MDMA) 13 Methylenedioxyamphetamine (MDA) Page 452 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.26 6. Laboratory Retention Periods and Reports Specimen Retention. Specimens that are confirmed by the laboratory to be positive, adulterated, substituted, or invalid will be retained by the laboratory in properly secured, long-term, frozen storage for at least one year. Any employee split specimen not sent to another laboratory for testing, will be retained by the laboratory for the same period of time that the primary specimen is retained and will be maintained under the same storage conditions. Within this one-year period, the MRO, the employee, the Company, PHMSA or other state agencies with jurisdiction, may request in writing that the specimens be retained for an additional period. If the laboratory does not receive the request to retain the specimen within the one-year period, the specimen will be discarded. Record Retention. All laboratory records pertaining to any test for this Company on its covered safety-sensitive employees will be retained for two years. The employer-specific data that is created by the laboratory for the laboratory statistical summary will be retained for two years. Within this two-year period, the MRO, the employee, the Company, PHMSA or other state agencies with jurisdiction, may request in writing that the records be retained for an additional period. If the laboratory does not receive the request to retain the records within the two-year period, the records will be discarded. Semi-annual Reports. The laboratory will prepare and send to the Company the aggregate employer- specific summary on a semi-annual basis. The format for this report is found in Part 40, Appendix B. 7. Laboratory Quality Control Inspections. The laboratory shall permit inspections by the Company, the PHMSA Administrator, or if the Company is subject to the jurisdiction of a state agency, a representative of the state agency. Additionally, if the Company uses a C/TPA, that C/TPA may conduct a periodic inspection of the laboratory on the behalf of the companies that are clients of the C/TPA. 8. MRO Review of Drug Test Results Compliance. The Company will have, on staff or contract for the services of, an MRO who is a licensed physician with knowledge of drug abuse and is qualified under Part 40. The MRO will follow the requirements of Part 40 in carrying out the functions of the “independent and impartial gatekeeper of the drug testing process”. A full description of the DOT MRO requirements can be found in Part 40, Subpart G (“Medical Review Officers and the Verification Process”, and Subpart H (Split Specimen Testing). The MRO will complete requalification/certification training every five years. The MRO will subscribe to the ODAPC list-serve website to keep current on any changes to the DOT alcohol and drug testing regulations. The MRO will act to investigate and correct problems where possible and notify appropriate parties (e.g., HHS, DOT, employers, service agents) where assistance is needed (e.g., cancelled or problematic tests, incorrect results). Duties. All confirmed drug test results for the Company are received by the MRO directly from the laboratory. The MRO is responsible for the review of both negative and non-negative test results, review of the CCFs associated with each test, and to conduct quality control reviews of the MRO staff. The MRO will review and interpret confirmed positive, adulterated, substituted, and invalid test results. The MRO will verify a confirmed positive test result for marijuana, cocaine, amphetamines, semi-synthetic opioids (i.e., hydrocodone, hydromorphone, oxycodone and oxymorphone), and/or PCP unless the employee presents a legitimate medical explanation for the presence of drug(s)/metabolite(s) in his or her system. In carrying out this responsibility, the MRO shall examine alternate medical explanations for any positive, adulterated, substituted or invalid test result. This action would include conducting a medical interview with the employee and review of the employee's medical history, or review of any other relevant biomedical factors, such as the results of a physical examination following an opioid positive. If the MRO determines that it is necessary, the MRO will request the laboratory test for D, L stereoisomers of amphetamine and methamphetamine or testing for tetrahydrocannabivarin (THC-V) when verifying lab results. Page 453 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.27 The MRO shall review and take all reasonable and necessary steps to verify the authenticity of all medical records made available by the tested employee when the source of the confirmed result could have been from legally prescribed medication. The MRO shall not, however, consider the results of urine or other specimens that are not obtained or processed in accordance with DOT regulations. Results. The MRO will use staff under his direct supervision to handle administrative processes for negative test results including receiving the result from the laboratory, reviewing the paperwork for accuracy, and reporting of the result to the DER. The MRO will personally review at least 5 percent of all CCFs reviewed by their staff, on a quarterly basis, not to exceed more than 500 negative results in a quarter. The MRO staff may make the initial contact with employees having confirmed positive, adulterated, substituted, and invalid test results, for the purposes of setting up an interview for the MRO. The MRO will personally conduct the interview with the employee to determine whether there is a legitimate medical explanation for these results. This interview will be conducted, in most cases, before the Company is notified. If the result is confirmed positive by the laboratory, and a legitimate medical explanation is established, the MRO will report the result to the DER as negative. If not, the MRO will report the result to the DER as positive. If the confirmed result is adulterated or substituted, and a legitimate medical explanation is established, the MRO will report the result to the DER as cancelled and notify ODAPC, in accordance with Part 40 procedures. If not, the MRO will report the result to the DER as a refusal to test. If the result is invalid, and an acceptable reason is established, the MRO will report the result to the DER as cancelled and the process will stop, unless a negative test result is needed (e.g., pre-employment, return-to-duty and follow-up). If an acceptable reason is not established, the MRO will report the result to the DER as cancelled and order an immediate recollection under direct observation. Reports. All drug test results will be reported to the Company DER in a confidential and timely manner. Before reporting any results, the MRO will have received a copy of the CCF showing where the employee has signed the form. The time period from collecting the specimen to reporting the verified test result is generally shorter for negatives than for non-negatives. Non-negatives will not be reported to the DER until all information required for the employee interview is received and approved by the MRO. The MRO will transmit to the DER on the same day the MRO verifies the result or the next business day all verified positive test results, results requiring an immediate collection under direct observation, adulterated or substituted results and any other refusals to test. The Company may use a C/TPA as its intermediary in receiving drug test results. If so, those reports will be handled in accordance with Part 40 requirements. If the MRO does not use Copy 2 of the CCF for reporting results, the MRO will maintain a copy of the signed or stamped report in addition to the signed or stamped and dated Copy 2. If the MRO uses an electronic data file to report negatives, the MRO will maintain a retrievable copy of that report in a format suitable for inspection and auditing by a DOT representative. 9. Split Specimen Testing Split Specimen. When the MRO has verified a result as positive, adulterated, or substituted, the MRO will notify the employee of their right to have the split specimen tested. The employee must notify the MRO within 72 hours of the result being verified in order to have this testing conducted. If the employee requests that the split specimen be tested within the 72-hour period, the MRO will ensure that the split specimen is tested. Testing of the split specimen is only conducted at the request of the employee, and then only after using the MRO as the requesting agent for the employee. The MRO will immediately provide written notice to the laboratory that tested the primary specimen, directing the laboratory to forward the split specimen to the second HHS-certified laboratory. The MRO will document the date and time of the employee’s request. The Company is responsible for making sure that the MRO, first laboratory, and second laboratory perform the functions noted in Part 40 in a timely manner, once the employee has made a timely request for a test of the split specimen (e.g., by establishing appropriate accounts with laboratories for testing split specimens). The Company must not condition compliance with these requirements on the employee's direct payment to the MRO or laboratory or the employee's agreement for reimbursement of the costs of testing. For example, if the Company’s asks the employee to pay for some or all of the cost of testing the split specimen, and the employee is unwilling or unable to do so, the Company must ensure that the test takes place in a timely manner, which means that the Company will pay for the split testing. Page 454 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.28 The Company may seek payment or reimbursement of all or part of the cost of the split specimen from the employee. Part 40 takes no position on who ultimately pays the cost of the test, so long as the Company ensures that the testing is conducted as required and the results released appropriately. Laboratory. The testing of the split specimen will be conducted at another HHS-certified laboratory, different from the original laboratory. The split specimen will be tested for the same substance or condition that was found in the primary specimen. The MRO will report back to the DER and the employee whether the split reconfirms the primary. If the test of the split does not reconfirm the primary, both tests will be cancelled as if they never occurred. 10. Medical or Recreational Marijuana The DOT does not accommodate the use of medical or recreational marijuana by DOT-covered safety-sensitive employees. VI. ALCOHOL MISUSE PREVENTION PROGRAM 1. DOT-Required Alcohol Tests Compliance. The Company will ensure that each employee who performs a DOT-covered function will be alcohol tested for the following reasons when called for by Part 199. All alcohol tests will be conducted following the procedures of Part 40. Pre-Employment Testing. PHMSA does not mandate a pre-employment alcohol test for covered safety- sensitive employees in the pipeline industry. PHMSA does give operators and contractors who wish to conduct a pre- employment alcohol test the authority to do so. If the Company decides to conduct pre- employment alcohol testing, all applicants will be advised of the test prior to the test occurring, and all tests will be conducted before the first performance of covered functions by every covered safety-sensitive employee (whether a new employee or someone who has transferred to a position involving the performance of covered functions). The Company will treat all covered safety-sensitive employees the same for the purpose of pre- employment alcohol testing; the Company will not test some covered safety-sensitive employees and not others. The Company will conduct the pre-employment tests after making a contingent offer of employment or transfer, subject to the employee passing the pre-employment alcohol test. A result of less than 0.02 alcohol concentration is required prior to performing covered functions. Post-Accident Testing. As soon as possible, the Company will alcohol test each surviving covered safety-sensitive employee whose performance of a covered function either contributed to the accident or cannot be completely discounted as a contributing factor to the accident. The Company may decide not to test under this paragraph but such a decision will be based on specific information that the covered safety-sensitive employee’s performance had no role in the cause(s) or severity of the accident. The Company will document the decisions that support the determination not to conduct a post-accident alcohol test. If a test required by this section is not administered within the 8 hours following the accident, the Company will prepare and maintain its decision stating the reasons why the test was not promptly administered. If a test required by the above paragraph of this section is not administered within 8 hours following the accident, the Company will cease attempts to administer an alcohol test and will state in the record the reasons for not administering the test. Refer to Appendix F: Post-Accident or Reasonable Cause/Suspicion Supervisor Written Record. If the alcohol test is not completed within 2 hours the Company will prepare and maintain a written statement documenting the reason the test was not conducted. If the test is not completed within 8 hours, the Company shall cease attempts to do so. The Company will take all reasonable steps to obtain a breath test from an employee after an accident, but any injury should be treated first. Nothing in this section shall be construed to require the delay of necessary medical attention for injured people following an accident, to prohibit a covered safety-sensitive employee 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 455 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.29 The affected employee will not be allowed to proceed alone to the testing site. A covered safety-sensitive employee who is subject to post-accident testing who fails to remain readily available for such testing, including notifying the Company or Company’s representative of their location if they leave the scene of the accident prior to submission to such test, may be deemed by the Company to have refused to submit to testing. Random Testing. PHMSA does not authorize random alcohol testing of covered safety-sensitive employees within the natural gas and hazardous liquids pipeline industry. The Company will not conduct DOT random alcohol testing of their PHMSA-regulated employees. Reasonable Suspicion/Cause Testing. The Company will conduct reasonable suspicion testing, also known as reasonable cause testing, based on the Company’s observation of “signs and symptoms” of specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the employee. A supervisor trained in detection of the possible signs and symptoms of alcohol use shall make the decision to test an employee. The decision to test will only be made on an employee during, just before, or just after his performance of DOT functions. The supervisor making the determination to test shall document, in writing, the behavioral signs and symptoms that support the determination to conduct a reasonable suspicion/cause test. This documentation of the employee's conduct should be prepared and signed within 24 hours of the observed behavior or before the results of the tests are released, whichever is earlier. Refer to Appendix G: Reasonable Cause/Suspicion Observation Checklist. The potentially affected employee should not be allowed to proceed alone to or from the test site. If the reasonable suspicion test is not administered within 2 hours following the determination, the Company will prepare and maintain on file a record stating the reasons the test was not promptly administered. If a test is not administered within 8 hours, the Company will cease attempts to administer an alcohol test and record the reasons for not testing. Regardless of whether or not a reasonable suspicion alcohol test is conducted, the Company will not permit a covered employee to report for duty or remain on duty performing covered functions while the employee is under the influence of, or impaired by alcohol, as determined by the behavioral, speech, or performance indicators of alcohol misuse. The Company will not take any action, under the PHMSA regulation, against a covered employee based solely on the employee’s behavior and appearance in the absence of an alcohol test. However, this does not prohibit the Company from taking action under Company authority or otherwise consistent with the law. If the test results are 0.02 or greater, the employee should make arrangements to be transported home. The employee should be instructed not to drive any motor vehicle due to the reasonable belief that he may be under the influence of alcohol. If the employee insists on driving, a supervisor should notify the proper local law enforcement authority that an employee believed to be under the influence of alcohol is leaving the Company premises driving a motor vehicle. Return-to-Duty Testing. The Company will conduct a return-to-duty test prior to an employee returning to covered safety-sensitive duty following a DOT violation. When an employee has a DOT violation the employee cannot work again in any DOT covered safety-sensitive function until successfully completing the SAP/return-to-duty requirements. Only after the SAP has reported to the Company that the employee is eligible to return to covered safety-sensitive duties is the Company authorized to return the employee to a covered function. However, whether or not to do so is a business decision of the Company, not the DOT. When the Company makes the decision to return the employee to safety- sensitive duty, the Company will initiate the order for the return-to-duty test. A return- to- duty test may be for both drugs and alcohol. The decision belongs solely to the SAP from information gained during the SAP-evaluation/treatment processes. The results of a return-to- duty alcohol test must be less than 0.02 in order “to count” and allow the employee to return to work. A cancelled test does not meet this criterion and requires a retest; a result greater than 0.02 but less than 0.04 must be retested until the result is less than 0.02; a result of 0.04 or greater is a new, separate violation. Return-to-duty alcohol tests will be direct observed. Page 456 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.30 If the Company has a zero tolerance policy, any covered safety-sensitive employee who has a DOT drug or alcohol violation will be terminated upon such violation (refer to Appendix D, Company Disciplinary Actions and Additional Procedures). However, the employee will be referred to a SAP. The employee will be made aware that they must complete the DOT return-to-duty process prior to again performing covered safety-sensitive work for a company that is subject to the DOT alcohol and drug testing regulations. Follow-up Testing. The Company will conduct follow-up testing, as a series of tests that occur after an employee returns to covered safety-sensitive work, following a negative result on the return-to-duty drug and/or alcohol tests. Follow-up testing may be for both drugs and alcohol, as directed by the SAP’s written follow-up testing plan. Follow-up alcohol tests will be direct observed. Follow-up testing is the Company’s responsibility to conduct. The number and frequency of the follow- up tests will be determined by the SAP, but shall consist of at least six tests in the first 12 months following the covered safety-sensitive employee’s return to duty. The follow-up plan will give both the number of tests and their frequency; the Company will select the actual day and time of the test and the tests are unannounced. Testing will only be conducted for an employee during, just before, or after his/her performance of DOT functions. Follow-up testing shall not exceed 60 months from the date of the covered employee’s return to duty. The SAP may terminate the requirement for follow-up testing at any time after the first six tests have been administered, if the SAP determines that such testing is no longer necessary. 2. Alcohol Test Compliance. The Company will follow Part 40 procedures for alcohol testing. A full description of DOT alcohol testing requirements can be found in Part 40, Subpart J (“Alcohol Testing Personnel”); Subpart K (“Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing”); Subpart L (“Alcohol Screening Tests”); Subpart M (“Alcohol Confirmation Tests”); and, Subpart N (“Problems in Alcohol Testing”). These procedures apply to all DOT alcohol tests regardless of the reason for the test. Personnel and Testing Devices. The Company will only use qualified Screening Test Technicians (STT) or Breath Alcohol Technicians (BAT) for DOT alcohol tests. Technicians will complete requalification/certification training every five years. The technicians will subscribe to the ODAPC list-serve website to keep current on any changes to the DOT alcohol and drug testing regulations. These technicians will only conduct the test using DOT-approved devices. Devices are approved by the National Highway Traffic Safety Administration (NHTSA), an agency of DOT, and placed on the Conforming Products List (CPL). 14 The devices used by the Company will be maintained according to the particular manufacturer’s specifications in the Quality Assurance Plan (QAP). External calibration checks will be performed at the intervals specified in the manufacturer’s instructions for any EBT used for DOT- required alcohol confirmation testing. The inspection, maintenance and calibration of the EBT shall be performed by its manufacturer or a maintenance representative certified either by the manufacturer or by a state health agency or other appropriate state agency. Testing Site, Forms, and Specimen. The Company will provide the employee with the specific location where the test will take place. Tests will be conducted in an area to prevent unauthorized people from hearing or seeing the employee’s test result. The Company will remind the employee that failure to sign the DOT Alcohol Testing Form (ATF) at the instruction of the testing technician will be viewed as a refusal to test. The alcohol screening test may be conducted with breath or saliva, as applicable for the device used by the testing technician. Only breath will be used for the confirmation test, which is conducted by a BAT using an EBT. 14 National Highway Traffic Safety Administration, Conforming Products List for Evidential Breath Measurement Devices. Page 457 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.31 Test. The Company will inform the employee that they are required to carry and present a current valid picture ID, such as a driver’s license, passport, or employer-issued picture ID to the testing site. The testing technician will perform a screening test and show the employee the test result. If the screening test result is an alcohol concentration of less than 0.02, no further testing is authorized, and there is no DOT action to be taken. The technician will document the result on the ATF, provide the employee a copy and also provide the Company and/or the Company’s C/TPA a copy. If the screening test result is 0.02 or greater, the employee will be required to take a confirmation test, which can only be administered by a BAT using an EBT. The BAT will wait at least 15-minutes, but not more than 30 minutes, before conducting the confirmation test. During that time, the employee will not be allowed to eat, drink, smoke, belch, put anything in their mouth or leave the testing area. Leaving the testing area without authorization may be considered a refusal to test. The BAT will perform an “air blank” (which must read 0.00) on the EBT device to ensure that there is no residual alcohol in the EBT or in the air around it. The confirmation test result is the final result of the test, and the will be shown to the employee and on the printout from the EBT. If the result is less than 0.02, no action is taken under Part 199. Any result of 0.02 or greater will be immediately reported to the Company. 3. PHMSA Inspection Protocol for Alcohol Testing Sites Compliance. PHMSA’s Substance Abuse Program Comprehensive Audit and Inspection Protocol Form, Alcohol Testing Sites, Form No.: 3.1.8 (Revision 2)” provides a separate inspection protocol for Alcohol Testing Sites. The Company provides this protocol to correspond with the detail found in the PHMSA Inspection Form. As previously stated, the Company will ensure that all DOT alcohol tests comply with Part 40 requirements. Alcohol Testing Personnel. The Company will ensure that only qualified STTs and BATs are used to conduct Company DOT tests. STTs and BATs are responsible to maintain their own verification documentation and will make it available to the Company on request. A supervisor of an employee may not be used to conduct a reasonable suspicion/cause test if that supervisor was the one who made the determination to test. Alcohol Testing Sites, Forms and Supplies. The testing site will ensure visual and aural privacy to the employee being tested to prevent unauthorized persons from seeing or hearing test results. The site will have the needed personnel, materials, equipment, and facilities to provide for the collection and analysis of breath and/or saliva samples, and a suitable clean surface for writing. The site will be able to prevent unauthorized personnel from entering the testing site, and ensure no unauthorized employee has access to an unsecured EBT, and that when an EBT or ASD is not being used for testing, it is stored in a secure place. Tests will be conducted on only one employee at a time. Only EBTs and ASDs listed on the NHTSA CPL will be used for DOT alcohol testing, and only an EBT must be used for conducting the confirmation tests. The QAP and associated manufacturer’s instructions will be followed for all EBTs and ASDs used by the Company. It is the responsibility of the testing sites used by the Company to carry out this responsibility for the Company. Alcohol Screening Tests. Only the DOT-approved ATF will be used for all Company alcohol tests. The employee will provide a positive identification through the use of photo ID or by employer representative prior to the test. The BAT or STT shall explain the testing process to the employee, including showing the employee the instructions on the back of the ATF. If the employee has a designated testing time and does not appear, the BAT or STT will notify the DER. Testing will begin without undue delay. An alcohol test will be given prior to a drug test and medical attention, if it is required, will not be delayed in order to conduct a test. The testing technician will explain the testing procedure to the employee, including showing the employee the instructions on the back of the ATF. The ATF will be completed and the employee will be asked to sign the ATF. Failure to sign is a refusal to test. The BAT or STT will select, or allow the employee to select, an individually wrapped or sealed mouthpiece from the testing materials and insert it into the device in accordance with the manufacturer's instructions. The employee will be instructed to blow steadily and forcefully into the mouthpiece for at least six seconds or until the device indicates that an adequate amount of breath has been obtained. The employee will be shown the displayed test result. The device will print a label with, or the technician will write, the result and pertinent information on the ATF. Page 458 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.32 Alcohol Screening with an ASD. It is not the intent of the Company to use an ASD for an alcohol test. However, it is possible that, when necessary, one may have to be used to conduct the test. In those cases, the STT or BAT will follow the manufacturer’s instructions, and only use a device that has been under their control. The ASD may be either a saliva device or a breath tube. The expiration date will be shown to the employee. A device will not be used after its expiration date. The device will be opened in the presence of the employee, and the employee will be offered the opportunity to use the device, according to instructions. In any case, where the technician uses the device, the device will be inserted into the employee's mouth and gather saliva, with the technician wearing single-use examination gloves while doing so and change them following each test. Assurance will be made that the device has properly activated and that the correct amount of time will be allowed to elapse before reading the result. If problems occur (e.g., the device does not activate, it is dropped on the floor), it will be discarded and a new test will be conducted using a new device. The STT or BAT will note on the ATF the reason for the new test. If efforts to get the ASD to work properly fail, the technician will direct the employee to take a new test immediately, using an EBT for the screening test. Devices, swabs, gloves or other materials used in the prior saliva or breath tube testing will not be used in subsequent tests. Alcohol Screening Results. A result with an alcohol concentration of less than 0.02 will be recorded on the ATF; the result will be transmitted, in a confidential manner, to the DER with the test concluded without consequence. A result with an alcohol concentration of 0.02 or higher requires the employee to take a confirmation test. If the same BAT who conducted the alcohol screening test will also conduct the confirmation test, the test will begin immediately. If a different BAT will conduct the confirmation test, the technician conducting the screening test will direct the employee to the site where the test will take place. The technician will also advise the employee not to eat, drink, put anything (e.g., cigarette, chewing gum) into the employee’s mouth, or belch, during the 15-minute waiting period until the test occurs. The different BAT will require positive identification of the employee, explain the confirmation procedures, and use a new ATF. The BAT will note on the “Remarks” line of the ATF that a different BAT or STT conducted the screening test. The employee will be observed by the technician or an employer representative on the way to the confirmation testing site. The employee will be directed not to attempt to drive a motor vehicle to the confirmation testing site. Alcohol Confirmation Test. All alcohol confirmation tests will be conducted by BATs using EBTs. The BAT will ensure that the time since the screening test has been at least 15 minutes, and the employee has been advised not to eat, drink, put anything (e.g., cigarette, chewing gum) into the employee’s mouth, or belch. The BAT will conduct an air blank on the EBT in the presence of the employee. The reading must be 0.00 for the test to proceed. If the reading is greater than 0.00, another air blank must be conducted; the EBT must not be used (taken out of service) if the second reading is greater than 0.00. The EBT cannot be used for testing until it is found to be within tolerance limits on an external check of calibration. A new sealed mouthpiece will be opened, in view of the employee, and used for the test. The employee will be instructed to blow steadily and forcefully into the mouthpiece for at least six seconds or until the device indicates that an adequate amount of breath has been obtained. The results will be shown to the employee and printed for application to the ATF. Alcohol Confirmation Results. If the alcohol confirmation test result is lower than 0.02, nothing further is required of the employee. If the alcohol confirmation test result is 0.02 or higher, the BAT will immediately transmit the result directly to the DER in a confidential manner. Page 459 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.33 Problems in Alcohol Testing. The Plan addresses the situations in which an employee has refused to take an alcohol test. See Section IV.6, “DOT Alcohol Violations and Prohibited Conduct.” In situations where an employee is unable to provide sufficient saliva to complete a screening test, the Company will ensure that the employee takes a breath test immediately. In situations where an employee is unable to provide sufficient breath to complete a test, the employee will be sent for an evaluation, within five days, by a licensed physician who is acceptable to the Company. The physician will have expertise in the medical issues raised by the employee's failure to provide a breath specimen, as well as be apprised of the consequences of the appropriate DOT agency regulation for refusing to take the required alcohol test. The physician will provide the Company with a signed statement of their conclusions. If it is the reasonable medical judgment of the physician, that a medical condition has, or with a high degree of probability could have, precluded the employee from providing a sufficient amount of breath, the test will be canceled by the Company. If there is not an adequate basis for determining that a medical condition has, or with a high degree of probability could have, precluded the employee from providing a sufficient amount of breath, this constitutes a refusal to test. Canceling an Alcohol Test. The Company will ensure that an alcohol test is canceled if a fatal flaw occurs. Fatal flaws are: 1) in the case of a screening test conducted on a saliva ASD or a breath tube ASD, the STT or BAT reads the result either sooner than or later than the time allotted by the manufacturer; the saliva ASD does not activate; the device is used for a test after its expiration date; or, in the case of a screening or confirmation test conducted on an EBT, the sequential test number or alcohol concentration displayed on the EBT is not the same as the sequential test number or alcohol concentration on the printed result; 2) in the case of a confirmation test the BAT conducts the confirmation test before the end of the minimum 15-minute waiting period; the BAT does not conduct an air blank before the confirmation test; there is not a 0.00 result on the air blank conducted before the confirmation test; the EBT does not print the result; or, the next external calibration check of the EBT produces a result that differs by more than the tolerance stated in the QAP from the known value of the test standard. In this case, every result of 0.02 or above obtained on the EBT since the last valid external calibration check is canceled. The Company will ensure that an alcohol test is canceled if a correctable flaw occurs and is not corrected. Correctable flaws are: the BAT or STT does not sign the ATF; the BAT or STT fails to note on the “Remarks” line of the ATF that the employee has not signed the ATF after the result is obtained; and, the BAT or STT uses a non- DOT form for the test. Corrected Alcohol Problems. The Company will ensure that BATs and STTs will try to successfully complete each alcohol test for an employee. If they become aware of a problem that will cause the test to be canceled, they will try to correct the problem promptly, if practicable. Repeating the test is an acceptable part of this process. If repeating the testing process is necessary, a new test (new ATF, new device) must begin as soon as possible. If repeating the testing process is necessary, the technician is not limited in the number of attempts to complete the test, provided that the employee is making a good faith effort to comply with the testing process. If another testing device is not available for the new test at the testing site, the technician will immediately notify the DER and advise the DER that the test could not be completed. The DER will make all reasonable efforts to ensure that the test is conducted at another testing site as soon as possible. If the Company or its service agent administering the testing process becomes aware of a correctable flaw that has not been corrected, all practicable action will be taken to correct the problem so that the test is not cancelled. If the problem resulted from the omission of required information, the person responsible for providing the information must supply in writing the missing information and a signed statement that it is true and accurate. If the problem is the use of a non-DOT form, the technician must, as the person responsible for the use of the incorrect form, certify in writing that the incorrect form contains all the information needed for a valid DOT alcohol test. The technician must also provide a signed statement that the incorrect form was used inadvertently or as the only means of conducting a test, in circumstances beyond the technician’s control, and the steps the technician has taken to prevent future use of non-DOT forms for DOT tests. The technician must supply this information on the same business day on which the collector was notified of the problem, transmitting it by fax, e-mail or courier. If the technician cannot correct the problem, the technician must cancel the test. Page 460 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.34 VII. PROGRAM ELEMENTS COMMON TO DRUG AND ALCOHOL 1. Substance Abuse Professional Compliance. The Company will follow the requirements of Part 40 for its Substance Abuse Professional (SAP) obligations. A full description of the SAP requirements is in Part 40, Subpart O (“Substance Abuse Professionals and the Return-to-Duty Process”). Qualifications. The Company will refer employees only to SAP’s who have the credentials, basic knowledge, and qualification training, including fulfilling obligations for continuing education courses, for DOT violations. The SAP will subscribe to the ODAPC list-serve website to keep current on any changes to the DOT alcohol and drug testing regulations. The SAP will not be an advocate for the Company or the employee. The SAP’s function is to protect the public interest in safety by professionally evaluating the employee and recommending appropriate education/treatment, follow-up tests, and aftercare. SAP Referral. The Company will provide to each employee who violates a DOT drug and alcohol regulation a listing of SAP’s readily available to the employee and acceptable to the Company. The list will include SAP names, addresses, and telephone numbers. There will not be a charge to the employee for compiling or providing this list. The Company may use its C/TPA or other service agent to provide this information. Any covered safety-sensitive employee who has violated DOT drug and alcohol regulations cannot again perform any DOT covered safety- sensitive duties for this Company until and unless the employee successfully completes the SAP evaluation, referral, and education/treatment process. Payment. The Company is not required to pay for a SAP evaluation or any subsequent recommended education or treatment for an employee who has violated a DOT drug and alcohol regulation. Company Responsibility. The Company is only bound by DOT to ensure that if the employee is provided an opportunity to return to a DOT covered safety-sensitive duty following a violation, that the Company ensure that the employee receives an evaluation by a SAP meeting the requirements of Part 40 and that the employee successfully complies with the SAP's evaluation recommendations before returning to the covered safety-sensitive job. Even if a SAP believes that the employee is ready to return to safety- sensitive work, the Company is under no obligation to return the employee to work. Under the DOT regulations, hiring and reinstatement decisions are left to the employer. The DOT leaves all payment issues for SAP evaluations and services to the Company and the employee to resolve. SAP Process. The SAP will make a face-to-face clinical assessment and evaluation to determine what assistance is needed by the employee to resolve problems associated with alcohol and/or drug use. The SAP will refer the employee to an appropriate education and/or treatment program. At the completion of the education and/or treatment, the SAP will conduct a face-to-face follow-up evaluation to determine if the employee actively participated in the education and/or treatment program and demonstrated successful compliance with the initial assessment and evaluation recommendations. Reports will be provided to the Company on both the initial requirements and the outcome of the follow- up evaluation. The report will be specific and will include all of the Part 40 requirements of a written SAP report. The SAP will provide the DER with a written follow-up drug and/or alcohol testing plan for the employee and, if deemed necessary, will also provide the employee and the Company with recommendations for continuing education and/or treatment. Page 461 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.35 2. Employee Assistance Program The Company will provide an Employee Assistance Program (EAP) for its employees and supervisors. The EAP may be established “in house,” as part of internal personnel service or may be contracted to an entity that provides EAP services at other locations. The function of the EAP will be to provide employees with informational material on the awareness and danger of drug and alcohol use. General EAP-information material, such as the availability of brochures or videos, and community service “hotline” telephone numbers will be displayed in common areas and distributed to employees. Employees will be encouraged to call the hotline if needed. Additionally, this Plan will be displayed and made available to all employees. The Plan contains the employer's policy regarding the use of prohibited drugs and alcohol misuse. The areas and places in which the above material will be displayed include employee bulletin boards, break rooms, locker rooms, or other areas designated by the Company. If applicable, the Company will provide written notice to representatives of employee organizations of the availability of drug and alcohol education materials. 3. Supervisor Training Each supervisor who will determine whether an employee must be drug tested and/or alcohol tested based on reasonable suspicion/cause will be trained in the “signs and symptoms” of each substance. Each supervisor will receive one 60-minute period of training on the specific, contemporaneous physical, behavioral, and performance indicators of probable drug use and one 60-minute period of training on the specific, contemporaneous physical, behavioral, and performance indicators of probable alcohol use. The two 60-minute training periods may run concurrently equaling 120-minutes. 4. Contractor Monitoring Compliance. Operators are responsible for ensuring that contractors and contractor employees working for, and/or on the properties of, the operator are in compliance with the requirements of Part 40 and 199. With respect to those covered safety-sensitive employees who are contractors or employed by a contractor, an operator may provide by contract that all requirements of Part 40 and 199 will carried out by the contractor. To assure that the contractor is in full compliance, the contractor will allow access to property and records by the operator, the operator designee, the Administrator, any DOT agency with regulatory authority over the operator or covered safety-sensitive employee, and, if the operator is subject to the jurisdiction of a state agency, a representative of the state agency for the purposes of monitoring the operator's compliance with the requirements of Part 40 and 199. The operator will ensure that all contractors are qualified prior to commencing, as well as during the performance of, covered functions for the operator. Qualifying Potential Contractor. Qualifications of the potential contractor as it pertains to drug and alcohol testing policies and procedures are assured by requesting the potential contractor to submit a copy of its Plan for review and compliance with PHMSA regulations. After review of the Plan is completed, written correspondence to the contractor will advise whether or not it is acceptable or in need of further additions, deletions, revisions or clarifying language. The review of the contractor Plan shall be completed utilizing the criteria established by PHMSA. Monitoring Contractor's Compliance. The contractor may be required to provide information on their employees who will perform covered functions for the operator. This information will include, as a minimum, the name, type of test and test date of the employees who will perform any work or functions covered by Part 199 under that contract. A list of each contractor's covered safety-sensitive employees may be distributed to appropriate Company field management. All contractors will be required to submit drug and alcohol testing statistical information on a periodic basis, which may be based on the duration of the contract. Typically, this requirement will be on a semi-annual basis. The Company may require a more frequent schedule for submission of drug and alcohol testing data should they determine a need for such statistics. The Company shall maintain a complete file on each contractor’s statistical drug and alcohol testing reports. The Company shall make these reports available when requested by a PHMSA agency-designated representative, or representatives of those state agencies under which jurisdiction the Company operates. The operator will also submit contractor Management Information System (MIS) reports to PHMSA by March 15th each year. Page 462 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.36 The contractor will cooperate with the operator, or the operator’s designee, if additional information is requested to further verify compliance of the regulations. 5. Recordkeeping Compliance. The Company will ensure that all records required by the DOT are maintained in a location with controlled access. The Company is not required to keep records related to a program requirement that does not apply to Part 40 or 199. The Company or its C/TPA will maintain the records in a locked file system and will be accessed only on a strict "need to know" basis. The Company or its C/TPA will not release an employee's drug and alcohol records to third parties without the employee’s specific written consent. A “third party” is any person or organization to whom Parts 40 or 199 do not explicitly authorize or require the transmission of information in the course of the drug and alcohol testing process. “Specific written consent” means a statement signed by the employee that he or she agrees to the release of a particular piece of information to a particular, explicitly identified, person or organization at a particular time. The Company or its C/TPA will release the employee’s information without consent to DOT, PHMSA, or other government agency having regulatory authority over the Company or employee without consent. The Company or its C/TPA will release the employee’s information without consent as a part of an accident investigation by the National Transportation Safety Board. The Company or its C/TPA will release the employee’s information without consent in certain legal proceedings. These proceedings include a lawsuit, grievance, administrative proceeding (e.g., an unemployment compensation hearing brought by or on behalf of an employee resulting from a positive drug or alcohol test or refusal to test), a criminal or civil action resulting from an employee's performance of covered safety-sensitive duties, in which a court of competent jurisdiction determines that the drug or alcohol test information sought is relevant to the case and issues an order directing the Company to produce the information. In such a proceeding the information will be released to the decision maker in the proceeding with a binding stipulation that the decision maker to whom it is released will make it available only to parties to the proceeding. After releasing the information, the Company or its C/TPA will notify the employee. If the Company uses a C/TPA to maintain the records, the Company will ensure that the C/TPA can produce these records at the Company’s principal place of business in the time required by the DOT agency for an inspection. The records will be provided within two business days after receipt of the request. Most records will be stored electronically, where permitted by Part 40 and 199. The Company will ensure that the records are easily accessible, legible, and formatted and stored in an organized manner. If electronic records do not meet these criteria for the DOT inspector, the Company will convert them to printed documentation in a rapid and readily auditable manner, at the request of DOT agency personnel. Records and Retention Periods. The Company or its C/TPA will maintain the following records for the noted time periods, as a minimum: a) Records kept for five years: (1) Records of alcohol test results indicating an alcohol concentration of 0.02 or greater; (2) Records of the inspection, maintenance, and calibration of EBTs; (3) Records of verified positive drug test results; (4) Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated drug test results); (5) SAP reports; (6) Follow-up tests and schedules for follow-up tests; and, (7)Statistical data related to the Company’s testing program, entitled “Management Information System,” will be available to a representative of DOT, PHMSA, or a state agency having regulatory authority over the Company upon request. Page 463 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.37 b) Records kept for three years: (1) Records of information obtained from previous employers under Part 40 concerning drug and alcohol test results of employees; (2) Records that demonstrate the drug-testing collection process; and, (3) Records related to “signs and symptoms” alcohol and drug training for supervisors; (4) Records related to employee education and training; (5) Records of decisions not to administer post-accident covered employee alcohol and drug tests. c) Records kept for two years: (1) Records related to the alcohol collection process (i.e., calibration documentation for evidential breath testing devices, documentation of breath alcohol technician training, documents generated in connection with decisions to administer reasonable suspicion alcohol tests, documents generated in connection with decisions on post-accident tests, and documents verifying existence of a medical explanation of the inability of a covered employee to provide adequate breath for testing); and, d) Records kept for one year: (1) Negative and cancelled drug test results. (2) Alcohol results less than 0.02. Employee Request for Records. All employees have the right to request and obtain copies of any records pertaining to the employee's use of alcohol and/or drugs, including records of the employee's DOT-mandated drug and/or alcohol tests, and copies of SAP reports. Requests for records must be made in writing to the DER. A laboratory must provide, within 10 business days of receiving a written request from an employee, and made through the MRO, the records relating to the results of the employee's drug test (i.e., laboratory report and data package). Service agents providing records may charge no more than the cost of preparation and reproduction for copies of these records. SAPs must redact follow-up testing information from the report before providing it to the employee. 6. Management Information System Compliance. The Company will prepare and maintain the DOT Management Information System (MIS) report for its drug and alcohol testing program. This report will be submitted to PHMSA in accordance with annual submission requirements. If the Company uses a C/TPA then the C/TPA may prepare and maintain the MIS, reporting the MIS as the Company requires. The DER will certify each report submitted by a C/TPA for accuracy and completeness. The MIS report will be submitted electronically through the DAMIS portal on or before March 15th. Contractor Reporting for MIS. If the Company is an operator, it will verify and identify all contractors who performed covered functions, as defined under Part 199, for this Company in a given calendar year. If required, by either mandated annual or PHMSA written request, the Company will submit an MIS report for each of these contractors. The contractor MIS reports will be submitted electronically through the DAMIS portal on or before March 15th. Page 464 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.38 Plan Revision Date: January 1, 2023 VIII. Appendix A - Acknowledgement/Receipt Form I acknowledge, by signing this form, that my full compliance with the Anti-Drug and Alcohol Misuse Prevention Plan (the "Plan") and DOT drug and alcohol regulation requirements is a condition of my initial and continued employment with the Company. I understand and agree that I may be discharged or otherwise disciplined for any drug and/or alcohol violation, committed by me, as cited in the Plan and/or in the DOT drug and alcohol regulatory requirements. I also acknowledge, by signing this form, that a copy of the Plan has been made available to me and that I have read and understand the requirements of the Company and DOT drug and alcohol program. I have also been provided with informational materials on the dangers and problems of drug abuse and alcohol misuse. Signed, this the day of , 20 . Employee Name (Please Print) Employee Signature Page 465 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.39 IX. Appendix B - Designated Personnel and Service Agents CONSORTIUM/THIRD PARTY ADMINISTRATOR (C/TPA) Name: PIPELINE TESTING CONSRTIUM, INC. Address: 7 Compound Dr. HUTCHINSON, KS 67502 Phone Number: 800-294-8758 DESIGNATED EMPLOYER REPRESENTATIVE (DER)/ALCOHOL & DRUG PROGRAM MANAGER Name: ROBBIE TRONCALLI Address: 711 NANCE FORD RD SW HARTSELLE, AL 35640 Phone Number: 256-612-9974 MEDICAL REVIEW OFFICER (MRO) Name: DR. DAVID PAINE, DR. DAVID SANGER, DR. ERIN BLACKBURN Address: 5 Compound Dr. HUTCHINSON, KS 67502 Phone Number: 866-359-0414 SUBSTANCE ABUSE & MENTAL HEALTH ADMINISTRATION (SAMHSA/HHS) LABORATORY Name: CLINICAL REFERENCE LABORATORY Address: 8433 QUIVIRA RD LENEXA, KS 66215 Phone Number: 800-452-5677 COLLECTION SITE(s) - DRUG AND BREATH ALCOHOL Collection site procedures, processes and personnel requirements will follow Part 40, Subpart C, Subpart D, Subpart E, Subpart J, Subpart K, Subpart L, Subpart M and Subpart N. A list of collection site facilities, utilized by the Company, will be available upon request. LIST OF APPROVED EVIDENTIAL BREATH TESTING DEVICES (EBTS) UTILIZED: The Company will only utilize alcohol testing technicians who conduct the testing using DOT-approved devices. These devices are approved by the National Highway Traffic Safety Administration. The current list of approved devices is located on the Office of Drug and Alcohol Policy and Compliance (ODAPC) website. A list of breath testing devices, utilized by the Company, will be available upon request. SUBSTANCE ABUSE PROFESSIONAL (SAP) Name: NICOLE HANRATTY Address: 10151 York Road., Ste. 120 Cockeysville, MD 21030 Phone Number: 888-792-2727 EMPLOYEE ASSISTANCE PROGRAM (EAP) Name: SURVIEW FIELD SERVICES Address: 711 NANCE FORD RD SW HARTSELLE, AL 35640 Phone Number: 256-612-9974 Page 466 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.40 X. Appendix C - Covered Positions EMPLOYEE/SUPERVISOR* POSITIONS SUBJECT TO ALCOHOL & DRUG TESTING JOB CLASSIFICATIONS/TITLES SUBJECT TO 49 CFR PART 192, 193 or 195) *SUPERVISOR POSITIONS THAT HAVE RECEIVED ALCOHOL AND DRUG TRAINING (60 MINUTES DRUG, 60 MINUTES ALCOHOL) Title Employee Supervisor Title Employee Supervisor LEAK SURVEY TECHNICIAN Yes No SKILLED LABORER Yes No PROJECT MANAGER No Yes SUPERINTENDENT Yes No DRIVER Yes No DIRECTOR, ORG DEVELOPMENT No Yes DIRECTOR, SEWER CAMERA No Yes DIRECTOR, LEAK SURVEY No Yes Page 467 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.41 XI. Appendix D - Company Disciplinary Actions and Additional Procedures 1. Company Discipline Employees violating this Plan will be subject to disciplinary actions up to and including termination. 2. Additional Company Procedures Compliance with All Laws. This policy statement will be amended from time to time to comply with changes in Federal and State laws. The Company reserves the right to revise or amend this policy with or without notice at any time. Page 468 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.42 THIS PAGE HAS BEEN INTENTIONALLY LEFT BLANK TO ADD ADDITIONAL COMPANY DISCIPLINARY ACTIONS AND PROCEDURES IF NEEDED. Page 469 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.43 XII. Appendix E PHMSA Anti-Drug and Alcohol Misuse Program-Inspection Protocol Form, Comprehensive Audit and Inspection Protocol Forms- Specimen Collection Sites, Alcohol Testing Sites and Changes to Model Plan. PHMSA Anti-Drug and Alcohol Misuse Program Inspection Protocol Form, Form No.: 4.1, Revision 3 (dated March 1, 2021) Protocol Area A – General Drug & Alcohol (D&A) Program Requirements A-1: Designated Employer Representative (DER) Has the operator appointed a Designated Employer Representative (DER)? §40.3, §40.15(d), §40.355(k), Verify that a service agent is not used to fulfill the function of a DER. §40.3, §40.15(d), §40.355(k) Plan: IX: Appendix B – Designated Personnel and Service Agents, III. Policy and Responsibilities – 2. Responsibilities of Key Personnel, Designated Employer Representative (DER), 4. Use of Service Agents, Compliance, Consortium/Third Party Administrator. A-2: Employer Responsibilities for Officials, Representatives, and Service Agents Does the operator’s D&A program have a process to ensure the operator remains responsible for all actions of its officials, representatives, and service agents, including a Consortium/Third Party Administrator (C/TPA), to ensure compliance when these officials, representatives, and service agents carry out the requirements of Parts 199 and 40? §40.11(b), §40.15(c), §40.341 Plan: III. Policy and Responsibilities – 4. Use of Service Agents, Compliance. A-3: Qualification Requirements Verify the operator’s D&A program positions and/or service agents meet the applicable qualification requirements of Part 40 and Part 199: Medical Review Officer (MRO) §40.121 and §199.109(b), Urine Specimen Collector §40.33, Substance Abuse Professional SAP) §40.281, Laboratories certified by the Department of Health and Human Services (HHS) National Laboratory Certification program (NLCP) §40.81(a) and §199.107(a), Screening Test Technician (STT) §40.213, Breath Alcohol Technician (BAT) §40.213 Plan: V. Anti-Drug Program – 3. Specimen Collection Procedures, 4. PHMSA Inspection Protocol for Specimen Collection Sites, 5. Drug Testing Laboratory, 8. MRO Review of Drug Test Results, VI. Alcohol Misuse Prevention Program – 2. Alcohol Test, VII. Program Elements Common to Drug and Alcohol – 1. Substance Abuse Professional A-4: Service Agent Limitations Verify the operator’s D&A program ensures its service agents: Do not require an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the DOT D&A testing process (including, but not limited to, collections, laboratory testing, MRO and SAP services). §40.355(a), Do not act as an intermediary in the transmission of laboratory drug test results direct from the laboratory to the MRO, operator, or to another service agent, or in the transmission of alcohol test results of 0.02 or higher direct from the STT or BAT to the DER. §40.355(b-d), Do not make decisions to test an employee based upon reasonable suspicion/cause, post-accident, return-to-duty, and follow-up determination criteria. While a service agent may provide advice and information, these are duties the operator cannot delegate to a C/TPA. §40.355(g) - see §40.355(h) for exceptions, Do not make determinations that an employee has refused a drug or alcohol test. While a service agent may provide advice and information, these are duties the operator cannot delegate to a C/TPA. §40.355(i) - see §40.355(j) for exceptions, Do not impose conditions or requirements on the operator, such as the DOT D&A testing of non-covered employees, that DOT regulations do not authorize. §40.355(m), Do not intentionally delay the transmission of drug or alcohol testing-related documents concerning actions the service agent performed because of a payment dispute or other reasons. §40.355(n) Plan: III. Policy and Responsibilities – 4. Use of Service Agents, Service Agent Limitations. A-5: Supervisory Personnel Training Does the operator require a 60-minute period of training on the specific, contemporaneous physical, behavioral, and performance indicators of probable drug use under the EAP for supervisory personnel who will determine whether an employee must be drug tested based on reasonable cause? §199.113(c), Does the operator require a 60-minute period of training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse for supervisors designated to determine whether reasonable suspicion exists to require a covered employee to undergo alcohol testing? §199.241. Plan: VII. Program Elements Common to Drug and Alcohol – 3. Supervisor Training A-6: Covered Employees Does the operator have a process to ensure the operator properly identifies the covered employees who are required to be DOT tested for the presence of prohibited drugs and alcohol? §199.3, Verify the operator does not conduct DOT tests for the presence of prohibited drugs and/or alcohol on any individual who is not a covered employee. §199.1, §199.3 and §40.347(b)(2) Plan: X. Appendix C – Covered Positions, III. Policy and Responsibilities – 6. “NON-DOT” Testing Program, IV. DOT Program Requirements – 1. Employees Subject to Testing, Compliance A-7: Employee DOT D&A Testing Record Checks For an employee seeking to perform covered functions for the first time (i.e., new hire or an employee transferring into a safety- Page 470 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.44 sensitive position): Does the operator obtain the employee’s written consent prior to requesting DOT D&A testing information from prior DOT regulated employers? §40.25(a), §40.27, §40.321(b), §40.351(d), Note: a wet ink signature and separate request is required for each prior employer, Does the operator request DOT D&A testing information from each DOT regulated employer who has employed the employee during any period during the two years before the date of the employee’s application or transfer? §40.25(b), Verify the operator does not permit an employee to perform a covered function after 30 days from the date on which the employee first performed a covered function, unless the operator has obtained, or made and documented, a good faith effort to obtain the DOT D&A testing information from prior DOT regulated employers. §40.25(d), Verify the operator does not permit an employee who has violated any DOT agency D&A regulation to perform a covered function unless the operator also obtains information that the employee subsequently complied with the return-to-duty requirements in Part 40, Subpart O and PHMSA’s drug and alcohol regulations. §40.25(e) Plan: IV. DOT Program Requirements – 3. History Check Requirements. Plan: III. Policy and Responsibilities – 6. “NON-DOT” Testing Program. Plan: VII. Program Elements Common to Drug and Alcohol – 4. Contractor Monitoring. Plan: II. General – 3. Compliance, Plan Development, Plan Availability, VII. Program Elements Common to Drug and Alcohol 2. Employee Assistance Program, VIII. Appendix A – Acknowledgment/Receipt Form, IX. Appendix B – Designated Personnel And Service Agents Plan: II. General – 8. Definitions, Drugs, V. Anti-Drug Program – 5. Drug Testing Laboratory, Drug Testing, Table 1 Required DOT Drug Tests and Cutoffs Plan: II. General – 8. Definitions, DOT, The Department, DOT Agency, V. Anti-Drug Program – 1. DOT-Required Drug Tests, Pre-Employment Testing Page 471 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.45 Plan: V. Anti-Drug Program – 1. DOT-Required Drug Tests, Post-Accident Testing, VII. Program Elements Common to Drug and Alcohol – 5. Recordkeeping, Records and Retention Periods, XIII. Appendix F – Post-Accident or Reasonable Cause/Suspicion Supervisor Written Record B-3c: Random Drug Testing Does the operator use a scientifically valid selection method, such as a random number table or a computer-based random number generator that is matched with the employees’ Social Security numbers, payroll identification numbers, or other comparable identifying numbers? §199.105(c)(5), Does the operator’s selection method ensure that each covered employee has an equal chance of being selected each time selections are made? §199.105(c)(5), Does the operator have a process to ensure it selects a sufficient number of covered employees for random drug testing during each calendar year to equal an annual rate not less than the required minimum annual percentage rate? §199.105(c)(6), Does the operator have a process to ensure that random drug tests are unannounced and that the dates for administering the tests are spread reasonably throughout the calendar year? §199.105(c)(7), Note: Do not confuse random selection dates with test dates. For example, an operator may select once each quarter (i.e. 4 days a year) but the drug tests themselves must be reasonable spread throughout the calendar year. B-3d: Reasonable Cause Drug Testing Does the operator have a process to ensure that DOT drug tests are performed when there is reasonable cause to believe the employee is using a prohibited drug? §199.105(d), Does the operator have a process to ensure the operator’s decision to test is based on a reasonable and articulable belief that the employee is using a prohibited drug based on specific, contemporaneous physical, behavioral, or performance indicators of probable drug use. §199.105(d), Does the operator have a process to ensure at least two of the employee’s supervisors, one of whom is trained in detection of the possible symptoms of drug use, shall substantiate and concur in the decision to test an employee. The concurrence between the two supervisors may be by telephone. §199.105(d), Note: In the case of operators with 50 or fewer employees subject to testing, only one supervisor of the employee trained in detecting possible drug use symptoms shall substantiate the decision to test. §199.105(d), Does the operator have a process to ensure service agents do not make decisions to drug test an employee based upon reasonable cause? While a service agent may provide advice and information, these are duties the operator cannot delegate to a C/TPA. §40.355(g) (See §40.355(h) for exceptions.) B-3e: Return-to-Duty Drug Testing Does the operator have a process to ensure that a covered employee who refuses to take a drug test, or has a positive drug test, does not return to duty in any covered function until the covered employee completes a SAP evaluation, referral, and education/treatment process? §199.105(e) & Part 40, Subpart O, Does the operator have a process to ensure that a covered employee who refuses to take or has a positive drug test does not return to duty in any covered function until the covered employee successfully completes a return-to-duty drug test? §40.285(a), §40.289(b), §40.305(a) and §199.105(e), Does the operator have a process to ensure that all return-to-duty drug testing is performed under direct observation? §40.67(b) B-3f: Follow-Up Drug Testing Does the operator have a process to ensure that a SAP establishes a follow-up testing plan for a covered employee who refused to take a drug test, or had a positive drug test, before allowing the covered employee to return to duty? §40.307, §40.309 and §199.105(f), Does the operator have a process to ensure that follow-up testing is performed on an unannounced basis, at a frequency established by the SAP, for a period of not more than 60 months and that at least six tests must be conducted within the first 12 months following the covered employee’s return to duty? §40.307, §40.309 and §199.105(f), Does the operator have a process to ensure that all follow- up drug testing is performed under direct observation? §40.67(b) B-4: Laboratory Drug Test Result Reports Does the laboratory report drug test results directly, and only, to the MRO at his or her place of business? Lab test results must not be reported to or through the DER or a service agent such as a C/TPA. §40.97(b), Does the laboratory transmit an aggregate statistical summary, by operator, of the drug test data listed in Part 40, Appendix B to the operator on a semi-annual basis? B-5: MRO Review of Drug Testing Results Does the operator have a process to ensure its MRO provides quality assurance reviews of the drug testing process, including ensuring the review of the Custody and Control Form (CCF) on all specimen collections for the purposes of determining whether there is a problem that may cause a test to be canceled? §199.109 and §40.123(b), Does the operator have a process to ensure its MRO performs the review functions required by §40.127 for negative drug test results received from a laboratory, prior to verifying the result and reporting it to the operator’s Designated Employer Representative (DER)? §199.109 and §40.163, Does the operator have a process to ensure its MRO performs the review functions required by §40.129 for confirmed positive, adulterated, substituted, or invalid drug test results received from a laboratory, prior to verifying the result and reporting it to the DER? §199.109 and §40.163, Page 472 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.46 Does the operator have a process to ensure that when its MRO has verified a drug test as positive for a drug or drug metabolite, or as a refusal to test because of adulteration or substitution, the MRO notifies the employee of his or her right to have the split specimen tested and how to request the test? §199.109 and §40.153 Plan: V. Anti-Drug Program – 8. MRO Review of Drug Test Results, Compliance, Duties, Results, Reports, 9. Split Specimen Testing, Split Specimen, Laboratory Plan: V. Anti-Drug Program – 8. MRO Review of Drug Test Results, Reports. Plan: II. General – 6. Stand-down Waiver, IV. DOT Program Requirements – 7. Violation Consequences and Company Actions, After DOT Rule Violations Plan: VII. Program Elements Common to Drug and Alcohol – 2. Employee Assistance Program, 3. Supervisor Training Plan: I. Introduction – 1. Development of “Combined” Plan, VI. Alcohol Misuse Prevention Program Plan: III. Policy and Responsibilities, 1. Company Policy, DOT Compliance, VII. Program Elements Common to Drug and Alcohol, 2. Employee Assistance Program Page 473 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.47 covered employees found to have an alcohol concentration of 0.02 or greater but less than 0.04, Information concerning the effects of alcohol misuse on an individual’s health, work, and personal life; signs and symptoms of an alcohol problem (the employee’s or a coworker’s); and including intervening evaluating and resolving problems associated with the misuse of alcohol including intervening when an alcohol problem is suspected, confrontation, referral to any available EAP, and/or referral to management. Plan: III. Policy and Responsibilities, 2. Responsibilities of Key Personnel, Designated Employer Representative (DER), 3. Responsibilities of Covered Employees, IV. DOT Program Requirements, 4. Employee Notification of Tests, 6. DOT Alcohol Violations and Prohibited Conduct, 7. Violation Consequences and Company Actions, VI. Alcohol Misuse Prevention Program, 1. DOT-Required Alcohol Tests, 2. Alcohol Test, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, VII. Program Elements Common to Drug and Alcohol, 2. Employee Assistance Program, IX. Appendix B –Designated Personnel and Service Agents, X. Appendix C – Covered Positions Plan: IV. DOT Program Requirements – 6. DOT Alcohol Violations and Prohibited Conduct Plan: IV. DOT Program Requirements – 7. Violation Consequences and Company Actions, After DOT Rule Violations., VII. Program Elements Common to Drug and Alcohol – 1. Substance Abuse Professional, SAP Referral Plan: IV. DOT Program Requirements – 7. Violation Consequences and Company Actions, After DOT Alcohol Prohibited Conduct. Plan: VI. Alcohol Misuse Prevention Program – 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening with an ASD Plan: VI. Alcohol Misuse Prevention Program – 2. Alcohol Test, Personnel and Training Devices Page 474 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.48 someone who has transferred to a position involving the performance of covered functions)? §199.209(b)(1), Does the operator have a process to ensure it treats all covered employees the same with regards to pre-employment alcohol testing (i.e. must not test some covered employees and not others)? §199.209(b)(2), Does the operator have a process to ensure it conducts the pre-employment test only after making a contingent offer of employment or transfer, subject to the employee passing the pre-employment alcohol test? §199.209(b)(3) Plan: VI. Alcohol Misuse Prevention Program – 1. DOT-Required Alcohol Tests, Pre-Employment Testing. Plan: VI. Alcohol Misuse Prevention Program – 1. DOT-Required Alcohol Tests, Post-Accident Testing, VII. Program Elements Common to Drug and Alcohol – 5. Recordkeeping, Records and Retention Periods, XIII. Appendix F – Post-Accident or Reasonable Cause/Suspicion Supervisor Written Record Plan: VI. Alcohol Misuse Prevention Program – 1. DOT-Required Alcohol Tests, Reasonable Suspicion/Cause Testing, IV. DOT Program Requirements – 6. DOT Alcohol Violations and Prohibited Conduct, 7. Violation Consequences and Company Actions, XIV. Appendix G – Reasonable Cause/Suspicion Supervisor Written Record Plan: VI. Alcohol Misuse Prevention Program – 1. DOT-Required Alcohol Tests, Return-to-Duty Testing, V. Anti-Drug Program 2. Drug Tests That Require Direct Observation Procedures, All alcohol testing is direct observed. Page 475 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.49 of the follow-up testing plan is presented to the DER? §40.307(a)&(b), Does the operator have a process to ensure that follow-up testing is conducted on an unannounced basis, at a frequency established by the SAP, for a period of not more than 60 months? At least six tests must be conducted within the first 12 months following the covered employee’s return to duty. §40.307, §40.309, §199.225(d) and §199.243(c)(2)(ii), Does the operator have a process to ensure that follow-up testing is conducted when the covered employee is performing covered functions; just before the employee is to perform covered functions; or just after the employee has ceased performing such functions? §199.225(d) Plan: VI. Alcohol Misuse Prevention Plan – 1. DOT-Required Alcohol Tests, Follow-Up Testing, IV. DOT Program Requirements – 4. Employee Notification of Tests Plan: VI. Alcohol Misuse Prevention Program – 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Results, Alcohol Confirmation Test Plan: VII. Program Elements Common to Drug and Alcohol – 6. Management Information System Plan: VII. Program Elements Common to Drug and Alcohol – 5. Recordkeeping, Compliance Plan: VII. Program Elements Common to Drug and Alcohol – 5. Recordkeeping, Records and Retention Periods Page 476 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.50 Information obtained from previous operators under §40.25 concerning alcohol test results of employees. §40.333(a)(2), Records of decisions not to administer post-accident alcohol tests. §199.227(b)(4) Plan: VII. Program Elements Common to Drug and Alcohol – 5. Recordkeeping, Records and Retention Periods Plan: V. Anti-Drug Program, 3. Specimen Collection Procedures, Collection Site Personnel. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Personnel, Collection Personnel. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Personnel, Collection Personnel. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Collection Sites, Forms and Supplies. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Collection Sites, Forms and Supplies. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Collection Sites, Forms and Supplies. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Collection Sites, Forms and Supplies. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Collection Sites, Forms and Supplies. Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Specimen Collections. Page 477 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.51 Plan: V. Anti-Drug Program, 4. PHMSA Inspection Protocol for Specimen Collection Sites, Specimen Collections. O.03.c. Are precautions taken to ensure that unadulterated specimens are obtained and correctly identified that meet the following requirements: Bluing agents in toilet tank and all water sources secure. §40.43(b)(1) and (2), Individual positively identified (photo ID, etc.). §40.61(c), Proper authority contacted if individual fails to arrive at the assigned time. §40.61(a), The donor shall remove any unnecessary outer garments. Purses or briefcases shall remain with outer garments. §40.61(f), Donor shall wash and dry his/her hands. §40.63(b), To the greatest extent possible, the collector must keep an employee’s collection container within view of both himself/herself and the employee between the time the employee has urinated and the specimen is sealed. §40.43(d)(2), Any unusual behavior noted on the CCF. §40.63(e) O.03.d. Are procedures being followed at the collection site after the specimen has been provided in compliance with the requirements of §40.65? O.03.e. Have provisions been made if the donor is unable to provide at least 45 milliliters of urine? §40.65(a) O.03.f. Are procedures in place for immediately collecting urine specimens under direct observation for the situations identified in §40.67(c)? 1. As of August 31, 2009, verify that all collections for return-to-duty and follow-up testing were performed under DER directed direct observation §40.67(b) O.03.g. Are same gender collection personnel used if a collection is monitored under direct observation by non-medical personnel? §40.69(b) O.03.h. Is the CCF properly executed by authorized collection site personnel upon receipt and transfer of a urine specimen? §40.73(a) PHMSA Substance Abuse Program Comprehensive Audit and Inspection Protocol Form, Alcohol Testing Sites, Form No.: 3.1.8, Revision 2 (Dated September 1, 2017) Protocol Area P. Alcohol Testing Sites – Audit Information P.01 Alcohol Testing Personnel Verify that training and usage of personnel is in compliance with the applicable requirements of Part 40. P.01.a. Does the operator’s plan specify training for BATs and STTs that is in compliance with §40.213 and does the documentation certify that all requirements are met? §40.213(g) P.01.b. Does the plan specify that a supervisor shall not serve as the BAT or STT if that supervisor makes the reasonable cause determination? §40.211(c) §199.225(b)(2) P.02 Alcohol Testing Sites, Forms and Supplies Verify that alcohol testing sites, forms and supplies are in compliance with the applicable physical and security requirements of Part 40. P.02.a. Does the alcohol testing site comply with the applicable physical and security requirements of §40.221 and §40.223? P.02.b. Does the plan specify that only EBTs and ASDs listed on the NHTSA CPL will be used for DOT alcohol testing §40.229? Also, does the plan specify that an EBT must be used for conducting the confirmation tests §40.231(a)? P.02.c. Does the operator follow the Quality Assurance Plan (QAP) for the EBT that is used §40.233(c)(1)? If this service is contracted out does the operator ensure that the QAP is being followed §40.233(c)? Page 478 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.52 Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Testing Sites, Forms and Supplies. P.02.d. Does the plan specify that the operator or its agents shall comply with the QAP and manufacturer’s instructions and does the operator follow the QAP for the ASD that is used §40.235 and §40.235(c)? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Testing Sites, Forms and Supplies. P.03 Alcohol Screening Tests Verify that alcohol screening tests are performed in compliance with the applicable requirements of Part 40. P.03.a. Does the plan prescribe that only the DOT-approved Alcohol Testing Form (ATF) shall be utilized §40.225(a)? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Tests. P.03.b. Does the plan specify that the employee shall provide a positive identification through use of photo ID or by the employer representative §40.241(c)? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Tests. P.03.c. Does the plan indicate that the BAT or STT shall explain the testing process to the employee §40.241(e)? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Tests. P.03.d. Does the plan contain specific instructions for conducting alcohol screening tests in compliance with §40.241 and §40.243 requirements? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Tests. P.03.e. Does the plan contain specific instructions for conducting alcohol screening tests using a saliva ASD in compliance with §40.245 requirements? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening with an ASD. P.03.f. Does the plan specify actions that are taken after receipt of alcohol screening test results that are in compliance with §40.247? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Results. P.04 Alcohol Confirmation Tests Verify that alcohol confirmation tests are performed in compliance with the applicable requirements of Part 40. P.04.a. Does the plan provide guidance for the actions a new BAT must complete to conduct a confirmation test in compliance with §40.251(b)? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Confirmation Test. P.04.b. Does the plan specify procedures to be followed in conducting a confirmation test that are in compliance with §40.253 and §40.255? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Confirmation Test. P.05 Problems in Alcohol Testing Verify that procedures for addressing problems in alcohol testing are in compliance with the applicable requirements of Part 40. P.05.a. Does the plan address the situations for which the employee is considered to have refused to take an alcohol test §40.261(a)(1) to (7)? Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Problems in Alcohol Testing. P.05.b. Does the plan specify procedures concerning an employee’s inability to provide an adequate amount of saliva for testing and instructions for requiring the employee to attempt again to provide adequate amount of saliva for testing §40.263? Page 479 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.53 Plan: VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Problems in Alcohol Testing. P.05.c. Does the plan specify procedures concerning an employee’s inability to provide an adequate amount of breath for testing in compliance with §40.265? P.05.d. Does the plan specify under what conditions that an alcohol test shall be cancelled §40.267 and §40.269? P.05.e. Does the plan specify procedures concerning the potential inability to complete an alcohol test and trying to successfully complete the test §40.271? Changes/Updates to the Model Plan–Revisions: 2018, 2020, 2021, 2022, 2023 Section Title Change Reason Section II.General – 8. Definitions Updated Accident/Incident 191.3 (1) & (2), 191.3(1)(b) Part 191 Update $122,000 to $129,300 Section II.General – 8. Definitions Updated Administrator Definition Clarification Section II General – 8. Definitions Updated Alcohol Screening Device Definition Part 40 Update Section II.General – 8. Definitions Removed Blind Sample Definition Part 40 Update Section II.General – 8. Definitions Updated Chain-of-Custody Definition Added OMB Approval Section II.General – 8. Definitions Updated Continuing Education Definition Removed reference to MRO. Section II.General – 8. Definitions Updated DOT, The Department, DOT agency Definition Part 40 Update Section II.General- 8. Definitions Updated DOT, The Department, DOT agency Definition Added USCG has not incorporated Part 40 for alcohol testing. Section II.General – 8. Definitions Updated the Drugs Definition – Opiates to Opioids, Prohibited drug Opiates to Opioids Part 40 Update Section II.General – 8. Definitions Updated Evidential Breath Testing Device Definition Part 40 Update Section II.General – 8. Definitions Added Invalid result Part 40 Update Section II.General – 8. Definitions Updated Prohibited Drug Definition Part 199 Update Section II.General – 8. Definitions Service Agent Definition Part 40 Update Section III.Policy and Responsibilities – 4. Use of Service Agents, Service Agent Limitations Added Service Agent Limitations Section PHMSA Inspection Form Update. Section III.Policy and Responsibilities – 5. Critical Service Agent Positions Added Reference to Additional Sections within the Plan. Clarification Section IV.DOT Program Requirements – 3 History- check Requirement, Information Request Last Paragraph, two attempts Clarification Section IV.DOT Program Requirements – 7. Violation Consequences and Company Actions, After DOT Rule Violation Added 2nd Paragraph Clarification Section V.Anti-Drug Program, 1. DOT-Required Drug Tests, Compliance Added two sentences to end of 1st Paragraph. Part 40 Update Section V.Anti-Drug Program, 1. DOT-Required Drug Tests, Pre-Employment Testing Changed the last sentence of the 1st Paragraph Clarification and recommended during an audit. Section V.Anti-Drug Program, 1. DOT-Required Drug Tests - Post-Accident Testing Updated 1st and 2nd Paragraph Part 199 update Page 480 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.54 Section V.Anti-Drug Program, 1. DOT-Required Drug Tests – Random Drug Testing Revised 1st Paragraph, 2nd sentence, current annual random drug testing rate is 25 percent. Federal Register – update notice for annual random drug testing rate. Section V.Anti-Drug Program, 1. DOT-Required Drug Tests - Return-To-Duty Testing Added 4th Paragraph Removed 1st sentence of 2nd Paragraph. Clarification and recommended during an audit Section V.Anti-Drug Program, 1. DOT-Required Drug Tests - Follow-Up Testing Added 4th Paragraph Removed 2nd sentence of 1st Paragraph Clarification and recommended during an audit Section V.Anti-Drug Program, 2. Drug Tests That Require Direct Observation Procedures, Compliance 3rd Sentence, Added Company will Explain to the Employee Reason(s) for Direct Observation, Added 2nd Paragraph Clarification, Part 40 Update Section V.Anti-Drug Program, 3. Specimen Collection Procedures, Collection Site Personnel Updated 2nd Sentence, Added Last Sentence Part 40 Update Section V.Anti-Drug Program, 3. Specimen Collection Procedures, Collection Site, Forms and Specimen Added 2nd Sentence Clarification Section V.Anti-Drug Program, 3. Specimen Collection Procedures, Possible collection issues Removed 4th Sentence of 1st Paragraph, Deleted 2nd Paragraph Part 40 Update Section V.Anti-Drug Program, 5. Drug Testing Laboratory, Drug Testing, Required DOT Drug Tests and Cutoffs Updated Opiates to Opioids, Updated Table 1 and Footnotes Part 40 Update Section V.Anti-Drug Program, 5. Drug Testing Laboratory, Laboratory specimen handling and reporting. Updated 1st Paragraph, Last Sentence and Items a-g Part 40 Update Section V.Anti-Drug Program, 6. Laboratory Retention Periods and Reports, Specimen retention and Record retention Added 2nd Sentence to Specimen retention, Added last two Sentences to Record retention Update and Clarification Section V.Anti-Drug Program, 7. Laboratory Quality Control, Quality Control, Reporting Discrepancies Removed Quality Control/Blind Specimen requirements. Part 40 Update Section V.Anti-Drug Program, 8. MRO Review of Drug Test Results, Compliance Added last two sentences to 1st Paragraph, Added 2nd Paragraph. Part 40 Update Section V.Anti-Drug Program. 8. MRO Review of Drug Test Results, Duties Added 4th Sentence to 1st Paragraph, Changed Opiate to Opioid, Added Last Sentence to 1st Paragraph, Revised 1st Sentence of 2nd Paragraph, Part 40 Update Section V.Anti-Drug Program, 8. MRO Review of Drug Test Results, Results 1st Paragraph, added second sentence. Addition requested by State/Federal Inspector. Section V.Anti-Drug Program. 8. MRO Review of Drug Test Results, Reports Added 5th Sentence Addition requested by State/Federal Inspector Section V.Anti-Drug Program. 9. Split Specimen Testing 1st Paragraph, Removed 5th Sentence Recommended during an audit. Section V.Anti-Drug Program - 10. Medical or Recreational Marijuana Added Recreational Changes in State Laws Section VI.Alcohol Misuse Prevention Program, 1. DOT- Required Alcohol Tests - Post-Accident Testing Updated 1st and 2nd Paragraph Part 199 update Section VI.Alcohol Misuse Prevention Program. 1. DOT- Required Alcohol Tests – Reasonable Suspicion/Case Testing Revised 3rd Paragraph PHMSA Inspection Form Update. Section VI.Alcohol Misuse Prevention Program, 1. DOT- Required Alcohol Tests - Return-to-Duty Testing Added all alcohol return-to- duty tests are direct observed. Clarification requested by State/Federal Inspector. Section VI.Alcohol Misuse Prevention Program, 1. DOT- Required Alcohol Tests – Follow-up Testing Added all alcohol follow-up tests are direct observed. Clarification requested by State/Federal Inspector. Section VI.Alcohol Misuse Prevention Program, 2. Alcohol Test, Personnel and Testing Devices Added 2nd and 3rd Sentence, added last Sentence Part 40 Update Section VI.Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Alcohol Screening Results Added 6th & 7th Sentence Clarification Page 481 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.55 Section VI. Alcohol Misuse Prevention Program, 3. PHMSA Inspection Protocol for Alcohol Testing Sites, Problems in Alcohol Testing Added “within five days” to 4th Sentence Clarification Section VII.Program Elements Common to Drug and Alcohol, 1. Substance Abuse Professional, Qualifications Added 2nd Sentence Part 40 Update Section VII.Program Elements Common to Drug and Alcohol. 2. Employee Assistance Program Added last sentence PHMSA Inspection Form Update. Section VII.Program Elements Common to Drug and Alcohol, 5. Recordkeeping, Compliance 1st Paragraph, 1st Sentence, added “in a location with controlled access”. Clarification Section VII.Program Elements Common to Drug and Alcohol, 5. Recordkeeping - Records and Retention Periods, b) Added (4) and (5)Part 199 update and clarification. Section VII.Program Elements Common to Drug and Alcohol, 5. Recordkeeping – Records and Retention Periods, d) Added “cancelled drug test results” to (1) Clarification Section VII.Program Elements Common to Drug and Alcohol, 6. Management Information System - Compliance Added last sentence Part 199 update Section VII.Program Elements Common to Drug and Alcohol, 6. Management Information System - Contractor Reporting of MIS Added last sentence Part 199 update Section VIII.Appendix A – Acknowledgement/Receipt Form Removed Company Representative Signature Signature not required Section IX.Appendix B – Designated Personnel and Service Agents. List of Approved Evidential Breath Testing Devices (EBT’s) Utilized Added – Current list of approved devices is located on the ODAPC website. Suggestion offered by PHMSA inspector. Section X.Appendix C – Covered Positions Added, to Job Classifications/Titles, “Subject to 49 CFR Part 192, 193 or 195 Clarification Section XII.Appendix E – PHMSA Inspection Plan Cross- Reference and Changes to Model Plan Added table to track changes and updates to Model Plan Clarification Section XIII.Appendix F – Post-Accident or Reasonable Cause/Suspicion Supervisor Written Records Previously an attachment. Incorporated into written Plan Clarification Section XIV.Appendix G – Reasonable Cause/Suspicion Observation Checklist Previously an attachment. Incorporate into written Plan. Clarification Several Sections Several Sections of the Plan Added Covered to Safety- Sensitive Clarification. PHMSA refers to employees performing PHMSA-regulated work as “covered”. ODAPC/Part 40 refers to modal coverage as “safety-sensitive”. Several Sections Removed Endnotes in Reference to 2017 PHMSA HQ Inspection Form Added 2021 PHMSA – Anti- Drug and Alcohol Misuse Program Inspection Protocol Form, 2017 Comprehensive Audit and Inspection Protocol Forms-Specimen Collection Sites and Alcohol Testing Sites (included references to Plan). PHMSA released a new inspection form 3/1/2021 and replaced the Comprehensive Anti-Drug and Alcohol Misuse Program HQ Inspection Form. Page 482 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.56 XIII. Appendix F Post-Accident or Reasonable Cause/Suspicion Supervisor Written Record (Check one): □Pipeline (PHMSA)□Driver (FMCSA) Employee’s Name ______________________ Dept. ______________________ Date ___________________ Employee Id# _________________________ Job Title____________________ Time ___________________ Describe Accident/Incident: _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 1. Was EBT Breath Alcohol testing completed within two (2) hours of the accident, or the reasonable cause/suspicion situation? ____Yes ____No If not, why? (Examples – received notification too late, employee removed from the scene for medical treatment, EBT device not available, injuries precluded testing, breath alcohol technician not available) _______________________________________________________________________________________________ _______________________________________________________________________________________________ 2. Was EBT Breath Alcohol testing completed within eight (8) hours? ____Yes ____No If not, why? (Examples – received notification too late, employee removed from the scene for medical treatment, EBT device not available, injuries precluded testing, breath alcohol technician not available) _______________________________________________________________________________________________ _______________________________________________________________________________________________ 3. Was urine drug testing completed within thirty-two (32) hours of the accident or reasonable cause/suspicion situation? ____Yes ____No If not, why? _______________________________________________________________________________________________ _______________________________________________________________________________________________ Supervisor’s Name: ________________________________________ Date:_____________________________ Supervisor’s Signature:______________________________________ Second Supervisor’s Signature (if applicable): _____________________________________ *** IMPORTANT *** The above report is required in Post-Accident or Reasonable Cause/Suspicion testing when the test(s) times were not met. The written report of Post-Accident or Reasonable Cause/Suspicion testing must be completed and signed by the supervisor within 48 hours of the incident and subsequently faxed or e-mailed to the Company Designated Employer Representative (DER). Page 483 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.57 XIV. Appendix G Reasonable Cause/Suspicion Observation Checklist (STRICTLY CONFIDENTIAL) EMPLOYEE: ______________________ PERIOD OF EVALUATION:___________________ SUPERVISOR #1, NAME AND TELEPHONE: ________________________________________________________ SUPERVISOR #2, NAME AND TELEPHONE: ________________________________________________________ This checklist is intended to assist a supervisor in referring a person for drug and/or alcohol testing. Has the employee manifested any of the following behaviors? Indicate (X) if observation and/or documentation exists. A. QUALITY AND QUANTITY OF WORK ____________________ YES NO ___ ___ 1. Clear refusal to do assigned tasks ___ ___ 2 Significant increase in errors ___ ___ 3. Repeated errors in spite of increased guidance ___ ___ 4. Reduced quantity of work ___ ___ 5. Inconsistent, "up and down" quantity/quality of work ___ ___ 6. Behavior that disrupts workflow ___ ___ 7. Procrastination on significant decisions or tasks ___ ___ 8. More than usual supervision necessary ___ ___ 9. Frequent, unsupported explanations for poor work performance ___ ___ 10.Noticeable change in written or verbal communication _______________________________________________________________________________________ B. INTERPERSONAL WORK RELATIONSHIPS YES NO ___ ___ 1. Significant change in relations with co-workers, supervisors ___ ___ 2 Frequent or intense arguments ___ ___ 3. Verbal/Physical abusiveness ___ ___ 4. Persistently withdrawn or less involved with people ___ ___ 5. Intentional avoidance of supervisor ___ ___ 6. Expressions of frustration or discontent ___ ___ 7. Change in frequency or nature of complaints ___ ___ 8. Complaints by co-workers or subordinates ___ ___ 9. Cynical, "distrustful of human nature" comments ___ ___ 10. Unusual sensitivity to advice or critique of work ___ ___ 11. Unpredictable response to supervision ___ ___ 12. Passive-aggressive attitude or behavior, doing things "behind your back" _______________________________________________________________________________________ C. GENERAL JOB PERFORMANCE YES NO ___ ___ 1. Excessive unauthorized absences-number in last 12 months ___ ___ 2. Excessive authorized absences-number in last 12 months ___ ___ 3. Excessive use of sick leave in last 12 months ___ ___ 4. Frequent Monday/Friday absence or other pattern ___ ___ 5. Frequent unexplained disappearances ___ ___ 6. Excessive "extension" of breaks or lunch ___ ___ 7. Frequently leaves work early-number of days per week or month ___ ___ 8. Increased concern about (actual incidents) safety offenses involving the employee ___ ___ 9. Experiences or causes job accidents Page 484 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.58 ___ ___ 10. Major change in duties or responsibilities D. PERSONAL MATTERS YES NO E. PHYSICAL INDICATORS YES NO Page 485 of 608 SURVIEW FIELD SERVICES PHMSA DRUG/ALCOHOL PLAN © NATIONAL COMPLIANCE MANAGEMENT SERVICE, INC. (NCMS) 2011 (update 2023). The NCMS plan is the subject of a registered copyright and is protected by copyright laws in the U.S. and elsewhere. All rights reserved.59 ___ ___ 16. Confirmation by other employees? E. PHYSICAL INDICATORS (Con’t) YES NO Page 486 of 608 2024 I. Employer: Company Name: Address: Email: Certifying Official: Signature: Telephone: Prepared by (if different):Telephone: C/TPA Name and Telephone (if applicable): DOT # : (Check) (If more than one vessel, list separately.) II. Covered Employees: (A) Enter Total Number Safety-Sensitive Employees In All Employee Categories: (B) Enter Total Number of Employee Categories: III. Drug Testing Data: 1 2 3 4 5 6 7 8 9 10 11 12 13 Ad u l t e r a t e d Su b s t i t u t e d "S h y B l a d d e r " - W i t h N o Me d i c a l E x p l a n a t i o n Ot h e r R e f u s a l s t o S u b m i t to T e s t i n g Pre-Employment 35 35 0 0 0 0 0 0 0 0 0 0 1 Random 6 6 0 0 0 0 0 0 0 0 0 0 0 Post-Accident 0 0 0 0 0 0 0 0 0 0 0 0 0 Reasonable Susp./Cause 0 0 0 0 0 0 0 0 0 0 0 0 0 Return-to-Duty 0 0 0 0 0 0 0 0 0 0 0 0 0 Follow-Up 0 0 0 0 0 0 0 0 0 0 0 0 0 TOTAL 41 41 0 0 0 0 0 0 0 0 0 0 1 IV. Alcohol Testing Data: 1 2 3 4 5 6 7 8 9 Sh y L u n g N o M e d i c a l Ex p l a n a t i o n Ot h e r R e f u s a l s t o S u b m i t Pre-Employment 0 0 0 0 0 0 0 0 0 Random 0 0 0 0 0 0 0 0 0 Post-Accident 0 0 0 0 0 0 0 0 0 Reasonable Cause 0 0 0 0 0 0 0 0 0 Return-to-Duty 0 0 0 0 0 0 0 0 0 Follow-Up 0 0 0 0 0 0 0 0 0 TOTAL 0 0 0 0 0 0 0 0 0 Total Number of Observed/documented Part 219 "Rule G" Observations for covered employees: Check the DOT agency for which you are reporting MIS data; and complete the information on that same line as appropriate: Certificate # (if applicable): Plan / Registration # (if applicable): SURVIEW FIELD SERVICES 0 robbie.troncalli@magnolia-river.com U.S. DEPARTMENT OF TRANSPORTATION DRUG AND ALCOHOL TESTING MIS DATA COLLECTION FORM Calendar Year Covered by this Report: Federal Tax ID/BTIN #:0 Vergi Geurian ROBBIE TRONCALLI 711 NANCE FORD RD SW, HARTSELLE, AL, 35640 Date Certified:256-612-9974 Doing Business As (DBA Name (if applicable): ROBBIE TRONCALLI 1/9/2025 620-669-8800 Type of Test To t a l N u m b e r o f S c r e e n i n g Te s t R e s u l t s Sc r e e n i n g T e s t s B e l o w . 0 2 Sc r e e n i n g T e s t s . 0 2 o r G r e a t e r Ca n c e l l e d R e s u l t s Co n f i r m a t i o n R e s u l t s . 0 4 o r Gr e a t e r Refusal Results Nu m b e r o f C o n f i r m a t i o n Te s t R e s u l t s Co n f i r m a t i o n R e s u l t s . 0 2 t h r o u g h . 0 3 9 (C) Employee Category OPERATIONS/MAINTENANCE/EMERGENCY RESPONSE Type of Test Po s i t i v e f o r C o c a i n e Total Number of Employees in this Category 23 Pipeline Testing Consortium, Inc 1 Owner-operator: (circle one) YES or NO Exempt (Circle One) YES or NO 620-669-8800 Ca n c e l l e d R e s u l t s 23 If you have multiple employee categories, complete Sections I and II (A) & (B). Take that filled-in form and make one copy for each employee category and complete Stections II (C), III, and IV for each seperate employee category. Po s i t i v e f o r P C P Po s i t i v e f o r O p i o i d s Po s i t i v e f o r A m p h e t a m i n e s Vessel ID # (USCG or State-Issued): Refusal Results To t a l N u m b e r o f T e s t R e s u l t s [S h o u l d e q u a l t h e s u m o f Co l u m n s 2 , 3 , 9 , 1 0 , 1 1 , a n d 1 2 ] V e r i f i e d N e g a t i v e R e s u l t s Ve r i f i e d P o s i t i v e R e s u l t s - Fo r O n e O r M o r e D r u g s Po s i t i v e f o r M a r i j u a n a FMCSA - Motor Carrier: FAA-Aviation: PHMSA- Pipeline:Gas Gathering Gas Transmission Gas Distribution Transport Hazardous Liquids Transport Carbon Dioxide FRA - Railroad: USCG - Maritime: FTA - Transit Page 487 of 608 ITEM Ill BID RESPONSE FORM Date: ...1L / 13 / 2025 Bid No: 26-011 Request for Proposals Natural Gas Distribution System Leak Detection Survey Bids Due: 10:00 A.M. Wednesday, November 121 2025 BID RESPONSE: Rate per Gas Meter: $ 7.00 /each ....;_~;...... __________ ....; Rate per Mile (Gas Main) $165.00 /mile -------------- Bid will include all labor, materials, equipment, shipping and postage, overhead, profit, bonds, insurance and all other costs necessary to provide the complete services outlined within this CONTRACT and scope of work. Receipt of the following Addenda to these documents is hereby acknowledged by the undersigned (CONTRACTOR to complete below): ADDENDUM NO. 3 4 DATE ISSUED 10/28/2025 11/13/2025 ADDENDUM NO. DATE ISSUED Each bid must give the full business address of the CONTRACTOR and must be signed by him with his usual signature. Bids by partnerships must furnish the full names of all partners and must be signed with the partnership name by one of the members of the partnership, or by an authorized representative, followed by the signature and designation of the person signing. Bids by corporations must be signed with the legal name of the corporation followed by the name of the State of Incorporation and by the signature and designation of the president, secretary, or other person authorized to bind It in the matter. The name of each person shall also be typed or printed below the signature. A bid by a person who affixes to this signature the word "president," "secretary," "agent," or other designation without disclosing his principal, may be held to be the bid of the individual signing. When requested by the City of Fairhope, Baldwin County, Alabama, satisfactory evidence of the authority of the officer signing in behalf of the corporation shall be furnished. The undersigned agrees to furnish the goods/services as requested by you for the City of Fairhope, Baldwin County, Alabama in your invitation to bid, and certifies that they '!Viii meet or exceed the specifications called for. The undersigned has read all information pertaining to this bid and has resolved all questions. It is also understood and agreed that all prices quoted are F .O.B. described in the bid documents and specifications. The undersigned also affirms he/she has not been In any CONTRACT or collusion among BIDDERS or prospective BIDDERS in restraint of freedom of competition, by CONTRACT to bid at a fixed price or to refrain from bidding or otherwise. Witness our hands and seals this / 1 dayof N~k , 2025. . I Page 488 of 608 If Individual or Partnership {Name of Individual or Partnership) {Name of Representative Authorized to sign Bids and CONTRACTS for the finn Print) (Name of Partner Print) (Name of Partner Print) Address ·---------------------------------- Phone Number ( ) __________ Fax Number ( ), _______ _ E-mail address Alabama Contractor's License No. -----------------' ------ Foreign Entity ID (if outside of Alabama) ______________________ _ If Corporation or LLC Company Surview Field Services, Inc. State of Incorporation Alabama _.;...;..;;;~------------------------- Company Representative Adam Barnes -~---....,,...---------------------(Represent • e Auth • ed to sign Bids and CONTRACTS for the firm Print) Company Representative __ --tf,,L....;.~-+-=:;_ ___________________ _ (Representative Authorized to sign Bids and CONTRACTs for the firm Signature) Address (Corporate Office) 711 Nance Ford Road SW, Hartselle, AL 35640 Phone Number ( 256 ),....;7;..:0-=-8·..:..19=7=2 _______ _ Fax Number(_). _________ _ E-mail address adam.bames@surviewfieldservices.com AL Contractor's License No. NIA __ ....,:..::.:..:,. __ _ Foreign Vendor ld. _______ _.;N;..;;./.;..;A _________ _ BID PROPOSAL NOTARIZATION: ST A TE OF A I a,, 6 Cl,YVL a---> COUNTY OF Ml)("~ } I, the undersigned authority in and for said State and County, hereby certify that Ac:la<Y'!:::-: t,G\Y'.\,'\t,a' . as ·<r~-.c:. ' r spectively, of Svcvi«.v:: f i-tl J ~rv( <,IQ t :!riL.. , wh;se name is signed to the foregoing documen an w o is known to me, acknQwledged before me on this day, that, being informed 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 / 1 day of fV mµ-y:nbic: -,20'25 . JENNIFER J WADDELL Notary Public Alabama State at Largt· NOTARY PUBLIC ~hUliL MY COMMISSION E~/2.-8 I U)2,(,,, My Commission Expires June 28, 2026 Page 489 of 608 BID BOND The PRINCIPAL (Bidder's company name and address) Name: Surview Field Services, Inc. Address: 711 Nanceford Rd SW, Suite E, Hartselle, AL 35640 The SURETY (Company 11ame and primary place of business) Name: Arch Insurance Company Address: Harborside 3, 210 Hudson Street Suite 600, Jersey City, NJ 07311-1107 The OWNER (Entity name and address) Name: City of Fairhope, AL Address: 555 South Section Street, Fairhope, AL 36532 The PROJECT for which the PrincipaPs Bid is submitted: (Project name as it appears in the Bid Documents) Bid# 26-011 -Natural Gas Distribution System Leak Detection Survey DCMFormC-4 February 2024 KNOW ALL MEN BY THESE PRESENTS, that we, the undersigned Principal and Surety, jointly and severally, hereby bind ourselves, our heirs, executors, administrators, successors, and assigns to the Owner in the PENAL SUM of five percent (5%) of the amount of the Principal's bid, but in no event more than Ten-thousand Dollan ($10,000.00). THE CONDITION OF THIS OBLIGATION is that the Principal has submitted to the Owner the attached bid, which is incorporated herein by reference, for the Project identified above. NOW, THEREFORE, if, within the terms of the Bid Documents, the Owner accepts the Principal's bid and the Principal thereafter either: (a) executes and delivers a Construction Contract with the required Perfonnance and Payment Bonds (each in the form contained in the Bid Documents and properly completed in accordance with the bid) and delivers evidence of insurance as prescribed in the Bid Documents, or (b) fails to execute and deliver such Construction Contract with such Bonds and evidence of insurance, but pays the Owner the difference, not to exceed the Penal Sum of this Bond, between the amount of the Principal's Bid and the larger amount for which the Owner may award a Construction Contract for the same Work to another bidder, then, this obligation shall be null and void, otherwise it shall remain in full force and effect. The Surety, for value received, hereby stipulates and agrees that the obligation of the Surety under this Bond shall not in any manner be impaired or affected by any extension of the time within which the Owner may accept the Principal's bid, and the Surety does hereby waive notice of any such extension. SIGNED AND SEALED this 20th day of November 2025 ATIEST: PRINCIPAL: Surview Field Services, Inc. By~ v /1d_ 4 ;.,,, 8 a r l'I -e $ , D /,e c f a r Name and 1itle SURETY: ATIEST: Arch Insurance Company !~(f:DJd By nµauµ_~~ ~{ ~ Michelle Deligne, Attorney-in-Fact Narne and 1itle Page I of I -- Page 490 of 608 TSBA2025 111111'..wr •f A#onwy Ullfla tlrt IKf1 o/tli.u ••trl lttrtllf, •rtd tlrty MH "° ••t"'1rlty t• t,IJHI tlw C•-,."1 txttfl /11 tltt ,,,.,,,wr •fltl lfl tltt txfnll lttmlf ll•ttrl. N« NJ/4 ~ Nolt, LHII, Lttttr •I Otrllt, C.rmrcy Row, lnt,mt Ra# .r llnl4ntdal Y•l•t CHnlftn:J. POWER OF ATTORNEY Kaow Al Ptr10■s By T1lne Pn1tats: That the Arch Iasunnce Company, • coq,ontioa orgaoiud and msting under the law, of the State of Missouri, haWJ8 its priDcipa1 administrative office in Im,ey City, New JffW'j (hminafttt rdemd lo IS the "Cocq,uy") OOH bmby appoint Michelle Deligne its hue md lnful Altomey(s)in-Fact, to mab, execute, snl, and delMr from the date of issuanu of this poWff for and oa its brbalf as ~. and as its act md dttd: Ally and all bonds, undfflakmgs, ncognizmces and otber sumy obligatioas, in the penal mm oot rxcteding Ogr buo4n:4 mt My Mjlhqp Dollm OSQ 000 000 QO) Ally and all boods, uodtrtalcinss, ttCOpDDCts and other sumy obligatioos. Surety Bood Number; Bid Bond Pnocipal: Surview Field Services, Inc. Obliaff: City of Fairhope, AL This IUlhority OOH not pmnit the same obligation to be split into two or mott boads In order to bring each such bond widlin the dollar limit of authority as set forth bmin. The GeC\lbOll of such bonds, IIDdmllangs, recogmzucn IDd olber Slftty obliptioas iu punuaoce of lbese prewus shall be IS binding apoa the said C-OlllpE)' IS fully md aq,ly lo all inlmts md purposes, as if the same bad bttn ckiJy executed and acknowledgtd by its resuJarf y eltt12d officm at its principal acbimstntive office in JerwyC'lty, Ntw Im,ey. This Powtt of Attorney is executed by authority of ttSOlutions adop12d by \IIIIIIDDOll5 c0l1Sftlt of the Board of Directors of the Coiq,aay on August 31, 2022, !me md acc:unk copies of Yt'bich are bemnaler set forth and are bmby certified to by the andenigned Stttttary IS beius in full for« and e&ct "VOTED, 'lbat the Chainmn of the Bocd, the Pmidmt, or the Eucutn-e Vice Presidmt, or my Smior Vice Pmidmt, of tbe Stftty Busms Divisioa, or their appoiatets designated in writing and filed wilh tbe Stttttary, or the s«mary sbalJ have tbe powtt and lllthority lo appoint agents ml attorneys-in-fact, and lo~ tbem subject to the wmtatioos set forth in their mpective powen of attoniey, to execute oa behalf or the Compaay, and attach the sn1 of the Compaay thmto, boods, Ulldertakiags, recognizances and other ~ obligatioos obligatory in !he nature lbmo( and my such officers of the Company may appoint agems for acceptance of process." This Powa' of Attomey is sipd, sealed md catuied by facmnile wider and by authlriy of the following molutioo adopted by thr ooaoirnons consmt of the Bolrd of Directm of the Ccmpaay on August 31, 2022: VOTED, 'Iblt tbe signature of the Ownmn of the Bolrd, the Prtsidmt, or tbe Executive Vice President, or my Senior Vice Presidtm. of the Surety Bl1siness Divisioo, or their appoinlfes desipted in writing and filed wilh tbe Secntary, and the signature of tbe Sttfffary, the 5ftl of the~. and certificatioos by the Secfflary, DJll'J be affixed by ficsirniJe on fll'J power of 1Uomey or bood executed pursuant to the resolution adopeed by the Bocd of Du!ctors on August 31, 2022, and my such powtt so ex«Uted, sealed aod certified with respect to Ill)' boad or UDdtrtaking to which it is lttacbed, shall coutime to be valid md biudins upon the Compmy. Ia Testimony 1\'knof, the ~ bas cl\lWd 1his instiummt to be Slpd and its corporate seal to be affixed by lbea authorized officen, tis lM day af ill?. zm Regan A. Shulman, Secretary Stephen C. Ruschak. Executive Vice President STATE OF PEN1''SYL VANIA SS COVJl.'TY OF PHILADELPHIA SS I, ~Del.elf Trtpocli. a Notuy Pllblic, do bmby certify ht ~111 A Shllman aod Stephen C. Ruscbak persooally known to me lo be the same pmoos whose names are mpectively IS Semtaty and Eucutive Vice Pmideot of the Arch Insunutt C0qlfll'j, • Corporation organized and existins under the laln of the Slate of Missouri, subscribed to the finsotn8 in.~. appeared bebe me Ibis day in person and ~ly acknowledged that Ibey being thmunto duly llllhorized signed, sealed with the rorpc:nte -1 and delivered the said mslrummt as tbe free md wlualuy act of said corpontioo and as their own free and volimtary acts fix the use and Mlc:MteT .... NolafyPllblc ' ~ '---;:::,, • ~ pwpows therein set forth. C• rraur •-.,,_,.,._..., NDWy.... 4t ~ / __. PNledelpNICounty '7' lityCOflll!l'llll~,..-~31,202t MlchfleT .. ....A.: l'J,,hovN>lic: ~NlfflNl11tla2 •or--,•-, CERTlFICATION ------------My cornrnissi0'1 opires 07/31'1.ffl9 I, Rtpo A Sblllmaa , s«rmry of the Arch Insurmce Corq,any, do hereby certify that the attached Pcnm-ar AN--, dated J111y 101 2025 on behalf of tbe penco(s) u listed above is I true 111d comet c:cpy and that the same bas bttn in full forte 111d effect 1m the date tbeftof and is in AID force md dkt on tbe date of this mtificlte; and I do fiu1brr entity that the said Stephen C. Rusduik, who t'Jtffllted the Power of Allornly as EMcutive Vice Pmident, was oa the date of el«llboo oC the attached Power of Attornty the duly elected Executive Vice PmidaJt of the Arch lnsunnce Compay. IN TESTL\IONY WBEREOF, I have hm'llllto subsaibed rirf oame and affixed the corponte snl of the Arch Jnsunnce ComplDy on this 20th day or November ~-&r:CL~ Regan A. Shulman, Secretary This Powu of Attorney limits the acts of those named tbmin to lhf bonds IDd uodtttakiDgs specifically named tbmin and they have DO autbority lo bind the C~y exetpt in the mamwr and lo tbe elteat hfttin slated. ~ce PLEASE SEND ALL CLAIM INQUIRIES RELATING TO TRIS BOND TO THE FOLLOWING ADDRESS: ~ ~ ~~~~~ ~ Santy CWm1 WUOMU P.O. Bu S420J3 lit SW QmaM. NE A1S4 & tffl ,vc,tyctalrntOlfchfo•w'!DCt,corn To wtfy dwMMlfddtyof,,. ,..,,,.,of AnDnwy,,...conmct Anh~ Company ot SuretyAuthentk .. rthlneunnce.com ,,,._.,.,_,,. tlw obowMtnHAtfiomQ-/4n-$oct • tlw dnol, of die bond to w#tldl dw ,,_.,,. ftthldtH. AICPOA08312022 Printed in U.S.A. Page 491 of 608 555 S Section Street / Fairhope, Alabama 36532 251.928.8003 (p) / www.FairhopeAL.gov COF-PUR-003 091321 CITY OF FAIRHOPE PURCHASING DEPARTMENT PROJECT REQUEST FORM Notes: Page 492 of 608 Project Request Form - Gas Leak Survey 2026 Final Audit Report 2025-09-28 Created:2025-06-23 By:Erin Wolfe (erin.wolfe@fairhopeal.gov) Status:Signed Transaction ID:CBJCHBCAABAAGVv0iRX6-cB2fTN2L0rV5Peqgljbfzgk "Project Request Form - Gas Leak Survey 2026" History Document created by Erin Wolfe (erin.wolfe@fairhopeal.gov) 2025-06-23 - 6:46:34 PM GMT Document emailed to Suzanne Doughty (suzanne.doughty@fairhopeal.gov) for signature 2025-06-23 - 6:46:54 PM GMT Email viewed by Suzanne Doughty (suzanne.doughty@fairhopeal.gov) 2025-06-24 - 1:12:02 PM GMT Document e-signed by Suzanne Doughty (suzanne.doughty@fairhopeal.gov) Signature Date: 2025-06-24 - 1:12:32 PM GMT - Time Source: server Document emailed to Kimberly Creech (kimberly.creech@fairhopeal.gov) for signature 2025-06-24 - 1:12:35 PM GMT Document e-signed by Kimberly Creech (kimberly.creech@fairhopeal.gov) Signature Date: 2025-09-28 - 8:37:33 PM GMT - Time Source: server Document emailed to Sherry Sullivan (sherry.sullivan@fairhopeal.gov) for signature 2025-09-28 - 8:37:35 PM GMT Email viewed by Sherry Sullivan (sherry.sullivan@fairhopeal.gov) 2025-09-28 - 8:38:51 PM GMT Document e-signed by Sherry Sullivan (sherry.sullivan@fairhopeal.gov) Signature Date: 2025-09-28 - 8:40:11 PM GMT - Time Source: server Agreement completed. 2025-09-28 - 8:40:11 PM GMT Page 493 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-453 FROM: Jeff Montgomery SUBJECT: The Director of IT, Jeff Montgomery, is requesting approval for the procurement of the Three-Year Term Renewal of the VMWare Cloud Foundation Support. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve this request for the procurement of the Three-Year Renewal of the VMWare Cloud Foundation Support for the not-to-exceed cost of $233,471.52. BACKGROUND INFORMATION: The Director of IT, Jeff Montgomery, is requesting approval for the procurement of the Three-Year Renewal of the VMWare Cloud Foundation Support. The cost breakdown: $77,823.84 - Year One $77,823.84 - Year Two $77,823.84 - Year Three $233,471.52 – Total The Three-Year cost is Two Hundred Thirty-Three Thousand Four Hundred Seventy- One Dollars and Fifty-Two Cents ($233,471.52). This will be purchased through the purchasing cooperative Omnia Partners contract (Contract #2024056-02) with SHI International Corporation and therefore does not have to be let out for bid. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 001160- 50300 IT - Computer Expense $36,000.00 $77,823.84 ($41,823.84) 001160-50300-270 Break Fix budget $70,000.00 Page 494 of 608 Future annual renewal costs are to be included in applicable fiscal year budgets. 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 495 of 608 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 the Renewal of the VMWare Cloud Foundation Support that is on Omnia Partners (Contract #2024056-02) with SHI International Corporation and therefore does not have to be let out for bid. The Three-Year Term Renewal total amount is not-to-exceed $233,471.52. ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 ___________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 496 of 608 Pricing Proposal Quotation #: 26958561 Created On: 12/11/2025 Valid Until: 1/9/2026 AL-City of Fairhope PubSec Inside Account Executive Sean Spratlin P. O. Drawer 429 Fairhope, AL 36533 United States Phone: (251) 990-0155 Fax: Email:sean.spratlin@fairhopeal.gov Jon Taddeo SHI International Corp. 300 Davidson Avenue Somerset, NJ 08873 Phone: 732-868-6234 Fax: Email:Jon_Taddeo@shi.com All Prices are in US Dollar (USD) Product Qty Your Price Total 1 VMWare Cloud Foundation VMware - Part#: VCF-CLD-FND-A Contract Name: OMNIA Partners IT Solutions, Products & Services Contract #: 2024056-02 Coverage Term: 1/10/2026 – 1/9/2027 Note: ESD - Software 292 $266.52 $77,823.84 2 VMWare Cloud Foundation VMware - Part#: VCF-CLD-FND-A Contract Name: OMNIA Partners IT Solutions, Products & Services Contract #: 2024056-02 Coverage Term: 1/10/2027 – 1/9/2028 Note: ESD - Software 292 $266.52 $77,823.84 3 VMWare Cloud Foundation VMware - Part#: VCF-CLD-FND-A Contract Name: OMNIA Partners IT Solutions, Products & Services Contract #: 2024056-02 Coverage Term: 1/10/2028 – 1/9/2029 Note: ESD - Software 292 $266.52 $77,823.84 Subtotal $233,471.52 Total $233,471.52 Additional Comments Keep in mind, VMWare recently changed their approval process for reinstatement fees. A completed waiver form and valid business case are required in order to be considered for approval. Please make sure to send over all POs prior to you expiration date to avoid the reinstatement fee. Page 497 of 608 Please note the following: 1) VMware EULA https://docs.broadcom.com/docs/end-user-agreement-english 2) VMware Does Not offer a standard return policy 3) Service offerings are non-refundable. For these products, orders are non-cancellable and non-returnable from point of order. 4) PSO Credits are only active for 1 Year Thank you for choosing SHI International Corp! The pricing offered on this quote proposal is valid through the expiration date listed above. To ensure the best level of service, please provide End User Name, Phone Number, Email Address and applicable Contract Number when submitting a Purchase Order. For any additional information including Hardware, Software and Services Contracts, please contact an SHI Inside Sales Representative at (888) 744-4084. SHI International Corp. is 100% Minority Owned, Woman Owned Business. TAX ID# 22-3009648; DUNS# 61-1429481; CCR# 61-243957G; CAGE 1HTF0 Please Note, Broadcom product lines have the following reinstatement fee policy: o Effective immediately, late orders will be charged a 25% reinstatement fee. o Every additional week late will result in an incremental 10% fee added Thank you for choosing SHI International Corp! The pricing offered on this quote proposal is valid through the expiration date set above. To ensure the best level of service, please provide End User Name, Phone Number, Email Address and applicable Contract Number when submitting a Purchase Order. SHI International Corp. is 100% Minority Owned, Woman Owned Business. TAX ID# 22-3009648; DUNS# 61-1429481; CCR# 61-243957G; CAGE 1HTF0 The products offered under this proposal are resold in accordance with the terms and conditions of the Contract referenced under that applicable line item. Page 498 of 608 PUR-004 - 082522 CITY OF FAIRHOPE PURCHASING DEPARTMENT PURCHASING REQUEST FORM Name: Jeff Montgomery Date: 12/11/25 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 gree n sheet and resolution. **Expenditure Threshold is a combined total of labor and materials, including materials provided by the City. If the total am ount is within $10,000 of the listed threshold, Purchasing/Treasurer may require a formal bid due to potential materials cost incre ases. QUOTES Vendor Name Vendor Quote 1. SHI – OMNIA 2024056-02 $ 77,823.84 (233,471.52 3 year) 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? VMWare 2. What is the total cost of the item or service? 233,471.52 3 years 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): SHI 6. Vendor Number: 1024 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 36,000 3. Budget code: 001160-50300 Email completed form with quotes and other supporting documentation to Erin.Wolfe@FairhopeAL.gov and Rhonda.Cunningham@FairhopeAL.gov. Page 499 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-446 FROM: Hannah Noonan, Human Resources Director SUBJECT: The Director of Human Resources, Hannah Noonan, is requesting to find a qualified firm to provide Professional Services for a Classification and Compensation Study for the City of Fairhope. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve the selection of Evergreen Solutions, LLC. by the evaluation team for RFQ PS26-007 Professional Services for the Classification and Compensation Study 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 October 24, 2025, posted to the City of Fairhope’s website, and advertised in Gulf Coast Media for three (3) weeks. Seven (7) responsive proposals and one (1) non-responsive proposal were received at the bid opening on November 12, 2025 at 3:00 p.m. The proposals were evaluated by three (3) City of Fairhope staff, one member of the City of Fairhope Personnel Board, and one City Councilman (see attached Evaluation Score Sheet). The recommendation by the Director of Human Resources and the evaluation team is to hire Evergreen Solutions, LLC. for this project. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget $ $ $ GRANT: N/A LEGAL IMPACT: N/A Page 500 of 608 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 501 of 608 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 Services for (RFQ PS26-007) for the Classification and Compensation Study to Evergreen Solutions, LLC.; and hereby authorizes Mayor Sherry Sullivan to negotiate the not-to-exceed fee to be approved by Council. DULY ADOPTED THIS 12TH DAY OF JANUARY, 2026 _________________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 502 of 608 Page 503 of 608 Page 504 of 608 Page 505 of 608 Page 506 of 608 Page 507 of 608 Page 508 of 608 Page 509 of 608 Page 510 of 608 Page 511 of 608 Page 512 of 608 Page 513 of 608 Page 514 of 608 Page 515 of 608 Page 516 of 608 Page 517 of 608 Page 518 of 608 Page 519 of 608 Page 520 of 608 Page 521 of 608 4.4 Schedule and conduct additional follow-up with employees for jobs where uncertainty exists over data obtained from job evaluation. 4.5 Develop preliminary recommendations for the classification structure and discuss with the CPM. The classification system designed at this point would be based solely on internal equity relationships and would be guided by the job evaluation scores for each classification. Essentially, a structure of classifications would be established, and classifications with similar scoring would be grouped and spacing between jobs would be determined. 4.6 Develop recommendations ofFLSA (exemption) status and minimum qualifications based on results of the job evaluation (JAT) review and federal requirements. 4.7 Recommend pay structure features that will provide opportunities for advancement, including consideration of career lattices/pathways. 4.8 Review recommendations with the CPM. KEY PROJECT MILESTONES: Job evaluation scores by class; recommended classification changes; recommended FLSA status; and preliminary job structure based on internal equity Task 5.0: Identify List of Market and Benefits Survey Benchmarks and Approved List of Targets TASK GOALS: Identify positions to benchmark for the market salary survey and benefits survey; and identify and develop a comprehensive list of targets for conducting a successful external labor market salary assessment and benefits assessment. TASK ACTIVITIES 5 .1 Identify and review the classifications that will be used as benchmarks for the market salary survey. Note: Evergreen will work with the CPM to identify up to 125 classifications to use as benchmarks for the market salary and benefits survey. 5.2 Finalize the list of positions with the CPM. 5.3 Develop a preliminary list of organizations for the external labor market survey of salary, placing a comparative emphasis on characteristics such as: size of the organization; geographic proximity to the Hendersonville area; economic and budget characteristics; and other demographic data. 5.4 Review and finalize with the CPM up to 20 peer organizations that should be included in the market salary survey. 5 .5 Develop a system for use of secondary data including potential sources and weighting of secondary data, if necessary. 5.6 Review survey methodology with the CPM and refine survey methodology prior to distribution of the surveys. 5. 7 After approval of survey methodology, develop contact list of peer organizations and notify peers of impending surveys. KEY PROJECT MILESTONES: Initial list of survey peers; survey methodology; final list of survey organizations and contacts � Evergreen Solutions, UC Page 13 Page 522 of 608 Page 523 of 608 Page 524 of 608 Page 525 of 608 Page 526 of 608 Page 527 of 608 November 17, 2023 Compensation and Pay Classification Plan Study for the City of Foley, AL FINAL REPORT Page 528 of 608 PAGE 1.0 INTRODUCTION .......................................................................................................... 1-1 1.1 Study Methodology ............................................................................................ 1-1 1.2 Report Organization........................................................................................... 1-3 2.0 SUMMARY OF EMPLOYEE OUTREACH ...................................................................... 2-1 2.1 General Feedback ............................................................................................ 2-1 2.2 Compensation and Classification ..................................................................... 2-2 2.3 Market Peers .................................................................................................... 2-3 2.4 Summary ............................................................................................................ 2-4 3.0 ASSESSMENT OF CURRENT CONDITIONS ................................................................ 3-1 3.1 Analysis of Pay Plans ......................................................................................... 3-1 3.2 Grade Placement Analysis ............................................................................... 3-4 3.3 Quartile Analysis ................................................................................................ 3-8 3.4 Compression Analysis .................................................................................... 3-14 3.5 Summary ......................................................................................................... 3-19 4.0 MARKET SUMMARY ................................................................................................... 4-1 4.1 Market Data ....................................................................................................... 4-3 4.2 Salary Survey Results ........................................................................................ 4-7 4.3 Salary Survey Conclusion ............................................................................... 4-13 5.0 BENEFITS SUMMARY ................................................................................................ 5-1 5.1 Employee Insurance Coverages and Miscellaneous Benefits .............. 5-2 5.2 Health Plans ............................................................................................. 5-2 5.3 EAP, Tuition Reimbursement, 529 Plans, and Financial Planning ...... 5-5 5.4 Retirement ................................................................................................ 5-6 5.5 Employee Leave, Holidays, and Compensatory Time ............................ 5-7 5.6 Summary .................................................................................................. 5-9 6.0 RECOMMENDATIONS ................................................................................................ 6-1 6.1 Classification System ........................................................................................ 6-1 6.2 Compensation Recommendations ................................................................... 6-2 6.3 Compensation and Classification System Administration ........................... 6-11 6.4 Summary ......................................................................................................... 6-14 EVERGREEN SOLUTIONS, LLC Table of Contents Page 529 of 608 Evergreen Solutions, LLC Page 1-1 The leadership of the City of Foley, Alabama (the “City”) in keeping with its commitment to attracting and retaining the staff necessary to provide high quality services to its citizens determined that its current compensation and classification system and structures needed to be updated to better reflect best practices. Evergreen Solutions, LLC (“Evergreen”) was selected by the City as its partner to accomplish this goal. This study and the analysis contained within provides the City with valuable information related to market data and internal and external equity. Internal equity relates to the fairness of an organization’s compensation practices among its current employees. Specifically, by reviewing the skills, responsibilities, and duties of each position, it can be determined whether similar positions are being compensated in an equitable manner within the organization. External equity relates to the differences between how an organization’s classifications are valued and the compensation available in the marketplace for the same skills, responsibilities, and duties. This component of the study aims to address how the City is positioned in the market relative to other local area government organizations with similar positions and to develop recommendations that allow the City to recruit and retain quality employees. The classification component of this study resolves any inconsistencies related to job requirements or job titles and ensures that all jobs are appropriately categorized and aligned with the work currently performed. 1.1 STUDY METHODOLOGY Evergreen combines qualitative and quantitative data analysis to produce recommendations that maximize the fairness and competitiveness of an organization’s compensation structure and practices. It is important to note that the data utilized in the study represents a snapshot in time. As market conditions can change rapidly, it is important for the City to conduct regular market surveys to ensure their external market position does not decay. A full compensation and classification review is recommended approximately every five years. Some examples of project activities included: • Conducting a project kick-off meeting; • Presenting orientation sessions to employees; • Facilitating focus group sessions with employees; • Conducting an external market salary survey; • Developing recommendations for compensation management; • Revising classification descriptions based on employee JAT feedback; • Developing recommendations for compensation and classification changes; • Creating draft and final reports; and EVERGREEN SOLUTIONS, LLC Chapter 1 - Introduction Page 530 of 608 Chapter 1 - Introduction Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 1-2 • Conducting training sessions with human resources staff in the methodology used to systematically assess job classifications. Kickoff Meeting The kickoff meeting provided an opportunity to finalize the work plan and begin the data collection process. Data collection included the gathering of relevant background material including: existing pay plans, organization charts, policies, procedures, training materials, classification specifications, and other pertinent material. Employee Outreach Employees participated in focus group sessions designed to gather input from their varied perspectives as to the strengths and weaknesses of the current system. Feedback received from employees in this context was helpful in highlighting aspects of the organization which needed particular attention and consideration. This information provided some basic perceptional background, as well as a starting point for the research process. Job Assessment Tool© (JAT) Classification Analysis Employees were asked to complete individual JAT surveys, where they shared information pertaining to their work in their own words. These JATs were analyzed and compared to the current classification descriptions, and classifications were individually scored based on employee responses to five compensable factor questions. Each of the compensable factors— Leadership, Working Conditions, Complexity, Decision Making, and Relationships—were given weighted values based on employee responses, resulting in a point factor score for each classification. The rank order of classes by JAT scores was used to develop a rank order of classes within the proposed compensation structure. Combined with market data, this information formed the foundation of the combined recommendations. The nature of each compensable factor is described below: • Leadership –relates to the employee’s individual leadership role, be it as a direct report of others who have leadership responsibilities, or as an executive who has leadership over entire departments or the City as a whole. • Working Conditions – deals with the employee’s physical working conditions and the employee’s impact on those conditions, as well as the working conditions impact or potential impact on the employee. • Complexity – describes the nature of work performed and includes options ranging from entry-level manual or clerical tasks up to advanced scientific, legal, or executive management duties. • Decision Making – deals with the individual decision-making responsibility of the employees. Are decisions made on behalf of the employee or is the employee making autonomous decisions that impact the individual, other employees, or even the entire organization and the citizens that rely on the City? Page 531 of 608 Chapter 1 - Introduction Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 1-3 • Relationships –deals with organizational structure and the nature of the employee’s working relationships. Responses range from employees who work primarily alone, those who work as members of a team, those who oversee teams, and even those who report to elected officials or the general public. Salary Survey The external market for this study was defined as identified local government organizations with similar positions as well as similar characteristics, demographics, and service offerings. Representative benchmark classifications were selected by Evergreen in consultation with the City. The benchmark classifications were included in the market survey and sent to each peer for a market comparison, although not all City positions had matching positions in the peer organizations. The data were then analyzed comparing City classifications to the jobs performing the same duties at peer organizations to gain a fuller understanding of their market position. Recommendations Evergreen developed recommendations for the City to consider in order to help maximize the effectiveness and efficiency of its current compensation and classification structure. Evergreen provided the City with a variety of recommendations for the future at various costs. Plans ranged from minor tweaks to the current compensation and classification systems to wholesale changes to the entire organizational structure. These plans were designed to fix the issues identified in this report, while continuing to build on the strengths the City currently exhibits. 1.2 REPORT ORGANIZATION This report includes the following additional chapters: • Chapter 2 – Summary of Employee Outreach • Chapter 3 – Assessment of Current Conditions • Chapter 4 – Market Summary • Chapter 5 – Benefits Summary • Chapter 6 – Recommendations Chapter 2 – Summary of Outreach Outreach was conducted by Evergreen consultants. The consultants met with City employees and explained the process of the study and fielded questions that employees had about the study. Focus groups were conducted to solicit information from employees that gave Evergreen solid information to begin researching. Employees provided Evergreen their opinions on classifications that were outdated, behind market, or had trouble retaining employees. Information was also provided on the employees’ opinions of the biggest competitors to the City. Finally, employees provided information on all the positive aspects of employment with the City. Evergreen used employee opinions as a starting point for some Page 532 of 608 Chapter 1 - Introduction Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 1-4 data collection, but everything that was used in the course of this study was independently verified by Evergreen. A full summary of the outreach can be found in Chapter 2 of this report. Chapter 3 - Assessment of Current Conditions An assessment of current conditions was conducted to help Evergreen better understand the current standing of the City’s pay plan, demographics, and compensation structures. This assessment should be considered a snapshot in time and is reflective of the conditions present within the City upon the commencement of this study. By leveraging this information, Evergreen was able to gain a better understanding of the strengths and weaknesses of the current compensation system. When combined with the market results, the Assessment of Current Conditions helped provide a basis for recommendations. A full summary of the Assessment of Current Conditions can be found in Chapter 3 of this report. Chapter 4 - Market Summary A salary survey was designed by Evergreen and approved by the City’s Human Resources department. After the results were received, the data were analyzed to compare the City to the overall results from public-sector peers. Combined with the Assessment of Current Conditions, the market survey gave Evergreen the information needed to understand the City’s position relative to its labor market. A full summary of the market results can be found in Chapter 4 of this report. Chapter 5 – Benefits Summary A benefits analysis was completed as part of the study, as it is important to remember salary is only one part of the complete compensation package for employees. In addition to the market survey, Evergreen also gathered information on retirement, disability, and medical benefits offered by peer groups. A full summary of the benefits survey can be found in Chapter 5 of this report. Chapter 6 – Recommendations During the recommendations phase, Evergreen provided several different solution options based on their current relationship to market. Solutions were provided that only require minor tweaks to the current compensation and classification systems, as well as some solutions that would require wholesale changes to City current structures. Evergreen has provided the City with recommendations that can both leverage the current compensation structure and also help expand its ability to recruit and retain talent in the most competitive classifications. A full explanation of the recommendations can be found in Chapter 6 of this report. Page 533 of 608 Evergreen Solutions, LLC Page 2-1 Between February 15th and 17th, Evergreen consultants conducted focus groups for the City of Foley, Alabama. Focus groups were designed to solicit open feedback from employees concerning several topics related to compensation and classification. Overall, the goal of these groups was to gauge the general employee sentiment towards the current compensation and classification structures of the City, while also gathering specific concerns employees had. The observations in this chapter are a generalized summary of opinions, general themes, and trends expressed by employees who either participated in a focus group or provided direct feedback to Evergreen. Information that may identify the commenter has been removed. It is important to note that the views shared in this summary are perceptional in nature and may not necessarily reflect actual conditions in the City. Comments are separated by the following four categories below: 2.1 General Feedback 2.2 Compensation and Classification 2.3 Market Peers 2.4 Summary 2.1 GENERAL FEEDBACK The primary focus of this study is to address the City’s compensation and classification structures. However, it is important to understand how employees currently view employment at large within the City, and as a result, general feedback was sourced from employees on what brought them to work for the City and what were the primary factors that led to their continued employment. The comments described in this section reflect the factors that incentivize prospective applicants to pursue employment with the City and reflect the reasons employees have decided to continue working for the City. These elements are important to highlight, as compensation, while an important factor, is often not the sole determination for where employees wish to work. The responses varied from the individual health coverage benefits, the closeknit culture, and responsive leadership. Additional comments expressed by employees include: • Benefits – Nearly all employees expressed that the benefits package, specifically the employer paying most of the cost for individual health care, cash out option, and choices in coverage, were big factors in their high morale. The City’s 401a contributions and retirement benefits also weighed heavily in this area. EVERGREEN SOLUTIONS, LLC Chapter 2 – Summary of Employee Outreach Page 534 of 608 Chapter 2 – Summary of Employee Outreach Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 2-2 • Culture – Most employees described the quality of people they work with as the number one reason they’ve stayed with the organization. Many also commented on the City’s leadership caring for employees and being responsive to their needs as a major reason for retention. • Environment – Many employees expressed that working in the city where they live is a significant benefit. Others acknowledged the fiscal viability, cleanliness, and safety of the city as main factors for continued employment. • Schedule – Employees expressed their satisfaction with the hours worked leading to a greater work life balance, especially 9/80 workers, as well as flexibility and designated vacation and sick time without caps. Overall, employees revealed that the City is a great place to work. 2.2 COMPENSATION AND CLASSIFICATION As the focus of this study, feedback on compensation and classification was solicited from employees. Employees were asked to identify any concerns, challenges, or limitations observed with how the City currently compensates and classifies its positions. It is important to note that the perceptions of employees listed below do not necessarily reflect or align with the data collected in the market survey, found in Chapter 4. Specific feedback shared by employees related to compensation practices included the following: • External Equity – Feedback on the competitiveness of pay in the City was largely positive, with some employees sharing that their starting pay is lower than in other municipalities, but they have better benefits and appreciate the City’s culture. Others felt that starting pay for their position is higher than what is offered in the labor market, however their scope of responsibility was broader than similar roles in other municipalities. Some employees felt the 9/80 schedule should be applied uniformly to mitigate short staff positions on Fridays and more positions should have remote or hybrid work options as many of the near peer localities employ. Specific positions that perceived their pay as below market included: ‒ Engineers ‒ Water Services Technicians Typically, the supervisor focus groups expressed more concerns with progression opportunities for themselves as well as frontline employees and classifications of positions titles that aligned more accurately with work performed. They also exhibited higher levels of satisfaction with overall pay and benefits recognizing their long-term importance. • Internal Equity – Some departments had concerns that positions that were comparable in work performed had significant gaps in pay grades. Additionally, there Page 535 of 608 Chapter 2 – Summary of Employee Outreach Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 2-3 was a trend that many positions had outgrown their position descriptions and work performed is not accurately considered in salary computations. Classic employees and employees hired after Public Employees Reform Act (PEPRA) mentioned a disparity in their overall compensation as Classic Employees receive higher employer contributions for benefits than PEPRA employees. Specific positions that perceive a disparity in internal equity include: ‒ Water Services Technician & Water Production and Distribution Operators ‒ Accounts Payable Specialists & Customer Service ‒ Executive Assistants • Turnover – A few positions were mentioned as positions that employees feel had a high turnover ratio. Those positions included: ‒ Crossing Guards ‒ Customer Service ‒ Water Services Techs (moving into Water Production positions) • Vacancies – Employees mentioned many vacant positions that they did not believe would not be filled any time soon. They mentioned that this places an unfair burden on current employees, who are not compensated for the extra work they perform. ‒ Accounting / Finance ‒ Senior Equipment Mechanic ‒ Administrative Specialists ‒ Engineers (mid to senior level) ‒ Planners ‒ Management Assistant in Community Development ‒ Meter Readers ‒ Positions that can be remote are perceived to be hard to fill as other entities are offering remote and hybrid options. • Professional Development – Some employees expressed concerns regarding advancement opportunities and succession planning. Another area mentioned was an excessive T3 certification requirement for Water Production Operators. Water Service Techs cannot sit for this certification due to title of “tech” versus “operator” while they can cross train into many of the same functions. Conversely, the requirement for a CWEA certification is not seen as germane to the position but does have significant influence on promotion process. ‒ Water Production ‒ Engineers ‒ Sanitation • Raises – The consensus was that performance raises are limited by chilling effect of performance evaluations markings at “3”. Employees believe they are paid equitably and maintain 7% higher salaries than other local entities. Page 536 of 608 Chapter 2 – Summary of Employee Outreach Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 2-4 • Benefits (perceived strengths) – Most employees spoke glowingly about their benefits packages. Specifically, employees love the cash out option, low monthly payments for health insurance, the capless vacation and sick time, and 401a contributions by the City. Schedule flexibility, 9/80 work schedule, management time, and comp time are all appreciated by employees. • Benefits (perceived weaknesses) – Employees did not like the fact that there is a six- month probationary period before vacation time can be taken. Some employees were displeased with the length of time to be vested in the retirement plan. PEPRA employees would like proportional salary increases to offset the disparity in employer contributions to Classic Employees’ benefits packages. • Performance Management – Supervisors feel the process is overly laborious and time consuming. The general perception of the current evaluation process is currently negative. Employees believe that there is a management enforced ceiling of “3” on performance grading and attaining a “5” is an impossibility, whereas earning a “2” is more likely than earning a “4”. Employees and supervisors agreed that feedback was often provided well after the reporting period, and this has deleterious effects on achieving cascaded goals for the following reporting period and pay increases being implemented on time. Some leads and supervisors feel that their assessments are diluted or influenced by senior management and do not accurately reflect the frontline supervisor’s observations when presented to the employees. Employees would like to see a 360 review be implemented and incentives for timely submittal by management. Some of the metrics do not impact the scoring of the evaluation and creative scoring methods are applied to account for these. 2.3 MARKET PEERS Focus group participants were asked to name organizations they considered to be both local and regional market peers, who they believe have similar characteristics to the City. Respondents shared nineteen specific public-sector entities. Responses are listed below and were considered when developing the list of peers for the compensation and classification survey: Participants named the following municipalities with some frequency as the city’s biggest competitors in terms of employee compensation and classification: • City of Thousand Oaks • City of Oxnard • City of Ojai • City of Ventura • City of Santa Barbara • City of Semi Valley • City of Agoura Hills • City of Calabasas • City of Santa Monica • Ventura County • Goleta Water District • Las Virgenes Municipal Water District Page 537 of 608 Chapter 2 – Summary of Employee Outreach Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 2-5 • Los Angeles Department of Water and Power • Lake Casitas Municipal Water District • Castaic Lake Water Agency • Southern California Edison • Camrosa Water District • Calleguas Municipal Water District • Metro Water District • Private Sector organizations included: engineering firms. 2.4 SUMMARY The feedback received by Evergreen Solutions provided a solid foundation for the development of recommendations for the City. The willingness of City employees to contribute to this dialogue was evident in the number of employees that took time out of their busy schedules to provide reasonable observations with respect to potential compensation and classification strengths/weaknesses across the organization. These comments were verified and taken into consideration when identifying challenges and formulating the recommendations for the City. Employees were generally enthusiastic when describing their passion for their job and considered working for the City of Camarillo a very positive experience. Employees pointed out several well-defined advantages of working for the City, which they believe help attract and retain quality employees. Even though employees emphasized potential concerns, none of these are unique to the City of Camarillo and are found in many public-sector organizations. The employees of the City of Camarillo take pride in their work, love serving their community, commonly refer to themselves as public servants, and strive to make distinct contributions to their organization and their community. The Evergreen Team used the information gathered from employees throughout the remainder of this study to arrive at appropriate recommendations for the City. Page 538 of 608 Evergreen Solutions, LLC Page 3-1 The purpose of this chapter is to provide a statistical analysis of the classification and compensation system in place at the City at the start of this study. The assessment is divided into the following sections: 3.1 Analysis of Pay Plan 3.2 Grade Placement Analysis 3.3 Quartile Analysis 3.4 Compression Analysis 3.5 Summary The analysis represented in this chapter represents a snapshot in time – this chapter was built off of employee information collected in February 2023. Every organization changes continuously, so this chapter is not meant to be a definitive statement on continuing compensation practices at the City. Rather, this assessment is meant to represent the conditions that were in place when this study began. The data contained within provide the baseline for analyses throughout the course of this study but are not sufficient cause for recommendations in isolation. By reviewing employee data, Evergreen gained a better understanding of the structure and methods in place and identified issues for both further review and potential revision. 3.1 ANALYSIS OF PAY PLAN The purpose of analyzing the pay plan used within the City is to help gain an overview of the compensation philosophy as it existed when the study began. The City administered one pay plan for its employees. Exhibit 3A displays the City’s pay plan, including each pay grade on the plan; the value of each pay grade at minimum, midpoint and maximum; the range spread for each pay grade – which is a measure of the distance between the minimum and maximum of the grade; the midpoint progression between grades; and the number of employees per pay grade. The City’s open range pay plan included 32 occupied pay grades, holding 336 employees. EVERGREEN SOLUTIONS, LLC Chapter 3 – Assessment of Current Conditions Page 539 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-2 EXHIBIT 3A PAY PLAN Comparing the data in Exhibit 3A to best practices, a number of observations can be made regarding the City’s pay plan. Based on the analysis of the pay plan, the following facts can be observed: Grade Minimum Midpoint Maximum Range Spread Midpoint Progression Employees 10 $25,052.00 $31,315.00 $38,645.00 54%-0 20 $26,305.00 $32,882.00 $39,457.00 50%5%9 30 $27,620.00 $34,526.00 $41,430.00 50%5%13 40 $29,001.00 $36,251.00 $43,501.00 50%5%1 50 $30,451.00 $38,064.00 $45,677.00 50%5%12 60 $31,974.00 $39,967.00 $47,961.00 50%5%33 70 $33,572.00 $41,965.00 $50,358.00 50%5%35 80 $35,251.07 $44,064.00 $52,876.00 50%5%14 90 $37,013.00 $46,267.00 $55,520.00 50%5%22 100 $38,864.00 $48,580.00 $58,296.00 50%5%14 110 $40,808.00 $51,010.00 $61,212.00 50%5%13 120 $42,848.00 $53,560.00 $64,272.00 50%5%16 130 $44,990.00 $56,238.00 $67,486.27 50%5%11 140 $47,240.00 $59,050.00 $70,859.00 50%5%23 150 $49,601.00 $62,002.00 $74,403.00 50%5%48 160 $52,082.00 $65,102.00 $78,122.00 50%5%1 170 $54,686.00 $68,357.00 $82,028.00 50%5%5 180 $57,419.00 $71,775.00 $86,131.00 50%5%17 190 $60,291.00 $75,363.00 $90,436.00 50%5%2 200 $63,305.00 $79,132.00 $94,959.00 50%5%15 210 $66,470.00 $83,089.00 $99,707.00 50%5%1 220 $69,794.00 $87,243.00 $104,691.00 50%5%13 230 $73,285.00 $91,606.00 $109,926.00 50%5%1 240 $76,948.00 $96,186.00 $115,422.00 50%5%4 250 $80,796.00 $100,995.00 $121,194.00 50%5%2 260 $84,835.00 $106,045.00 $127,253.00 50%5%1 270 $89,077.00 $111,347.00 $133,616.00 50%5%1 280 $93,531.00 $116,913.00 $140,296.00 50%5%2 290 $98,207.00 $122,760.00 $147,312.00 50%5%1 300 $103,118.00 $128,897.00 $154,677.00 50%5%2 310 $108,275.00 $135,342.00 $162,410.00 50%5%2 320 $113,688.00 $142,110.00 $170,532.00 50%5%1 330 $119,372.00 $149,215.00 $179,058.00 50%5%1 50.1%5.0%336Overall Page 540 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-3 • Range spreads⎯generally set between 50-70 percent⎯are predominantly consistent at 50 percent. • Midpoint progressions remain constant at 5 percent throughout all grades. • The number of employees on each pay grade is widely varied. Nine pay grades have only a single incumbent occupying the grade, where pay grade 150 contains the most with 48 employees. • The minimum annual salary of any pay grade is $25,052 while the maximum salary of any pay grade is $179,058. 3.2 GRADE PLACEMENT ANALYSIS The Grade Placement Analysis examines how employee salaries are distributed throughout the pay grades. This can help identify salary progression issues, which are usually accompanied by employee salaries that are clustered in segments of the pay grades. A clustering of employee salaries in the lower part of ranges can indicate a lack of salary progression for employees or a high level of employee turnover. A clustering of employee salaries in the high end of pay ranges can be a sign of high employee tenure or a sign that the pay ranges are behind market, forcing the organization to offer salaries near the maximum of the range to new hires. With regard to minimum and maximum salaries, employees at the grade minimum are typically newer to the organization or to the classification, while employees at the grade maximum are typically highly experienced and highly proficient in their classification. The Grade Placement Analysis examines how salaries compare to pay range minimums, midpoints, and maximums. Only pay grades with at least one incumbent are included in this analysis. Exhibit 3B displays the percentage and number of employees compensated at their pay grade minimum and pay grade maximum. The percentages presented are based on the total number of employees in that grade. As can be seen in the exhibit, all employees are compensated above their pay grade’s minimum. Only one employee (0.3 percent) is compensated above their pay grade’s maximum. Page 541 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-4 EXHIBIT 3B EMPLOYEES AT MINIMUM AND MAXIMUM BY GRADE In addition to assessing the number of employees at minimum and maximum, an analysis was conducted to determine the number of employees below and above pay grade midpoint. The percentages refer to the percentage of employees in each pay grade that are above and below midpoint. Exhibit 3C displays the results of this analysis: a total of 211 employees are compensated below their pay grade midpoint⎯which is 62.8 percent of all employees for the City. There are 125 employees compensated above midpoint of their pay grade, which is 37.2 percent of all employees. #%#%#%#% 10 0 0 0.0%0 0.0%0 0.0%0 0.0% 20 9 0 0.0%0 0.0%0 0.0%0 0.0% 30 13 0 0.0%0 0.0%0 0.0%1 7.7% 40 1 0 0.0%0 0.0%0 0.0%0 0.0% 50 12 0 0.0%0 0.0%0 0.0%0 0.0% 60 33 0 0.0%0 0.0%0 0.0%0 0.0% 70 35 0 0.0%0 0.0%0 0.0%0 0.0% 80 14 0 0.0%0 0.0%0 0.0%0 0.0% 90 22 0 0.0%0 0.0%0 0.0%0 0.0% 100 14 0 0.0%0 0.0%0 0.0%0 0.0% 110 13 0 0.0%0 0.0%0 0.0%0 0.0% 120 16 0 0.0%0 0.0%0 0.0%0 0.0% 130 11 0 0.0%0 0.0%0 0.0%0 0.0% 140 23 0 0.0%0 0.0%0 0.0%0 0.0% 150 48 0 0.0%0 0.0%0 0.0%0 0.0% 160 1 0 0.0%0 0.0%0 0.0%0 0.0% 170 5 0 0.0%0 0.0%0 0.0%0 0.0% 180 17 0 0.0%0 0.0%0 0.0%0 0.0% 190 2 0 0.0%0 0.0%0 0.0%0 0.0% 200 15 0 0.0%0 0.0%0 0.0%0 0.0% 210 1 0 0.0%0 0.0%0 0.0%0 0.0% 220 13 0 0.0%0 0.0%0 0.0%0 0.0% 230 1 0 0.0%0 0.0%0 0.0%0 0.0% 240 4 0 0.0%0 0.0%0 0.0%0 0.0% 250 2 0 0.0%0 0.0%0 0.0%0 0.0% 260 1 0 0.0%0 0.0%0 0.0%0 0.0% 270 1 0 0.0%0 0.0%0 0.0%0 0.0% 280 2 0 0.0%0 0.0%0 0.0%0 0.0% 290 1 0 0.0%0 0.0%0 0.0%0 0.0% 300 2 0 0.0%0 0.0%0 0.0%0 0.0% 310 2 0 0.0%0 0.0%0 0.0%0 0.0% 320 1 0 0.0%0 0.0%0 0.0%0 0.0% 330 1 0 0.0%0 0.0%0 0.0%0 0.0% Total 336 0 0.0%0 0.0%0 0.0%1 0.3% At Min At Max Above MaxBelow MinGradeEmployees Page 542 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-5 EXHIBIT 3C EMPLOYEES ABOVE AND BELOW MIDPOINT BY PAY GRADE 3.3 QUARTILE ANALYSIS The last part of the Grade Placement Analysis is a detailed look at how salaries are distributed through pay grades with a quartile analysis. Here, each pay grade is divided into four segments of equal width, called quartiles. The first quartile represents the first 25 percent of the pay range; the second quartile represents the part of the range above the first quartile up to the mathematical midpoint; the third quartile represents the part of the range from the midpoint to 75 percent of the pay range; and the fourth quartile represents the part of the range above # %#% 10 0 0 0.0%0 0.0% 20 9 5 55.6%4 44.4% 30 13 11 84.6%2 15.4% 40 1 1 100.0%0 0.0% 50 12 10 83.3%2 16.7% 60 33 25 75.8%8 24.2% 70 35 25 71.4%10 28.6% 80 14 10 71.4%4 28.6% 90 22 16 72.7%6 27.3% 100 14 10 71.4%4 28.6% 110 13 10 76.9%3 23.1% 120 16 7 43.8%9 56.3% 130 11 7 63.6%4 36.4% 140 23 20 87.0%3 13.0% 150 48 27 56.3%21 43.8% 160 1 0 0.0%1 100.0% 170 5 2 40.0%3 60.0% 180 17 9 52.9%8 47.1% 190 2 1 50.0%1 50.0% 200 15 4 26.7%11 73.3% 210 1 1 100.0%0 0.0% 220 13 4 30.8%9 69.2% 230 1 1 100.0%0 0.0% 240 4 2 50.0%2 50.0% 250 2 1 50.0%1 50.0% 260 1 1 100.0%0 0.0% 270 1 0 0.0%1 100.0% 280 2 0 0.0%2 100.0% 290 1 0 0.0%1 100.0% 300 2 0 0.0%2 100.0% 310 2 1 50.0%1 50.0% 320 1 0 0.0%1 100.0% 330 1 0 0.0%1 100.0% Total 336 211 62.8%125 37.2% <MidGradeEmployees Mid> Page 543 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-6 the third quartile up to the pay range maximum. Employees are assigned to a quartile within their pay range based on their current salary. The quartile analysis is used to determine the location of employee salary clusters. Quartile analysis helps identify whether clusters exist in specific quartiles of pay grades. Additionally, the amount of time the employee has spent at the organization is also analyzed, in order to observe any relationship between organizational tenure and salary progression. This information, while not definitive alone, can shed light on any root issues within the current compensation and classification plan when combined with market data and employee feedback. Exhibit 3D shows the number of employees that are in each quartile of each grade, as well as the average overall tenure (i.e. how long an employee has worked for the City) by quartile. Overall, data provides that 130 employees (38.7 percent) fall into Quartile 1 of their respective grade; 81 employees (24.1 percent) fall into Quartile 2; 70 employees (20.8 percent) fall into Quartile 3; and 55 employees (16.4 percent) fall into Quartile 4. While this distribution does not lead to a conclusion, data for average tenure do lead to determinations on the relationship between tenure and salary. Specifically, overall average tenure increases as quartile increases; the average tenure in Quartile 1 is 3.4 years; in Quartile 2 is 9.1 years; in Quartile 3 is 13.1 years; and in Quartile 4 is 18.2 years. This would seem to indicate that employees are moved through their pay grades equitably, or at the very least a positive linear relationship exists between tenure and pay. Page 544 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-7 EXHIBIT 3D QUARTILE ANALYSIS AND TIME WITH THE ORGANIZATION 3.4 COMPRESSION ANALYSIS Pay compression can be defined as the lack of variation in salaries between employees with significantly different levels of experience and responsibility. Compression can be seen as a threat to internal equity and morale. Two common types of pay compression can be observed when the pay of supervisors and their subordinates are too close, or when the pay of highly tenured staff and newly hired employees in the same job are too similar. According to the Society for Human Resources Management (SHRM), specific examples of actions that may cause pay compression include the following: #Avg. Tenure #Avg. Tenure #Avg. Tenure #Avg. Tenure 10 0 -0 -0 -0 -0 - 20 9 11.5 2 1.0 3 4.5 2 19.3 2 24.8 30 13 4.0 10 2.1 1 4.2 0 -2 13.3 40 1 1.4 1 1.4 0 -0 -0 - 50 12 7.7 7 2.0 3 13.0 0 -2 20.0 60 33 4.7 22 1.8 3 8.0 7 11.3 1 13.7 70 35 6.1 15 2.4 10 6.4 3 9.6 7 11.9 80 14 7.3 7 1.6 3 6.1 1 7.1 3 22.1 90 22 6.9 9 2.4 7 8.4 5 11.9 1 11.4 100 14 8.1 6 2.5 4 7.9 2 12.9 2 20.7 110 13 10.1 5 6.7 5 9.4 2 14.7 1 22.1 120 16 12.8 3 8.5 4 10.6 4 11.3 5 18.4 130 11 13.6 4 3.9 3 12.3 1 8.4 3 29.8 140 23 8.0 11 4.4 9 10.1 2 11.9 1 19.7 150 48 8.3 15 2.6 12 8.1 15 11.8 6 13.7 160 1 11.0 0 -0 -1 11.0 0 - 170 5 9.3 2 6.4 0 -1 9.2 2 12.3 180 17 12.7 3 7.6 6 10.9 6 13.9 2 22.0 190 2 25.5 1 24.4 0 -1 26.7 0 - 200 15 16.4 0 -4 13.9 6 15.5 5 19.5 210 1 8.1 0 -1 8.1 0 -0 - 220 13 15.3 4 8.6 0 -5 13.9 4 23.8 230 1 3.4 1 3.4 0 -0 -0 - 240 4 14.9 0 -2 10.8 1 20.9 1 17.2 250 2 12.8 1 1.5 0 -1 24.1 0 - 260 1 16.2 0 -1 16.2 0 -0 - 270 1 29.9 0 -0 -0 -1 29.9 280 2 21.0 0 -0 -0 -2 21.0 290 1 19.4 0 -0 -1 19.4 0 - 300 2 18.0 0 -0 -2 18.0 0 - 310 2 9.8 1 18.2 0 -1 1.4 0 - 320 1 1.8 0 -0 -0 -1 1.8 330 1 12.5 0 -0 -0 -1 12.5 Overall 336 9.0 130 3.4 81 9.1 70 13.1 55 18.2 4th QuartileGRADETotal Employees 1st Quartile 2nd Quartile 3rd QuartileTenure Page 545 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-8 • Reorganizations change peer relationships and can create compression if jobs are not reevaluated. • In some organizations, certain departments or divisions may be relatively liberal with salary increases, market adjustments, and promotions⎯while others are not. • Some employers have overlooked their Human Resources policies designed to regulate pay, paying new hires more than incumbents for similar jobs under the mantra of “paying what it takes to get the best talent.” • Many organizations have found it easy to hire people who had already done the same work for another organization, eliminating the need for training. Rather than hiring individuals with high potential and developing them for the long term, they have opted for employees who could “hit the ground running”⎯regardless of their potential. Exhibit 3E indicates the ratio of subordinate to supervisor salaries by grade graphically and Exhibit 3F displays these results numerically. Employees were grouped into categories reflecting whether their actual salary was less than 80 percent, less than 95 percent, or greater than 95 percent of their supervisor’s salary. Less than 80 percent would indicate that the ratio of an employee’s salary to his supervisor’s salary would yield a result of less than 0.8. For example, an employee with a salary of $79,000.00 and a supervisor with a salary of $100,000.00 would yield a ratio of 0.79 and be placed into the Less than 80 percent category. An analysis of the data would quickly reveal that while most positions in the City are in a great position, with plenty of space between employee and supervisor salaries, there is still a small percentage of employees with salaries more than 95 percent of their supervisor’s salary. Anywhere yellow or red appears on Exhibit 3E is somewhere that warrants an examination of supervisor vs. employee salary. Page 546 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-9 EXHIBIT 3E EMPLOYEE TO SUPERVISOR SALARY RATIO BY PAY GRADE Page 547 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-10 EXHIBIT 3F EMPLOYEE TO SUPERVISOR SALARY RATIO BY PAY GRADE Grade Less than 80%80% < X < 95%95% < X < 100%Greater than 100% 10 0 0 0 0 20 9 0 0 0 30 11 1 1 0 40 1 0 0 0 50 12 0 0 0 60 32 1 0 0 70 33 2 0 0 80 14 0 0 0 90 21 1 0 0 100 12 2 0 0 110 13 0 0 0 120 16 0 0 0 130 8 3 0 0 140 22 1 0 0 150 47 1 0 0 160 1 0 0 0 170 3 2 0 0 180 11 5 0 1 190 2 0 0 0 200 8 7 0 0 210 1 0 0 0 220 7 5 1 0 230 0 0 0 1 240 3 1 0 0 250 2 0 0 0 260 1 0 0 0 270 1 0 0 0 280 0 2 0 0 290 0 1 0 0 300 0 1 0 1 310 1 1 0 0 320 0 0 1 0 Totals 292 37 3 3 Page 548 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-11 Exhibit 3G showcases the actual vs. expected salaries of City employees, sorted by pay grade graphically and Exhibit 3H displays these results numerically. Expected salary is calculated using a thirty-year progression assumption for employees. For example, an employee who had worked at his position for fifteen years would expect to be at the grade midpoint, while an employee with thirty or more years of class years would expect to be at the grade maximum. An important distinction between this compression table and the quartile analysis: this compression table utilizes class years, while the Quartile analysis uses tenure. Class years are differentiated from tenure by using the date that you started working in your current classification as the start date, instead of the date you first were hired by any Appointing Authority. To illustrate, if an employee had been an accountant for fifteen years, and then was promoted last year to Accountant Supervisor that employee would have fifteen years of tenure, but only one class year. Exhibit 3G, illustrates that the majority of City employees are being paid wages that are within five percent of what they would expect to receive, based on their class years. Additionally, approximately 21.4 percent of employees are being paid wages that are more than 10 percent above what they would expect to receive, based on their class years. While this is clearly good for employees, it is not necessarily bad for the City. It could mean that the County is overpaying employees or that pay grades are too low, forcing the Appointing Authorities to advance employees more quickly through pay grades to keep competitive with the market. However, it could just as easily be another indicator of employee promotion and advancement through the ranks. As mentioned in the description of the quartile analysis, when an employee has advanced to near the top of his pay grade and he receives a promotion, he will often not start at his new pay grade minimum. An employee will not accept a pay decrease, so that employee is therefore started above the minimum on his new pay grade. That puts him above his “expected pay”, by definition. He has zero class years, but his pay is above the minimum. Then, if he advances exactly at the speed expected for the rest of his career, he will always remain above his “expected” pay. While the truth likely lies somewhere in between these examples, a definitive answer cannot be determined without more data. Page 549 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-12 EXHIBIT 3G ACTUAL VS. EXPECTED SALARY Page 550 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-13 EXHIBIT 3H ACTUAL VS. EXPECTED SALARY Grade Less than -10%-10 < X < -5%-5% < X < 5%5% < X < 10%Greater than 10% 20 0 0 5 2 2 30 0 0 10 1 2 40 0 0 1 0 0 50 1 0 8 3 0 60 0 1 23 3 6 70 0 0 16 7 12 80 0 0 8 3 3 90 0 0 12 4 6 100 0 0 9 3 2 110 2 1 5 4 1 120 1 1 3 5 6 130 0 3 5 1 2 140 2 0 17 3 1 150 0 2 15 17 14 160 0 0 0 0 1 170 0 1 2 0 2 180 0 1 11 4 1 190 1 1 0 0 0 200 1 0 9 3 2 210 0 0 0 1 0 220 1 0 6 3 3 230 0 0 1 0 0 240 0 0 3 0 1 250 0 0 2 0 0 260 1 0 0 0 0 270 0 0 1 0 0 280 0 1 0 0 1 290 0 0 1 0 0 300 0 1 0 0 1 310 1 0 0 0 1 320 0 0 0 0 1 330 0 0 0 0 1 Totals 11 13 173 67 72 Page 551 of 608 Chapter 3 - Assessment of Current Conditions Compensation and Pay Classification Plan Study for the City of Foley, AL Evergreen Solutions, LLC Page 3-14 3.5 SUMMARY There were many observations made with respect to the City’s compensation system in place at the beginning of the study. • Range spreads⎯generally set between 50-70 percent⎯are predominantly consistent at 50 percent. • More than half of employees are paid below their pay grade midpoint. • Less than half of employees (38.7 percent) are in Quartile 1 of their pay grade. • Most City employees are paid less than 80.0 percent of their supervisors’ salaries. • While there will always be outliers, the City has a very strong, positive relationship between tenure and pay grade penetration. This analysis acts as a starting point for development of recommendations in subsequent chapters of this report. Paired with market data, Evergreen is able to make recommendations that will ensure that the City compensation system is structurally sound in terms of best practice, competitive with the market, and treats all employees equitably moving forward. Page 552 of 608 Evergreen Solutions, LLC Page 4-1 ` The purpose of the market summary chapter is to benchmark the City’s compensation practices against that of its market peers in order to establish how competitive the City is for employees within its market. To complete this market study, Evergreen compared pay ranges of select benchmark positions that the City possesses against the compensation of positions performing those same duties within peer organizations. By aggregating the differences in pay ranges across all the positions, a reasonable determination is made as to the City’s competitive position within the market. It is important to note that individual salaries are not analyzed in this methodology, since individual compensation can be affected by a number of variables such as experience and performance. For this reason, Evergreen looked at average pay ranges across the entire classification to make the most accurate comparison. The results of this market study should be considered reflective of the current state of the market at the time of this study, however, market conditions can change rapidly. Consequently, it is necessary to perform market surveys of peer organizations at regular intervals in order for an organization to consistently monitor its position within the market. Furthermore, the market results detailed in this chapter provide a foundation for understanding the City’s overall structural standing to the market, and the rates reflected in this chapter, while an important factor, are not the sole determinant for how classifications were placed into the proposed salary ranges outlined in Chapter 6. Evergreen conducted a comprehensive market salary survey for the City, which included soliciting data from 16 target peers. Target peers were selected based on a number of factors, including geographic proximity and population size. Target organizations were also identified for their competition to the City for employee recruitment and retention efforts. Exhibit 4A provides a list of the 12 peers from which data were obtained for analysis. EXHIBIT 4A PEER DATA COLLECTED City of Daphne, AL City of Mobile, AL City of Gulf Shores, AL City of Orange Beach, AL City of Pensacola, FL City of Fort Walton Beach, FL City of Sevierville, TN Baldwin County, AL Baldwin County Sheriff's Office Escambia County, FL Mobile County, AL Okaloosa County, FL EVERGREEN SOLUTIONS, LLC Chapter 4 – Market Summary Page 553 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-2 Due to the fact that the data collected for the market summary was from various regions, it was necessary to adjust peer responses relative to the City based on cost of living. For all organizations that fell outside the City’s immediate region, a cost of living adjustment was applied to the reported pay ranges to ensure a market average was attained in terms of the spending power an employee would have in the City. Evergreen utilizes cost of living index information from the Council for Community and Economic Research, and the scale is based on the national average cost of living being set at 100. The cost of living index figures for The City and each of the respondent market peers are located in Exhibit 4B. EXHIBIT 4B RESPONDENTS WITH COST OF LIVING ADJUSTMENTS 4.1 MARKET DATA The results of the market study are displayed in Exhibit 4C, which includes the benchmark job titles and the market average salaries for each position at the minimum, midpoint, and maximum points of the pay ranges. Also included within the exhibit are the percent differentials of the City’s pay ranges at each respective point, relative to the market average pay. A positive percent differential is indicative of the City’s pay range exceeding that of the average of its market peers; alternatively, a negative percent differential indicates the City’s compensation for a given position lagging behind the average of its peers. For those classifications where no differential is shown, this is due to the City not possessing a pay range for comparison to the market. The exhibit also includes the average pay range for the market respondents for each position. While all benchmarks are surveyed by each peer, not every peer organization possesses an appropriate match to supply salary information for. Consequently, the benchmarks receive varying levels of response. For the purpose of this study, all positions that received less than five matches were not considered in establishing the City’s competitive position. The rationale behind these positions being excluded is that insufficient response can lead to unreliable averages that may skew the aggregated data, blurring the reality of the City’s actual position in the market. Over 630 data points were collected, and 68 of the 83 positions surveyed had sufficient response for inclusion. Organization Cost of Living Index City of Foley, AL 94.9 City of Daphne, AL 94.9 City of Mobile, AL 90.6 City of Gulf Shores, AL 94.9 City of Orange Beach, AL 94.9 City of Pensacola, FL 100.4 City of Fort Walton Beach, FL 104.6 City of Sevierville, TN 92.8 Baldwin County, AL 94.9 Baldwin County Sheriff's Office 94.9 Escambia County, FL 100.4 Mobile County, AL 90.6 Okaloosa County, FL 104.6 Page 554 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-3 EXHIBIT 4C MARKET SURVEY RESULTS Average % Diff Average % Diff Average % Diff Accounts Payable Specialist $34,815.80 15.8%$44,330.98 14.0%$53,846.15 12.8% Administrative Assistant II $33,808.96 -0.7%$43,477.52 -3.5%$53,146.08 -5.4% Athletic Coordinator $46,969.72 -9.2%$58,627.93 -9.0%$70,286.13 -8.9% Benefits Specialist $39,362.29 13.3%$51,669.76 8.5%$63,977.23 5.3% Building Custodian $28,868.60 -9.3%$37,089.19 -12.0%$45,309.77 -13.8% Building Inspector $44,631.42 10.5%$57,400.73 7.7%$70,170.04 5.9% Building Maintenance Worker II $33,879.56 -0.9%$44,297.21 -5.4%$54,714.86 -8.3% City Administrator $130,470.61 -8.9%$164,892.40 -10.0%$199,314.19 -10.7% City Clerk $80,016.97 -23.3%$101,743.35 -25.0%$123,469.73 -26.1% City Engineer $99,348.34 3.7%$131,097.30 -1.7%$160,890.68 -3.9% City Planner/Building Official $75,678.68 21.1%$97,358.05 18.3%$119,037.42 16.4% Commander $72,072.59 -3.2%$89,816.33 -2.9%$107,560.06 -2.7% Commercial Sanitation Driver Operator $33,183.13 10.9%$43,723.14 5.7%$54,263.15 2.3% Commercial Sanitation Supervisor $50,677.99 -7.0%$65,622.78 -10.5%$80,567.57 -12.8% Communications Officer $38,131.81 -7.9%$49,376.41 -11.4%$60,621.02 -13.6% Communications Supervisor $48,895.70 -13.2%$63,245.09 -16.6%$77,594.48 -18.8% Construction Projects Manager $66,336.40 -19.3%$85,863.99 -22.7%$105,391.59 -24.9% Corrections Officer $35,870.63 3.1%$45,683.86 1.3%$55,497.08 0.0% Crew Leader/Equipment Operator III $39,193.63 8.9%$50,400.73 6.1%$61,607.83 4.2% Criminal Intelligence Specialist $40,578.69 0.6%$53,182.82 -4.2%$65,786.95 -7.2% Deputy Fire Chief $79,394.44 -3.1%$101,789.92 -5.7%$124,185.40 -7.3% Director of Senior Services & Municipal Complex $87,458.97 -22.5%$111,573.72 -24.5%$135,688.48 -25.8% Environmental Director $66,764.66 14.2%$88,673.50 8.1%$110,582.34 4.3% Environmental Inspector I $51,237.13 -22.7%$65,243.20 -24.5%$79,249.26 -25.7% Equipment Operator II $35,132.67 0.3%$45,874.29 -4.0%$56,615.90 -6.8% Event Coordinator $42,972.36 -5.2%$55,687.94 -8.8%$68,403.52 -11.1% Finance Director/City Treasurer $85,589.75 4.0%$109,481.92 1.7%$133,374.09 0.2% Fire Chief $97,794.43 -4.5%$123,185.33 -5.2%$148,576.23 -5.7% Fire Inspector $58,235.33 -16.0%$73,506.63 -17.0%$88,777.94 -17.6% Fire Service Captain $59,961.80 5.4%$73,281.59 7.7%$86,601.37 9.2% Fire Service Lieutenant $58,066.62 -1.1%$70,526.48 1.8%$82,986.35 3.7% Firefighter $43,942.38 7.2%$54,241.48 8.5%$64,540.57 9.3% GIS Specialist $47,936.98 3.4%$61,793.50 0.3%$75,650.01 -1.7% Human Resources Director $82,744.81 2.5%$107,240.07 -1.1%$131,735.34 -3.5% Human Resources Specialist $39,559.06 12.8%$51,002.22 9.8%$62,445.38 7.8% Human Resources/Training & Safety Coordinator $49,873.05 -0.5%$65,693.09 -5.8%$81,513.12 -9.1% Information Systems Manager $73,961.11 -10.7%$95,216.07 -13.6%$116,471.04 -15.5% Infrastructure Administrator $54,021.46 1.2%$70,729.84 -3.4%$87,438.23 -6.4% IT Technician II $38,553.68 10.6%$50,222.14 6.4%$61,890.61 3.8% Library Aide II $26,540.76 18.6%$34,553.69 14.5%$42,566.62 11.9% Library Director $66,747.12 4.5%$87,170.43 0.1%$107,593.75 -2.7% Lifeguard $35,101.09 -$44,965.72 -$54,830.35 - Magistrate II $43,497.27 -6.4%$54,093.15 -5.9%$64,689.03 -5.5% Maintenance Technician $35,455.00 4.3%$46,112.99 0.3%$56,770.99 -2.2% Maintenance/HVAC Technician $40,648.31 5.3%$53,495.20 0.1%$66,342.09 -3.2% Mechanic $37,851.47 12.4%$48,534.82 9.8%$59,218.17 8.2% Municipal Court Clerk/Administrator $48,223.96 22.2%$61,526.12 20.2%$74,828.29 18.9% Natural Resources Director $96,627.62 -$120,106.20 -$143,584.77 - Office Coordinator $40,111.44 1.7%$52,727.39 -3.3%$65,343.33 -6.5% Parks Maintenance Worker II $33,021.38 -8.1%$42,386.12 -10.7%$51,750.87 -12.5% Patrol Officer $48,645.96 1.9%$61,106.48 1.5%$73,567.01 1.1% Payroll Clerk $42,932.83 -19.7%$55,672.80 -23.3%$68,412.78 -25.6% Permit Clerk $39,513.30 -11.4%$50,435.24 -13.5%$61,357.18 -14.8% Planner I $50,165.27 -1.1%$64,704.26 -4.3%$79,243.24 -6.3% Planning/Zoning Coordinator $58,588.21 -31.0%$75,742.32 -34.3%$92,896.44 -36.4% Police Chief $111,085.67 -7.4%$134,403.48 -4.2%$157,721.29 -1.9% Public Works Director $94,266.92 4.1%$118,726.26 3.3%$143,185.60 2.8% Records Clerk $36,009.03 -11.9%$46,222.80 -14.5%$56,436.57 -16.2% Residential Sanitation Supervisor $50,677.99 -7.0%$65,622.78 -10.5%$80,567.57 -12.8% Revenue Auditor $40,984.79 19.0%$53,555.36 14.6%$66,125.93 11.8% Revenue Director $77,562.95 -10.5%$99,930.28 -13.6%$122,297.61 -15.5% Sanitation Crew Leader $39,600.44 -1.9%$52,393.16 -7.6%$65,185.88 -11.2% Sanitation Worker II $30,625.35 -10.3%$40,490.56 -15.9%$50,355.77 -19.4% Sergeant $60,240.21 5.0%$75,035.30 5.3%$89,830.38 5.6% Sports Tourism Event Worker $36,877.56 -$46,478.85 -$56,080.15 - Sports Tourism Field Superintendent/Agronomist $46,522.36 16.1%$57,524.18 17.2%$68,526.00 17.9% Street Supervisor $54,940.63 23.8%$70,337.47 21.5%$85,734.30 19.9% Traffic Control Technician $38,946.58 9.5%$49,993.91 6.9%$61,041.24 5.2% Overall Average -0.3%-2.9%-4.6% Outliers Removed 0.3%-2.2%-3.7% Classification Survey Minimum Survey Midpoint Survey Maximum Page 555 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-4 4.2 SALARY SURVEY RESULTS Market Minimums It is important to assess where an organization is relative to its market minimum salaries, as they are the beginning salaries of employees with minimal qualifications for a given position. Organizations that are significantly below market may experience recruitment challenges with entry-level employees. As seen in Exhibit 4C, the City is currently 0.3 percent above the market average minimum, when considering positions with sufficient responses. The City’s benchmark positions ranged from 31.0 percent below to 23.8 percent above the market minimum. The following are summary points of the results analysis concerning the market minimum: • Of the 68 positions receiving sufficient response, 32 were below market, averaging 9.9 percent below. These 32 classifications represent roughly 38.6 percent of all surveyed positions. • Of the 32 positions below market, 13 were more than 10.0 percent below the average market minimum. These positions are displayed in Exhibit 4D. EXHIBIT 4D CLASSIFICATIONS MORE THAN 10% BELOW THE MINIMUM • Of the 68 positions receiving sufficient response, 33 were above market, averaging 9.0 percent above. These classifications represent approximately 39.8 percent of all surveyed positions. Planning/Zoning Coordinator -31.0% City Clerk -23.3% Environmental Inspector I -22.7% Director of Senior Services & Municipal Complex -22.5% Payroll Clerk -19.7% Construction Projects Manager -19.3% Fire Inspector -16.0% Communications Supervisor -13.2% Records Clerk -11.9% Permit Clerk -11.4% Information Systems Manager -10.7% Revenue Director -10.5% Sanitation Worker II -10.3% Classifications More than 10% Below Market Minimum % Diff Page 556 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-5 • Of those 33 positions, 14 were more than 10.0 percent above the market minimum average. These positions are displayed in Exhibit 4E. EXHIBIT 4E CLASSIFICATIONS MORE THAN 10% ABOVE THE MINIMUM Market Midpoints The market midpoint is exceptionally important to analyze, as it is often considered the closest estimation of market average compensation. As seen in Exhibit 4C, the City is currently 2.2 percent below the market midpoint. Analysis of the market midpoint comparisons yielded the following information: • With respect to the midpoint average, 37 of the surveyed positions receiving sufficient response were below the market midpoint, averaging 11.1 percent below. These 37 positions represent 44.6 percent of all positions surveyed. • Of the 37 positions below the market midpoint, 18 were more than 10.0 percent below the midpoint. These positions are displayed in Exhibit 4F. Building Inspector 10.5% IT Technician II 10.6% Commercial Sanitation Driver Operator 10.9% Mechanic 12.4% Human Resources Specialist 12.8% Benefits Specialist 13.3% Environmental Director 14.2% Accounts Payable Specialist 15.8% Sports Tourism Field Superintendent/Agronomist 16.1% Library Aide II 18.6% Revenue Auditor 19.0% City Planner/Building Official 21.1% Municipal Court Clerk/Administrator 22.2% Street Supervisor 23.8% Classifications More than 10% Above Market Minimum % Diff Page 557 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-6 EXHIBIT 4F CLASSIFICATIONS MORE THAN 10% BELOW THE MIDPOINT • Of the 68 positions receiving sufficient response, 28 were above the market midpoint. These comprise 33.7 percent of the total classifications surveyed. • Seven of these 28 positions were more than 10.0 percent above the market midpoint. That positions are displayed in Exhibit 4G. EXHIBIT 4G CLASSIFICATIONS MORE THAN 10% ABOVE THE MIDPOINT Planning/Zoning Coordinator -34.3% City Clerk -25.0% Environmental Inspector I -24.5% Director of Senior Services & Municipal Complex -24.5% Payroll Clerk -23.3% Construction Projects Manager -22.7% Fire Inspector -17.0% Communications Supervisor -16.6% Sanitation Worker II -15.9% Records Clerk -14.5% Information Systems Manager -13.6% Revenue Director -13.6% Permit Clerk -13.5% Building Custodian -12.0% Communications Officer -11.4% Parks Maintenance Worker II -10.7% Commercial Sanitation Supervisor -10.5% Residential Sanitation Supervisor -10.5% % DiffClassifications More than 10% Below Market Midpoint Accounts Payable Specialist 14.0% Library Aide II 14.5% Revenue Auditor 14.6% Sports Tourism Field Superintendent/Agronomist 17.2% City Planner/Building Official 18.3% Municipal Court Clerk/Administrator 20.2% Street Supervisor 21.5% Classifications More than 10% Above Market Midpoint % Diff Page 558 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-7 Market Maximums The pay range maximum averages, and how they compare to the City’s, are also detailed in Exhibit 4C. The City is, on average, 3.7 percent below the market maximum. The following points are regarding the City’s position relative to the market average maximum: • At the market maximum, 41 of the 68 positions receiving sufficient response fell below the average, averaging 11.9 percent below. These 41 positions represent 49.4 percent of the total number of positions surveyed. • Of these 41 positions, 21 fell more than 10.0 percent below the market maximum. These 21 positions are displayed in Exhibit 4H. EXHIBIT 4H CLASSIFICATIONS MORE THAN 10% BELOW THE MAXIMUM Planning/Zoning Coordinator -36.4% City Clerk -26.1% Director of Senior Services & Municipal Complex -25.8% Environmental Inspector I -25.7% Payroll Clerk -25.6% Construction Projects Manager -24.9% Sanitation Worker II -19.4% Communications Supervisor -18.8% Fire Inspector -17.6% Records Clerk -16.2% Revenue Director -15.5% Information Systems Manager -15.5% Permit Clerk -14.8% Building Custodian -13.8% Communications Officer -13.6% Commercial Sanitation Supervisor -12.8% Residential Sanitation Supervisor -12.8% Parks Maintenance Worker II -12.5% Sanitation Crew Leader -11.2% Event Coordinator -11.1% City Administrator -10.7% Classifications More than 10% Below Market Maxium % Diff Page 559 of 608 Chapter 4 – Market Summary Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 4-8 • Of the 68 surveyed positions receiving sufficient response, 23 were above the market maximum. These 23 positions represent 27.7 percent of the total number of positions surveyed. • Of the 23 above average positions, 7 of them were more than 10.0 percent above the market maximum. The positions are displayed in Exhibit 4I. EXHIBIT 4I CLASSIFICATIONS MORE THAN 10% ABOVE THE MAXIMUM 4.3 SALARY SURVEY CONCLUSION The standing of individual classifications pay range relative to the market should not be considered a definitive assessment of actual employee salaries being similarly above or below the market; however, such differentials can, in part, explain symptomatic issues with recruitment and retention of employees. The main summary points of the market study are as follows: • The City is approximately 0.3 percent above the market minimum. • The City is approximately 2.2 percent below the market midpoint. • The City is approximately 3.7 percent below the market maximum. • The City’s pay range spread averages at 50.0 percent, while the average of its peers’ pay range spreads is approximately 56.7 percent. That means that the City’s salary scale is slightly narrower than the average of its peers. The results of the market summary chapter are pivotal in the formulation of recommendations by Evergreen Solutions. By establishing the City’s market position relative to its peers, Evergreen is better able to propose recommendations that enable the City to occupy its desired competitive position. Revenue Auditor 11.8% Library Aide II 11.9% Accounts Payable Specialist 12.8% City Planner/Building Official 16.4% Sports Tourism Field Superintendent/Agronomist 17.9% Municipal Court Clerk/Administrator 18.9% Street Supervisor 19.9% Classifications More than 10% Above Market Maximum % Diff Page 560 of 608 Evergreen Solutions, LLC Page 5-1 As a component of this study, Evergreen conducted a benefits market analysis. A benefits analysis, much like a salary evaluation, represents a snapshot in time of what is available in peer organizations. The Benefit Survey can provide the organization with an understanding of the total compensation (salary and benefits) offered by its peers. It is important to realize that there are intricacies involved with benefits programs that are not captured by a benefits survey alone. This information should be used as a cursory overview and not a line-by-line comparison, since benefits can be weighted differently depending on the importance to the organization. It should also be noted that benefits are sometimes negotiated and acquired through third parties, so one-to-one comparisons can be difficult. The analysis in this chapter highlights aspects of the benefits survey that provide pertinent information and had high completion rates by target peers. Exhibit 5A provides a list of the 11 target peers from which full or partial benefits data were obtained for this analysis. EXHIBIT 5A PEER DATA COLLECTED Peer Data Collected City of Biloxi, MS City of Daphne, AL City of Fort Walton Beach, FL City of Gulfport, MS City of Mobile, AL City of Orange Beach, AL City of Pensacola, FL City of Sevierville, TN Baldwin County, AL Baldwin County Sheriff's Office, AL Mobile County, AL EVERGREEN SOLUTIONS, LLC Chapter 5 – Benefits Survey Results Page 561 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-2 5.1 EMPLOYEE INSURANCE COVERAGES AND MISCELLANEOUS BENEFITS Exhibit 5B displays a basic overview of peer organization size and the average number of health plans offered. Market peers have an average of 1,083 full-time employees and 102 part-time employees. Comparatively, the City has 328 full-time employees and 14 part-time employees. EXHIBIT 5B OVERALL BENEFITS INFORMATION Exhibit 5B also displays that the average number of health plans offered by peers (any combination of HMO, PPO, High Deductible, or other type of plan) is 1.5. The City offers one PPO health plan. 5.2 HEALTH PLANS In addition to the types of health plans offered by peers, Evergreen surveyed respondents for employer and employee costs, together with health plan deductible amounts for each plan option. Exhibit 5C displays the data collected. Like the City, 100% of the respondent peers offer a PPO plan and 54.5 percent offer a supplemental Health Savings Account or Flexible Spending Account. For PPO plans, the data show that the percentage of an individual employee’s premium paid by the employer is, on average, 87.8 percent compared to 100 percent paid by the City. By comparison, City employees pay less overall for health care coverage than peer organizations. Organization Demographics Full-Time Employees 1083 91.4%328 95.9% Part-Time Employees 102 8.6%14 4.1% Number of health plans offered Peer Average City of Foley, AL 1.5 1 Page 562 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-3 EXHIBIT 5C OVERVIEW OF HEALTH PLANS OFFERED BY PEERS Health Plan Premiums & Deductibles Peer HMO Average Peer PPO Average Peer HAS/FFSA Average City of Foley, AL Plan offered?0.0%100.0%54.5%PPO DOLLAR AMOUNT (monthly) of employee premium paid by employer -$454.63 -$849.96 PERCENTAGE (monthly) of employee premium paid by employer -87.8%-100.0% DOLLAR AMOUNT (monthly) of employee premium paid by employee -$64.20 -$0.00 PERCENTAGE (monthly) of employee premium paid by employee -12.2%-0.0% Individual Maximum Deductible In Network -$759.09 -$200.00 Individual Maximum Deductible Out of Network -$2,588.89 -$200.00 DOLLAR AMOUNT (monthly) of employee plus child premium paid by employer -$913.95 -$1,805.76 PERCENTAGE (monthly) of employee plus child premium paid by employer -80.6%-93.0% DOLLAR AMOUNT (monthly) of employee plus child premium paid by employee -$224.66 -$134.94 PERCENTAGE (monthly) of employee plus child premium paid by employee -19.4%-7.0% Employee Plus Child Maximum Deductible In Network -$1,340.00 -$600.00 Employee Plus Child Maximum Deductible Out of Network -$4,325.00 -$600.00 DOLLAR AMOUNT (monthly) of employee plus spouse premium paid by employer -$996.60 -$1,805.76 PERCENTAGE (monthly) of employee plus spouse premium paid by employer -79.8%-93.0% DOLLAR AMOUNT (monthly) of employee plus spouse premium paid by employee -$254.58 -$134.94 PERCENTAGE (monthly) of employee plus spouse premium paid by employee -20.2%-7.0% Employee Plus Spouse Maximum Deductible In Network -$1,340.00 -$600.00 Employee Plus Spouse Maximum Deductible Out of Network -$4,325.00 -$600.00 DOLLAR AMOUNT (monthly) of employee plus family premium paid by employer -$1,107.37 -$1,805.76 PERCENTAGE (monthly) of employee plus family premium paid by employer -76.5%-93.0% DOLLAR AMOUNT (monthly) of employee plus family premium paid by employee -$366.28 -$134.94 PERCENTAGE (monthly) of employee plus family premium paid by employee -23.5%-7.0% Employee Plus Family Maximum Deductible In Network -$2,040.00 -$600.00 Employee Plus Family Maximum Deductible Out of Network -$6,700.00 -$600.00 Page 563 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-4 In addition to questions regarding health care coverages, Evergreen asked peers to provide information on dental, vision, short-term disability, long-term disability, and life coverages. Like the City, 100 percent of respondent peers also offer dental insurance for employees and their families while only 88.8 percent offer vision coverage. Dental insurance appears to be less expensive for the City’s employees than that of their peers for both employee only and employee plus dependent coverage. Vision insurance is included in the health insurance premiums for City employees; respondent peers do not contribute to the cost of vision coverage. Exhibit 5D highlights average costs for employers and employees. These data should not be used as a foundation to make decisions. EXHIBIT 5D DENTAL AND VISION PREMIUMS For short-term disability coverage, only 12.5 percent of responding peers offer an employer paid plan like the City, paying an average of 67 percent of salary at the time of a disability. Additionally, 37.5 percent of responding peers offer an employer paid long-term disability plan like the City, paying an average of 58 percent of salary at the time of a disability. As displayed in Exhibit 5E, the City does not offer employee paid short-term or long-term disability coverage, although 75 percent of responding peers offer an employee paid short- term plan and 65.5 percent offer an employee paid long-term plan. Peer Average City of Foley, AL Peer Average City of Foley, AL Does your organization offer employees the following types of insurance?100%Yes 88.8%Yes How many plans of this type are offered by your organization?1.4 1 1 1 DOLLAR AMOUNT (monthly) of employee premium paid by employer $24.36 $26.53 $0.00 Included With Health Insurance Cost DOLLAR AMOUNT (monthly) of employee premium paid by employee $17.50 $0.00 $7.98 Included With Health Insurance Cost DOLLAR AMOUNT (monthly) of employee plus dependent premium paid by employer $57.17 $72.36 $0.00 Included With Health Insurance Cost DOLLAR AMOUNT (monthly) of employee plus dependent premium paid by employee $48.52 $20.00 $21.16 Included With Health Insurance Cost Dental and Vision Offerings Dental Insurance Vision Insurance Page 564 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-5 EXHIBIT 5E DISABILITY COVERAGE QUESTIONS Exhibit 5F summarizes the life insurance offerings of the City and responding peers. Similar to the City, 100 percent of the responding peers offer employer paid life insurance and 100 percent indicated that they offer optional dependent coverage. The dollar amount of death benefit offered is significantly higher for peer respondents at an average of $26,000 when compared to the City’s offering of $10,000. EXHIBIT 5F LIFE INSURANCE 5.3 TUITION REIMBURSEMENT Exhibit 5G displays questions regarding Tuition Reimbursement. As shown, 67 percent of the responding peers indicated that they have provisions to provide some type of tuition reimbursement for employees. On average, peers tuition reimbursement annual limits were either $1,500.00 or up to 21 credit hours. The City offers tuition reimbursement with a plan limit of $3,000.00. Peer Average City of Foley, AL Peer Average City of Foley, AL Does your organization offer employer paid disability insurance?12.5%Yes 37.5%Yes What percentage of salary does the employee receive?67%67%58%67% Does your organization offer employee paid disability insurance?75%No 62.5%No What percentage of salary does the employee receive?60%n/a 63%n/a Disability Coverage Short Term Disability Long Term Disability Life Insurance Peer Percentage Yes Peer Average City of Foley, AL Is employer-paid life insurance offered?100.0%-Yes Cost (monthly) to employer for individual -$13.24 $1.10 Dollar amount of death benefit -$26,000.00 $10,000.00 Is Optional dependent coverage offered?100.0%-Yes Can the employee purchase (additional) life insurance if desired?100.0%-Yes Is accidental death insurance provided?100.0%-Yes Page 565 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-6 EXHIBIT 5G TUITION REIMBURSEMENT 5.4 RETIREMENT Exhibit 5H displays that the average number of plans offered by peers is 1.8 while the City has one plan. Most respondents indicated that the plans are state plans. EXHIBIT 5H NUMBER OF RETIREMENT PLANS Exhibit 5I provides information regarding retirement details. Similar to 80 percent of market peers, the City offers a state retirement plan to employees. On average, participating peers take 8.2 years to fully vest. For participating peers, organization contributions to retirement average 5.1 percent, while the employee contributes, on average, 7.6 percent of their salary. Tuition Reimbursement Peer Response City of Foley, AL Is tuition reimbursement offered?67%Yes Plan limit $1,500.00/year or 21 credit hours $3,000.00 Is tuition cost covered up front or reimbursed?Both Reimbursed What is the tuition reimbursement allowed for (e.g. college courses, professional certifications)? College Courses Educational Courses (Master's Degree or Lower) What is the payback structure (e.g. based on tiers, grades)? If employee leaves before two years following completion, must payback on a prorated basis. Grades - must have a letter grade "C" or better Number of Plans Peer Average City of Foley, AL Number of retirement plans offered 1.8 1 Page 566 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-7 EXHIBIT 5I RETIREMENT DETAILS Exhibit 5J shows that 90 percent of peer respondents offer additional retirement options. As can be seen, 88.9 percent offer a 401(a) or 401(k) plan and 22.2 percent offer a 457 plan type. The City does not offer additional retirement plan options. EXHIBIT 5J RETIREMENT OPTIONS Exhibit 5K shows that 75 percent of participating peers offer health insurance to retired employees. Additionally, 75 percent of respondents offer dental insurance to retired employees while only 50 percent offer life insurance to retired employees. The City offers health and dental insurance to retired employees. Retirement Details Peer Average City of Foley, AL Does the organization participate in a State Retirement System?80%Yes Years to Fully Vest 8.2 10 What percent of salary does the organization contribute to this retirement option?5.1%Tier 1 = 8.25%; Tier 2 = 6.2% What percent of salary does the employee contribute to this retirement option? 7.6%Tier 1 = 5% or 6%; Tier 2 = 7.5% or 8.5% FLC Retirement Options Peer Percentage Yes City of Foley, AL Is a retirement option other than a state plan offered?90%No Is it a 401(a) or 401(k) plan type?88.9% Is it a 457 plan type?22.2% Is a type of plan other than a 401, 403(b), or 457 offered?0% Page 567 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-8 EXHIBIT 5K INSURANCE FOR RETIREES 5.5 EMPLOYEE LEAVE, HOLIDAYS, AND COMPENSATORY TIME Exhibit 5L provides information regarding the average minimum and maximum accrual rates⎯the average years of service required to achieve the maximum accrual rate for Personal Leave, Sick Leave, Annual/Vacation Leave, and Paid Time off (PTO) leave for respondents. Like the City, all respondents reported offering sick leave and annual/vacation leave. As shown, the City does not offer personal leave or paid-time off; very few peers reported that employees accrue personal leave or paid-time off. EXHIBIT 5L LEAVE TIME ACCRUAL Retiree Benefits Peer Average City of Foley, AL Does your organization offer health insurance to retired employees?75%Yes Does your organization offer dental insurance to retired employees?75%Yes Does your organization offer life insurance to retired employees?50%No Leave Accrual Organization Offered?Minimum Accrual Rate (Monthly) How many years of service are required to begin accruing the minimum rate? Peer Average 100.0%7.1 2.6 City of Foley, AL Yes Regular EE: 7.4 Police EE: 7.78 Fire EE: 8.8 0 Peer Average 100.0%8.6 0.3 City of Foley, AL Yes Regular EE: 3.08 Police EE: 3.24 Fire EE: 3.66 0 Peer Average 16.7%-0 City of Foley, AL No -- Peer Average 16.7%2.4 0 City of Foley, AL No --Paid-Time Off Sick Leave Personal Leave Annual/Vacation Leave Page 568 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-9 EXHIBIT 5L LEAVE TIME ACCRUAL (continued) Exhibit 5M summarizes respondent policies regarding sick leave. Neither the City or responding peer organizations paid out unused sick leave upon voluntary or involuntary separation. However, unlike the City, unused sick leave counts towards retirement in 100 percent of participating peers at an average maximum of 320 hours. EXHIBIT 5M SICK LEAVE PAYOUT Leave Accrual Organization Maximum Accrual Rate (Monthly) How many years of service are required to achieve the maximum rate? Absolute maximum accrual (in hours) Peer Average 7.5 0.6 98.0 City of Foley, AL Regular EE: 7.4 Police EE: 7.78 Fire EE: 8.8 0.0 Regular EE: 960 Police EE: 1008 Fire EE: 1140 Peer Average 16.3 16.8 205.5 City of Foley, AL Regular EE: 12.32 Police EE: 12.94 Fire EE: 14.64 19.0 Regular EE: 160 Police EE: 168 Fire EE: 190 Peer Average -0.3 16 City of Foley, AL --- Peer Average 3.7 0.5 44.4 City of Foley, AL ---Paid-Time Off Sick Leave Personal Leave Annual/Vacation Leave Sick Leave Peer Percentage Yes Peer Average City of Foley, AL Is unused sick leave paid out upon voluntary separation?0%-No Is unused sick leave paid out upon involuntary separation?0%-No Can unused sick leave count towards retirement?100%-No Max hours of sick leave that can count towards retirement?-320 - Page 569 of 608 Chapter 5 – Benefits Survey Results Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 5-10 Annual/vacation leave is paid out upon voluntary and involuntary separation in 100 percent of responding peer organizations at an average maximum of 253.3 hours. The City does not pay out annual/vacation leave upon involuntary separation but does pay out annual/vacation leave upon voluntary separation. Exhibit 5N summarizes respondent policies regarding annual/vacation leave. EXHIBIT 5N ANNUAL/VACATION LEAVE PAYOUT As shown in Exhibit 5O, on average, peers offer 12.8 holidays to employees, compared to 11 offered by the City. EXHIBIT 5O OBSERVED HOLIDAYS 5.6 SUMMARY Overall, the City was found to be comparable to the market with respect to its benefit offerings. The results were not surprising in that when single benefits were analyzed in isolation, some of City’s offerings appeared more or less generous than those offered by peers. However, when taken as a whole, the total package appeared to be in alignment with the market. Annual/Vacation Leave Policies Peer Percentage Yes Peer Average City of Foley, AL Is unused annual/vacation leave paid out upon voluntary separation?100%-Yes Max hours of annual/vacation leave paid out upon voluntary separation?-253.3 Regular EE: 160 Police EE: 168 Fire EE: 190 Is unused annual/vacation leave paid out upon involuntary separation?100%-No Max hours of annual/vacation leave paid out upon involuntary separation?-253.3 - Observed Holidays Peer Average City of Foley, AL Total Number of holidays observed (include breaks and other special days off not included as annual, sick, or personal leave) 12.8 11 Page 570 of 608 Evergreen Solutions, LLC Page 6-1 After reviewing the information provided in the preceding chapters of this report, Evergreen developed recommendations to improve the City’s current classification and compensation system. The recommendations, as well as the findings that led to each recommendation, are discussed in detail in this chapter. The recommendations are organized into three sections: classification, compensation, and administration of the system. 6.1 CLASSIFICATION SYSTEM An organization’s classification system establishes how its human resources are employed to perform its core services. The classification system consists of the titles and descriptions of the different classifications, or positions, which define how work is organized and assigned. It is essential that the titles and descriptions of an organization’s classifications accurately depict the work being performed by employees in the classifications to ensure equity within the organization and to enable comparisons with positions at peer organizations. The purpose of a classification analysis is to identify such issues as incorrect titles and inconsistent titles across departments. In the analysis of the City’s classification system, Evergreen collected classification data through the Job Assessment Tool (JAT) and Management Issues Tool (MIT) processes. The JATs, which were completed by employees and reviewed by their supervisors, provided information about the type and level of work being performed for each of the City’s classifications. In addition, the MIT process provided supervisors an opportunity to provide specific recommendations regarding the pay or classification of positions in their areas. Evergreen reviewed and utilized the data provided in the JATs and MITs as a basis for the classification recommendations below. FINDING Overall, the classification system utilized by the City was sound. However, there were a few instances of titles for positions that could be modified. RECOMMENDATION 1: Revise the titles of some classifications to better reflect job duties. Exhibit 6A provides a list of the recommended changes to the classification system. The foundation for these recommendations was the work performed by employees as described in their JATs, best practice in the Human Resources field, or unique needs which required a specific titling method. EVERGREEN SOLUTIONS, LLC Chapter 6 - Recommendations Page 571 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-2 EXHIBIT 6A PROPOSED CLASSIFICATION CHANGES Current Classification Title Proposed Classification Title Office Coordinator Administrative Staff Supervisor Children and Youth Services Librarian Children's Division Librarian Deputy Director of Sports Tourism Event Operations Administrator EVENT COORDINATOR/WELCOME CENTER ASSISTANT Community Events Coordinator/Special Projects Corrections/Shift Leader Corrections Corporal Crew Leader/Equipment Operator IV (Const Maint)Crew Leader/Heavy Equipment Operator IV Crew Leader/Equipment Operator IV (Road Const)Crew Leader/Heavy Equipment Operator IV Marketing and Sales Director Chief Marketing and Sales Officer Graphic Designer Digital Operations Manager Street Supervisor Deputy Public Works Director / Deputy EMA Director Information Systems Manager Information Technology Director Environmental Inspector Environmental Inspector I Operator I Equipment Operator I Sports Tourism Field Superintendent/Agronomist Foley Sports Complex Manager/Argonomist Gardener II Gardener I Gardener III Gardener II GIS Specialist GIS Administrator Library Cataloger Head Cataloger Library Computer Lab Manager Head of Collection Management History & Genealogy Technician Head of History and Genealogy Programming & Outreach Librarian Head of Outreach and Programming Equipment Operator I (Road Crew)Heavy Equipment Operator I Equipment Operator I (Construction Maintenance)Heavy Equipment Operator I Equipment Operator II Heavy Equipment Operator II Gardener IV Horticulture Crew Leader Concessions Manager Hospitality Services Manager Environmental Director Sustainability and Natural Resources Director IT Technician III IT Systems Analyst Library Aide I Library Assistant I Library Aide II - Circulation Desk Library Assistant II Library Aide II - Computer Lab Library Technical Assistant Event Coordinator Municipal Complex Events Coordinator PARKS MAINTENANCE WORKER II Parks Maintenance Worker I Parks Maintenance Worker II/Custodian Parks Maintenance Worker I/Custodian PARKS MAINTENANCE WORKER III Parks Maintenance Worker II Parks Ranger III Parks Ranger Crew Leader Parks Crew Leader Parks Supervisor Part-Time Library Aide Part-Time Library Assistant Part-Time Library Aide - Computer Lab Part-Time Library Technical Assistant PART-TIME MUSEUM ATTENDANT Part-Time Museum Docent Part-Time Sanitation Worker III/Driver Operator Part-Time Sanitation Driver Operator Page 572 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-3 EXHIBIT 6A (CONTINUED) PROPOSED CLASSIFICATION CHANGES FINDING When comparing the City’s current job descriptions to the work described by employees in the JATs, Evergreen noted some tasks that were missing from the current job descriptions. This can happen over a period of time if the descriptions are not reviewed and updated on a regular basis. Some tasks in one classification are often reassigned to another classification. As such, these changes make it necessary that the City continues to update its job descriptions periodically to ensure each job description accurately reflects the work performed. RECOMMENDATION 2: Revise all job descriptions to include updated classification information provided in the JAT, and review job descriptions annually for accuracy. The process of reviewing and updating the City’s job descriptions, as well as comments received from employees and supervisors during outreach, revealed that the descriptions may not, in some cases, accurately reflect current work performed. To minimize this becoming a concern again in the future, Evergreen recommends a regular review of these descriptions, including FLSA status determinations. A review of the employee’s assigned job classification (description) should occur at least annually. Review of the FLSA determination for exempt or non-exempt status as well as other aspects of the job, (such as physical requirements required to perform essential functions) will also ensure consistent, continuous compliance with the Americans with Disabilities Act (ADA) protection. At the time of this report, Evergreen was in the process of revising the job descriptions for all classifications. The descriptions will be provided to the City under separate cover. 6.2 COMPENSATION SYSTEM The compensation system analysis consisted of two parts: an external market assessment and an internal equity assessment. During the external market assessment, the City’s pay Current Classification Title Proposed Classification Title Payroll Clerk Payroll Technician Permit Clerk Permit Technician Public Works Office Coordinator Public Works Administrative Supervisor Revenue Specialist Revenue Specialist I Sanitation Worker II/Custodian Sanitation Worker/Custodian Sanitation Worker III/Driver Operator Sanitation Driver Operator Sanitation Worker II Sanitation Worker Event Coordinator Sports Tourism Events Manager Crew Leader/Equipment Operator III Street Maintenance Crew Leader Crew Leader/Equipment Operator III (Maintenance)Street Maintenance Crew Leader Page 573 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-4 ranges for its classifications were compared to the average of the identified market. Details regarding the external market assessment were provided in Chapter 4 of this report. During the internal equity assessment, consideration of the relationships between positions and the type of work being performed by the City employees were reviewed and analyzed. Specifically, a composite score was assigned to each of the classifications that quantified the classification’s level of five separate compensatory factors (leadership, working conditions, complexity, decision-making, and relationships). The level for each factor was determined based on responses to the JAT. The results of both analyses were utilized when developing the recommendations below. FINDING The City currently maintains an organized and defined overall pay plan; however, the City’s salary ranges were overall found to be behind the market at the minimum, midpoint, and maximum. Implementing a new competitive pay structure (pay plan) would provide the City with an improved ability to attract, hire and retain employees. RECOMMENDATION 3: Update the current pay plan; slot all classifications into the plan based on external and internal equity; and transition employees’ salaries into the new plans. Exhibit 6B shows an overview of the updated plan. The updated plan includes a six percent increase above the previous minimum, and range spreads were increased from 50 to 60 percent. EXHIBIT 6B PROPOSED PAY PLAN Grade Proposed Minimum Proposed Midpoint Proposed Maximum Range Spread Grade Progression 10 26,555.10$ 34,521.63$ 42,488.16$ 60%- 20 27,882.86$ 36,247.71$ 44,612.57$ 60%5% 30 29,277.00$ 38,060.10$ 46,843.20$ 60%5% 40 30,740.85$ 39,963.10$ 49,185.36$ 60%5% 50 32,277.89$ 41,961.26$ 51,644.62$ 60%5% 60 33,891.78$ 44,059.32$ 54,226.86$ 60%5% 70 35,586.37$ 46,262.29$ 56,938.20$ 60%5% 80 37,365.69$ 48,575.40$ 59,785.11$ 60%5% 90 39,233.98$ 51,004.17$ 62,774.36$ 60%5% 100 41,195.68$ 53,554.38$ 65,913.08$ 60%5% 110 43,255.46$ 56,232.10$ 69,208.74$ 60%5% 120 45,418.23$ 59,043.70$ 72,669.17$ 60%5% 130 47,689.14$ 61,995.89$ 76,302.63$ 60%5% 140 50,073.60$ 65,095.68$ 80,117.76$ 60%5% 150 52,577.28$ 68,350.47$ 84,123.65$ 60%5% 160 55,206.15$ 71,767.99$ 88,329.83$ 60%5% 170 57,966.45$ 75,356.39$ 92,746.32$ 60%5% 180 60,864.78$ 79,124.21$ 97,383.64$ 60%5% 190 63,908.01$ 83,080.42$ 102,252.82$ 60%5% Page 574 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-5 EXHIBIT 6B (CONTINUED) PROPOSED PAY PLAN Evergreen then slotted each proposed classification into the appropriate pay range in the pay plan. Both internal and external equity were analyzed when slotting the classifications. Assigning pay grades to classifications requires a balance of internal equity, desired market position, and recruitment and retention concerns. Thus, market range data shown in Chapter 4 were not the sole criteria for the proposed pay ranges. Some classifications’ grade assignments varied from their associated market range due to the other factors mentioned above. Exhibit 6C shows the proposed pay grades for all classifications. EXHIBIT 6C PROPOSED PAY GRADE ASSIGNMENTS Grade Proposed Minimum Proposed Midpoint Proposed Maximum Range Spread Grade Progression 200 67,103.42$ 87,234.44$ 107,365.46$ 60%5.0% 210 70,458.59$ 91,596.16$ 112,733.74$ 60%5.0% 220 73,981.52$ 96,175.97$ 118,370.42$ 60%5.0% 230 77,680.59$ 100,984.77$ 124,288.95$ 60%5.0% 240 81,564.62$ 106,034.01$ 130,503.39$ 60%5.0% 250 85,642.85$ 111,335.71$ 137,028.56$ 60%5.0% 260 89,924.99$ 116,902.49$ 143,879.99$ 60%5.0% 270 94,421.24$ 122,747.62$ 151,073.99$ 60%5.0% 280 99,142.31$ 128,885.00$ 158,627.69$ 60%5.0% 290 104,099.42$ 135,329.25$ 166,559.07$ 60%5.0% 300 109,304.39$ 142,095.71$ 174,887.03$ 60%5.0% 310 114,769.61$ 149,200.50$ 183,631.38$ 60%5.0% 320 120,508.09$ 156,660.52$ 192,812.95$ 60%5.0% 330 126,533.50$ 164,493.55$ 202,453.60$ 60%5.0% Pay Grade 10 Part-Time Museum Docent Part-Time Museum Docent 20 Mechanic Aide Mechanic Aide 30 Building Custodian Part-Time Library Technical Assistant Library Assistant I Sanitation Worker Part-Time Library Assistant Sanitation Worker/Custodian 40 Building Maintenance Worker I Nature Parks Support Specialist 50 Parks Maintenance Worker I Part-Time Street Maintenance Worker Parks Maintenance Worker I/Custodian Part-Time Welcome Center Aide Part-Time Equipment Operator I 60 Administrative Assistant I Part-Time Administrative Assistant I Administrative Assistant I/Mail Clerk Records Clerk Library Assistant II Street Maintenance Worker I Library Technical Assistant Support Services Technician Parks Ranger I Classification Titles Page 575 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-6 EXHIBIT 6C (CONTINUED) PROPOSED PAY GRADE ASSIGNMENTS Pay Grade 70 Administrative Assistant II Part-Time Administrative Assistant II (Depot) Equipment Operator I Part-Time Sanitation Driver Operator Field Maintenance Worker I Sanitation Driver Operator Gardener I Street Maintenance Worker II Parks Maintenance Worker II Traffic Control Technician 80 Administrative Assistant III Heavy Equipment Operator I Building Maintenance Worker II Planning & Zoning Assistant Field Maintenance Worker II Sportsplex Technician Gardener II Sweeper Truck Driver/Operator Grounds and Outdoor Facilities Technician 90 Accounts Payable Clerk IT Technician I Chemical Application Technician Magistrate I Commercial Sanitation Driver Operator Maintenance Technician Communications Officer Permit Technician Head Cataloger Revenue Clerk Heavy Equipment Operator II 100 Administrative Assistant IV Municipal Complex Events Coordinator Community Events Coordinator/Special Projects Office Coordinator Corrections Officer Parks Ranger II Event Program Manager Payroll Technician Events Coordinator Stacks Maintenance Coordinator 110 Accounts Payable Specialist Magistrate II Communications/Shift Leader Office Manager Criminal Intelligence Specialist Revenue Specialist I Environmental Inspector I Sanitation Crew Leader 120 Accounting Technician IT Technician II Assistant Communications Supervisor Maintenance/HVAC Technician Children's Division Librarian Mechanic Corrections Corporal Part-Time City Prosecutor Event Center Building Manager Planning/Zoning Coordinator Head of Circulation Services Sports Tourism Events Manager Head Traffic Control Technician Street Maintenance Crew Leader Horticulture Crew Leader Young Adult Division Librarian Hospitality Services Manager 130 Athletic Coordinator Human Resources Specialist Benefits Specialist Magistrate III Crew Leader/Equipment Operator IV Parks Ranger Crew Leader Crew Leader/Heavy Equipment Operator IV Parks Supervisor Environmental Inspector II Recreation Field Superintendent Head of History and Genealogy 140 Administrative Staff Supervisor Head of Outreach and Programming Chief Corrections Officer Part-Time Municipal Judge Communications Supervisor Revenue Specialist II Firefighter Senior Services Manager Classification Titles Page 576 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-7 EXHIBIT 6C (CONTINUED) PROPOSED PAY GRADE ASSIGNMENTS Pay Grade 150 Accident Investigations Officer Hospitality & Sponsorship Sales Manager Assistant Training Coordinator Human Resources/Safety & Training Coordinator Building Inspector IT Systems Analyst Code Enforcement Officer Management Analyst Community Services Officer Patrol Officer Detective Patrol Officer K-9 Digital Operations Manager Planner I Fire Inspector Purchasing Agent/Grants & Agreements Administrator GIS Administrator Revenue Auditor Head of Collection Management School Resource Officer 160 Horticulturist 170 City Marketing Communications Manager Museum Archives & Collections Coordinator Commercial Sanitation Supervisor Public Works Administrative Supervisor Environmental Manager Residential Sanitation Supervisor Foley Sports Complex Manager/Argonomist Street Construction Superintendent Infrastructure Administrator Street Maintenance Superintendent 180 Chief Building Inspector Special Projects & Events Manager Marketing Communications Manager 190 Corporal/Accident Investigations Municipal Court Clerk/Administrator Corporal/Intelligence Senior Fire Inspector Corporal/Patrol Shop Foreman Fire Service Lieutenant 200 Construction Projects Manager Sergeant/Narcotics Sergeant/Code Enforcement Sergeant/Patrol Sergeant/Community Oriented Policing Sergeant/Patrol - K9 Sergeant/Detective Sergeant/Professional Development Sergeant/Intelligence 210 Fire Service Captain Marketing Director 220 City Clerk Commander/Patrol Division Commander/Administration Division Event Operations Administrator Commander/Community Safety Library Director Commander/Criminal Investigations Division 230 Chief Marketing and Sales Officer Deputy Finance Director Deputy City Engineer Director of Senior Services & Municipal Complex 240 Deputy Fire Chief Project/Risk/Airport Manager Deputy Public Works Director / Deputy EMA Director Revenue Director Information Technology Director 250 Deputy Chief of Police Sustainability and Natural Resources Director Director of Parks and Recreation 260 Human Resources Director 270 Finance Director/City Treasurer 280 City Planner/Building Official 290 Fire Chief Public Works Director Classification Titles Page 577 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-8 EXHIBIT 6C (CONTINUED) PROPOSED PAY GRADE ASSIGNMENTS After assigning pay grades to classifications, the next step was to transition employee salaries into their new recommended pay ranges. This step can be done via a variety of methods, each with their own strengths and drawbacks. Evergreen calculated and provided the following recommended options for implementing the updated plan: Bring Employees' Salaries to New Minimum A calculation is performed so that each employee's salary is adjusted to the minimum of their classification's proposed pay grade. If his/her salary is already within the proposed pay range, no adjustment is made. As illustrated in Exhibit 6D, adjustments for this option are recommended for 83 employees with a total approximate annualized (salary only) cost of $221,335.80 and an average salary adjustment of $2,666.70 per employee. Additional Five Percent for Grade Adjustment For proposed pay grade adjustments, a calculation is performed so that each employee's current salary is adjusted by five percent. The employee will either receive the five percent increase or be brought to the minimum of the proposed pay grade, whichever is greater. As illustrated in Exhibit 6D, adjustments for this option are recommended for 88 employees with a total approximate annualized (salary only) cost of $252,146.85 and an average salary adjustment of $2,865.31 per employee. Class Year Parity Realigns employee salaries along their recommended salary range based on how long they have worked in their current classification. This is done on the basis of a 30-year career trajectory. As illustrated in Exhibit 6D, adjustments for this option are recommended for 161 employees with a total approximate annualized (salary only) cost of $494,329.06 and an average salary adjustment of $3,070.37 per employee. Hire Year Parity Realigns employee salaries along their recommended salary range based on how long they have worked with the City overall. This is done on the basis of a 30-year career trajectory. As illustrated in Exhibit 6D, adjustments for this option are recommended for 252 employees Pay Grade 300 City Engineer Police Chief 310 Executive Director of Infrastructure & Development Executive Director of Leisure Services 320 Executive Director of Public Safety 330 City Administrator Classification Titles Page 578 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-9 with a total approximate annualized (salary only) cost of $1,263,396.23 and an average salary adjustment of $5,013.48 per employee. Hybrid Parity Realigns employee salaries along their recommended salary range based on their “hybrid years” with the City. Hybrid years are calculated by giving full credit to an employee for each year they have been serving in their current classification, together with one-half credit for the amount of time they have spent with the City in any other classification. This is done on the basis of a 30-year career trajectory. As illustrated in Exhibit 6D, adjustments for this option are recommended for 196 employees with a total approximate annualized (salary only) cost of $684,940.41 and an average salary adjustment of $3,494.59 per employee. EXHIBIT 6D RECOMMENDATIONS AND ESTIMATED SALARY COST After discussion with City leadership, the City decided to proceed with implementation of the Bring to New Minimum and Additional Five Percent for Grade Adjustment options. While this implementation strategy would not address compression between employees based on tenure, it will ensure that the City is able to implement a market competitive pay plan. To address the compression that may have resulted from market influenced hiring decisions, the City should consider reviewing identified areas of compression to determine if additional adjustments are warranted. 6.3 COMPENSATION AND CLASSIFICATION SYSTEM ADMINISTRATION The City’s compensation system will continue to require periodic maintenance. The recommendations provided to improve the competitiveness of the plan were developed based on conditions at the time the data were collected. Without proper upkeep, the potential for recruitment and retention issues may increase as the compensation system becomes dated and less competitive. RECOMMENDATION 4: Conduct small-scale salary surveys as needed to assess the market competitiveness of hard-to-fill classifications and/or classifications with retention issues, and make changes to pay grade assignments if necessary. Implementation Option Estimated Implementation Cost Number of Employee Adjustments Average Salary Adjustment Average Percentage Adjustment Bring to New Minimum $221,335.80 83 $2,666.70 7.8% 5% for Grade Adjustment $252,146.85 88 $2,865.31 5.0% Class Year Parity $494,329.06 161 $3,070.37 7.8% Hire Year Parity $1,263,396.23 252 $5,013.48 9.5% Hybrid Year Parity $684,940.41 196 $3,494.59 8.1% Page 579 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-10 While it is unlikely that the pay plan in total will need to be adjusted for several years, a small number of classifications’ pay grades may need to be reassigned more frequently. If the City is experiencing difficulty high turnover or challenges with recruiting one or more classifications, the City should collect salary range data from peer organizations to determine whether an adjustment is needed for the pay grade of the classification(s). RECOMMENDATION 5: Conduct a comprehensive classification and compensation study every three to five years, subject to budget constraints and as market conditions are warranted. Small-scale salary surveys can improve the market position of specific classifications, but it is recommended that a full classification and compensation study be conducted every three to five years to preserve both internal and external equity. Changes to classification and compensation do occur, and while the increments of change may seem minor, they can compound over time. A failure to react to these changes quickly has the potential to place the City in less than desirable position for recruiting and retaining quality employees. RECOMMENDATION 6: Review and revise, as appropriate, existing pay practice guidelines including those for determining salaries of newly hired employees, progressing employee salaries through the pay plans and determining pay increases for employees who have been promoted to a different classification. The method of moving salaries through the pay plan and setting new salaries for new hires, promotions, and transfers depends largely on an organization’s compensation philosophy. It is important for the City to have established guidelines for each of these situations, and to ensure that they are followed consistently for all employees. Common practices for progressing and establishing employee salaries are outlined below. New Hire Salaries Typically, an employee holding the minimum education and experience requirements for an existing classification is hired at or near the classification’s pay grade minimum. Sometimes, for recruiting purposes an organization might need to consider the ability to offer salaries to new employees that consider prior related experience. It is recommended that the City establish new hire salaries while preserving the internal equity of employees’ salaries within each classification to the extent possible. Current employees’ salaries should be improved to some degree with implementation of the new plans and the proposed potential adjustments to employees’ salaries. Salary Progression There are several common methods for salary progression including cost of living adjustments (COLA)/across the board and performance-based. It is recommended that the City evaluate, annually, whether a COLA needs to be applied (to both the pay plan and employees’ salaries) to keep up with cost of living. Additionally, the City should continue to provide merit increases, as warranted based on employees’ performance evaluation results and as budget permits. It is also recommended that the City continuously evaluate its practices to progress employees’ Page 580 of 608 Chapter 6 - Recommendations Compensation and Pay Classification Study for the City of Foley, AL Evergreen Solutions, LLC Page 6-11 salaries, and if necessary, make improvements to preserve equitable pay practices, particularly in the administration of the employee performance evaluation process. 6.4 SUMMARY The City should be commended for its desire and commitment to provide competitive and fair compensation for its employees. The recommendations in this chapter provide an update to the compensation and classification system for the City’s employees. Upon implementation, the City’s competitiveness in the labor market will be improved and it will have a responsive compensation system for several years to come. While the upkeep of this will require work, the City will find that having a highly competitive compensation system that enhances strong recruitment and employee retention is well worth this commitment. Page 581 of 608 Page 582 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-447 FROM: Stephanie Hollinghead, Chief SUBJECT: The Chief of Police, Stephanie Hollinghead, is requesting to procure promotional assessment and testing services for the ranks of Corporal, Sergeant, and Lieutenant. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve negotiated not-to-exceed amount of $12,000.00 for RFQ PS26-014 Professional Services for the Promotion Assessment Center for the Police Department and allow the Mayor to execute a contract with Mark Foster Company. BACKGROUND INFORMATION: The Chief of Police, Stephanie Hollinghead, is requesting to procure promotional assessment and testing services for the ranks of Corporal, Sergeant, and Lieutenant. The scope of work includes developing a written exam, administering the exam, handling the interview process, and making a final recommendation for promotion. Utilizing the promotion assessment center will help the department to more accurately evaluate candidates, reinforce fairness and objectivity, help identify true leadership ability, decrease the risk of poor promotions, and enhance professional development. The testing will be customized to the Fairhope Police Department and State of Alabama laws. Mayor Sullivan and the Chief of Police would like to establish a not-to-exceed contract amount of Twelve Thousand Dollars ($12,000.00) with Mark Foster Company for promotional assessment and testing services. Previous Council Action: December 18, 2025 - Resolution No. 5685-25 City Council approved the selection by Mayor Sullivan for Professional Services for (RFQ PS26-014) for the Promotion Assessment Center for the Police Department to Mark Foster Company; and hereby authorized Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Page 583 of 608 Budget 001150- 50290 Police - Professional Services $15,000.00 $12,000.00 $3,000.00 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 584 of 608 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 with Mark Foster Company for the Promotion Assessment Center for the Police Department (RFQ PS26-014) with a not-to-exceed amount of $12,000.00. ADOPTED ON THIS 12TH DAY OF JANUARY, 2026 _______________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 585 of 608 Page 586 of 608 Page 587 of 608 Page 588 of 608 Page 589 of 608 Page 590 of 608 Page 591 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-448 FROM: Stephanie Hollinghead, Chief Nicole Love, Grants Coordinator SUBJECT: The Chief of Police, Stephanie Hollinghead, and the Police Community Outreach and Communication Specialist, Sheri Swartz, are requesting to procure a professional consultant for prevention education and assistance for individuals actively involved with illicit substances in finding the necessary support to transform their lives for the better. AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: To approve negotiated not-to-exceed amount of $50,000.00 for RFQ PS26-015 Professional Consultant Services for Prevention Education and Assistance for Individuals involved with illicit substances for the Police Department and allow the Mayor to execute a contract with People Engaged in Recovery ("PEIR"). BACKGROUND INFORMATION: Our department's mission, as the driving force behind the "Community Overdose Prevention Effort" (C.O.P.E.), is to save lives. We aim to achieve this through prevention education and by assisting individuals actively involved with illicit substances in finding the necessary support to transform their lives for the better. A vital partner in our recovery efforts is the organization "People Engaged in Recovery" (PEIR). PEIR acts as an emergency support line for those battling addiction, connecting individuals with resources that suit their needs. A PEIR coordinator visits our jail weekly and maintains ongoing communication with our staff, working diligently to encourage inmates to choose recovery, thereby improving their lives and, ideally, preventing their return to incarceration. Furthermore, we heavily rely on PEIR for prevention education, both for the general public and our own personnel. We were among the few departments to collaborate with PEIR and take advantage of their free services. However, word has spread, and their demand is increasing rapidly. PEIR has one dedicated coordinator for Baldwin County; while we depend on her expertise, we recognize she is serving many individuals. For this reason, we firmly believe that one of the most effective ways to utilize grant Page 592 of 608 funds for combating addiction and preventing overdoses is to sponsor a second PEIR outreach coordinator for Baldwin County. PEIR's initiatives have demonstrated tangible results, but the need for assistance is so great that we now find ourselves waiting in line. By supporting their work, we can benefit our department and countless others throughout Baldwin County. Some of the confirmed trainings & outreach efforts within our city limits would include: • Narcan training at each municipal court date – bi-monthly, minus holidays (average 20 per year) • Monthly group meetings with inmates • Outreach efforts at local high school as requested Utilizing “People Engaged in Recovery” will significantly enhance our department's ability to reach out to community members who require support. Engaging individuals in recovery to connect with those struggling with addiction offers a deeper understanding and connection than what a law enforcement officer might achieve with someone facing this challenge. The Mayor and the Chief of Police would like to establish a not-to-exceed amount for Professional Consultant Services of Fifty Thousand Dollars ($50,000.00). This procurement is allowable under the Code of Federal Regulations §200.320 Procurement Methods (c) Noncompetitive procurement (4) The recipient or subrecipient requests in writing to use a noncompetitive procurement method, and the Federal agency or pass-through entity provides written approval. Previous Council Action: December 18, 2025 - Resolution No. 5686-25 the City Council approved the selection by Mayor Sullivan for Professional Consultant Services for (RFQ PS26-015) for Prevention Education and Assistance for Individuals involved in illicit substances for the Police Department to People Engaged in Recovery ("PEIR"); and hereby authorize Mayor Sullivan to negotiate the not-to-exceed fee to be approved by Council. September 23, 2024 - Resolution No. 5199-24 the City Council authorizes acceptance of a Department of Justice Appropriations Act grant of $200,000.00 (Grant# 15PBJA-24- GG-00286-BRND); and authorized Mayor Sullivan to sign all necessary documents. The funding will be used to develop a comprehensive, community-based program to educate school-aged children and adults on the dangers of fentanyl and life-saving techniques if exposed. BUDGET IMPACT/FUNDING SOURCE: Account No. Account Title Current Budget Cost Available Budget 001150-Police - $0.00 $50,000.00 ($50,000.00) Page 593 of 608 50290 Professional Services Expense to be offset by Department of Justice Appropriations Act Grant. GRANT: Department of Justice Appropriations Act Grant# 15PBJA-24-GG-00286-BRND 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 594 of 608 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 People Engaged in Recovery ("PEIR") for Professional Consultant Services for Prevention Education and Assistance (RFQ PS26-015) with a not-to-exceed amount of $50,000.00. DULY ADOPTED THIS 12TH DAY OF JANUARY, 2026 _________________________________ James Reid Conyers, Jr. Council President Attest: _____________________________ Lisa A. Hanks, MMC City Clerk Page 595 of 608 1 REQUEST FOR USE: FENTANYL/OVERDOSE PREVENTION GRANT MONIES Page 596 of 608 2 With this mission in mind, we request the allocation of $50,000 from our grant funds to expand the reach of this life-saving program. • Narcan training at each municipal court date – bi-monthly, minus holidays (average 20 per year) • Monthly group meetings with inmates • Outreach efforts at local high school as requested and Page 597 of 608 PUR-004 - 082522 CITY OF FAIRHOPE PURCHASING DEPARTMENT PURCHASING REQUEST FORM Under $5,000 No restrictions Not Required N/A N/A N/A Utilities $5,001-$10,000 Operational -Budgeted Three Treasurer/Mayor Greater than: Gen Govt - $5,001 NON Required Required N/A N/A N/A N/A Required Required 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. People Engaged in Recovery Click or tap here to enter text. Click or tap here to enter text. Check any applicable boxes: ☐ State Contract ☐ ALDOT ☐ Purchasing Group ☐ Sole Source (Attach Sole Source Justification) 1. What item or service do you need to purchase? Allocating opioid settlement funds to group helping those in addiction 2. What is the total cost of the item or service? $50,000 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): 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. 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 598 of 608 Page 599 of 608 RESOLUTION NO. 5199-24 BE IT FURTHER RESOLVED BY THE GOVERNMING BODY OF THE CITY OF FAIRHOPE, ALABAMA, as follows that the City Council authorizes acceptance of a Department of Justice Appropriations Act grant of $200,000.00 (Grant# lSPBJA-24- GG-00286-BRND); and authorizes Mayor Sherry Sullivan to sign all necessary documents. The funding will be used to develop a comprehensive, community-based program to educate school-aged children and adults on the dangers of Fentanyl and life saving techniques if exposed. DULY ADOPTED THIS 23RD D Corey Martin, Council President Attest: L~ City Clerk Page 600 of 608 CITY OF FAIRHOPE AGENDA MEMORANDUM Item ID: 2026-454 FROM: Stephanie Hollinghead, Chief SUBJECT: Parking Authority Appointments: William Hanes (to replace Bryan Flowers) Randall Niemeyer (to replace Kelly Gribler) AGENDA DATE: January 12, 2026 RECOMMENDED ACTION: City Council to approve the Parking Authority appointments of William Hanes and Randall Niemeyer for a four-year term to end January 2029. BACKGROUND INFORMATION: The Parking Authority approved the appointments of William Hanes and Randall Niemeyer at their meeting on December 30, 2025. 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 601 of 608 PARKING AUTHORITY NOMINEE (S) 4 -Year Term APPOINTMENTS . William Hanes (to replace Bryan Flowers) Randall Niemeyer (to replace Kelly Gribler) REAPPOINTMENTS . The term shall end January 2029 Page 602 of 608 City Council seeks to have diversity in making appointment to boards and committees. It is the policy of the City Council to make appoi ntments based on the needs of the City as well as the int erests and qualifications of each app lic ant . In accordance with the Code of Alabama, all appl icants must be qualified electors and taxpayers in the City, excluding the Planning Commission. All app lic ations filed with the City Clerk will be public record. First Name: William Last Name: Hanes Mobile Phone Number 2517098820 E-mail:* willlam@provisionfairhope .com Home Address * Street Address 556 Jan Drive Address Lin e 2 City Fairhope Postal/Zip Code 36532 Business Address Street Address 100 North Section Street Address Line 2 City Fairhope Postal/Zip Code 36532 Name of Board or Committee:* Parking Authority Education Background * BA, Auburn Univers ity Professional Licenses and/or Associations * Eastern Sho re Ch amber of Comme rc e Leadersh ip Mobil e Phone Number: 2517098820 State/Province/Region AL Country USA State/Province/Region AL Country USA Page 603 of 608 Coastal Civic Maste rs Professional Experience * Own er. Provision Civic Interests and/or Service Membersh ips * Form er FEEF Board Membe r Found ing Member Downtown Pa r ks Co n servancy, M ob il e How do your qualifications best serve the needs of the com munity?* As an owner of a retail/ r estau rant op erat ion downtown, I am very inte rested in t h e pa rking needs of cit izens an d visitors alike . Resume You may attach a resume with this application. [PDF Only} Wi lliam Hanes Resume May 2025 .p df Signature 118.14KB Page 604 of 608 William S. Hanes Phone: 251.709.8820 • E-Mail: william @provisionfairhope.com EDUCATION Auburn University, Auburn, AL B.S. Business Administration, December 2008 EXPERIENCE Provision: Fairhope, AL, March 2020 to present President • Raised private capital to start a retail and food & beverage concept • Hired, trainedd, and manage leaders to execute on the vision of providing peak comfort and peak excellence • Received accolades in Southern Living, Mobile Bay Monthly, and WildSam • Exceeded sales expectations as set forth by board of directors Uniti Fiber: Mobile, AL, July 2017 to March 2020 Vice President, Communications & Public Affairs • Collaborated ·with executive team on internal and external communications as Southern Light was acquired by Uni.ti Group • Led branding integration efforts • Managed business unit employee communications • Managed local, state, and federal government affairs efforts , with a particular effort on FCC relationships • Collaborated with HR on implementing best practices regarding company culture and employee engagement • Represented Uniti Fiber to local and national press and collaborated with the Legal Department and Investor Relations to ensure that Uniti Fiber's voice was represented on earnings calls and other pertinent communications channels • Led crisis communications team during hurricanes and tropical storms • Represented Unit Fiber to community leaders and amongst local civic organizations • Developed and managed Marketing & Communications budget • Managed advertising and marketing efforts across company footprint and in industry publications Southern Ligbt: Mobile, AL, January 2015 to July 2017 Director, Corporate Communications & Public Affairs • Guide organization's Corporate Communications and Government Affairs efforts • Managed the department and created departmental budget • Government Affairs responsibilities included: o Monitoring the activities of local , state , and federal legislative and regulatory agencies across the company footprint o Advocating for business-friendly policies to agencies and bodies that impact the telecommunications industry o Organizing and executing Washington fly-ins to meet with legislators regarding broadband policy o Working with Mayors, City Councils, and other government officials to obtain franchise agreements o Securing and fostering relationships with FCC Commissioners and officials • Corporate Communications responsibilities included: o Managing press relationships and public narrative through press releases and press conferences Page 605 of 608 o Speaking as a representative of the organization to press and interest grou p s o Sourcing relevant speaking engagements for the leadership team o Crafting talking points and other communications for the executive team o Managing social media messaging o Creating, implementing, and managing yearly adve1tising p lan o I m plementing programs that reinforce company culture (Southern Light subsequently name d one of the Top 100 Medium-Sized Businesses by Fortune Magazine in 2016) Sandy Sti1npson, Mayor: Mob il e, AL, March 2 0 14 t o Decembe r 2015 Special Assistant to the Mayor • Guid ed key initiatives and proj ects through the internal bureaucratic process • Collaborated with key stakeholders on Mayor's strategic initiatives, namely infrastructure and parks • Assisted with speech writing and social med ia strategy • Assisted the Mayor in planning, policy development, and problem res oluti on • Repre s ented the Mayor at various community functions Sandy Sfunpson for Mayor: M obile, AL, Janu ary 2013 t o September 2 0 13 Campaign Consultant • Man aged hundreds of volunteers who mad e 72,000 phone calls and knock ed on 15,0 00 do ors • Crafted messaging for sp eeches, debates, and press releases • Assisted the candidate with community out reach and strategic planning Blackberry Fann: Walland, TN, July 2011 to October 2012 Management Training Program • Collabor ated with Proprietor, Sam Beall, to create a training program for young p rofessionals inte rested in a life of h o spitality • Ro t a ted through various depa1tments, including Food and Beverage, Lo d ging, Sales, and the Gard en t o h olistically learn tl1e hospitality industry • Supervise d Fo od and Beverage Operations COMMUNITY Alaban1a Policy h1stitute : January 2019 to present Associate Board Member State of Alaba1na, Advisory Board on Broadband: August 2015 to April 2 017 Member Downtown Parks Conservancy : May 2015 to July 2019 Founding Board Member Big Brothers Big Sisters: October 2015 to Oct ober 2021 Big Brother Coastal Civic Masters: 2 0 16 Participant Leadership Mobile: 2 0 15 Participant Page 606 of 608 APPLICATION FOR APPOINTMENT TO A CITY BOARD OR COMMITTEE City Council seeks to have diversity in making appointment to boards and committees. It is the policy of the City Council to make appointments based on the needs of the City as well as the interests and qualifications of each applicant. In accordance with the Code of Alabama, all applicants must be qualified electors and taxpayers in the City, excluding the Planning Commission. All applications filed with the City Clerk will be public record. First Name: Randall C Last Name: Niemeyer Mobile Phone Number 2512322637 Phone Number: 2512322637 E-mail:* randyniemeyer9@gmail.com Home Address * Street Address PO Box 876 Address Line 2 City Montrose State/Province/Region AL Postal/Zip Code 36559 Country US Business Address Street Address 29 N Section Street Address Line 2 City Fairhope State/Province/Region AL Postal/Zip Code 36532 Country US Name of Board or Committee:* Parking Authority Education Background * Bayside Academy, Longwood University Professional Licenses and/or Associations * 39 years as an active member of the Baldwin County Board of Realtors Page 607 of 608 Professional Experience * Real estate, property development, construction Civic Interests and/or Service Memberships * Board of Trustees for over 10 years at Bayside Academy How do your qualifications best serve the needs of the community?* I feel like I have a reasonable grasp on Fairhope's civic needs Resume You may attach a resume with this application. [PDF Only} Signature Page 608 of 608