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Administration Packet 2011 07-21-11 car o United City of Yorkville Q A. '" 800 Game Farm Road EST. 1836 Yorkville, Illinois 60560 Telephone: 630-553-4350 � p Fax: 630-553-7575 cuuMV `�' <LE AGENDA ADMINISTRATION COMMITTEE MEETING Thursday, July 21, 2011 6:00 p.m. City Hall Conference Room Citizen Comments: Minutes for Correction/Approval: June 16, 2011 New Business: 1. ADM 2011-31 Monthly Budget Report for June 2011 2. ADM 2011-32 Monthly Treasurer's Report for June 2011 3. ADM 2011-33 Cash Statement for May 2011 4. ADM 2011-34 Home Rule—Discussion 5. ADM 2011-35 City Intern Discussion 6. ADM 2011-36 Library Impact Fee Ordinance Old Business: 1. CC 2011-48 City Debt Obligations and Options - Refinancing 2. PW 2011-39 Residential Solid Waste Franchise Agreement 3. CC 2011-71 Ordinance Approving the Revision of the 2011-2012 Fiscal Budget Additional Business: UNITED CITY OF YORKVILLE WORKSHEET ADMINISTRATION COMMITTEE Thursday, July 21, 2011 6:00 PM City Hall Conference Room --------------------------------------------------------------------------------------------------------------------------------------- CITIZEN COMMENTS: --------------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------------- MINUTES FOR CORRECTION/APPROVAL: --------------------------------------------------------------------------------------------------------------------------------------- l. June 16, 2011 ❑ Approved ❑ As presented ❑ With corrections --------------------------------------------------------------------------------------------------------------------------------------- NEW BUSINESS: --------------------------------------------------------------------------------------------------------------------------------------- 1. ADM 2011-31 Monthly Budget Report for June 2011 ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 2. ADM 2011-32 Monthly Treasurer's Report for June 2011 ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 3. ADM 2011-33 Cash Statement for May 2011 ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 4. ADM 2011-34 Home Rule—Discussion ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 5. ADM 2011-35 City Intern Discussion ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 6. EDC 2011-36 Library Impact Fee Ordinance ❑ Moved forward to CC consent agenda`? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- OLD BUSINESS: --------------------------------------------------------------------------------------------------------------------------------------- 1. CC 2011-48 City Debt Obligations and Options ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 2. PW 2011-39 Residential Solid Waste Franchise Agreement ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes --------------------------------------------------------------------------------------------------------------------------------------- 3. CC 2011-71 Ordinance Approving the Revision of the 2011-2012 Fiscal Budget ❑ Moved forward to CC consent agenda? Y N ❑ Approved by Committee ❑ Bring back to Committee ❑ Informational Item ❑ Notes c/Ty Reviewed By: Agenda Item Number 2 i o J a T Legal ❑ Minutes Finance ❑ EST. 1 � 1836 Engineer ❑ Tracking Number y City Administrator ❑ °^Y `O Public Works ❑ dal Cou^ty El`E Agenda Item Summary Memo Title: Minutes of the Administration Committee—June 16, 2011 Meeting and Date: Administration Committee 7/21/11 Synopsis: Council Action Previously Taken: Date of Action: Action Taken: Item Number: Type of Vote Required: Majority Council Action Requested: Committee Approval Submitted by: Minute Taker Name Department Agenda Item Notes: UNITED CITY OF YORKVILLE ADMINISTRATION COMMITTEE Thursday, June 16, 2011 City Hall Conference Room COMMITTEE MEMBERS PRESENT: Alderman Spears, Chair Alderman Colosimo Alderman Munns (arrived at 6:19pm) Mayor Golinski(arrived at 6:35pm) ������ OTHER CITY OFFICIALS PRESENT lhlbl City Administrator Bart Olson Treasurer Bill Powell Finance Director Rob Frederickson CITIZENS: ,. Tony Scott, The Record As there was no quorum, discussion began at 6:07pm. Citizen Comments: There were no citizen comments Minutes for Correction/Approval: May 19, 2011 Chair Spears had several grammatical and structural corrections that will be forwarded to staff for correction. The minutes will be presented at the next meeting for approval. New Business: 1. ADM 2011 —26 General Fund Income Statement for May 2011 Finance Director Frederickson presented the item, which is a new report designed to consolidate and highlight the monthly and year to date Revenues and Expenses. Treasurer Powell noted, in particular, the temporary surplus of revenue to expenses for the month of May. This is temporary, based upon the receipt of taxes, and will not likely be repeated. Alderman Colosimo noted that there were a few expense categories with 50%plus spending and clarified that this was expected spending and would not be repeated monthly. The Committee accepted the report. 1 2. ADM 2011 —27 Budget Report for May 2011 Finance Director Frederickson explained this report is an in depth compilation of the previous Income Statement. As it was the beginning of the fiscal year, there was nothing unusual to be noted. The Committee accepted the report. 3. ADM 2011 —28 Treasurer's Report for May 2011 Treasurer Powell noted that beginning and ending balances will be provided once the audit has been completed. He reiterated that the surplus in revenues is due to the manner in which real estate taxes are distributed. Director Frederickson assured the Committee that the surplus will be placed into the IMED account, yielding a higher interest rate. As there was not a quorum at the time of the discussion, the report will have to be approved under Additional Business. 4. ADM 2011 —29 Cash Statement for April 2011 Finance Director Frederickson reported that this report provides a picture of cash balances by account and fund. Concern was expressed regarding the Land Cash fund; however, Administrator Olson stated this fund is the least concerning, as it will be reconciled, for example, with grant income. The Committee accepted the report. S. ADM 2011 —30 Prevailing Wage Ordinance The City is required by state statue, during the month of June, to investigate and ascertain the prevailing rate of wages as defined in 820 ILCS 130— Prevailing Wage Act. To accomplish this, the City annually approves an ordinance declaring compliance with the Illinois Prevailing Wage Act,the purpose of which is to ensure wages for laborers, mechanics, and other workers engaged in public works construction, under the jurisdiction of the City, are the same as the prevailing rate of wages for construction work in the Kendall County area. The rate of wages is determined by the Illinois Department of Labor. After council approval of the Ordinance, a copy will be publicly posted in the glass case in the lobby, a public notice will be placed the in the newspaper, and certified copies will be filed with the Secretary of State and the Illinois Department of Labor. The Committee recommended this item be forward for Consent Agenda. 6. EDC 2011 —21 Dormant Zoning Applications/Petitions Currently, the City does not have a policy explicitly allowing zoning applications to be dismissed in cases where the applicant has been unresponsive for an extended period of time. Since the downturn in the 2 housing market, there has been a backlog of developer petitions/applications with little to no activity for more than a year. Most of these applications have engineering and legal deposits associated with them. In total, there are approximately 30 development applications and nearly$110,000.00 in deposits. Staff has determined which applications, and their associated deposits, that are eligible for refund. It is important to note that the deposits are not associated with the City's general fund balance and the release of the funds will have no budgetary impact. Upon releasing the stagnant application deposits the City will have satisfied an audit obligation. A proposed ordinance would allow the Community Development Director to dismiss any zoning applications or petitions submitted, if: 1) The application is incomplete and the applicant has been notified of such deficiencies and has not responded or provided a timeline for completing the application within 90 days from the time of notification; 2) The applicant has not responded in writing to a request for information or documentation from the initial Plan Council review within six months from the date of the request; 3) The applicant has not responded to a request for legal or engineering deposit replenishment for City incurred costs and fees within ninety days from the date of request. Staff is proposing that the applicant be notified in writing by the Community Development Department of the intent to dismiss the application within thirty days from the date of the written notice and all remaining legal and engineering deposits will be refunded at the time of dismissal. Should it be the consensus of the Committee to have such a policy in place regarding dormant zoning applications/petitions, staff will prepare draft ordinance language to present to the EDC at the upcoming meeting for further review. Administrator Olson affirmed that in the Management letter from the auditors, the City had collected monies on projects that have not come to fruition. It was recommended that a policy be instituted to deal with these situations. Administrator Olson affirmed there would be no budgetary impact for refunding these monies and would in fact, decrease the City's liability. Alderman Colosimo questioned what would happen to the monies if the entity that originally submitted for a project no longer existed. Administrator Olson stated the monies would be held in an accountability account for a period of time then submitted to the state as unclaimed property. The Committee forwarded the item to the Consent Agenda. 3 7. CC 2011 —48 City Debt Obligations and Options In the 2011 municipal elections, the citizens authorized the City's use of a I% non-home rule sales tax. This sales tax must still be authorized by ordinance, and will be implemented on January 1, 2012, if approved by City Council. Because we do not currently have access to sales tax figures for individual businesses, it is difficult to pinpoint exactly how much non-home rule sales tax we expect to receive. However, a study of some other municipalities shows our range could be anywhere from 50% to 70% of our current sales tax figures. At a$2.4 million current sales tax figures, this means our non-home rule sales tax is likely to generate between $1.12 million and $1.8 million per year. For purposes of illustrating the impact of this new revenue on our existing debt obligations, I have used a $1.5 million figure to show the potential immediate reduction in property taxes as a result of the non-home rule sales tax The calculations on property tax reductions are included. Financial advisor, Kevin McCanna of Speer Financial, has studied the City's debts and concluded that only the Rob Roy bonds (2005D and 2008) make sense to consider refinancing. A justification is provided in the attached memo. Additionally, there are four proposed debt service schedules for potential refinancing bonds of different terms. The refinancing would significantly reduce our yearly debt burden in the near term. The flexibility provided by the non-home rule sales tax allows us to almost completely eliminate the property taxes associated with debt payments for FY 13 and beyond, which is a major upside to residents who have had trouble making current property tax payments. The downside to this option is that the total debt is stretched from about $11.3 million to between $16 million and $17 million due to new interest and bond issuance costs. The issue to refinance is a policy decision for the City Council to make. The flexibility provided by the non-home rule sales tax makes the reduction in property taxes for FY 13 and beyond a reality. The question at hand is whether we want the City property taxes to decrease between 10% and 25% for the next few years (no refinancing) or if we want property taxes to decrease between 20% and 35% for the next few years (with refinancing). Finance Director Frederickson summarized for the Committee that the current compressed schedule pays off in 4 years while spreading out the payments would decrease the current payment. There is a present value savings for refinancing versus paying it off. A rational financial argument could be made that it would be better off to refinance versus paying it off. Alderman Colosimo questioned what the quickest, most painless option for the City would be, enabling us to pay the least amount of interest and get it off of the tax bills. To get it off the property taxes, the best method would be to refinance. But in order for the non-home rule sales tax to go away quickly, 4 then don't refinance and pay off the debt in four years. Administrator Olson stated that the Council has to decide if it wants to endure a short-term intense pain or long-term dull pain. Either option will be painful. It can be paid off in four years and its done, or you can refinance, decrease the property taxes, and thereby obligating the entire sales tax for eleven years. (At 6:35pm, Mayor Golinski arrived at the meeting). Alderman Munns asked if all of the money from the sales tax referendum is used to pay the sewers would there be additional monies available for road improvements. Administrator Olson stated if we do refinance there still would not enough monies would be freed for improvements but for patching. The Committee went on to discuss the possibility of dedicating a percentage of the sales tax to road improvements in order to decrease the obligation on the property taxes. The Committee agreed that any solution would need to reduce the burden on the taxpayers while addressing issues such as road improvements. Administrator Olson clarified that the Committee wanted staff to provide information that would abate a portion of the obligation in order to free money for road improvements. Administrator Olson stated, that if pushed, his recommendation would be to not refinance this year, work on decreasing property taxes in other ways, because completely earmarking the non-home rule sales tax to paying off the bonds does not address, for example, road improvements. He stated that he would provide the Committee with potential abatement schedules and levels at the next meeting. 8. ADM 2011-31 Committee Liaisons Chair Spears confirmed that the only liaison position needing a representative from the Administrative Committee would be to the Library Board. Alderman Colosimo volunteered to be the liaison from the Admin Committee. The Committee unanimously agreed. Old Business: There was no Old Business. However, Finance Director stated a correction to the General Income Statement should reflect $175,846 as the correct amount for the May surplus. Additional Business: As there now was a quorum, the Committee agreed to forward the Treasurer's report to the Councils Consent Agenda. Additionally, the Committee agreed to the proposed amendments to the previous months minutes presented by Chair Speer. 5 Alderman Munn raised the issue of outdated information on the website. Administrator Olson stated that staff will be working to make the changes. Additionally, Alderman Munn asked for staff contact regarding the Copley asphalt work. Administrator Olson stated either Engineering or Public Works. Alderman Colosimo raised the issue of a holding a Town Hall type meeting at River Fest to discuss the issues regarding the Bike Trail. Mayor Golinski stated this could be held between 4:30pm and 5:30pm on June 24th, as a means to meet your Alderman, create an opportunity for Council members to listen to constituents while supporting a Chamber event. Mayor Golinski requested that,prior to this Town Hall Meeting, Administrator Olson find out where additional cost savings could be made in the Route 47 project. Chair Speer clarified the date of the Sprinkle forum, which would include a demonstration. Administrator Olson stated it would June 30th There being no further business, the Committee adjourned at 7:29pm. Minutes Respectfully Submitted by:'„ � Kristia Leyendecker, Minute Taker h 1 ..' Y IM .......... gy IY'i•r•r y h ;hh h k� p 6 c/Ty Reviewed By: Agenda Item Number ii J� a 0-0 Legal ❑ NB #1 II Finance ■ EST. , � 1836 Engineer ❑ Tracking Number y City Administrator ■ Consultant ❑ ADM 2011-31 dal County El`E Agenda Item Summary Memo Title: Budget Report for June 2011 Meeting and Date: Administration Committee 7/21/11 Synopsis: June budget report and income statement. Council Action Previously Taken: Date of Action: Action Taken: Item Number: Type of Vote Required: Council Action Requested: Discussion Submitted by: Rob Fredrickson Finance Name Department Agenda Item Notes: UNITED CITY OF YORKVILLE BUDGET REPORT FOR THE PERIOD ENDING JUNE 30,2011 ow ACTUAL EXPENSES BY MONTH(Cash Basis) Year-LO-Date NNU L ACCOUNT NUMBER DESCRIPTION May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January-12 February-12 March-12 April-12 Totals BUDGET %of Budget GENERAL FUND REVENUES 01-000-40-00-400C PROPERTY TAXES-CORPORATE LEVY 366,362 754,059 1,120,421 2,290,964 48.91% 01-000-40-00-401C PROPERTY TAXES-POLICE PENSION 57,847 119,062 176,909 375,000 47.18% 01-000-40-00-4012 PROPERTY TAXES-FOX INDUSTRIAL 0.00% 01-000-40-00-403C MUNICIPAL SALES TAX 169,093 210,574 379,666 2,550,000 14.89% 01-000-40-00-404C ELECTRIC UTILITY TAX 136,433 136,433 591,600 23.06% 01-000-40-00 4041 NATURAL GAS UTILITY TAX 102,673 102,673 290,700 35.32% 01-000-40-00-4043 TELEPHONE UTILITY TAX 42,899 40,525 83,425 535,500 15.58% 01-000-40-00-4045 CABLE FRANCHISE FEES 56,358 56,358 204,000 27.63% 01-000-40-00-405C HOTELTAX 2,934 4,014 6,948 30,600 22.71% 01-000-40-00-406C AMUSEMENTTAX 181 252 433 134,000 0.32% 01-000-40-00-4065 ADMISSIONSTAX 190,000 0.00% 01-000-40-00-407C BUSINESS DISTRICT TAX 18,453 25,565 44,018 300,000 14.67% 01-000-40-00-4075 AUTO RENTAL TAX 687 909 1,596 7,140 22.36% 01-000-40-00-408C PARA-MUTUELTAX 2,733 3,793 6,526 15,000 43.50% 01-000-41-00-4100 STATE INCOME TAX 142,890 142,890 1,340,000 10.66% 01-000-41-00-4105 LOCAL USE TAX 19,635 21,844 41,479 210,000 19.75% 01-000-41-00-411C ROAD&BRIDGE TAX 28,104 54,363 82,467 164,296 50.19% 01-000-41-00-412C PERSONAL PROPERTY REPL TAX 2,278 2,278 13,000 17.52% 01-000-41-00-4160 FEDERAL GRANTS 176 176 9,200 1.91% 01-000-41-00417C STATE GRANTS 3,876 3,876 0.00% 01-000-41-00-4182 MISC INTERGOVERNMENTAL 2,000 0.00% 01-00042-00-420C LIQUOR LICENSE 1,010 938 1,948 40,000 4.87% 01-00042-00-4205 OTHER LICENSES 623 194 817 3,000 27.23% 01-000-42-00-421C BUILDING PERMITS 21,392 9,423 30,816 122,400 25.18% 01-000-42-00-422C FILING FEES 250 0.00% 01-000-43-00-431C TRAFFIC FINES 14,457 6,470 20,926 95,000 22.03% 01-000-43-00-4320 ADMINISTRATIVE ADJUDICATION 1,816 1,791 3,607 30,000 12.02% 01-000-43-00-4325 POLICE TOWS 8,000 7,500 15,500 90,000 17.22% 01-000-44-00-440C GARBAGESURCHARGE 124 203,755 203,879 11175,000 17.35% 01-000-44-00-4405 COLLECTION FEE-YBSD 123,932 0.00% 01-000-44-00-4412 SERVICE CHARGE-LIBRARY 0.00% 01-000-44-00-4414 OTHER SERVICES 0.00% 01-000-44-00-4417 REIMB.-MISCELLANEOUS 0.00% 01-000-44-00-4474 POLICE SPECIAL DETAIL 350 350 5,000 7.005. 01-000-45-00-4500 INVESTMENT EARNINGS 3 89 1 1 1 92 2,000 4.60% 01-000-46-004601 REIMB-LEGAL EXPENSES 6,032 1,043 7,075 12,000 58.96% 01-000-46-00-465C REIMB-TRAFFIC SIGNAL 15,000 0.00% 01-000 46-00-4668 REIMB-COBRA CONTRIBUTIONS 2,362 2,362 20,000 11.81% 01-00046-00-4669 REIMB-RETIREE CONTRIBUTIONS 954 954 50,000 1.91% 01-000-46-00-467C REIMB-EMP INS CONTRIBUTIONS 8,166 8,023 16,189 190,000 8.52% 01-000-46-00-4671 REIMB-LIFE INSURANCE 325 320 645 4,800 13.45% 01-000-46-00-4672 REIMB-LIBRARY INSURANCE 7,657 7,227 14,884 0.00% 01-000-46-00-4680 REIMB-LIABILITY INSURANCE 706 706 5,000 14.1256 01-000-46-00-4681 REIMB-WORKERS COMP 18,853 18,853 0.00% 01-000-46-00-4685 REIMB-CABLE CONSORTIUM 19,505 19,M5 40,000 48.76% 01-000-46-00-469C REIMB-MISCELLANEOUS 311 513 824 4,000 20.60% 01-000-48-00-4820 RENTAL INCOME 1,100 545 1,645 9,000 18.28% 01-000-48-00-4821 BAD DEBT RECOVERY 0.00% 01-000-48-00-4845 DONANTIONS SO SO 2,000 2.50% 01-000-48-00-485C MISCELLANEOUS INCOME 105 191 296 5,000 5.915. 01-000-49-00-4951 TRANSFER FROM WATER 7,655 7,655 15,311 91,863 16.67% OS-000-49-00-4952 TRANSFER FROM SEWER 6,920 6,920 13,841 83,045 16.67% O1-000-49-00-4972 TRANSFER FROM LAND CASH 1,674 1,674 3,347 20,084 16.67% TOTAL REVENUES:GENERAL FUND 897,3961 1,885,599 2,782,995 1 11,491,374 24.225i ADMINISTRATION EXPENDITURES 01-110-50-00-5001 SALARIES-MAYOR 860 925 1,785 11,000 16.23% 01-110-50-00-5002 SALARIES-LIQUOR COMM 83 83 167 1,000 16.67% 01-110-50-00-5003 SALARIES-CITY CLERK 777 742 1,518 91000 16.87% 01-110-50-00-5004 SALARIES-CITY TREASURER 500 500 1,000 6,500 15.38% 01-110-50-00-5005 SALARIES-ALDERMAN 4,175 4,200 8,375 50,320 16.64% 01-110-50-00-5010 SALARIES-ADMINISTRATION 14,330 14,537 28,867 195,000 14.80% 01-110-50-00-502C OVERTIME 575 0.00% 01-110-52-00-5212 RETIREMENT PLAN CONTRIBUITION 1,735 1,843 3,578 25,000 14.31% 01-110-52-00-5214 FICA CONTRIBUTION 1,434 1,446 2,880 20,106 14.32% 01-110-54-00-541C TUITION REIMBURSEMENT 0.00% 01-110-54-00-5412 TRAINING&CONFERENCES 339 339 3,000 11.30% 01-110-54-00-5415 TRAVEL&LODGING 0.00% 01-110-54-00-5423 PUBLIC RELATIONS 150 0.00% 01-110-54-00-5426 PUBLISHING&ADVERTISING 6 6 2,000 0.28% 01-110-54-00-543C PRINTING&DUPLICATION 292 292 6,750 4.33% 01-110-54-00-544C TELECOMMUNICATIONS 596 596 21,200 2.81% 01-110-54-00-5451 CODIFICATION 8,000 0.00% 01-110-54-00-5452 POSTAGE&SHIPPING 142 142 14,000 1.02% 01-110-54-00-5462 PROFESSIONAL SERVICES 2,210 2,210 11,000 20.09% 01-110-54-00-5473 KENDALL COUNTY PARATRANSIT 30,000 0.00% 01-110-54-00-5474 SENIOR SERVICE FUNDING 0.00% 01-110-54-00-5477 BUILDING INSPECTIONS 0.00% 01-110-54-00-548C UTILITIES 764 764 28,000 2.73% 01-110-54-00-5485 RENTAL&LEASE PURCHASE 143 143 286 0.00% OS-110-54-00-5487 SPONSORSHIPS 0.00% 01-110-54-00-5488 OFFICE CLEANING 14,400 0.00% 01-110-54-00-549C DUES&SUBSCRIPTIONS 1,3841 6,174 7,558 16,600 45.5356 ACTUAL EXPENSES BY MONTH(Cash Basis) Year-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION 4ay-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January 12 February-12 March-12 April-12 Totals BUDGET %of Budget O1-110-56-00-5600 WEARING APPAREL 0.00% O1-110-56-00-561C OFFICE SUPPUES 70 2,295 2,365 15,000 15.77% 01-110-56-00-563C SMALLTOOLS&EQUIPMENT 0.00% O1-110-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 850 0.00% 01-110-56-00-5640 REPAIR&MAINTENANCE 100 0.00% TOTAL EXPENDITURES:ADMINISTRATION 25,492 37,236 62,728 489,551 12.81% FINANCE EXPENDITURES 01-120-50-00-501C SALARIES&WAGES 12,812 13,604 26,417 175,000 15.10% 01-120-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,233 1,308 2,541 17,500 14.52% O1-120-52-00-5214 FICA CONTRIBUTION 967 1,028 1,995 13,005 15.34% 01-120-52-00-5216 GROUP HEALTH INSURANCE 150 (150) 0.00% 01-120-54-00-5412 TRAINING&CONFERENCES 2,000 0.00% O1-120-54-00-5414 AUDITING SERVICES 45,000 0.00% 01-120-54-00-5415 TRAVEL&LODGING 1,000 0.00% O1-120-54-00-543C PRINTING&DUPLICATING 500 0.00% 01-120-54-00-544C TELECOMMUNICATIONS 45 45 600 7.50% O1-120-54-00-5452 POSTAGE&SHIPPING 500 0.00% O1-120-54-00-546C DUES&SUBSCRIPTIONS 8. - 80 850 9.41% O1-120-54-00-5462 PROFESSIONALSERVICES 1,858 1,945 3,803 42,000 9.05% 01-120-54-00-5485 RENTAL&LEASE PURCHASE 143 1,892 2,035 15,000 13.57% O1-120-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 1,800 0.00% 01-120-56-00-5610 OFFICE SUPPLIES 343 343 2,500 13.71% O1-120-56-00-563C SMALL TOOLS&EQUIPMENT 250 0.00% 01-120-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 2,500 0.00% O1-120-56-00-564C REPAIR&MAINTENANCE 500 0.00% TOTAL EXPENDITURES:FINANCE 1 17,243 1 20,015 37,258 320,505 11.62% COMMUNITY RELATIONS EXPENDITURES O1-130-50-00-5010 ISALARIES&WAGES 3,750 3,750 0.00% 01-130-50-00-5016 PART-TIME SALARIES 32,500 0.00% O1-130-52-00-5212 RETIREMENT PLAN CONTRIBUTION 0.00% 01-130-52-00-5214 FICA CONTRIBUTION 2,500 0.00% O1-130-54-00-5423 PUBLIC RELATIONS 287 287 1,750 16.39% 01-130-54-00-5426 PUBLISHING&ADVERTISING 333 333 7,500 4.44% O1-130-54-00-5430 PRINTING&DUPLICATING 200 0.00% 01-130-54-00-5452 POSTAGE&SHIPPING 2,200 0.00% O1-130-54-00-546C DUES&SUBSCRIPTIONS 100 0.00% OS-130-54-00-5462 PROFESSIONALSERVICES 4,800 0.00% OS-130-56-00-5610 OFFICE SUPPLIES 400 0.00% 01-130-56-00-5692 COMMUNITY EVENTS 3,000 0.00% TOTAL EXPENDITURES:COMMUNITY RELATIONS 4,037 333 4,370 54,950 7.95% ENGINEERING EXPENDITURES 01-150-50-00-501C SALARIES&WAGES 12,929 55,188 68,117 172,000 39.60% 01-150-50-00-502C OVERTIME 500 0.00% 01-150-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,230 5,248 6,478 16,500 39.26% O1-150-52-00-5214 FICA CONTRIBUTION 960 4,193 5,153 13,236 38.93% 01-150-54-00-5412 TRAINING&CONFERENCES 2,250 0.00% O1-150-54-00-5415 TRAVEL&LODGING 400 0.00% 01-150-54-00-543C PRINTING&DUPLICATING 38 38 1,50C 2.54% O1-150-54-00-544C TELECOMMUNICATIONS 104 104 2,200 4.72% O1-150-54-00-5452 POSTAGE&SHIPPING - 500 0.00% O1-150-54-00-546C DUES&SUBSCRIPTIONS 1,200 0.00% 01-150-54-00-5462 PROFESSIONAL SERVICES 508 508 32,550 1.56% O1-150-54-00-5485 RENTAL&LEASE PURCHASE 137 137 273 0.00% O1-150-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 27 27 1,500 1.81% 01-150-56-00-560C WEARING APPAREL 100 0.00% O1-150-56-00-561C OFFICE SUPPLIES 7 7 1,000 0.70% 01-150-56-00-5622 ENGINEERING SUPPLIES 1,500 0.00% 01-150-56-00-563C SMALLTOOLS&EQUIPMENT 500 0.00% O1-150-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 4,S SC 0.00% 01-150-56-00-5640 REPAIR&MAINTENANCE 1,000 0.00% O1-150-56-00-5645 IBOOKS&PUBLICATIONS 150 TOTAL EXPENDITURES:ENGINEERING 15,255 65,450 80,704 253,136 31.88% POLICE EXPENDITURES O1-210-50-00-5010 ISALARIES-POLICE OFFICERS 87,672 95,900 183,572 1,250,000 14.69% 01-210-50-00-5012 SALARIES-LIEUT/SERGEANTS/CHIE 44,835 49,174 94,010 610,000 15.41% O1-210-50-00-5013 SALARIES-POLICE CLERKS 11,204 15,227 26,431 120,000 22.03% 01-210-50-00-5014 SALARIES-CROSSING GUARD 1,110 583 1,693 20,000 8.456 01-210-50-00-5015 PART-TIME SALARIES 6,068 3,090 9,158 39,000 23.48% 01-210-50-00-5017 CADETPROGRAM 875 1,375 2,250 13,500 16.67% 01-210-50-00-502C OVERTIME 6,970 6,898 13,868 75,000 18.49% O1-210-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,075 1,417 2,492 15,900 15.67% 01-210-52-00-5213 EMPLOYER CONTRI-POL PEN 57,847 119,062 176,909 375,000 47.18% 01-210-52-00-5214 FICA CONTRIBUTION 11,692 12,762 24,454 170,000 14.38% O1-210-52-00-5216 GROUP HEALTH INSURANCE 250 (250) 0.00% 01-210-54-00-5410 TUITION REIMBURSEMENT 2,800 0.00% O1-210-54-00-5411 POLICE COMMISSION 563 563 15,000 3.757 01-210-54-00-5412 TRAINING&CONFERENCES 50 920 970 12,000 8.08% O1-210-54-00-5415 TRAVEL&LODGING 183 1,264 1,448 10,000 MAN 01-210-54-00-5426 PUBLISHING&ADVERTISING 200 0.00% 01-210-54-00-5430 PRINTING&DUPLICATING 87 87 4,500 1.94% O1-210-54-00-544C TELECOMMUNICATIONS 1,757 1,757 36,500 O1-210-54-00-5452 POSTAGE&SHIPPING 11 81 92 3,000 01-210-54-00-5457 PSYCHOLOGICALTESTING 0.00% O1-210-54-00-546C DUE S&SUBSCRIPTIONS 90 40 130 1,350 O1-210-54-00-5462 PROFESSIONAL SERVICES 55 35 90 4,000 2.25% ACTUAL EXPENSES BY MONTH(Cash Basis) Year-to- ate ACCOUNT NUMBER DESCRIPTION AN May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January 12 February-12 March-12 April-12 Totals BUDGET %of Budget 01-210-54-00-546E LEGAL SERVICES 10,000 0.00% O1-210-54-00-5467 ADMIN ADJ-HEARING OFFICER 325 1,400 1,725 15,000 11.50% 01-210-54-00-5469 NEW WORLD LIVE SCAN 15,000 0.00% 01-210-54-00-5472 KENDALL CO.JUVE PROBATION 3,000 0.00% 01-210-54-00-5484 MTD-ALERTS FEE 3,330 3,330 6,660 50.00% O1-210-54-00-5485 RENTAL&LEASE PURCHASE 277 277 0.00% 01-210-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 1,125 2,537 3,663 51,000 7.185Z 01-210-56-00-560C WEARING APPAREL 375 375 10,000 3.75% O1-210-56-00-561C OFFICE SUPPLIES 91 91 4,000 2.28% 01-210-56-00-562C OPERATING SUPPLIES 13 837 849 8,000 10.62% O1-210-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 7,000 0.00% 01-210-56-00-564C REPAIR&MAINTENANCE 1,554 1,554 12,250 12.69% 01-210-56-00-5669 GREAT PROGRAM 3,000 0.00% O1-210-56-00-567C COMMUNITY RELATIONS 500 0.00% 01-210-56-00-5673 NEIGHBORHOOD WATCH 1,531 0.00% O1-210-56-00-5674 CITIZENS POLICE ACADEMY 1,839 0.00% 01-210-56-00-5678 COMPLICE AN CHECKS 500 0.00% 01-210-56-00-5690 SUPPLIES-G RANT REIMBURSABLE 69 69 4,200 1.65% 01-210-56-00-5695 IGASOUNE 7,814 7,814 85,000 9.19% 01-210-56-00-569E AMMUNITION 2,000 0.00% TOTAL EXPENDITURES:POLICE 235,995 323,725 559,720 3,018,230 18.54% COMMUNITY DEVELOPMENT EXPENDITURES 01-220-50-00-5010 ISALARIES&WAGES 17,750 26,622 44,372 240,000 18.49% O1-220-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,688 2,532 4,220 27,275 15.47% 01-220-52-00-5214 FICA CONTRIBUTION 1,279 1,958 3,236 17,260 18.75% O1-220-54-00-5412 TRAINING&CONFERENCES 1,200 0.00% 01-220-54-00-5415 TRAVEL&LODGING 700 0.00% 01-220-54-00-5426 PUBLISHING&ADVERTISING 150 0.00% O1-220-54-00-543C PRINTING&DUPLICATING 38 38 1,500 2.54% 01-220-54-00-5440 TELECOMMUNICATIONS 109 109 1,500 7.28% O1-220-54-00-5452 POSTAGE&SHIPPING 500 0.009/. 01-220-54-00-5459 IINSPECTIONS 680 1 1 1 1 680 20,000 1 3.40% O1-220-54-00-5460 DUES&SUBSCRIPTIONS 422 422 1,500 28.13% 01-220-54-00-5462 PROFESSIONAL SERVICES 6,000 0.00% 01-220-54-00-5466 LEGAL SERVICES 101 101 6,400 1.58% 01-220-54-00-5485 RENTAL&LEASE PURCHASE 137 137 273 0.00% O1-220-54-00-5486 ECONOMIC DEVELOPMENT 45,000 0.005. 01-220-56-00-5616 OFFICE SUPPLIES 16 16 500 3.17% 01-220-56-00-562C OPERATING SUPPLIES 3,000 0.00% O1-220-56-00-563C SMALL TOOLS&EQUIPMENT 125 0.00% 01-220-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 2,500 0.00% O1-220-56-00-5645 BOOKS&PUBLICATIONS 500 0.00% 01-220-56-00-5690 SUPPLIES-GRANT REIMBURSABLE 0.00% TOTAL EXPENDITURES:COMMUNITY DEVELOPMENT 20,854 1 32,614 1 53,467 1 375,610 14.23% PUBLIC WORKS-STREET OPERATIONS EXPENDITURES O1-410-50-00-5010 ISALA RIES&WAGES 18,990 19,377 38,366 270,000 14.21% 01-410-50-00-502C OVERTIME 15,000 0.00% O1-410-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,806 1,843 3,649 30,000 12.16% 01-410-52-00-5214 FICA CONTRIBUTION 1,408 1,438 2,846 23,500 12.11% O1-410-54-00-5412 TRAINING&CONFERENCES 2,000 0.00% 01-410-54-00-544C TELECOMMUNICATIONS 198 198 4,020 4.92% O1-410-54-00-5455 MOSQUITO CONTROL 6,500 6,500 7,000 92.86% 01-410-54-00-5458 TREE&STUMP REMOVAL 400 400 10,000 4.00% O1-410-54-00-5462 PROFESSIONAL SERVICES 84 84 1,000 8.42% 01-410-54-00-548C UTILITIES 5,199 5,199 80,000 6.50% 01-410-54-00-5485 RENTAL&LEASE PURCHASE 33 540 573 1,000 57.29% O1-410-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 275 275 30,000 0.92% O1-410-56-00-560C WEARING APPAREL 93 144 236 5,000 4.72% 01-410-56-00-5620 OPERATING SUPPLIES 34 1,632 1,666 9,500 17.54% O1-410-56-00-5626 HANGING BASKETS 1,832 1,832 2,000 91.60% 01-410-56-00-5630 SMALL TOOLS&EQUIPMENT 64 (64) 1,750 0.00% O1-410-56-00-564C REPAIR&MAINTENANCE 2,780 2,780 36,500 7.62% 01-410-56-00-5656 PROPERTY&BUILDING MAINT 66 1,238 1,304 30,000 4.35% 01-410-56-00-5695 GASOLINE 2,886 2,886 33,600 8.59% O1-410-60-00-6046 IN-TOWN ROAD PROGRAM 0.00% O1-410-60-00-6041 ISIDEWALK CONSTRUCTION 4,000 0.00% TOTAL EXP:PUBLIC WORKS-STREET OPERATIONS 22,494 46,299 68,793 1 595,870 11.55% ACTUAL EXPENSES BY MONTH(Cash Basis) ar-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION May-11 June-11 July-11 Augus1-11 Septerol, -11 October-11 November-11 December-11 January.12 February-12 March-12 April-l2 .Totals BUDGET %of Budget PW-HEALTH&SANITATION EXPENDITURES O1-540-54-00-5442 GARBAGE SERVICES 100,361 100,361 1,195,000 8.40% O1-540-54-00-5443 LEAF PICKUP 6,000 0.00% TOTAL EXPENDITURES:PW HEALTH&SANITATION 100,361 100,361 1,201,000 8.36% ADMINISTRATIVE SERVICES EXPENDITURES 01-640-50-00-5092 POLICE SPECIAL DETAIL WAGES 350 350 5,000 7.00% 01-640-52-00-5216 GROUP HEALTH INSURANCE 202,272 113,463 315,735 1,204,000 26.22% 01-640-52-00-5222 GROUP LIFE INSURANCE 1,275 1,237 2,512 26,000 9.66% 01-640-52-00-5223 DENTAL&VISION INSURANCE 15,474 9,695 25,169 114,000 22.08% 01-640-52-00-5224 EMPLOYEE ASSISTANCE 150 0.00% 01-640-52-00-5230 UNEMPLOYMENT INSURANCE 12,508 12,508 60,000 20.85% 01-640-52-00-5231 LIABILITY INSURANCE 49,629 53,504 103,133 339,200 30.40% 01-640-54-00-5456 CORPORTATE COUNSEL 11,046 11,046 130,000 8.50% 01-640-54-00-5461 LITIGATION COUNSEL 65 65 60,000 0.11% 01-640-54-00-5462 PROFESSIONAL SERVICES 450 5,843 6,293 50,000 12.59% 01-640-54-00-5463 SPECIAL COUNSEL 135 135 25,000 0.54% 01-640-54-00-5475 CABLE CONSORTIUM FEE 85,000 0.00% O1-640-54-00-5479 COMMUNITY RELATIONS NDIV/0! 01-640-54-00-5481 MARKETING-HOTEL TAX 27,540 0.00% 01-640-54-00-5491 CITY PROPERTY TAX REBATE 1,050 0.00% O1-640-54-00-5492 SALES TAX REBATE 900,000 0.00% 01-640-54-00-5493 BUSINESS DISTRICT REBATE 18,453 25,565 44,018 300,000 14.67% 01-640-54-00-5494 ADMISSIONS TAX REBATE 114,000 0.00% 01-640-54-00-5499 BAD DEBT 1,250 0.00% 01-640-56-00-5625 REIMBURSEABLE REPAIRS 5,000 0.00% 01-640-70-00-7799 CONTINGENCIES 10,000 0.00% 01-640-99-00-9923 ITRANSFER TO CITY WIDE CAPITAL 10,417 10,417 20,833 125,000 16.67% 01-640-99-00-9942 ITRANSFER TO DEBT SERVICE 8,645 8,645 17,290 103,740 16.67% 01-640-99-00-9979 TRANSFER TO PARK&RECREATION 61,059 61,059 122,118 732,710 16.67% TOTAL EXPENDITURES:ADMINISTRATIVE SERVICES 380,181 301,023 681,204 4,418,640 15.42% TO TALFUNDREVENUES 897,396 1,885,599 2,782,995 11,491,374 24.22% TOTAL FUND EXPENDITURES 721,550 927,055 1,648,60fi 10,727,492 15.37% FUND SURPLUS(DEFICIT) 175,846 958,544 1,134,389 763,882 FOX HILL SSA REVENUES 11-000-40-00-4011 PROPERTY TAXES-FOX HILL SSA 599 1,272 1,871 3,786 49.43% 11-000-4Q10-4500 INVESTMENT EARNINGS 0 0 0.00% TOTAL REVENUES:FO%HILL SSA 599 1,273 1,871 3,78fi 49.43% FO%HILL SSA EXPENDITURES 11-111-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 614 614 3,804 16.13% TOTAL FUND REVENUES 599 1,273 1,871 3,78fi 49.43% TOTAL FUND EXPENDITURES 614 614 3,804 16.13% FUND SURPLUS(DEFICIT) 5991 659 1 1,258 1 (IS) SUNFLOWER SSA REVENUES 12-000-40-00-4012 PROPERTY TAXES-SUNFLOWER SSA 1,362 2,284 3,645 7,530 48.41% 12-000-45-00-4500 INVESTMENT EARNINGS 0 0 0.00% TOTAL REVENUES:SUNFLOWER SSA 1,362 2,284 3,645 7,530 48.41% SUNFLOWER SSA EXPENDITURES 12-112-54-00-5495 JOUTSIDE REPAIR&MAINTENANCE 1,309 1 m 1,3091 9,078 1 14.42% TOTAL FUND REVENUES m 1,362 2,284 m 3,645 7,530 48.41% TOTALFUNDEXPENDITURES 1,309 1,309 9,078 14.42% FUND SURPLUS(DEFICIT) 1,362 975 2,336 1 (1,548) MOTOR FUEL TAX REVENUES 15-000-41-00-4112 IMOTOR FUEL TAX 34,752 34,093 68,846 355,000 19.39% 15-000-41-00-4113 MFT HIGH GROWTH 20,000 0.00% 15-000-41-00-4172 ILLINOSIOBS NOW PROCEEDS 142,000 0.00% 15-000-45-00-450C INVESTMENT EARNINGS 29 28 57 1,000 5.73% 15-000-46-00-4605 REIMB-OLD IAIL/DWTWN PARKING 493,000 0.00% 15-000-46-00-469C REIMS-MISCELLANEOUS CDR 15-000-48-00-485C MISCELLANEOUS INCOME 0.00% TOTAL REVENUES:MOTOR FUEL TAX 34,781 34,122 68,903 1,011,000 6.82% MOTOR FUEL TAX EXPENDITURES 15-155-54-00-5495 JOUTSIDE REPAIR&MAINTENANCE 30,929 30,929 0.00% 15-155-56-00-5618 SALT 220,000 0.00% 15-155-56-00-5619 SIGNS 18,000 0.00% 15-155-56-00-5632 PATCHING 50,000 0.00% 15-155-56-00-5633 COLD PATCH 10,600 0.00% 15-155-56-00-5634 HOT PATCH 1,728 1,728 13,000 13.29% 15-155-56-00-5640 REPAIR&MAINTENANCE 0.00% 15-155-60-00-6072 DOWNTOWN PARKING LOT 15,772 15,772 55,000 28.68% 15-155-60-00-6073 GAME FARM ROAD PROJECT 28,200 28,200 150,0 18.80% 15-155-60-00-6074 FOX ROAD PROJECT 00 0.00% ACTUAL EXPENSES BY MONTH(Cash Basis) ar-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January-12 February-12 March-12 April-11 e Totals BUDGET %of Budget 15-155-60-00-6075 RIVER ROAD BRIDGE PROJECT 25,000 15-155-60-00-6079 ROUTE 47 EXPANSION 119,400 TOTAL FUND REVENUES 34,781 34,322 68,903 1,011,000 6.82% TOTALFUNDEXPENDITURES 28,200 48,429 76,629 661,000 11.59% FUND SURPLUS(DEFICIT) 6,581 (14,307) (7,726) 350,000 MUNICIPAL BUILDING REVENUES 16-000-42-00-4214 1 EVELOPMENTFE1, 1,050 300 1,350 5,250 25.71% 16-000-45-00-4501 INVESTMENT EARNINGS 0.00% TOTAL REVENUES:MUNICIPAL BUILDING 1,050 300 1,350 5,250 25.71% TOTAL FUND REVENUES 1,050 300 1,350 5,250 25.71% TOTAL FUND EXPENDITURES FUND SURPLUS(DEFICIT) m 1,0501 300 1 m 1,3501 5,250 POLICE CAPITAL REVENUES 20-000-42-00-4214 IDEVELOPMENT FEES 1,800 300 2,100 10,500 20.00% 20-000-42-00-4217 WEATHER WARNING SIREN FEES 6,000 0.00% 20-000-43-00-4315 DUI FINES 1,127 323 1,450 0.005. 20-000-43-00-434C IMPOUND FEES 184 184 5,000 3.68% 20-000-45-00-450C INVESTMENT EARNINGS 0.00% 20-000-48-00-4845 DONANTIONS 0.00% 20-00048-00-485C MISCELLANEOUS INCOME 0.00% 20-000-48-00-488C SALE OF FIXED ASSETS 1,200 1,200 0.00% TOTAL REVENUES:POLICE CAPITAL 4,127 807 4,934 21,500 22.95% POLICE CAPITAL EXPENDITURES 20-200-54-00-5462 PROFESSIONAL SERVICES 95 95 1,500 6.33% 20-200-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 10,000 0.00% 20-200-56-00-562C OPERATING SUPPLIES 2,500 0.00% 20-200-56-00-5621 SMALL TOOLS&EQUIPMENT 0.00% 20-200-60-00-606C EQUIPMENT 20,000 0.00% 20-200-60-00-607C VEHICLES 20,000 0.00% TOTAL FUND REVENUES 4,127 807 4,934 21,500 22.95% TOTAL FUND EXPENDITURES 9S 95 54,000 0.18% FUND SURPLUS(DEFICIT) 4,032 807 4,839 (32,500) PUBLIC WORKS CAPITAL REVENUES 21-000-42-00-4214 IDEVEL OPMENTFEES 4,400 900 5,300 24,500 21.63% 21-000-44-00-4418 MOWING INCOME 419 3,430 3,849 7,900 48.73% 21-000-45-00-450C INVESTMENT EARNINGS - - - 0.00% 21-000-48-00-485C MISCELLANEOUS INCOME 0.00% 21-000-48-00-488C SALE OF FIXED ASSETS 0.00% 21-000-49-00-4922 TSFR FROM PARK&REC CAPITAL 292 292 583 3,500 16.67% TOTAL REVENUES:PUBLIC WORKS CAPITAL REVENUES 5,111 4,621 9,733 35,900 27.11% PUBLIC WORKS CAPITAL EXPENDITURES 21-211-54-00-5462 PROFESSIONAL SERVICES 980 980 1,800 54.44% 21-211-54-00-5485 RENTAL&LEASE PURCHASE 4,500 0.005. 21-211-56-00-562C OPERATING SUPPLIES 2,000 0.00% 21-211-60-00-602C BUILDINGS&STRUCTURES 0.00% 21-211-60-00-606C EQUIPMENT 2,000 0.00% 21-211-60-00-607C VEHICLES 0.00% 21-211-92-00-800C PRINCIPLE PAYMENT-PW BUILDING 4,587 2,312 6,899 28,254 24.42% 21-211-92-00-805C INTEREST PAYMENT-PW BUILDING 9,129 4,546 13,615 54,041 2530% TOTAL FUND REVENUES 5,111 4,621 9,733 35,900 27.11% TOTAL FUND EXPENDITURES 13,716 7,838 21,554 92,595 23.28% FUND SURPLUS(DEFICIT) m (8,605) (3,216)1 m (11,821) (56,695) PARK&RECREATION CAPITAL REVENUES 22-000-42-00-4215 IPARKS CAPITAL FEES 250 250 1,750 14.29% 22-000-45-00-4500 INVESTMENTEARNINGS 7 7 13 80 16.54% 22-000-46-00-469C REIMBURSEMENT-MISCELLANEOUS 0.00% 22-000-48-00-4845 DONATIONS 0.00% 22-000-48-00-4880 ISALE OF FIXED ASSETS 1,000 0.00% TOTAL REVENUES:PARK&RECREATION CAPITAL 257 1 7 1 263 1 2,830 1 9.30% PARK&RECREATION CAPITAL EXPENDITURES 22-222-60-00-6012 ICRAWFORD PARK TRAIL 0.00% 22-222-60-00-6035 RAINTREE PARK 120,000 0.00% 22-222-60-00-6042 BASEBALL FIELD CONSTRUCTION 0.00% 22-222-60-00-6060 1EQUIPMENT 0.00% 22-222-99-00-9921 TRANSFER TO PW CAPITAL 292 292 583 3,500 16.67% TOTAL FUND REVENUES 257 7 263 2,830 9.30% TOTAL FUND EXPENDITURES 292 292 583 123,500 0.47% FUND SURPLUS(DEFICIT) (35) (285) (320) (120,670) ACTUAL EXPENSES BY MONTH(Cash Basis) ar-to- ate I ANNUAL ACCOUNT NUMBER DESCRIPTION May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January-12 February-12 March-12 April-12 . Totals BUDGET %of Budget CITY-WIDE CAPITAL REVENUES 23-000-41-00-417C STATE GRANTS 231,000 0.00% 23-000-42-00-421C BUILDING PERMITS 17,600 0.00% 23-000-42-00-4213 ENGINEERING CAPITAL FEES 500 500 3,000 16.67% 23-000-42-00-4214 DEVELOPMENT FEES 85 85 20,000 0.43% 23-000-42-00-4222 ROAD CONTRIBUTION FEE 4,000 4,000 20,000 20.00% 23-000-45-00-450C INVESTMENT EARNINGS 2 2 5 0.00% 23-000-06-00-469C REIMB-MISCELLANEOUS 4,469 3,560 8,029 0.00% 23-00048-00-488C SALE OF FIXED ASSETS 0.00% 23-000-49-00-4901 TRANSFER FROM GENERAL 10,417 10,417 20,833 125,000 16.67% TOTAL REVENUES:CITY-WIDE CAPITAL 19,388 14,064 33,452 416,600 CITY-WIDE CAPITAL EXPENDITURES 23-230-54-00-5495 JOUTSIDE REPAIR&MAINTENANCE 0.009/. 23-230-60-00-6041 ISIDEWALK CONSTRUCTION 0.00% 23-230-60-00-607C VEHICLES 4,000 0.00% 23-230-60-00-6078 PALMER COURT 0.00% 23-230-60-00-6092 SAFE ROUTE TO SCHOOL PROJECT 231,000 0.00% 23-230-97-00-8000 I PRINCIPLE PAYMENT-CLARK PROPERTY 125,000 125,000 125,000 100.00% TOTAL FUND REVENUES 19,388 14,064 33,452 416,600 8.03% TOTAL FUND EXPENDITURES 125,000 125,000 360,000 34.72% FUND SURPLUS(DEFICIT) (105,61211 14,064 1 (91,548)1 56,600 DEBT SERVICE REVENUES 42-000-40-00-4006 PROPERTY TAXES-2005A BOND 51,9061 106,836 1 158,742 324,179 48.97% 42-000-42-00-4208 1 RECAPTURE FEES-WATER&SEWER 200 50 250 0.00% 42-000-45-00-450C INVESTMENT EARNINGS 11 11 0.00% 42-000-49-00-4901 ITRANSFER FROM GENERAL 8,645 8,645 17,290 103,740 16.67% TOTAL REVENUES:DEBT SERVICE 60,7511 115,542 1 176,2931 427,919 41.20% DEBT SERVICE EXPENDITURES 42-420-54-00-5498 PAYING AGENT FEES 750 0.00% 42-420-81-00-800C PRINCIPLEPAYMENT-2004C 95,OOC 0.00% 42-420-81-00-805C INTER EST PAYMENT-2004C 4,370 4,370 8,740 50.00% 42-420-82-00-800C PRINCIPLE PAYMENT-2005A 195,000 0.00% 42-420-82-00-805C INTEREST PAYMENT-2005A 64,589 64,589 129,179 50.00% TOTAL FUND REVENUES 60,751 115,542 176,293 427,919 41. % TOTAL FUND EXPENDITURES 68,959 68,959 428,669 16.0920% FUND SURPLUS(DEFICIT) 60,7511 46,583 1 m 107,334 (750) WATER FUND REVENUES 51-000-40-00-4007 PROPERTY TAXES-2007A BOND 21,434 44,117 65,551 133,866 48.97% 51-000-44-00-4424 WATER SALES 3,611 287,381 290,992 1,674,750 17.38% 51-000-44-00-4425 BULK WATER SALES 950 950 500 190.00% 51-000-44-00-443C WATER METER SALES 3,405 780 4,185 25,000 16.74% 51-000-44-00-444C WATER INFASTRUCTURE FEE 305 115,440 115,745 600,000 19.29% 51-000-44-00-445C WATER CONNECTION FEE 16,710 7,400 24,110 125,000 19.29% 51-000-44-00-4473 RECAPTURE FEES 0.00% 51-000-45-00-450C INTEREST INCOME 5 5 2,000 0.23% 51-000-46-00-469C REIMB-MISCELLANEOUS 0.00% 51-000-48-00-4821 BAD DEBT RECOVERY 0.00% 51-00048-00-4822 RENTALINCOME-WATER TOWER 3111 2,524 1 1 1 1 1 1 1 1 1 1 2,835 1 50,000 5.67% 51-00048-00-485C MISCELLANEOUS INCOME 0.00% 51-000-49-00-4952 TRANSFER FROM SEWER 6,989 6,989 13,977 83,863 16.67% 51-000-49-00-4998 CAPITAL CONTRIBUTIONS 0.00% 51-000-49-00-4999 DEVELOPER DONATIONS 0.00% TOTAL REVENUES:WATER FUND 52,764 465,585 518,349 2,694,979 19.23% WATER OPERATIONS EXPENSES 51-510-50-00-5010 ISALARIES&WAGES 26,985 27,920 54,904 365,000 15.04% 51-510-50-00-502C OVERTIME 12,000 0.00% 51-510-5200-5212 RETIREMENT PLAN CONTRIBUTION 2,566 2,655 5,221 37,500 13.92% 51-510-52-00-5214 FICA CONTRIBUTION 1,984 2,055 4,039 28,200 14.32% 51-510-54-00-5412 TRAINING&CONFERENCES 2,000 0.00% 51-510-54-00-5415 TRAVEL&LODGING 1,600 0.00% 51-510-54-00-5426 PUBLISHING&ADVERTISING 1,000 0.00% 51-510-54-00-5429 WATER SAMPLES 4,236 4,236 14,000 30.2656 51-510-54-00-543C PRINTING&DUPLICATING 2,500 0.00% 51-510-54-00-544C TELECOMMUNICATIONS 1,453 1,453 24,500 1 5.93% 51-510-54-00-5452 POSTAGE&SHIPPING 3,226 3,226 22,000 14.66% 51-510-54-00-546C DUES&SUBSCRIPTIONS 435 435 1,250 34.856 51-510-54-00-5462 PROFESSIONAL SERVICES 140 783 922 6,000 15.37% 51-510-54-00-5466 LEGAL SERVICES 2,000 0.00% 51-510-54-00-548C UTILITIES 11,508 11,508 304,500 3.78% 51-510-54-00-5483 JULIE SERVICES 1,780 1,780 3,500 50.87% 51-510-54-00-5485 RENTAL&LEASE PURCHASE 33 33 66 1,000 6.60% 51-510-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 485 485 10,000 4.85% 51-510-54-00-5499 BAD DEBT 6,000 0.00% 51-510-56-00-560C WEARING APPAREL 93 255 348 5,000 6.96% 51-510-56-00-562C OPERATING SUPPLIES 793 793 20,500 3.87% 51-510-56-00-5625 REIMBURSABLE REPAIRS 0.00% 51-510-56-00-563C SMALL TOOLS&EQUIPMENT 64 (64) 2,000 0.00% 51-510-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 1,600 0.00% ACTUAL EXPENSES BY MONTH(Cash Basis( Year-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January 12 February-12 March-12 April-12 TOtals BUDGET %of Budget 51-510-56-00-5638 TREATMENT FACILITY SUPPLIES 20 16,563 16,583 240,000 6.91% 51-510-56-00-564C REPAIR&MAINTENANCE 59 3,335 3,394 9,500 35.73% 51-510-56-00-5664 METERS&PARTS 1,452 465 1,917 46,000 4.17% 51-510-56-00-5695 GASOLINE 2,886 2,886 35,700 8.08% 51-510-60-00-6079 ROUTE 47 EXPANSION 96,000 0.00% 51-510-65-00-650C DEPRECIATION EXPENSE 51-510-66-00-6600 AMMORTIZATION EXPENSE 51-510-75-00-7502 GRANDE RESERVE COURT ORDER 22,989 22,989 45,978 275,868 16.67% 51-510-83-00-8000 PRINCIPLE PAYMENT-2007A 10,000 0.00% 51-510-83-00-805C INTEREST PAYMENT-2007A 61,933 61,933 123,866 50.00% 51-510-85-00-8000 PRINCIPLE PAYMENT-2002 CAP APPREC 285,000 285,000 285,000 100.00% 51-510-86-00-800C PRINCIPLE INTEREST-2003 DEBT CERT 0.00% 51-510-86-00-8050 INTEREST PAYMENT-2003DEBTCERT 16,575 16,575 33,150 50.00% 51-510-87-00-800C PRINCIPLE PAYMENT-2006A 70,000 0.00% 51-510-87-00-805C INTEREST PAYMENT-2006A 44,253 44,253 88,506 50.00% 51-510-88-00-800C PRINCIPLE PAYMENT-20050 90,000 0.00% 51-510-88-00-8050 INTEREST PAYMENT-20050 38,863 38,863 77,725 50.00% 51-510-89-00-8000 PRINCIPLE PAYMENT-IEPA 156300 85,600 0.00% 51-510-89-00-8050 INTEREST PAYMENT-IEPAIS6300 39,430 0.00% 51-510-99-00-9901 ITRANSFER TO GENERAL 7,6551 7,655 1 m 15,311 91,863 16.67% TOTAL FUND REVENUES 52,769 465,585 518,349 2,694,979 19.23% TOTAL FUND EXPENSES 353,274 268,835 622,109 2,571,858 24.19% FUND SURPI.US(DEFICIT) (3G0,510)l 196,750 1 (103,760( 123,121 SEWER FUND REVENUES 52-000-40-00-4009 1 PROPERTY TAXES-20048 BOND 41,414 85,240 126,654 258,650 48.97% 52-000-40-00-4013 PROPERTY TAXES-2005D BOND 221,914 456,751 678,665 1,385,950 48.97% 52-000-40-00-4014 PROPERTY TAXES-2008 BOND 17,627 36,281 53,908 110,090 48.97% 52-000-44-00-4435 SEWER MAINTENANCE FEES 184 123,655 123,838 714,000 17.34% 52-000-44-00-4455 SW CONNECTION FEES-OPERATIONS 800 400 1,200 5,000 24.00% 52-000-44-00-4456 SW CONNECTION FEES-CAPITAL 7,200 3,600 10,800 30,000 36.00% 52-000-44-00-4457 SW CONNECTION FEES-ROB ROY 294,000 294,000 600,000 49.00% 52-000-44-00-4460 SEWER INFRASTRUCTURE FEES 0.00% 52-000-44-00-4465 RIVER CROSSING FEES 0.00% 52-000-45-00-4500 IINTEREST INCOME 97 159 1 256 1,800 1 14.25% 52-000-46-00-4690 IREIMB-MISCELLANEOUS 155 155 0.00% 52-000-48-00-4821 1 NO DE RECOVERY 0.00% 52-000-48-00-485C MISCELLANEOUS INCOME 0.00% 52-000-49-00-4998 ICAPITAL CONTRIBUTIONS 0.00% 52-000-49-00-4999 1 DEVELOPER DONATIONS 0.00% TOTAL REVENUES:SEWER FUND 583,392 706,086 1,289,477 3,105,490 41.52% SEWER OPERATIONS EXPENSES 52-520-50-00-5010 ISALARIES&WAGES 18,877 30,792 49,669 256,000 19.40% 52-520-50-00-5020 OVERTIME 76 76 2,000 3.78% 52-520-52-00-5212 RETIREMENT PLAN CONRTRIBUTION 1,802 2,928 4,731 25,000 18.92% 52-520-52-00-5214 FICA CONTRIBUTION 1,391 2,297 3,688 20,230 18.23% 52-520-54-00-5412 TRAINING&CONFERENCES 500 0.00% 52-520-54-00-5415 TRAVEL&LODGING 500 0.00% 52-520-54-00-5440 TELECOMMUNICATIONS 129 129 1,800 7.15% 52-520-54-00-5462 PROFESSIONAL SERVICES 58 45 104 5,000 2.08% 52-520-54-00-548C UTILITIES 1,331 1,331 40,000 3.33% 52-520-54-00-5485 RENTAL&LEASE PURCHASE 33 33 66 1,000 6.60% 52-520-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 4,000 0.00% 52-520-56-00-560C WEARING APPAREL 93 144 236 2,500 9.45% 52-520-56-00-561C OFFICE SUPPLIES 44 44 2,000 2.19% 52-520-56-00-5613 LIFT STATION MAINTENANCE 702 702 15,000 4.68% 52-520-56-00-562C OPERATING SUPPLIES 425 425 4,500 9.44% 52-520-56-00-5625 REIMBURSABLE REPAIRS 0.00% 52-520-56-00-563C SMALL TOOLS&EQUIPMENT 64 462 526 2,500 21.05% 52-520-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 1,200 0.00% 52-520-56-00-564C REPAIR&MAINTENANCE 119 119 25,000 0.48% 52-520-56-00-5695 GASOLINE 2,886 2,886 27,300 10.57% 52-520-56-00-5699 BAD DEBT 1,500 0.00% 52-520-60-00-6079 ROUTE 47 EXPANSION 24,600 0.00% 52-520-65-00-6500 DEPRECIATION EXPENSE 0.00% 52-520-66-00-660C AMMORT17ATION EXPENSE 0.00% 52-520-75-00-750C LENNAR-RAINTREE SWR RECAPTURE 30,996 30,996 30,996 100.00% 52-520-84-00-8000 PRINCIPLE PAYMENT-20048 160,000 0.00% 52-520-84-00-805C INTEREST PAYMENT-2004B 49,325 49,325 98,650 50.00% 52-520-90-00-800C PRINCIPLE PAYMENT-2003IRR8 95,000 0.00% 52-520-90-00-805C INTEREST PAYMENT-2003IRRB 70,143 0.00% 52-520-91-00-8000 PRINCIPLE PAYMENT-2004A 170,000 0.00% 52-520-91-00-805C INTEREST PAYMENT-2004A 12,046 12,046 24,093 50.00% 52-520-93-00-8000 PRINCIPLE PAYMENT-20050 1,000,000 0.00% 52-520-93-00-805C INTERESTPAYMENT-20050 192,975 192,975 385,950 50.00% 52-520-94-00-8000 PRINCIPLE PAYMENT-2008 REF 0.00% 52-520-94-00-805C INTEREST PAYMENT-2008 REF 55,045 55,045 110,090 50.00% 52-520-95-00-8000 PRINCIPLE PAYMENT-IEPA0130D 36,635 0.00% 52-520-95-00-8050 INTEREST PAYMENT-IEPA01300 2,344 0.00% 52-520-96-00-8000 PRINCIPLE PAYMENT-IEPA115300 86,329 0.00% 52-520-96-00-8050 INTEREST PAYMENT-IEPA 115300 20,721 0.00% 52-520-99-00-9901 TRANSFER TO GENERAL 6,920 6,920 13,841 83,045 16.67% 52-520-99-00-9952 TRANSFER TO WATER 6,989 6,989 13,977 83,863 16.67% TOTAL FUND REVENUES 583,392 706,OBfi 1,289,477 3,105,490 41.52% TOTAL FUND EXPENSES 67,299 365,636 432,935 2,919,989 14.83% ACTUAL EXPENSES BY MONTH(Cash Basis) ar-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January-32 February-12 March-12 April-11 Tot.ls BUDGET %of Budget FUND SURPLUS(DEFICIT) 516,093 340,449 856,542 185,501 LAND CASH REVENUES 72-000-41-00-417C STATE GRANTS 400,000 0.00% 72-000-45-00-450C INVESTMENT EARNINGS 0.007 72-000-47-00-4700 WHITE OAK UNIT 1&2 0.00% 72-000-47-00-4701 WHITE OAK UNIT 3&4 0.00% 72-000-47-00-4702 WHISPERING MEADOWS(K HILL) 312,655 312,655 0.00% 72-000-47-00-4703 AUTUMN CREEK 3,077 3,077 20,000 15.38% 72-00047-00-4704 BLACKBERRY WOODS 500 0.00% 72-000-47-00-4705 BRISTOL BAY 0.00% 72-000-47-00-4706 CALEDONIA 0.00% 72-000-47-00-4707 RIVER'S EDGE 0.00% 72-000-47-00-4708 COUNTRY HILLS 0.00% 72-000-47-00-4709 BRIARWOOD 0.00% 72-000-47-00-4710 FOXFIELD II PARK 0.00% 72-000-47-00-4711 FOX HIGHLANDS 0.00% 72-000-47-00-4712 GREENBRIAR 0.00% 72-000-47-00-4713 PRESTWICK 0.00% 72-000-47-00-4714 HE ART LAND CIRCLE 0.00% 72-000-47-00-4715 KYLN'S RIDGE 0.00% 72-000-47-00-4716 IMONTALBANO HOMES I I I 0.00% 72-000-47-00-4717 1PRAIRIE GARDEN 0.00% 72-000-47-00-4718 SUNFLOWER 0.00% 72-000-47-00-4719 VILLASAT THEPRESERVE 0.00% 72-00047-00-4720 IWOODWORTH 0.00% 72-000-47-00-4721 WILDWOOD 0.00% TOTAL REVENUES:LAND CASH 315,732 315,732 420,500 75.08% LAND CASH EXPENDITURES 72-720-60-00-6029 ICALEDONIA 0.00% 72-720-60-00-6031 HEARTLAND CIRCLE 0.00% 72-720-60-00-6032 MOSIER HOLDING COSTS 11,000 0.00% 72-720-60-00-6036 RAINTREE VILLAGE 59,675 28,778 88,453 270,000 32.76% 72-720-60-00-6037 GRANDE RESERVE BIKE TRAIL 0.00% 72-720-60-00-6038 WHEATON WOODS NATURE TRAIL 0.00% 72-720-60-00-6039 BRISTOL BAY-PARKA 0.00% 72-720-60-00-6043 BRISTOL BAY REGIONAL PARK 0.00% 72-720-60-00-6044 HOPKINS PARK 72-720-60-00-6045 RIVERFRONT PARK RA 0.00% 72-720-99-00-9901 TRANSFER TO GENERAL 1,674 1,674 3,347 20,084 16.67% TOTAL FUND REVENUES 315,732 315,732 420,500 75.08% TOTAL FUND EXPENDITURES 61,349 30,452 91,800 301,084 30.49% FUND SURPLUS(DEFICIT) 254,383 1 (30,452)1 223,932 1 119,41fi PARK&RECREATION REVENUES 79-000-41-00-4182 IMISC INTERGOVERNMENTAL 0.00% 79-000-44-00-4402 SPECIAL EVENTS 1,320 1,320 0.00% 79-000-44-00-4403 CHILD DEVELOPMENT 5,557 3,653 9,210 0.00% 79-000-44-00-4404 ATHLETICS AND FITNESS 18,466 12,412 30,878 0.00% 79-000-44-00-444C PROGRAM FEES 26,232 3,125 29,357 180,000 16.31% 79-000-44-00-4441 CONCESSION REVENUE 14,297 16,042 30,339 30,000 101.13% 79-000-44-00-4443 HOMETOWN DAYS 4,250 350 4,600 135,000 3.41% 79-000-45-00-450C INVESTMENT EARNINGS 14 16 29 300 9.76% 79-00046-00-468C REIMB-LIABILITY INSURANCE 0.00% 79-00046-00-4690 I REIMS-MISCELLANEOUS 2,916 70 1 2,986 0.00% 79-000-48-00-4820 RENTALINCOME 38,944 400 39,344 86,000 45.75% 79-000-48-00-4825 1 FACILITY AND PARK RENTALS 14,374 6,681 21,055 0.00% 79-000-48-00-4846 SPONSORSHIPS/DONANTIONS 490 200 690 11,200 6.16% 79-000-48-00-4850 IMISCELLANEOUS INCOME 18 486 504 500 100.80% 79-000-49-00-4901 ITRANSFER FROM GENERAL 61,059 61,059 122,118 732,710 16.67% TOTAL REVENUES:PARK&RECREATION 186,617 105,814 292,431 1,175,710 24.87% PARKS DEPARTMENT EXPENDITURES 79-790-50-00-5010 ISALARIES&WAGES 28,371 27,641 56,012 370,000 15.14% 79-790-50-00-5015 PART-TIME SALARIES 763 4,309 5,072 17,OOC 29.83% 79-790-50-00-502C OVERTIME 3,000 0.00% 79-790-52-00-5212 RETIREMENT PLAN CONTRIBUTION 2,698 2,629 5,327 37,730 14.12% 79-790-52-00-5214 FICA CONTRIBUTION 2,164 2,379 4,543 30,000 15.14% 79-790-52-00-5216 GROUP HEALTH INSURANCE 0.00% 79-790-52-00-5625 REIMBURSABLE REPAIRS 0.00% 79-790-54-00-5412 TRAINING&CONFERENCES 100 100 2,600 3.85% 79-790-54-00-5415 TRAVEL&LODGING 750 0.00% 79-790-54-00-544C TELECOMMUNICATIONS 323 323 3,780 8.55% 79-790-54-00-5462 PROFESSIONAL SERVICES 4,500 0.00% 79-790-54-00-5466 LEGAL SERVICES 4,000 0.00% 79-790-54-00-5485 RENTAL&LEASE PURCHASE 178 178 356 2,500 14.24% 79-790-56-00-5460 DUES AND SUBSCRIPTIONS 0.00% 79-790-56-00-560C WEARING APPAREL 336 336 4,100 8.20% 79-790-56-00-5610 OFFICE SUPPLIES 47 47 300 15.64% 79-790-56-00-5620 OPERATING SUPPLIES 3,417 3,417 22,500 15.19% 79-790-56-00-563C SMALLTOOLS&EQUIPMENT 2,25C 0.00% 79-790-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 500 0.00% 79-790-56-00-5640 REPAIR&MAINTENANCE 11,588 11,588 48,OOC 24.14% TOTAL EXPENSES:PARKS DEPARTMENT 34,174 52,947 87,121 553,510 15.74% ACTUAL EXPENSES BY MONTH(Cash Basis) ar-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION May-Si June-11 1u11-11 August-11 September-11 October-11 November-11 December-11 January-12 February-12 March-12 April-l2 •Totals BUDGET %of Budget RECREATION DEPARTMENT EXPENDITURES 79-795-50-00-501C SALARIES&WAGES 14,458 16,152 30,609 190,000 16.11% 79-795-50-00-5015 PART-TIME SALARIES 1,406 637 2,043 22,000 9.29% 79-795-50-00-5020 OVERTIME 300 0.00% 79-795-50-00-5045 CONCESSION WAGES 2,868 3,059 5,926 10,00C 59.26% 79-795-50-00-5046 PRE-SCHOOL WAGES 3,410 1,557 4,967 20,000 24.83% 79-795-50-00-5052 INSTRUCTORS WAGES 1,195 2,182 3,377 16,000 21.11% 79-795-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,768 1,939 3,707 22,000 16.85% 79-795-52-00-5214 FICA CONTRIBUTION 1,763 1,794 3,557 20,000 17.79% 79-795-52-00-5216 GROUP HEALTH INSURANCE 150 150 0.00% 79-795-54-00-5412 TRAINING&CONFERENCES 2,000 0.00% 79-795-54-00-5415 TRAVEL&LODGING 1,000 0.00% 79-795-54-00-5426 PUBLISHING&ADVERTISING 27,000 0.00% 79-795-54-00-544C TELECOMMUNICATIONS 253 253 4,300 5.88% 79-795-54-00-5447 SCHOLARSHIPS 1,000 0.00% 79-795-54-00-5452 POSTAGE&SHIPPING 8,000 0.00% 79-795-54-00-5462 PROFESSIONAL SERVICES 2,278 5,479 7,757 53,000 14.64% 79-795-54-00-548C UTILITIES 1,811 1,811 22,000 8.23% 79-795-54-00-5485 RENTAL&LEASE PURCHASE 4,500 0.00% 79-795-54-00-5490 DUES&SUBSCRIPTIONS 1,500 0.00% 79-795-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 1,000 0.00% 79-795-54-00-5496 PROGRAM REFUNDS 480 1,005 1,485 7,000 21.21% 79-795-56-00-560C WEARING APPAREL 79-795-56-00-5602 HOMETOWN DAYS SUPPLIES 1,629 1,629 100,000 1.63% 79-795-56-00-5606 PROGRAM SUPPLIES 2,500 2,797 5,297 55,000 9.63% 79-795-56-00-5607 CONCESSION SUPPLIES 1,561 4,882 6,444 18,000 35.80% 79-795-56-00-5610 OFFICE SUPPLIES 120 70 190 3,000 6.34% 79-795-56-00-562C OPERATING SUPPLIES 966 1,121 2,087 5,500 37.95% 79-795-56-00-563C SMALLTOOLS&EQUIPMENT 2,000 0.00% 79-795-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 500 0.00% 79-795-56-00-564C REPAIR&MAINTENANCE 34 34 2,000 1.72% 79-795-56-00-5645 BOOKS&PUBLICATIONS 100 0.00% 79-795-56-00-569C SUPPLIES-GRANT REIMBURSABLE 500 0.00% 79-795-56-00-5695 GASOLINE 44 44 3,000 1.47% 79-795-70-00-7799 CONTINGENCIES 0.00% 79-795-99-00-9901 TRANSFER TO GENERAL 0.00% TOTAL EXPENDITURES:RECREATION DEPARTMENT 36,402 1 44,966 81,369 622,200 1 13.08% TOTAL FUND REVENUES 186,617 105,814 292,431 1,175,710 24.87% TOTAL FUND EXPENDITURES 70,576 68 97,913 1 ,489 1,175,710 14.33% FUND SURPLUS(DEFICIT) 116,040 7,901 123,941 RECREATION CENTER REVENUES 80-000-44-00-444C PROGRAM FEES 7,814 4,553 12,367 125,000 9.89% 80-000-44-00-4441 CONCESSION REVENUE 975 900 1,875 12,500 15.00% 80-000-44-00-4444 MEMBERSHIP FEES 42,167 41,211 83,378 410,000 20.34% 80-000-44-00-4445 GUEST FEES 580 723 1,303 3,500 37.23% 80-000-44-00-4446 SWIM CLASS FEES 5,577 6,106 11,683 35,000 33.38% 80-000-44-00-4447 PERSONAL TRAINING FEES 336 816 1,152 15,000 7.68% 80-000-44-00-4448 TANNING SESSION FEES 575 129 704 2,500 28.16% 80-000-45-00-4500 INTEREST INCOME 0.00% 80-000-48-00-482C RENTAL INCOME 6 31 37 5,000 0.74% 80-000-48-00-4845 DONANTIONS 230 230 2,000 11.50% 80-000-48-00-4850 MISCELLANEOUS INCOME 37 32 69 500 13.70% TOTAL REVENUES:RECREATION CENTER REVENUES 58,296 54,501 112,797 611,000 18.46% RECREATION CENTER EXPENSES 80-800-50-00-5010 SALARIES&WAGES 2,631 4,509 7,140 34,200 20.88% 80-800-50-00-5015 PART-TIME SALARIES 7,934 8,337 16,270 98,000 16.60% 80.800-50-00-502C OVERTIME 500 0.00% 80-800-50-00-5046 PRE-SCHOOLWAGES 4,092 105 4,197 35,000 11.99% 80-800-50-00-5052 INSTRUCTORS WAGES 3,555 4,350 7,906 65,000 12.16% 80-800-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,043 956 1,999 10,000 19.99% 80-800-52-00-5214 FICA CONTRIBUTION 1,382 1,318 2,700 17,708 0.00% 80-800-54-00-5412 TRAINING&CONFERENCES 0.00% 80-800-54-00-5415 TRAVEL&LODGING 200 0.00% 80-800-54-00-5426 PUBLISHING&ADVERTISING 1,500 0.00% 80-800-54-00-544C TELECOMMUNICATIONS 394 394 3,600 10.95% 80-800-54-00-5447 SCHOLARSHIPS 900 0.00% 80-800-54-00-5452 POSTAGE&SHIPPING 600 0.00% 80-800-54-00-5462 PROFESSIONAL SERVICES 853 3,090 3,943 17,700 22.28% 80-800-54-00-548C UTILITIES 3,746 3,746 49,000 7.65% 80-800-54-00-5485 RENTAL&LEASE PURCHASE 36,198 18,198 54,396 226,500 24.02% 80-800-54-00-5490 DUES&SUBSCRIPTIONS 200 0.00% 80-800-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 21,200 0.00% 80.800-54-00-5496 PROGRAM REFUNDS 318 664 982 5,500 17.85% 80-800-54-00-5497 PROPERTY TAX PAYMENT 30,751 30,751 53,680 57.29% 80-800-56-00-560C WEARING APPAREL 0.00% 80-800-56-00-5606 PROGRAM SUPPLIES 36 611 646 17,000 3.80% 80-800-56-00-5607 CONCESSION SUPPLIES 889 889 6,300 14.12% 80-800-56-00-561C OFFICE SUPPLIES 37 37 2,600 LAN 80-800-56-00-562C OPERATING SUPPLIES 287 270 557 6,200 8.98% 80-800-56-00-5630 SMALL TOOLS&EQUIPMENT 6,300 0.005 80-800-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 1,000 0.00% 80-800-56-00-5640 REPAIR&MAINTENANCE 362 362 11,000 3.29% 80-800-56-00-5645 IBOOKS&PUBLICATIONS 50 0.00% 80-800-56-00-5695 IGASOLINE 44 1 1 1 1 44 300 14.71% ACTUAL EXPENSES BY MONTH(Cash Basis) Year-to- ate ACCOUNTNUMBER DESCRIPTION May-11 June-11 July-11 August-11 September-11 October-11 November-11 December-11 January-12 February-12 March-12 April-12 Totals BUDGET %of Budget TOTAL FUND REVENUES 58,29fi 54,501 112,797 611,000 18.467 TOTAL FUND EXPENSES 69,078 47,882 136,960 691,738 19.80% FUND SURPLUS(DEFICIT) (30,782) 6,620 (24,163) (80,738) LIBRARY REVENUES 82-000-40-00-4005 PROPERTY TAXES-LIBRARY 108,835 221,702 330,536 675,000 48.97% 82-000-40-00-4015 PROPERTY TAXES-DEBT SERVICE 115,416 237,557 352,973 720,800 48.97% 82-000-41-00-412C PERSONAL PROPERTY TAX 755 755 5,000 15.10% 82-000-41-00-417C STATE GRANTS 13,500 0.00% 82-00042-00-4211 DEVELOPMENT FEES-BOOKS 875 875 0.00% 82-000-42-00-4212 DEVELOPMENT FEES-BUILDING 875 875 0.00% 82-000-43-00-433C LIBRARY FINES 1,397 1,377 2,774 20,000 13.87% 82-000-44-00-4401 LIBRARY SUBSCRIPTION CARDS 1,306 1,234 2,540 17,000 14.94% 82-000-44-00-4422 COPY FEES 320 332 652 3,500 18.63% 82-000-44-00-444C PROGRAM FEES 20 23 43 0.009/. 82-000-45-00-4500 INVESTMENT EARNINGS 14 27 41 2,000 2.05% 82-000-46-00-4682 REIMBURSEMENT-INSURANCE 0.00% 82-000-46-00-469C REIMBURSEMENT-MISCELLANEOUS 0.00% 82-000-48-00-482C RENTAL INCOME 111 140 251 2,500 10.04% 82-000-48-00-4824 DVD RENTAL INCOME 441 601 1,042 0.00% 82-000-48-00-4832 MEMORIALS 1,000 400 1,400 3,500 40.00% 82-000-48-00-4850 MISCELLANEOUS INCOME 7 40 47 D.00% 82-000-48-00-4881 SALE OF BOOKS 500 0.00% TOTAL REVENUES:LIBRARY 230,616 464,188 694,804 1,463,300 47.48% LIBRARY EXPENDITURES 82-820-50-00-5010 ISALARIES&WAGES 34,824 34,104 68,927 475,000 14.51% 82.820-52-00-5212 RETIREMENT PLAN CONTRIBUTION 1,775 1,836 3,610 22,500 16.05% 82-820-52-00-5214 FICA CONTRIBUTION 2,608 2,553 5,162 40,000 12.90% 82-820-52-00-5216 GROUP HEALTH INSURANCE 7,295 7,295 70,000 10.42% 82-820-52-00-5222 GROUP LIFE INSURANCE 63 63 2,000 3.17% 82-820-52-00-5223 DENTAL&VISION INSURANCE 575 575 6,000 9.59% 82-820-54-00-5412 TRAINING&CONFERENCES 800 0.00% 82-820-54-00-5415 TRAVEL&LODGING 500 0.00% 82-820-54-00-5423 PUBLIC RELATIONS 1,000 0.00% 82-820-54-00-5426 PUBLISHING&ADVERTISING S00 0.00% 82-820-54-00-544C TELECOMMUNICATIONS 694 694 5,000 13.87% 82-820-54-00-5452 POSTAGE&SHIPPING 2,000 0.00% 82-820-54-00-546C DUES&SUBSCRIPTIONS 20,000 0.00% 82-820-54-00-5462 PROFESSIONAL SERVICES 1,746 1,746 44,000 3.97% 82-820-54-00-5466 LEGAL SERVICES 5,000 0.00% 82-820-54-00-548C UTILITIES 15,000 0.00% 82-820-54-00-5485 RENTAL&LEASE PURCHASE 3,000 0.00% 82.820-54-00-5489 BUILDING-DEVELOPMENT FEES 3,130 3,130 #DIV/0! 82-820-54-00-5495 OUTSIDE REPAIR&MAINTENANCE 20,000 0.00% 82-820-56-00-5610 OFFICE SUPPLIES 1,053 1,053 10,000 10.53% 82-820-56-00-562C OPERATING SUPPLIES 631 631 16,000 3.95% 82-820-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 2,000 0.00% 82-820-56-00-564C REPAIR&MAINTENANCE 3,000 0.00% 82-820-56-00-5670 COMMUNITY RELATIONS 162 162 10,000 1.62% 82-820-56-00-5671 LIBRARY PROGRAMMING NDIV/01 82-820-56-00-5676 EMPLOYEE RECOGNITION 0.00% 82-820-56-00-568C ADULT BOOKS 15,000 0.00% 82-820-56-00-5681 JUVENILE BOOKS 30,000 0.00% 82-820-56-00-5682 REFERENCE BOOKS 20,000 0.00% 82-820-56-00-5683 AUDIO BOOKS 5,000 0.00% 82-820-56-00-5684 COMPACT DISCS&OTHER MUSIC 3,000 0.00% 82-820-56-00-5685 VIDEOS 5,000 0.00% 82-820-56-00-5686 BOOKS-DEVELOPMENT FEES 0.00% 82.820-56-00-5698 MEMORIALS&GIFTS 3,500 0.00% 82-820-56-00-5699 IMISCELLANEOUS 1,000 0.00% 82-820-70-00-7799 1CONTINGENCIES 10,000 0.00% 82-820-83-00-800C I PRINCIPLE PAYMENT-2001B 175,000 0.00% 82-820-83-00-805C IN PAYMENT-20058 158,063 158,063 316,125 50.00% 82-820-8400-8000 IPRiNCIPLE PAYMENT-2006 175,000 82-820-84-00-8050 I INTEREST PAYMENT-2006 27,338 27,338 54,675 50.00% TOTAL FUND REVENUES 230,616 464,188 694,804 1,463,300 47.48% TOTAL FUND EXPENDITURES 39,207 239,243 278,450 1,586,600 17.55% FUND SURPLUS(DEFICIT) 191,409 224,945 416,355 (123,300) ACTUAL EXPENSES BY MONTH(Cash Basis) ar-to- ate ANNUAL ACCOUNT NUMBER DESCRIPTION E May-11 June-11 JuIol August-11 September-11 October-11 November-11 December-11 January-12 February-12 March-12 April-1i .Totals BUDGET %of Budget FOX INDUSTRIALTIF REVENUES 85-000-40-00-4085 PROPERTY TAXES-FOX INDUS TI 22,114 111,327 133,441 0.00% 85-000-45-00-4500 INVESTMENT EARNINGS 9 9 0.00% TOTAL REVENUE S:FOX INDUSTRIALTIF 22,114 111,33fi 133,450 0.00% FOX INDUSTRIAL TIF EXPENDITURES 85-850-54-00-5420 ADMINISTRATIVE FEES 214 214 0.00% 85-850-98-00-8000 PRINCIPLE PAYMENT-2002 0.00% 85-850-98-00-8050 INTEREST PAYMENT-2002 3,391 3,391 0.00% 85-850-99-00-9999 ITRANSFER OUT 0.00% TOTAL FUND REVENUES 22,114 111,336 133,450 0.00% TOTAL FUND EXPENDITURES 3,391 214 3,605 FUND SURPLUS(DEFICIT) 18,723 111,122 129,845 COUNTRYSIDE TIF REVENUES 87-000-40-00-4087 PROPERTY TAXES-COUNTRYSIDE TI 6,250 0.00% 87-000-45-00-450, INVESTMENT EARNINGS 36 105 141 4,000 3.54% TOTAL REVENUES:COUNTRYSIDETIF 36 105 141 10,250 3.54% COUNTRYSIDE TIF EXPENDITURES 87-870-54-00-5420 ADMINISTRATIVE FEES 93 93 1,000 9.25% 87-870-54-00-5498 PAYING AGENT FEES 400 0.00% 87-870-80-00-800C PRINCIPLE PAYMENT-2005 175,000 0.00% 87-870-80-00-8050 JINTEREST PAYMENT-2005 65,571 65,571 131,143 1 50.00% TOTAL FUND REVENUES 36 105 141 10,250 1.38% TOTAL FUND EXPENDITURES 65,571 93 65,664 307,543 21.35% FUND SURPLUS(DEFICIT) (65,535) l3 (65,522) (297,293) DOWNTOWN TIF REVENUES 88-000-40-00-4088 PROPERTY TAXES-DOWNTOWN TIF 4,450 38,640 43,090 88,550 48.66% 88-000-45-00-4500 INVESTMENT EARNINGS 3 3 0.00% TOTALREVENUES:DOWNTOWN TIF 4,450 1 38,643 1 m 43,092 88,550 48.66% DOWNTOWN TIF EXPENDITURES 88-880-54-00-542C ADMINISTRATIVE FEES 879 879 1,500 58.58% 88-880-54-00-5462 PROFESSIONAL SERVICES 0.00% 88-880-60-00-6079 ROUTE 47 EXPANSION 515,340 TOTAL FUND REVENUES 4,450 38,643 43,092 88;550 48.66% TOTAL FUND EXPENDITURES 879 879 516,840 0.17% FUND SURPLUS(DEFICIT) 4,450 37,764 42,214 (428,290) UNITED CITY OF YORKVILLE STATEMENT OF REVENUES,EXPENDITURES AND TRANSFERS For the Period Ending June 30,2011* %of June YTD YTD to FY 2012 Actual Actual Budget Budget GENERAL FUND(01) Revenues Local Taxes Property Taxes 873,122 1,297,330 48.7% 2,665,964 Municipal Sales Tax 210,574 379,666 14.9% 2,550,000 Non-Home Rule Sales Tax - - 0.0% - Electric Utility Tax 136,433 136,433 23.1% 591,600 Natural Gas Tax 102,673 102,673 35.3% 290,700 Telephone Utility Tax 40,525 83,425 15.6% 535,500 Cable Franchise Fees - 56,358 27.6% 204,000 Hotel Tax 4,014 6,948 22.7% 30,600 Amusement Tax 252 433 0.3% 134,000 Admissions Tax - - 0.0% 190,000 Business District Tax 25,565 44,018 14.7% 300,000 Auto Rental Tax 909 1,596 22.4% 7,140 Para Mumel Tax 3,793 6,526 43.5% 15,000 Total Taxes 1,397,859 2,115,406 28.2% 7,514,504 Intergovernmental State Income Tax 142,890 142,890 10.7% 1,340,000 Local Use Tax 21,844 41,479 19.8% 210,000 Road&Bridge Tax 54,363 82,467 50.2% 164,296 Personal Property Replacement Tax - 2,278 17.5% 13,000 Other Intergovernmental - 4,052 36.2% 11,200 Total Intergovernmental 219,098 273,167 15.7% 1,738,496 Licenses and Permits Liquor Licenses 938 1,948 4.9% 40,000 Building Permits 9,423 30,816 25.2% 122,400 Other Permits/Licenses 194 817 25.1% 3,250 Total Licenses&Permits 10,556 33,581 20.3% 165,650 Fines and Forfeits Traffic Fines 6,470 20,926 22.0% 95,000 Administrative Adjudication 1,791 3,607 12.0% 30,000 Police Tows 7,500 15,500 17.2% 90,000 Total Fines and Forfeits 15,761 40,033 18.6% 215,000 Charges for Services Garbage Surcharge 203,755 203,879 17.4% 1,175,000 Collection Fee-YBSD - - 0.0% 123,932 Other Services 350 350 7.0% 5,000 Total Charges for Services 204,105 204,229 15.7% 1,303,932 Investment Earnings 89 92 4.6% 2,000 Reimb/Miscellaneous/Other Financing Sources Reimb-Legal Expenses 1,043 7,075 59.0% 12,000 Reimb-Health Ins Contributions 18,887 35,035 13.2% 264,800 Other Reimbursements 1,219 39,888 62.3% 64,000 Rental Income 545 1,645 18.3% 9,000 Miscellaneous Income 191 346 4.9% 7,000 Transfers In 16,249 32,499 16.7% 194,992 Total Miscellaneous 38,133 116,488 21.1% 551,792 Total Revenues and Transfers 1,885,600 2,782,996 24.2% 11,491,374 UNITED CITY OF YORKVILLE STATEMENT OF REVENUES,EXPENDITURES AND TRANSFERS For the Period Ending June 30,2011* %of June YTD YTD to FY 2012 Actual Actual Budget Budget GENERAL FUND(01) Expenditures Administration 37,236 62,728 12.8% 489,551 Salaries 20,987 41,712 15.3% 273,395 Benefits 3,289 6,458 14.3% 45,106 Contractual Services 10,665 12,192 7.9% 155,100 Supplies 2,295 2,365 14.8% 15,950 Finance 20,015 37,258 11.6% 320,505 Salaries 13,604 26,417 15.1% 175,000 Benefits 2,186 4,535 14.9% 30,505 Contractual Services 3,882 5,963 5.5% 109,250 Supplies 343 343 6.0% 5,750 Community Relations 333 4,370 8.0% 54,950 Salaries - 3,750 11.5% 32,500 Benefits - 287 11.5% 2,500 Contractual Services 333 333 2.0% 16,550 Supplies - - 0.0% 3,400 Engineering 65,450 80,704 31.9% 253,136 Salaries 55,188 68,117 39.5% 172,500 Benefits 9,441 11,631 39.1% 29,736 Contractual Services 813 950 2.3% 42,100 Supplies 7 7 0.1% 8,800 Police 323,725 559,720 18.5% 3,018,230 Salaries 165,350 317,114 15.5% 2,052,500 Overtime 6,898 13,868 18.5% 75,000 Benefits 132,991 203,855 36.3% 560,900 Contractual Services 8,122 14,131 7.4% 190,010 Supplies 10,364 10,752 7.7% 139,820 Community Development 32,614 53,467 14.2% 375,610 Salaries 26,622 44,372 18.5% 240,000 Benefits 4,489 7,456 16.7% 44,535 Contractual Services 1,487 1,623 1.9% 84,450 Supplies 16 16 0.2% 6,625 PW-Street Ops&Sanitation 146,660 169,154 9.4% 1,796,870 Salaries 19,377 38,366 14.2% 270,000 Overtime - - 0.0% 15,000 Benefits 3,280 6,495 12.1% 53,500 Contractual Services 113,557 113,590 8.5% 1,336,020 Supplies 10,447 10,704 9.0% 118,350 Capital Outlay - - 0.0% 4,000 Administrative Services 301,023 681,204 15.4% 4,418,640 Salaries 350 350 7.0% 5,000 Benefits 177,899 459,056 26.3% 1,743,350 Contractual Services 42,654 61,556 3.6% 1,693,840 Supplies - - 0.0% 5,000 Contingencies - - 0.0% 10,000 Transfers Out 80,121 160,242 16.7% 961,450 Total Expenditures and Transfers 927,055 1,648,606 15.4% 10,727,492 Variance 958,545 1,134,390 763,882 * June represents 17%of the fiscal year c/Ty Reviewed By: Agenda Item Number ii J� a 0-0 Legal ❑ NB #2 II Finance ■ EST. , � 1836 Engineer ❑ Tracking Number y City Administrator ❑ Consultant ❑ ADM 2011-32 dal County El`E Agenda Item Summary Memo Title: Treasurer's Report for June 2011 Meeting and Date: Administration Committee 7/21/11 Synopsis: Council Action Previously Taken: Date of Action: Action Taken: Item Number: Type of Vote Required: Council Action Requested: Submitted by: Rob Fredrickson Finance Name Department Agenda Item Notes: UNITED CITY OF YORKVILLE TREASURER'S REPORT-for the period ended June 30,2011 Cash Basis Revenues %of YTD Expenses %of YTD June Revenues YTD Revenues Budget Budget June Expenses YTD Expenses Budget Budget General Fund O1-General 1,885,600 2,782,996 11,491,374 24% 927,055 1,648,606 10,727,492 15% Special Revenue Funds 15-Motor Fuel Tax 34,122 68,903 1,011,000 7% 48,429 76,629 661,000 12% 79-Parks and Recreation 105,814 292,431 1,175,710 25% 97,913 168,490 1,175,710 14% 72-Land Cash - 315,732 420,500 75% 30,452 91,800 301,084 30% 85-Fox Industrial TIF 111,336 133,450 - 0% 214 3,605 - 0% 87-Countryside TIF 105 141 10,250 1% 93 65,664 307,543 21% 88-Downtown TIF 38,643 43,092 88,550 49% 879 879 516,840 0% 11-Fox Hill SSA 1,273 1,871 3,786 49% 614 614 3,804 16% 12-Sunflower SSA 2,284 3,646 7,530 48% 1,309 1,309 9,078 14% Debt Service Fund 42-Debt Service 115,542 176,293 427,919 41% 68,959 68,959 428,669 16% Capital Funds 16-Municipal Building 300 1,350 5,250 26% - - - - 22-Park and Recreation Capital 7 263 2;830 9% 292 583 123,500 0% 20-Police Capital 807 4,934 21,500 23% - 95 54,000 0% 21-Public Works Capital 4,621 9,733 35,900 27% 7,838 21,554 92,595 23% 23-City-Wide Capital 14,064 33,452 416,600 8% - 125,000 360,000 35% Enterprise Funds 51-Water 465,585 518,349 2,694,979 19% 268,835 622,109 2,571,858 24% 52-Sewer 706,086 1,289,477 3,105,490 42% 365,636 432,935 2,919,989 15% 80-Recreation Center 54,501 112,797 611,000 18% 47,882 136,961 691,738 20% Library Fund 82-Library 464,188 694,804 1,463,300 47% 239,243 278,450 1,586,600 18% Total Funds 4,004,876 6,483,716 22,993,468 2,105,641 3,744,241 22,531,500 As Treasurer of the United City of Yorkville,I hereby attest,to the best of my knowledge,that the information contained in this Treasurer's Report is accurate as of the date detailed herein. Further information is available in the Finance Department. William Powell,Treasurer Prepared by the Finance Department c/Ty Reviewed By: Agenda Item Number ii J� a 0-0 Legal ❑ NB #3 II Finance ■ EST. , � 1836 Engineer ❑ Tracking Number y City Administrator ■ Consultant ❑ ADM 2011-33 dal County El`E Agenda Item Summary Memo Title: Cash Statements for May 2011 Meeting and Date: Administration Committee 7/21/11 Synopsis: Council Action Previously Taken: Date of Action: Action Taken: Item Number: Type of Vote Required: Council Action Requested: Submitted by: Rob Fredrickson Finance Name Department Agenda Item Notes: UNITED CITY OF YORKVILLE CASH AND INVESTMENT SUMMARY-as of May 31,2011 CASH Cash-Operations Cash-Special Purpose IL Funds IL Funds Operation Aurora Special Purpose Grand Old Second Castle E-Pay Corp Acct Totals Old Second Castle Earthmovers Totals Totals General Fund 01-General (1,888,527) 369 394,466 (1,493,693) 1,019 41,434 123 42,576 (1,451,116) Special Revenue Funds 15-Motor Fuel Tax - - - 658,929 - 658,929 658,929 72-Land Cash (412,223) - (412,223) - - (412,223) 85-Fox Industrial TIF 566,398 22,114 588,513 - - 588,513 87-Countryside TIF 17,428 1,161,079 1,178,507 934,507 934,507 2,113,014 88-Downtown TIF 209,760 4,450 214,210 - - 214,210 11-Fox Hill SSA 17,942 599 18,541 18,541 12-Sunflower SSA 11,922 1,362 13,284 13,284 Debt Service Fund 42-Debt Service 17,498 51,906 69,404 69,404 Capital Funds 16-Municipal Building (585,974) - (585,974) (585,974) 20-Police Capital 196,530 196,530 196,530 21-Public Works Capital 99,950 99,950 - - 99,950 23-City-Wide Capital (104,981) - (104,981) 55,773 55,773 (49,208) Enterprise Funds 51-Water 204,441 655 21,434 226,530 - - 226,530 52-Sewer 1,858,816 230 679,968 2,539,014 2,539,014 Agency Funds 90-Developer Escrow 153,813 - - 153,813 153,813 95-Trust&Agency 156,467 926 - 157,393 - - - - 157,393 Total City Funds 519,261 2,180 2,337,378 2,858,818 935,527 756,137 123 1,691,786 4,550,605 Distribution% 11.41% 0.05% 51.36% 20.56% 1662% 0.00% Library Fund 82-Library 226,321 - - - 226,321 293,406 - - 293,406 519,727 Distribution% 43.55% 5645% Park and Recreation Funds 79-Parks and Recreation - 500,063 500,063 - - 25 25 500,088 22-Park&Rec Capital 51,302 51,302 158,391 158,391 209,693 80-Recreation Center (220,568) (220,568) - - - (220,568) Totals 330,798 330,798 158,391 25 158,416 489,214 Distribution% 67.62% 32.38% 0.01% c/Ty Reviewed By: Agenda Item Number J� a O� Legal ❑ Finance El NB #4 EST. , � 1836 Engineer ❑ y City Administrator Tracking Number Police ❑ K°d111 Human Resources ❑ ADM 2011-34 Public Works ❑ City Council Agenda Item Summary Memo Title: Home Rule - discussion City Council/ Committee Agenda Date: Administration Committee—July 21, 2011 Synopsis: See attached memo. Council Action Previously Taken: Date of Action: N / A Action Taken: Item Number: Type of Vote Required: N/ A Council Action Requested: Discussion Submitted by: Bart Olson Administration Name Department Agenda Item Notes: Co.y o Memorandum "' To: Administration Committee EST. �Z 1836 From: Bart Olson, City Administrator .4 _�` CC: 0 �� �o,gaa, �p Date: July 14, 2011 Subject: Home rule discussion This item was requested by Mayor Golinski, who has asked the Administration Committee to study whether to seek home rule status. Attached are three information and policy analysis packets from Geneva and Lake Forest, who have recently studied the move from being a non-home rule community to a home rule community. Of these two communities, Lake Forest made the move to a home rule community and Geneva did not. What is home rule authority? The Illinois constitution, which grants municipal authority, is set up so that municipalities only have that authority which is specifically granted them under state statutes. This is the definition of being a"non-home rule community;" we can only do what the state says we can do. When a City opts to become a home rule community, the state statutes allow us to do anything we deem necessary, unless the state statutes specifically say we cannot. The packets from Geneva and Lake Forest do an excellent job on comprehensively explaining home rule authority. How is home rule authority achieved? In short,through referendum or through the certification that the municipality has 25,000 residents. We do expect to have 25,000 residents in the next 10 years (depending on the economy), and the staff has been internally discussing the transition for the past few years. For a referendum approval, the City Council has the authority to pass an ordinance or resolution initiating the referendum question. That ordinance or resolution would have to be approved by the City Council 79 days prior to the election date, so we are looking at a January 1 st deadline for the March 20th general primary, and a mid-August 2012 deadline for the November 2012 general election. Uses in Yorkville? As many of the articles attached to this memo explain, much of the new authority granted under home rule status deals with finances. While people may initially associate this with increased revenues (i.e. raising taxes), studies have shown that municipalities will use the new power to shift the tax burden among groups in the City, or more often to broaden the tax base that is coming from non-residents. For example, if the City were to pass a $0.02 per gallon gasoline tax, some of that money would come from non-residents. If the annual total from that gas tax was $100,000 per year, the City could reduce property taxes by$100,000, reduce the garbage surcharge by$100,000 in total, or could cut the water infrastructure improvement and maintenance fee. In the example of the water fee, this would result in a billing cycle reduction from$16.50 to $13.75. While residents would still be paying some of the tax burden through the gasoline tax, non-residents would be too —which is not the case for the water infrastructure and maintenance fee. Other examples of revenue flexibility that may benefit Yorkville include the use of the hotel-motel tax for purposes other than tourism, and sales taxes on restaurant food and beverages While restaurant owners may not initially like this tax, they may appreciate their property taxes being reduced a proportionate amount. With two large regional recreation attractions, we do expect our restaurants and taverns to serve many visitors from out-of-town. While financial issues may be the most discussed powers granted under home rule authority, several issues brought up by residents over the past few years could be solved without any change to taxes. We have had residents ask for speed limits to be lowered in neighborhoods from 30 mph to 25 mph. Under home rule authority, we would have the ability to change the default speed limit to 25 mph by ordinance. We have had renters contact us asking for us to enact standard-of-living issues on landlords. Home rule authority would allow us greater control of landlord-tenant issues, and it would also allow us to require registration of all rental properties in the City. Municipal organization issues could also be addressed under home rule authority. Elected clerks and treasurers could be changed to appointed positions, and we could change elections from partisan to non-partisan. One of the most recently discussed topics, number of aldermen, could be handled with greater flexibility. Instead of a state mandate on the number of aldermen based on our population, we could pass a referendum permanently affixing the number of aldermen at 8. Staff seeks discussion and direction from the Administration Committee on home rule status and authority. 41 0 Home Rule In Illinois A Resource Guidefor the City of Geneva June 3, 2005 of C1,1r. a L. V � r1(1N0 City of Geneva Administrative Services Department Memorandum To: Mayor Burns and City Council From: Kim Warren, Administrative Services Assistant CC: Phil Page, City Administrator Mary McKittrick, Assistant City Administrator Date: June 3, 2005 Re: Home Rule Resource Booklet The goal of this booklet is to provide an overview of Illinois home rule information for the Geneva City Council. This booklet will help answer and address some common questions and concerns that Elected Officials, City staff, and citizens often have about home rule. The first section of this booklet is in a frequently asked questions format and answers are provided through excerpts from articles written on home rule. The second section contains full text articles about home rule, including all articles refered to in the FAQ's section. Please look over the provided booklet and feel free to share the information with citizens. If you have any questions please contact Kim Warren at 232-8171 or Mary McKittrick at 262-8495. Frequently Asked Questions About Home Rule What is Home Rule? Black's Law Dictionary defines "home rule" as: State Constitutional provision or type of legislative action which results in apportioning power between state and local government by providing local cities and towns with a measure of self-government if such local government accepts terms of the state legislation. From the above-cited definition, one can clearly identify what the goal of home rule is -- "self-government." Home rule is a term which was given to a concept created to provide units of local government with an in- creased means of local control. The theory behind home rule was that some problems are inherently local in nature and, thus, are better dealt with at the local level since a "one-size fits all" state legislative solution couldn't possibly foresee problems which are uniquely local in nature. The creation of home rule was triggered by the increasing urbanization and complexity of society. As municipalities became larger and less rural, they desired governmental independence and the ability to deal with local problems at the local level. What home rule does is to reverse what is commonly known as "Dillon's Rule. ,2 "Dillon's Rule" stands for the proposition that in order for a municipality to be able to act or legislate in a given area, it must point to statutory authority to act or its actions must be necessarily implied from a given statute. Thus, prior to home rule, municipalities had to point to a specific statute in order to act. *Excerpt from: Illinois Municipal League, Municipal Review Magazine Legal Q&A (Published June 1997)By Beth Anne Janicki and Lore Ann Verkuilen What is the History of Home Rule in Illinois? Home rule powers were granted to municipalities through the 1970 Illinois Constitution, rather than the legislature. One should begin with the 1970 constitution in describing Illinois' particular brand of home rule. The specific grant of home rule authority is found in Article VII, Section 6 of the constitution. The array of powers which are given the collective title "home rule" is provided in the following language: "Except as limited by this Section, a home rule unit may exercise any power and perform any function pertaining to its government and affairs including, but not limited to,the power to regulate for the protection of the public health, safety, morals and welfare; to license; to tax; and to incur debt." The significant limitations of"this Section" itself are: a)Home rule units have constitutional limits on their taxing power. No ad valorem property tax receipts may have a maturity period longer than forty years. Home rule units may not"license for revenue or impose taxes upon or measured by income or earnings or upon occupations." b)Home rule units have constitutional debt limits. The General Assembly may, by a three-fifths vote, limit debt incurred which is payable through any funds other than ad valorem property tax receipts. When debt is secured through property taxes, the General Assembly may set limits and require referenda for any amounts over the following limits: (1) if its population is 500,000 or more, an aggregate of three percent [of the assessed value of its taxable property]. (2) if its population is more than 25,000 and less than 500,000 an aggregate of one percent [of the assessed value of its taxable property]. (3) if its population is 25,000 or less, an aggregate of one half percent [of the assessed value of its taxable property]. 2 c)Home rule units have constitutional limits on their power to punish. No home rule unit may"define or provide for felonies,"nor can any home rule unit define or provide for any Class A misdemeanors without specific statutory authority from the General Assembly. In addition to the constitutional limits on home rule authority, legislative restrictions are also allowed. The General Assembly's authority to limit home rule legislatively is divided into two classes, each with a different voting threshold. The state legislature may preempt home rule authority by simple majority when it is willing to reserve for itself the exercise of a specific power. In these cases, the state must be willing to shoulder the burden in order to deny a particular power to home rule units. The second class involves situations in which the state does not wish to take control of the issue but still wishes to restrict the municipalities from doing so. In such cases, the standard Illinois supermajority vote, three-fifths, is required. Through either of these mechanisms, the state must be willing to put a certain degree of extra effort into attempts to restrict home rule powers. *Excerpt from: The Journal of Regional Analysis and Policy Local Government Revenue Structure: Does Home Rule Matter?By Tom Rooney Do Home Rule Communities Levy More Property Taxes? Does adopting home rule mean that property taxes will increase? The opponents of home rule—the optional system for empowering city and village governments to act—assert that property tax increases are the inevita- ble consequence when home rule is adopted. An examination of the record does not support opponents' claims. Several scholarly studies have been made of the use of property taxes in home rule cities and villages during the 32 years since home rule first became available to Illinois cities and villages. This article summarizes the results of those studies. A study of 134 home rule and 104 comparable nonhome rule communities recently published in the Journal of Public Eco- nomics reported that property tax rates levied by non-home rule communities prior to the adoption of tax caps rose 61 per cent faster than rates levied in the home rule communities over the same period of time. Further, the study found that the rate of increase in property taxes in the two communities were comparable despite the fact home rule home rule communities were not subject to tax cap limits. An earlier study by Professor Robert Albritton reached similar conclusions. It found that population size and geographic location had a greater effect on the rate of increases in property tax levies than home rule status, and that,when controlled for these variables, the average property tax levy for home rule communities was the same as the average property tax levy for non-home rule communities during the first ten years of Illinois' some rule experience. A just completed survey of Illinois home rule communities found that home rule communities are less depend- ent on property taxes for their revenues than are non-home rule communities. On average, according to annual surveys published by the Office of the Illinois Comptroller, cities and villages derive 25-30 percent of the revenues from property taxes. The 2002 survey of Illinois home rule communities found that, on average, home rule communities derived 10 to 20 percent of their revenue from property taxes, depending upon their population and geographic location. To be sure, there are some—fewer than one in five home rule communities at last count—that do levy property taxes at rates higher than would be allowed by statute for non-home rule communities. But not even these 3 communities use all the taxing powers given to non-home rule communities by law. Rather, in these communi- ties, elected officials have determined that local residents would rather pay higher property taxes than some of the other taxes, like utility taxes, which non-home rule cities can levy to finance the services they provide. In short, there is no economic data that supports the contention that property taxes necessarily or even usually increase faster in home rule communities than in non-home rule communities. Available evidence also suggests that voters in Illinois home rule communities do not believe that home rule has led to undesirable rates of taxation. Voters in all home rule communities have the option to stop home rule tax levies by voting home rule out. And, indeed, in the last 32 years, home rule opponents have succeeded 29 times in placing the elimination of home rule on the ballot in a home rule community. Most of the resulting election campaigns were fought on the issue of whether taxes, and especially property taxes, were being mis- used. Voters approved the retention of home rule powers in 25 of these 29 elections, or 83 per cent. In the aggregate, they voted by a margin of more than 3-2 to retain their community's home rule powers. *Excerpt from: Illinois Municipal Review,April 2003,The Status of Illinois Home Rule,Part III: Do Home Rule Communities Levy More Property Taxes? By James M. Banovetz and Thomas W.Kelty How Have Illinois Home Rule Municipalities Used Their Authority? A recently completed survey(2002), sponsored jointly by the Illinois Municipal League and the Illinois City/ County Management Association, offers new insight into the way home rule governments use their home rule powers. All Illinois' home rule municipalities were asked how they were using home rule powers. tablethive Use of Home Rule Taxing Power, 2002 Kind of Tax No. of Municipalities Using It % of Total :VIL11111111al retail sales taxes* 53 60.9 llolcl-1-11,11 l tax 52 59.7 Real (stile 11"1114ertax 31 35.6 `�._llk::,; tax on restaurant food & beverages 22 25.3 t ; {sol ine tax 15 17.2 A1111IStimont tax 12 13.8 Wl1kcl tax 7 8.0 lt,°ta l sale of new motor vehicles tax 2 2.3 Use of Natural (3as 2 2.3 Other 4 4. Number reporting not using any 114011lc mile tax 14 16,1 *See the disc fon a f sales rcrecs far f2fffher explanarion a f refs fleni. 4 tablesix The Regulatory Use of Home Ride Po�vers Question Responses Question # Responses % Do you use home rule to: 1. Develop regulations on: 2. kilaaae in licensing, or franchising: Curfew 18 Zia 1 NLIOI- SaleS l 5 t 7 Environrnent t I 13 TOW11-1-U [ruck operators 13 15 Liquor sales or use 35 40 Cable -1--V l 6 18 zotl 111"1 42 48 Utilities 13 15 )111 C F_ Ll Vk2 11il le, CL)11,:L2 I.11_ 13 15 Mobile Honies 9 10 Land use [il-,inii M.,. suhdivision 34 39 1VUI-Sit1c, 110t1WN! 7 8 Control retirement C0111111unities *Excerpt from:Policy Profiles Vol.2,No. 3 August 2002. Center for Governmental Studies,Northern Illinois University. Issue: The Uses of Home Rule with Special Emphasis of Taxation. How Do Voters Feel About Home Rule? Voter attitudes toward home rule Voters' attitudes toward home rule appear to have become more positive in recent years. In home rule's early years, 1971-75, referenda approving home rule outnumbered those disapproving by a 3-1 margin. That margin slipped to less than 1.5 to I in the 1976-85 period, then fell further to 1-1.3 against in 1986-99 period. But since the turn of the century, voter approval has turned positive, if just barely. There were 13 referenda on home rule in the first three years of the 21 st century; home rule was approved in seven of these elections. But this record combines two very different kinds of elections: adoption referenda and retention referenda. Adoption referenda There have been 158 referenda since 1971 in which municipal voters have had the opportunity to adopt home rule. They did so in 77 of these elections, or 49 per cent. That means voters turned down home rule in 81 elections. In five communities, voters rejected home rule in more than one election. In five others, voters rejected home rule when it was first put on the ballot, then adopted home rule in a later election. In Lincoln- wood and Oakbrook Terrace, voters rejected home rule twice before finally adopting it in a third election. From another perspective, of the 153 communities which have had referenda to adopt home rule, 77, or 50 percent,ultimately did so. Of these 77, 75 communities, or 97 per cent, still operate under home rule powers. The two who do not are National City, which was dissolved as a municipal corporation when its last residents moved away, and Lisle, which later abandoned home rule by referendum. In addition to Lisle, three other communities which gained home rule by referendum also had a subsequent referendum on the retention of home rule powers. In all of these cases, Berkeley, Lincolnshire and Rolling Meadows, voters opted to retain home rule. 5 Home rule retention elections There have been 31 elections in which voters were asked whether or not they wished to keep the home rule powers already provided to their community. Voters chose in 27 of these elections, or 87 per cent, to retain their home rule powers. Retention elections occur for either of two reasons: (1)voters dissatisfied with their community's use of home rule powers may petition the court for a retention election this has happened 25 times; or(2) a community which gains home rule powers by population is required by law to hold a retention election if its population later falls under the 25,000 ceiling this has happened six times. Of the 25 retention elections held in response to voter petitions,home rule was retained in 21, or 84 per cent of the elections. Home rule was retained in all six of the retention elections held because a community's population had fallen under 25,000. In the aggregate, voters in retention elections chose, by a margin of greater than 2-1, to retain home rule powers. Is home rule an issue with voters? In a survey of all home rule communities undertaken jointly by the Illinois Municipal League and the Illinois City-County Management Association in 2001-02, communities were asked whether: (1) there had been a recent effort to submit a petition to call for a retention election to abandon home rule, and(2) there had been any periodic, significant criticism or attacks on home rule in the community. Of the 83 communities responding to the survey, 91 per cent answered "no"to both questions. These findings suggest that the use of home rule powers is not generating significant opposition among voters in communities which already have home rule. This conclusion also finds support among the referenda record on home rule. Understandably, and appropriately, the mixed results of home rule adoption referenda indicate that voters considering the adoption of home rule are very skeptical about giving a broad grant of power, including tax power, to their municipal government. On the other hand, the support shown for home rule in retention elections indicates that a substantial majority of voters in home rule communities trust their local officials with home rule powers. Indeed, in one of the most recent retention elections, held at the request of a voters' petition in Rolling Meadows in 1999, voters supported home rule by a margin of more than 9-1. *Excerpted from: Illinois Municipal Review,December 2002,The Status of Illinois Home Rule, Part I:Home Rule Cities And The Voters,By James M. Banovetz 6 Recent Articles Written on Home Rule Legal Q & A (Published March 199 7) By BETH ANNE JANICKI, Chief Legal Counsel, IML and LORI ANN VERKUILEN, Paralegal, IML This monthly column examines issues of general concern to municipal officials. It is not meant to provide legal advice and is not a substitute for consulting with your municipal attorney. As always, when confronted with a legal question, contact your municipal attorney as certain unique circumstances may alter any conclusions reached herein. Q: How does an abstention from voting by a council or board member count? A: For various reasons, city council and village board members frequently find themselves abstaining from voting on a particular matter or matters. The question then arises as to how that vote should be treated. The Illinois Municipal Code is silent regarding how a vote in abstention should be counted. Thus, we are left to look elsewhere to determine whether an abstention counts as a "yea" or a "nay" vote. The Illinois Supreme Court case of Prosser v. Village of Fox Lake is the prevailing authority on this issue.'In Prosser, a village trustee sought to have the operation of two village ordinances enjoined because the trustee claimed that three "aye" votes (of a six member board) did not constitute a "concurrence of the majority" of the board members.? In Prosser, three board members voted "yea," one voted "nay" and one abstained. The court was faced with the issue of whether the abstention counted as a "yea" or a "nay" vote. The court held that where a concurrence of a majority is required by statute for the passage of a measure, when a member abstains from voting it would be assumed that he or she concurred with the majority.3 The Prosser court reasoned that: If a quorum is present, municipal legislators cannot avoid their voting responsibilities by refusing to vote when present at a meeting. (see Launtz v. People ex. rel. Sullivan (1985), 113 111 137, see also People ex. rel. Anderson v. Chicago and Northwestern Ry. Co. (1997) 396 I11 466.)A legal significance or effect must be given to each failure to vote by a municipal legislator who is present at a board meeting in order to prevent frustration or abuse of the legislature process (State ex. Page 1 rel. Young v. Yates (1897) 19 Mont. 239, 47 p. 1004) He should not be allowed to have his physical presence counted toward the constitution of a quorum and at the same time be allowed to deny in effect, his official presence by a failure to vote.4 The Prosser court distinguished between situations where a statute requires an "affirmative vote" and where a "concurrence of the majority" is required holding, that in the first instance any abstention would have the effect of a "nay" vote and in the second instance it would constitute an acquiescence with the majority.5 Thus, the general rule is that if a statute requires a "concurrence of the majority," the abstention is counted with the majority vote. The situation, however, may be different if a council member abstains because of a personal or pecuniary interest in the matter being voted upon. This situation was discussed in an ISBA Local Government Law newsletter: Where a member either has been disqualified or abstained because of interest in the subject matter under consideration, his vote in abstention does not seem to fall within the general rule of acquiescence, although some courts have applied that rule. 63 A.L.R. 3d 1072, 1080. While the corporate authorities of a city or village have the power under state statutes as well as the Illinois Constitution to adopt their own rules of order to govern proceedings and voting procedures - and usually have done so - those rules may not be inconsistent with state statutes. In the event the municipality possessed home rule powers, it could adopt the better rule, treating an abstention in these circumstances as if a vacancy had occurred by reason of death,resignation or disqualification; i.e.: the total number of members of the corporate authority would be regarded as having been reduced by the number of members abstaining because of conflict of interest.6 Thus, if a member abstains because of prohibited conflict of interest as defined in 65 ILCS 5/3.1-55-10 or 50 ILCS 105/3 and 105/4, a question arises as to the effect of that abstention. There is no case law in Illinois which directly addresses this point. However, a public officer can violate these provisions without actually voting since the prohibition is against any interest in a "contract or the performance of any work in the making or letting of which such officer may be called upon to act or vote.'An officer cannot escape from being called upon to act or vote. Therefore, any officer having such an interest must effectively resign from office, since he cannot avoid the prohibition by abstaining from voting.$Any conviction of the conflict provisions constitutes a class IV felony and, Page 2 among other penalties, results in removal from office. Thus, a close examination must be made to determine whether an actual conflict of interest exists since in the event he or she has an actual conflict, such an official must resign or risk prosecution from committing a Class IV felony. In the event of such resignation, obviously the total membership of the board or council would be reduced accordingly, very likely changing the total needed for a majority or extraordinary majority vote, as the case may be.9 Further, the conflict of interest provisions provide several exceptions wherein the member is permitted to abstain from voting. In these situations and also in situations involving common law conflicts, the abstention would most likely be treated as an abstention for any other reason within the reasoning set forth in Prosser. In conclusion, whenever a statute requires the concurrence of a majority of a public body, an abstention vote is counted as acquiescence with the majority vote. If an affirmative vote is required, then nothing more than an actual "aye" or "nay" vote will count, and any attempt to abstain from voting or failing to vote will have the effect of a "nay" vote. In some situations,however, the statutes will require something different, such as a "favorable vote" of the aldermen or trustees or a conflict will prevent a member from voting. The best advice to follow under those circumstances is that of your city or village attorney. NOTES 1. 91 Ill. 2d 389 (1982). 2. Section 3.1-40-40 of the Illinois Municipal Code requires that all ordinances be passed by a concurrence of a majority of all members holding office,unless otherwise provided. (65 ILCS 5/3.1-40-40). 3. Prosser, 91111. 2d at 395. 4.Id. at 394 5.Id. at 395. See also Lake County Forest Preserve District v. Northern Trust Bank, 207 Ill. App. 3d 290, 265 N.E. 2d 715 (2d Dist. 1990). Page 3 6. John T. Zimmerman, The Effect of Abstention Voting by Municipal Officials 25 ISBA Local Government Law, Vol. 6 (March 1989). 7. 50 ILCS 105/3. 8. Peabody v. Sanitary District of Chicago, 330 Ill. 250 (1928). 9. See supra, note 6. Page 4 ■ r 1 es Of 11 February 2001 Center for Governmental Studies Northern Illinois University This article may be reproduced Issue: Illinois Home Rule:A Thirty Year A ssessm en t in its entirety with attribution to the Center for Governmental The home rule provisions in Illinois' 1970 constitution represent a Studies,Northern Illinois unique innovation in the way states bestow power and authority on University, DeKalb, Illinois. their city and county governments. Through its home rule system, Illinois gives the broadest and most liberal authority to cities and counties of any state in the nation. With Illinois now completing thirty years of home rule experience, the time is appropriate to undertake a comprehensive assessment of Illinois' experience with home rule. Such is the task of the following paragraphs. Mo uses home rule? Fbw do voters feel about home At the time of the November 2000 rul e? elections,Illinois had 147 cities and villages and one county(Cook)with Because having a referendum on home home rule powers. Of the home rule rule is relatively easy,there have been cities, 77 had gained home rule by 191 such referenda—an average of virtue of their size(all cities over more than 6 per year—in Illinois 25,000 are granted home rule auto- home rule's thirty year history. As matically unless it is rescinded in a might be expected,the aggregate of city referendum) and 70 had gained those referenda present a mixed voter home rule by referendum(the consti- reaction to home rule.Voters sup- The gives cities under 25,000 this ported home rule in 97 of those mission of the Center option). A list of current home rule referenda and rejected it in 94 others. users is provided in Table 1 on the for Governmental Studies next a e. p g As Table 2 (on page 3) shows,how- includes education of the ever,there are three different kinds of Ironically, although a minority of home rule referenda and each reflects municipalities and counties have home a different picture of voter attitudes public on important public rule,over seven million Illinois toward home rule. residents live in a home rule commu- nity—and most have done so for more than a quarter of a century. Thus one in a series of policy it is safe to conclude that Illinois voters have had widespread experi- ence with home rule. objective view of an issue. Page 5 2 Center for Governmental Studies Northern Illinois University p d i cyp roles t abi eone I-bme RiI e lhi is i n I I I i not s as of November 2000 Cities and villages adopting home rule by referendum have the date of the referendum indicated. Those with no date gained home rule automatically because of population size. I. Counties Cook II. GtiesandMllages Addison Des Plaines Mascoutah, 1979 Rock Island Alton Dolton Maywood Rolling Meadows, 1985 Alsip, 1990 Downers Grove McCook,1971 Rosemont,1972 Arlington Heights East Hazel Crest, 1989 Mettawa, 1990 St.Charles Aurora East St.Louis Moline Sauget, 1976 Barrington Hills, 1990 Elgin Monee, 1996 Schaumburg Bartlett Elk Grove Village Monmouth,1999 Schiller Park, 1994 Bedford Park, 1971 Elmhurst Morton Grove Sesser, 1989 Belleville Elmwood Park Mound City, 1973 Skokie Bellwood, 1994 Elwood, 1997 Mount Prospect South Barrington, 1975 Berkeley, 1994 Evanston Mt.Vernon, 1986 South Holland Berwyn Evergreen Park, 1982 Muddy, 1981 Springfield Bloomingdale,1996 Fairview Heights, 1993 Mundelein Standard, 1975 Bloomington Flora, 1975 Murphysboro,1994 Stickney, 1974 Bolingbrook Freeport Naperville Stone Park, 1972 Bryant, 1974 Galesburg Naples, 1982 Streamwood Buffalo Grove, 1980 Glendale Heights Niles Sycamore,1996 Burbank Glen Ellyn Normal Thornton,1980 Burnham,1980 Glenview Norridge,1973 Tinley Park Cahokia, 1997 Glenwood, 1986 Northbrook University Park, 1975 Calumet City Golf, 1976 North Chicago Urbana Calumet Park, 1976 Granite City Northlake, 1994 Valmeyer,1994 Carbondale Gurnee Oak Forest Washington, 1998 Carol Stream Hanover Park Oak Lawn Watseka Carpentersville,1993 Harvey Oak Park Waukegan Champaign Harwood Heights, 1995 Old Mill Creek, 1993 West Dundee, 1990 Channahon,1982 Highland Park Orland Park Wheaton Chicago Hillside, 1995 Palatine Wheeling, 1977 Chicago Heights Hodgkins,1996 Park City, 1973 Wilmette Chicago Ridge, 1994 Hoffman Estates Park Forest Woodridge, 1975 Cicero Inverness,2000 Park Ridge Country Club Hills, 1993 Joliet Pekin Countryside,1972 Kankakee Peoria Crystal Lake Lake Barrington, 1991 Peoria Heights, 1986 Danville Lansing Peru, 1981 Darien Lincolnshire, 1975 Quincy Decatur Lincolnwood,1997 Rantoul,1982 Deerfield, 1975 Manhattan, 1996 Robbins, 1998 DeKalb Marion, 1994 Rockdale,1982 Page 6 Center for Governmental Studies Northern Illinois University p d i cyp roles t abl etwo I-bme Ril e Werenda F;b=d Total Total Peferenda Municipal Municipal County Number For+or Against- Pdoption Fbtention Adoption Of F-bme Rile Referenda Referenda Fbferenda Years P--ferenda + - %+ + - + - + - 1971-75 36 20 16 56 19 7 1 0 0 9 1976-80 42 21 21 50 8 17 13 2 0 2 1981-85 23 16 7 70 9 5 7 2 1986-90 27 11 16 41 9 16 2 0 1991-95 36 17 19 46 15 19 2 0 1996-2000 27 12 15 44 12 15 Totals 191 97 94 51 72 79 25 4 0 11 Note: Table summarizes all home rule referenda held prior to November 2000. November 2000 data not available when this report was prepared. ment by encouraging the use of elected Madison) adopted this plan. Many Do county voters support home county executive officers—an office other counties have passed ordinances rule? previously used only in Cook County. creating the office of county adminis- The framers used home rule as an trator to strengthen the executive No. Nine counties held a total of inducement to the voters to adopt such function in county government. eleven referenda between 1972-76 to a change. Instead,by combining two adopt home rule. All failed by substan- separate issues in one referendum,the The fact that these structural changes tial margins. In the aggregate, county framers effectively blocked the have taken place but county home rule voters rejected home rule by a margin adoption of either an elected county has still not been adopted by referen- of 3-1. No county has attempted such executive or home rule. dum further emphasizes county voters' a referendum since 1976. rejection of home rule for counties But the legislature later gave voters other than Cook.Voters in Cook But the picture is more complex. The another option: a county executive County have never attempted to framers of Illinois' 1970 constitution plan without home rule. Voters in rescind county home rule. wanted to strengthen county govern- several counties (e.g. Kane, Will, Page 7 4 Center for Governmental Studies Northern Illinois University p d i cyp roles Are city and vi I I age voters more t abl ethree Herne RbI e Fbtent i on Werenda supportive of home rule? Year Community CLtcome Year Community CLtcome Yes.In home rule adoption referenda, 1972 Danville Retain 1981 Dolton Retain home rule support and opposition have been much more evenly divided. There 1976 Aurora Retain Calumet City Retain have been 151 municipal adoption Park Ridge Retain Lombard Abolish referenda: voters in 74 referenda voted to adopt home rule;voters in the 1977 Elgin Retain Maywood Retain remaining 79 referenda voted not to Lisle Abolish South Holland Retain adopt home rule. 1978 Rockford Retain 1982 Evergreen Park Retain But some communities have had more Rock Island Retain Rantoul Retain than one referendum. Alsip, 1979 Decatur Retain 1983 Rockford Abolish Bloomingdale, Lincolnshire, Sesser, and Stickney voters first voted to Glenview Retain 1985 Berwyn Retain reject home rule and later voted to 1980 Elmwood Park Retain 1987 Pekin Retain adopt it. Lincolnwood voters twice voted to reject home rule and then Highland Park Retain 1990 Decatur Retain adopted it in the third referendum. Lincolnshire Retain 1992 Berwyn Retain Long Grove voters have rejected home rule in three different referenda. Lisle Morton Grove Retain Park Forest Retain voters first adopted home rule and two Peoria Retain years later voted it out. Correcting for these multiple referenda,the final Villa Park Abolish figures emerge: 141 communities have Wilmette Retain had one or more referenda on whether to use home rule. Of these, 72 adopted Referenda Retaining Home Rule: 25 home rule and 70 continue to use it. (Besides Lisle,National City also once Referenda Abolishing Home Rule: 4 had home rule,but the community Total Retention Referenda: 29 ceased to exist when the last of its 45 residents moved away). such referenda;voters have opted to De voters in communities with retain home rule in 25 or 86 per cent home rule support the home rule (see Table 3 above). In the aggregate, system? voters living in home rule communi- ties have opted,by a margin of 3-2,to Home rule's greatest voter support,by retain their community's home rule far,has come in referenda held to powers. decide whether or not a community's existing home rule system should be retained. There have been a total of 29 Page 8 Center for Governmental Studies Northern Illinois University 5 p d i cyp roles Of the four communities which had legislative mandates. They stress the Morton Grove home rule ordinance and then abandoned home rule,the greater flexibility home rule gives prohibiting hand gun ownership. voters in two—Lisle and Rockford local governments to deal with issues However, the Illinois Supreme Court —reacted negatively to actual or of community development, to prevent ruled in 1984 that the ordinance did proposed home rule use. In two others community blight, and to shift local not violate any constitutional rights —Lombard and Villa Park—voters tax burdens to non-residents,primarily under either the Illinois or U.S. rejected home rule in the mistaken through sales and use taxes. constitutions. (Kalodimos v Morton assumption that it would lower their Grove, 1984). taxes (mistaken because their home Opponents of home rule focus upon rule powers had not been used to levy the threat of unwanted and excessive Anticipating the potential for abusive any taxes). taxation under home rule govern- use of home rule powers, the framers ments. Sometimes,too, opponents of the 1970 Illinois constitution The experience of these four commu- argue that home rule gives local established constitutional safeguards nities demonstrated that voters can, governments the power to suppress to prevent such abuses. There are three when motivated to do so, abolish an individual rights. kinds of such safeguards: electoral operating home rule system. recision discussed above, legislative Mat does the record show on preemption, and judicial review. The Sc), how do voters feel about home these Issues? latter two are discussed in the follow- rule? ing paragraphs. There is a diverse body of evidence In the 152 Illinois local governments that indicates that home rule communi- Mat is legislative preemption and that have tried home rule in the last ties have used their more flexible how has it worked? thirty years, 147, or 97 per cent, still powers in innovative ways to address have it. Voters in only 26 of these local problems. The most commonly Recognizing that there would be communities, or 17 per cent,have cited uses of home rule powers have overlaps between state and local even challenged the system with a involved economic development, governments in the exercise of power, retention election. In short, where control of community development, the Illinois constitution gave the home rule has been tried in Illinois, reduced borrowing costs, and local tax Illinois General Assembly the author- voters have been supportive of it. burdens shifted to non-residents. ity to preempt or take away home rule powers by a 3/5ths vote of both houses Mat issues have concerned Opponents argue that home rule brings or to provide for the exclusive state voters? much heavier tax burdens for local exercise of a power by a simple residents. Their claims rely on anec- majority vote of both houses. These Supporters of home rule have pointed dotal,not empirical evidence. Surpris- provisions give the legislature broad to the value of local authority and ingly,they do not cite their most leeway to reduce home rule powers. flexibility to address local problems, compelling case—the City of Rock- But,while the Assembly has used its lessened dependence upon the state ford—where voters abolished home preemption powers to deal with legislature, and more freedom from rule after the city council enacted a specific issues,it has not seriously series of property tax increases. eroded the home rule authority set forth in the constitution. In contending that home rule powers are used to suppress individual rights, opponents of home rule cite the Page 9 6 Center for Governmental Studies Northern Illinois University p d i cyp roles In some respects,the legislature has Third,the legislature has established In the last ten years,the legislature been supportive of home rule power. exclusive state authority over certain also initiated the practice of "partial It has, for example, stipulated by law personnel policies in local govern- exemptions"—imposing obligations that no legislative enactment shall be ment. Again,the legislature has or denying powers to some but not all construed as restricting home rule protected the obvious benefits that home rule units. To date,partial power unless that enactment has stem from uniform state-wide prac- exemption laws have treated Chicago "specific language limiting or deny- tices, such as state-wide municipal differently than other home rule units. ing"the home rule power. employee retirement programs, in this This practice weakens home rule by field. splitting the block of legislators who Except for a series of bills restricting represent the interests of home rule home rule authority to license or Fbs the legislature preempted any governments in the legislature. The regulate specific occupations,the home rule tax powers? result has been preemptions of home General Assembly did little in home rule powers that local governments rule's first 15 years to limit home rule The final category is legislative action have been unable to prevent. powers,but such limitations have taken to limit home rule tax powers. become more common in the last 15 The legislature imposed a referendum HDw has judicial review affected years. requirement on the use of a real estate home rule powers? transfer tax, effectively limiting further Legislative limitations can be grouped use of the tax. It also eliminated home Specific uses of home rule powers into several categories. In one category rule authority to impose local sales have often been challenged in the are laws like the Open Meetings Act taxes. In the latter instance,however, courts which, in turn,have frequently and statutes containing state-wide it authorized home rule units to raise but not always upheld a liberal rules governing public labor relations. the rate of the local portion of the state interpretation of home rule powers. These apply state-wide principles of sales tax levy. Thus,while limiting For example,besides the Morton good government to home rule units. home rule power and flexibility,the Grove handgun ordinance, the courts A second category has clarified the legislature protected home rule access have upheld: the sale of general state's exclusive role in regulating to additional revenues from the use of obligation bonds without a referendum certain businesses and activities. For the sales tax(called the retail occupa- (Kanellos v County of Cook, 1972); a instance,to reduce drunk driving tion tax in Illinois law). home rule ordinance that authorizes accidents, the legislature took away actions contrary to state statutes home rule powers to set minimum Perhaps most important is what the (Rozner v Korshak, 1973), and a home ages for the purchase of alcoholic legislature has not done. It has not rule ordinance that legislates concur- beverages,but it also eliminated authorized local use of an income tax; rently with the state on environmental particular drinking age problems it has not imposed a limit on real matters (Chicago v Pollution Control which had faced communities with estate taxes levied with home rule Board, 1974). college campuses. powers; and it has not imposed limits on borrowing and indebtedness by home rule units. Furthermore,the legislature has exempted home rule units from complying with tax caps recently imposed on the annual rate of increase in local property taxes. Page 10 Center for Governmental Studies Northern Illinois University p d i cyp roles But the courts have also been willing As the body of case law regarding to constrain home rule uses it views as home rule has grown,the courts have excessive. It refused, for example,to tended to reaffirm the precedents set in enforce a Des Plaines noise pollution the early years. For instance,the courts ordinance against a railroad,holding reaffirmed, in 1998,that, despite that noise pollution was a matter ordinances to the contrary,home rule requiring regional or state-wide rather municipalities have a duty to bargain than local regulation(Des Plaines v collectively with employee unions Chicago &Northwestern Ry., 1976). (Public Labor Council v Cicero, It struck down ordinances altering the 1998); and they reaffirmed the prin- statutory appointment powers of ciple that implied preemption is not municipal officials, (Pechous v sufficient to deny home rule communi- Slawko, 1976), and an ordinance ties the power to regulate matters of imposing a local fee on filing cases in local affairs (Bolingbrook v Citizens civil court(Ampersand v Finley, Utility Co, 1994; Barrington Police 1975). Pension Fund v Barrington Ethics Board, 1997). The Supreme Court has The courts have treated the use of also upheld partial preemption(Nevitt home rule taxing powers in a similar v Langfelder, 1993). manner. They have: upheld home rule wheel taxes (Gilligan v Korzen, 1974), So what does al I of this mean for upheld Chicago's employers' expense Illinois' home rule system? tax(Paper Supply v Chicago, 1974), and approved a home rule admissions All of this means that the home rule tax(Cicero v Fox Valley Trotting system adopted in Illinois as part of Club, 1976; Kerasotes Rialto Theatre the state's 1970 constitution has v Peoria, 1979),but they struck down demonstrated after thirty years,that it home rule utility tax levies which is a workable system for empowering exceeded statutory rate limits local governments. Illinois home rule (Waukegan Community Unit School has served, and continues to serve over District v Waukegan, 1983). seven million people in 148 local governments. It gives residents in non- The courts thus have demonstrated home rule counties, cities, and villages that they will constrain home rule additional options when searching for actions they deem to be beyond the new ways to solve community prob- scope of constitutional and statutory lems. restrictions. Page II pd i cyprofiles Center for Governmental Studies Northern Illinois University Page 12 The J-1 o[ Regional Analysis JRAP(2002)32:1 —& Policy Local Government Revenue Structure: Does Home Rule Matter? Tom Rooney* Abstract. This paper focuses on the question of whether home rule authority as granted under the Illinois Constitution results in changes in municipal tax structure and tax effort. Analysis of the data collected for this paper shows that home rule authority is not a significant factor in the level of taxation imposed by a municipality. Home rule authority appears to be more valuable for regulatory purposes than for its taxation powers. 1. Introduction On December 29,1998,a group of citizens in the city of Rolling Meadows submitted petitions containing over fourteen hundred signatures to the City Clerk's office. The petitioning citizens were concerned that the city's eco- nomic development projects were becoming extravagant. The city council, according to the petitioners,had broken its self-imposed property tax caps to finance a few large economic development projects. Rolling Meadows is a city with home rule authority;accordingly,it is not subject to the State of Illi- nois'property tax legislation. The council wrote its own tax cap legislation in 1992,but it amended this legislation in 1997"to issue bonds for the$2.8 million in public improvements the city is funding as part of the 3Com deal [an incentive package to bring 3Com Corporation to Rolling Mead- ows]."(Wandling 2001) The petitioners felt that the city council needed to be restrained through some mechanism that the council had no authority to al- ter on its own. The petitioners chose to attempt to limit the city council through the following referendum question: "Shall the City of Rolling Meadows,presently a Home Rule municipality,elect to become a Non-Home Rule Municipality?" Passage of this referendum would repeal the city's home rule authority in its entirety. 'Thomas Rooney is a high school social studies teacher in the Chicago suburbs and a 2001 graduate of the Master of Public Administration program at Northern Illinois University. Page 13 68 Tom Rooney While approximately 10% of the municipalities in Illinois possess home rule authority2 and many have had home rule for decades,the example of Rolling Meadows shows that home rule authority cannot be taken for granted. The referendum in Rolling Meadows also illustrated a more com- plex issue. During the discussion and debate on the referendum,some sig- nificant issues were without clear answers. Citizens on both sides of the ref- erendum hypothesized about the possible impact of the loss of home rule in the areas of revenue,regulation,etc. Hypothesizing was necessary for the simple reason that many significant points have no clear precedents for guidance. Perhaps the most significant issues without clear answers were those re- garding taxation. The proponents of the referendum argued that revoking the city's home rule status would decrease the taxes paid by the citizens of Rolling Meadows. Numerous petition signers reported that they had signed the petition because the petition circulator told them that the main benefit of becoming a non-home rule municipality was tax reduction. Referendum supporters asserted that if Rolling Meadows were without home rule author- ity,the tax burden of Rolling Meadows residents would decrease. On the opposite side of the argument,the opponents of the referendum argued that taxes would actually increase if the city lost its home rule authority. Their reasoning was that the city could be forced to stop collecting certain taxes and would be forced to cover the shortfall with increases in the taxes that remained. Since the city council's self-imposed tax cap was at issue,referendum proponents argued that one implication of the referendum would be a tighter cap on property taxes. The loss of home rule status would make Roll- ing Meadows subject to the state's tax caps. In Illinois,non-home rule units are subject to the state Property Tax Extension Limitation Law,or PTELL. PTELL is a state mandate that limits annual increases in property taxes to the inflation rate or five percent,whichever is smaller. If a non-home rule unit wishes to increase its rate of taxation beyond these levels,it must receive ap- proval for the increased rate directly from the voters. Home rule units are not subject to the provisions of PTELL. While a home rule unit,the council could ignore its own tax cap;as a non-home rule unit,the council could not ignore the state's tax cap. The opponents of the referendum responded that this position would lead to an inevitable contradiction.They asserted that a drastic increase in the property tax(among others)would be necessary to compensate for any lost forms of taxation,and the increase would break the very tax cap that the referendum supporters were trying to protect. Another direct implication of the proponents of the referendum was that non-home rule units had lower overall tax burdens than home rule units. This line of argument is also common when municipalities have referenda to 2 Rolling Meadows Review,editorial,March 25,1999. Page 14 Local Government Revenue Structure 69 establish home rule authority. The assertion is that certain taxes are not available to non-home rule units and that these governments are therefore strictly limited in their ability to tax. Some other taxes,like the property tax, would be limited in growth and subject to other restrictions. Other taxes would have to be scaled back. Some would even have to be revoked. All in all,the argument went,the citizens of Rolling Meadows would get signifi- cant tax relief if the city lost its home rule authority. The story of the referendum itself ended on April 13,1999,when the vot- ers of Rolling Meadows overwhelmingly rejected it with a 93% to 7% margin. However,the story of the actual substance of the debates over taxation re- mains unfinished. The loose ends from the electoral provided the genesis for this research project. The arguments involving taxation were discussed hy- pothetically by making assumptions about individual taxes,but no one really knew what the overall revenue picture of non-home rule units looked like compared to that of home rule units. This project is an effort to make such a comparison. 2. A Review of the History of Rule The concept of home rule turns around the relationship that usually ex- ists between states and municipalities. As the usual relationship is described in Dillon's Rule,municipalities exist only as creatures of the state. Accord- ingly,it follows that municipalities may only exercise powers that have been expressly given to them by the state. Under home rule,that presumption is turned around. A home rule municipality may exercise any powers that have not been denied to it by the state. The home rule concept was first put into practice in the state of Missouri in 1875 (Small 1970). In that year,Missouri adopted its third state constitu- tion"with the Southern element back in power' after ten years under a Radical Republican,Reconstruction constitution (Encyclopedia Americana 1992). The Missouri Constitution of 1875 is often cited as the beginning of home rule authority and readers can be left with the impression that the home rule gates were thrown wide open,at least in Missouri. In reality,the Missouri constitutional provision only provided home rule to two cities,St. Louis and Kansas City,in seventy years. Parallel to provisions in Illinois statutes designed to single out Chicago,home rule in Missouri was only granted to cities with a population of more than 100,000 persons(Cole 1973). (Illinois'practice of classification singles out Chicago through a 500,000 per- son threshold.) St.Louis was therefore the only home rule city in Missouri for nearly the first quarter century of home rule. Kansas City did not reach the population threshold for home rule until 1899,almost 25 years after the famous Missouri home rule provision was written. No other Missouri cities attained home rule status until the population threshold was lowered to only 10,000 inhabitants in 1947(Cole 1973). Page 15 70 Tom Rooney In the century and a quarter history of home rule,it has expanded to the point where"home rule,in one of its variants,is the practice in forty-five states."(Wandling 2001 p.14) At the turn of the 20th century,only Missouri,California,Washington, and Minnesota had provisions for municipal home rule(Wandling 2001,p. 11). By 1912,the number of states granting home rule authority had grown to 13,and by 1937 only 21 states provided for home rule (Wandling 2001,P 11-13). In 1970,when Illinois granted home rule authority to its municipali- ties,it was the thirty-sixth state to do so(Small 1970,p.235-36). Since 1970, nine more states have brought the total to 45. 3. A Review of Home Rule in Illinois The creation of municipal home rule in 1875 came five years too late to benefit Illinois'municipalities. The Illinois Constitution written in 1870,Illi- nois'third constitution,would remain in effect for an entire century. It is certainly true that Illinois could have taken the legislative route to establish- ing municipal home rule,and that Illinois could have taken the constitutional route through a simple amendment. In fact,the Land of Lincoln did dabble in both procedures during the hundred year period of the third constitution. For example,a 1904 amendment to the constitution"provide[d] some home rule powers for the city [of Chicago]."(Cole 1973,p.13) While these limited powers were of use to Chicago,they were not a grant of true home rule au- thority. In Alice Ebel's review of the 1870 Constitution for the 1970 Conven- tion,Ms.Ebel used the phrase"so-called'home rule'for Chicago" (Ebel 1970, p.235) to clarify that the powers granted through this amendment which were commonly called home rule powers were not a true grant of home rule. As home rule powers were granted to municipalities through the 1970 Il- linois Constitution,rather than the legislature,one should begin with the 1970 constitution in describing Illinois'particular brand of home rule. The specific grant of home rule authority is found in Article VII,Section 6 of the constitution.3 The array of powers which are given the collective title"home rule" are given in the following language: "Except as limited by this Section, a home rule unit may exercise any power and perform any function pertain- ing to its government and affairs including,but not limited to,the power to regulate for the protection of the public health,safety,morals and welfare;to license;to tax;and to incur debt."4 The significant limitations of"this Sec- tion"itself are: a) Home rule units have constitutional limits on their taxing power. No ad valorem property tax receipts may have a maturity period longer than 3 All citations of the Illinois Constitution come from 1970 Illinois Constitution Annotated,David R. Miller,Illinois Legislative Council,1980. 4 Article VII,Section 6,Subsection(a) Page 16 Local Government Revenue Structure 71 forty years. Home rule units may not"license for revenue or impose taxes upon or measured by income or earnings or upon occupa- tions."5 b) Home rule units have constitutional debt limits. The General Assembly may,by a three-fifths vote,limit debt incurred which is payable through any funds other than ad valorem property tax receipts. When debt is secured through property taxes,the General Assembly may set limits and require referenda for any amounts over the follow- ing limits: "(1) if its population is 500,000 or more,an aggregate of three percent[of the assessed value of its taxable prop- erty]. (2) if its population is more than 25,000 and less than 500,000 an aggregate of one percent[of the assessed value of its taxable property]. (3) if its population is 25,000 or less,an aggregate of one- half percent[of the assessed value of its taxable prop- erty]." 6 c) Home rule units have constitutional limits on their power to punish. No home rule unit may"define or provide for felonies,"7 nor can any home rule unit define or provide for any Class A misdemeanors without specific statutory authority from the General Assembly. In addition to the constitutional limits on home rule authority,legislative restrictions are also allowed. The General Assembly's authority to limit home rule legislatively is divided into two classes,each with a different vot- ing threshold. The state legislature may preempt home rule authority by simple majority when it is willing to reserve for itself the exercise of a spe- cific power. In these cases,the state must be willing to shoulder the burden in order to deny a particular power to home rule units. The second class in- volves situations in which the state does not wish to take control of the issue but still wishes to restrict the municipalities from doing so. In such cases,the standard Illinois supermajority vote,three-fifths,is required. Through ei- ther of these mechanisms,the state must be willing to put a certain degree of extra effort into attempts to restrict home rule powers. While the Illinois Constitution constrains home rule municipalities in the ways described above,it provides some important protections for them as well. For example, Cook County is constitutionally a home rule county,and other counties could choose to meet the constitutional criteria to become 5 Article VII,Section 6,Subsection(e)(2) 6 Article VII,Section 6,Subsection(k) 7 Article VII,Section 6,Subsection(d)(2) Page 17 72 Tom Rooney home rule counties. The 1970 Constitutional Convention rejected a proposal which would have made county home rule dependentupon a population threshold of 100,000. Instead,the Convention decided that county home rule needed a county executive to be effective,so the presence of such an execu- tive officer is the constitutional requirement for county home rule (Cole 1973, p.17). Jurisdictional disputes between a county and its home rule munici- palities could be very problematic without some standard for decision. The framers of the Illinois Constitution provided such a standard,and the stan- dard is favorable to the municipalities: "If a home rule county ordinance conflicts with an ordinance of a municipality,the municipal ordinance shall prevail within its jurisdiction."S Further,the General Assembly is prohibited by the Constitution from interfering with home rule municipalities in the area of special services assessments. Finally,the last subsection of Section 6 states that"Powers and functions of home rule units shall be construed lib- erally."9 These provisions form a solid basis that gives home rule authority real substance in Illinois. 4. Project Design Database To test the hypothesis that home rule authority increases the tax burden placed upon residents and businesses of a city,a database was created to support various statistical analyses. The two hundred and sixty-seven municipalities in Cook County and the"collar counties" of DuPage,Kane, Lake,McHenry,and Will Counties were chosen for this study. Mr.Allan Mayer of the Illinois Comptroller's office completed a basic study of all Illinois municipalities in the Comptroller's FY 1999 Fiscal Report Card. For this project,however,Cook and the collar counties were chosen: a) to limit the scope of the study,and b) to recognize the reality that this area,comprising almost two-thirds of the population of Illinois10,is qualitatively different from"down- state" Additionally,according to Mr.Mayer's report,there are 110 home rule municipalities in Illinois. Of those municipalities,103 are in the six counties studied here. Information from these cities was coded to allow basic analysis of reve- nue structure. The database itself contains the following general fields: 8 Article VII,Section 6,Subsection(c) 9 Article VII,Section 6,Subsection(m) 10 Ibid. Page 18 Local Government Revenue Structure 73 • County of the municipality • Per capita own source revenue • Name of the municipality • Own source as a % of revenue • Presence of home rule authority • Property tax rate • Population • Property tax revenue • Equalized Assessed Value • Property tax as a % of revenue • Per capita EAV • Property tax as a % of own source • Total revenue • Sales tax as a % of revenue • Per capita revenue • Sales tax/property tax ratio • Per capita revenue • Municipal library • Own source revenue • Municipal fire department In addition to these basic fields,a larger version of this database contains additional fields to note the presence or absence of various specific assess- ments in the total property tax levy. Data Collection The information for this project came from various places. A list of mu- nicipalities in the six counties was obtained from the Illinois Municipal League(IML). The IML's list indicated the home rule status of the municipal- ity,and it provided a method for coding municipalities that happen to cross county boundaries. The information regarding municipalities with multiple county jurisdic- tions was further refined with documents from the Illinois Department of Revenue(IDOR). The Department's"Sales Tax Receipts Reported by Stan- dard Industrial Classification'contains a front section listing cities with mul- tiple jurisdictions. Where the IML list and IDOR list differed,the IDOR list was given precedence. The IDOR document was also the source of the sales tax information in the database created for this project. Both the fields for state sales tax re- ceipts and home rule sales tax receipts were completed with information from this document. For these variables,the numbers in this sheet were given precedence over other information,such as the financial database from the Illinois Comptroller's office. The comptroller's sales tax data often varies from that of the IDOR document,although the variations are within reason. It is the author's assumption that the IDOR document contains more stable data because of its status as the primary source. The comptroller's data is a compilation of data supplied by the municipalities through their annual fi- nancial reports. Additionally,the differing fiscal years of the municipalities could,in theory at least,alter the data,as could the distinction between the liability periods and the collection periods of the taxes. The IDOR document identifies its data as"for the liability period(s) of January 1,1999 thru [sic] December 31,1999,collected in February 1,1999 thru [sic]January 31,2000." This data is therefore reliably uniform,in addition to being the primary source of such information. Page 19 74 Tom Rooney The comptroller's database is the main source used in this project for each of the variables concerning the revenue ratios. In each of the fields that have a total revenue figure as part of the calculation,the total revenue amount was taken from the comptroller's database. The different fields separating own source revenue from intergovernmental revenue were also compiled using information from the comptroller's database. The term"own source revenue"was operationally defined to include the following catego- ries from the comptroller's data: • Property Tax • All licenses and permits • Sales Tax(HR or referendum ROT) • Fines and forfeitures • Utility Tax • Charges for service • Other local taxes 0 Interest • State sales tax • Miscellaneous Another large portion of the data in the fields for this project came from the individual municipalities'tax extension records on file in each county clerk's office. Records were obtained from the clerk's offices in the counties of Cook,DuPage,Kane,Lake,McHenry,and Will. These records contained the Equalized Assessed Values(EAV)of the communities,the total property tax rates,and the separate property tax rates for each fund. There were cases in which one county's EAV figures were different(within reason)from those of another county with jurisdiction over the same municipality. In these cases,the figure of the county that controlled a greater portion of EAV was used. 5. Data Analysis Ms. Carol Reckamp of the Comptroller's Chicago office estimated a 95% compliance rate for municipalities submitting proper Annual Financial Re- port(AFR)data.11 This compliance rate is accurate in the sample of six coun- ties used for this project. Of the 267 municipalities examined in the six coun- ties,13 did not appear in the comptroller's AFR data. These municipalities are: Blue Island,Dixmoor,Dolton,Greenwood,Lily Lake,Lyons,Markham, Melrose Park,Minooka,Monee,Prospect Heights,Robbins,and Trout Val- ley. Other municipalities either provided insufficient information to the comptroller's office or the Comptroller's database contained errors which could not be rectified by theauthor and which resulted in incomplete infor- mation. Municipalities with incomplete information were: Elburn,River- woods,Union,and Westchester. These municipalities were removed from statistical analysis for any variable calculated with incomplete information. 11 Phone interview between Ms.Reckamp and the author,February 2001. Page 20 Local Government Revenue Structure 75 Dummy variables used to control for the presence of municipal libraries and municipal fire departments turned out to be critical to the data analysis. These controls were not in place when some of the preliminary regressions were run. In these preliminary regressions,some very fundamental relation- ships that must be true for home rule communities did not appear to be sup- ported by the data. Once the data accounted for the presence of municipal libraries and municipal fire departments,the values produced by the regres- sions changed. Hypothesis#1: Property tax revenue will be a smaller proportion of own source revenue in home rule units. The reasoning behind the hypothesis seems intuitive. Home rule units have the ability to generate revenue from sources that are unavailable to non-home rule units. It seems logical to assume that home rule units would avail themselves of their additional tax authority and be less dependent upon property tax. However,the data do not support this hypothesis. The proportion of revenue that is derived from property tax seems to be slightly lower than non-home rule units,but the finding is not statistically signifi- cant. The factors of: a) the proportion of total revenue derived from sales tax,and b) the presence of a municipal fire department were statistically signifi- cant indicators. A larger proportion of sales tax is directly related to a smaller proportion of property tax revenue,as might be logically deduced. However,this con- nection is not directly affected by home rule. One would be tempted to think that home rule communities would be likely to have a greater proportion of revenue derived from sales tax;after all,they have the authority to assess an additional sales tax in 0.25%increments. Non-home rule units did not pos- sess this ability during the time period studied in this project. This assump- tion turns out to be false. The correlation between proportion of sales tax revenue and home rule authority is not statistically significant. Indeed,one need only take a cursory look at the communities that obtain one-third or more of their revenue from sales tax. More than half of these communities are non-home rule units. Of the home rule units in this category,the major- ity of them do not assess an additional home rule sales tax. The proportion of revenue comprised of sales tax does not have a significant connection with home rule. Similarly,the presence of a municipal fire department is also not directly related to home rule authority. Many cities without home rule authority have municipal fire departments,and some home rule communities are served by fire protection districts rather than municipal departments. Page 21 76 Tom Rooney Home rule does not have a significant impact on the property tax per- centage of own source revenue,and the significant impact of the proportion of sales tax revenue is not related to home rule. Hypothesis#2: Own source revenue will be a higher proportion of total revenue in home rule units. Again,this hypothesis seems intuitive. With additional own source tax possibilities available to home rule units,one would think that home rule units would generate more own source revenue. Nevertheless,the data do not support this hypothesis. When tested with some variables,home rule only increases this proportion slightly;when tested with other variables, home rule only decreases this proportion slightly. More importantly,in all tests,home rule authority is not a statistically significant factor. Of the vari- ables tested,per capita EAV is directly correlated at a significant level(with a very minor positive effect)and proportion of sales tax is directly correlated at a significant level(with a more pronounced positive effect). There is no hidden home rule impact in either variable. Hypothesis#3. Per capita revenue will be higher in home rule units. To come full circle,a form of the hypothesis of the Rolling Meadows pe- titioners was tested. The petitioners argued that the taxes of home rule communities were higher than those of non-home rule units. Their reason- ing also seemed intuitive;home rule units can tax more,so they will. Per capita revenue seemed to be a good choice as a measurement of the level of taxation. Regressions with per capita revenue as the dependent variable do not support the petitioners'hypothesis. To give the petitioners their due, home rule units do seem to have higher per capita revenue,but the data show that the connection is spurious. Home rule authority is not statistically significant as a determinant. 6. Conclusions The data show that home rule authority is not significant determinant of a community's taxation level,even when considering the level of taxation under different operational definitions.These findings confirm the findings of Allan Mayer of the Illinois Comptroller's Office. In a study of the data of all municipalities in Illinois,Mr.Mayer found that"other factors [than home rule authority]are more likely to determine a municipality's dependence on property taxes (Mayer ND)." On the basis of the data for this report,the same conclusion can be made regarding the proportion of own source reve- nue and the general level of taxation. Home rule is not a key factor. For the questions regarding general level of taxation,further study must be done; the data in this report do not point to any critical factors. Page 22 Local Government Revenue Structure 77 The question remains,then: Why does home rule authority not have the effect on taxation that either side in the Rolling Meadows home rule debate expected it to have? A plausible explanation would seem to be that home rule authority is really more about regulation and other municipal powers that are not related to taxation. Some anecdotal evidence supports this conclusion. In a previ- ous phase of this project,information was obtained from the four cities in Illinois whose home rule authority was revoked: Lisle,Lombard,Rockford, and Villa Park. Interviews with various officials in these cities showed a common pat- tern. All the officials stated that their towns were not particularly interested in trying to regain home rule authority. Mr. Bill Lichter,Village Manager of Lombard,stated that if his village were to become interested in regaining home rule,the taxation issues would not be the driving force. From his per- spective,the only revenue issue of any concern was the restriction of non- home rule units in their use of revenue raised by the hotel/motel tax. The rest of the discussion involved regulation issues,not financial issues. Mr. Ron Schultz,Legal Director of the City of Rockford,also said that his city would,hypothetically,be more interested in the regulatory powers of home rule than the taxation powers. As an example,he cited the fact that the City of Rockford used to be able to license electricians according to their own standards. With the loss of home rule,Rockford no longer has the authority to set these standards. Home rule seems to affect the regulatory operations of a municipality much more than it affects a municipality's revenue struc- ture. Analysis of the data collected for this paper shows that home rule au- thority is not a significant factor in the level of taxation imposed by a mu- nicipality. Home rule authority does not manifest itself in a higher level of taxation,as the proponents of the Rolling Meadows referendum argued. Neither does home rule manifest itself in a lower level of taxation,as the op- ponents of the Rolling Meadows referendum argued. None of the taxation factors tested in this project point directly to home rule as a contributing fac- tor. Home rule authority is more valuable to municipality for regulatory powers than for tax purposes. References All citations of the Illinois Constitution come from 1970 Illinois Constitution Annotated,David R.Miller,Illinois Legislative Council,1980. Cole,Stephanie. 1973. Illinois Home Rule in Perspective, Home Rule in Illi- nois,p. 14. Ebel,Alice.1970. Local Governments Outside Cook County,Con-Con: Issues for the Illinois Constitutional Convention,p. 235. Encyclopedia Americana. 1992. Missouri,Volume 19,p.261. Page 23 78 Tom Rooney Mayer,Allan. 1999. Supplemental Analysis: Home Rule Units, FY1999 Fis- cal Report Card, Office of the Comptroller. Small,Joseph F.,S.J. 1970. Urban Government, Con-Con Issues for the Illinois Constitutional Convention,p. 235. Wandling,Richard. 2001. Illinois,Home Rule in America: A Fifty State Hand- book,p.128. Page 24 The J-1 o[ Regional Analysis JRAP(2002)32:1 —& Policy Illinois Home Rule: A Case Study in Fiscal Responsibility James M. Sanovetz* Abstract. This article examines the popular notion that elected officials,par- ticularly at the local level,can not be trusted with broad powers of taxa- tion;that they are likely to use and perhaps abuse all of the powers of taxation they possess. The study looks at the use of tax powers,made over a 30 year period,by Illinois'home rule municipalities which have one of the broadest grants of tax powers given by any state to its local government officials. This study found only seven reasonably verifiable examples of unwarranted uses of home rule powers,only three of which represent unequivocal instances in which the voters,the courts,or the legislature voided uses of home rule powers. Available evidence pro- duced neither a rational nor an empirical basis to support a reasonable probability that,given the opportunity,local elected officials will enact new or higher taxes without regard for the wishes of the voters. Indeed, the Illinois experience suggests that,with adequate safeguards,local offi- cials can be trusted with broad based local tax powers. 1. Introduction Perhaps one of the most common attitudes about American local gov- ernments is that their legislators are prone to abusing their power to tax. This attitude has its roots in the era of municipal corruption in the last dec- ades of the nineteenth century,chronicled so well by Lincoln Stephens in his classic The Shame of the Cities,and attacked by the municipal reform move- ment of the last century launched by Richard S.Childs and the National Mu- nicipal League. The attitude persists despite the fact that reforms produced by that movement(including the Australian ballot,nonpartisanship in local elec- `James M.Banovetz is professor emeritus and director emeritus of the Division of Public Ad- ministration at Northern Illinois University. An internationally renowned expert on local gov- ernment and local government management,Banovetz is recognized as the foremost authority on home rule in Illinois. Page 25 80 James M.Banovetz tions,the council-manager form of government,and,most importantly,the professionalization of local government workforces)has cleaned most cor- ruption out of city and village governments,especially from the growing majority of mid-sized cities using professional city managers,and including most large city governments (e.g.,Cincinnati and Kansas City). This attitude continues to provide popular support for manifold con- straints on the powers of local governments,especially their tax powers. Constraints range from the judicial standard of strict constructionism in the interpretation of grants of authority to local governments(Dillon's Rule), through statutory limits on taxing powers,to the more contemporary impo- sition of tax caps.All of these constraints are rooted in the presumed truism of Lord Actions thesis that power corrupts and absolute power corrupts ab- solutely. The persistence of this attitude has been demonstrated by the force of the so-called"Taxpayers'Revolt" of the last several decades. The growing use of property tax caps in Illinois attests to the attitude's continuing strength- strength that endures despite a dearth of empirical or other scholarly evi- dence examining it. Illinois' experience with home rule offers a unique and interesting op- portunity to test the proposition that it is inevitable,or indeed even probable, that municipal officials will abuse the authority to impose more and higher taxes on local taxpayers. This paper will exploit this opportunity;it will ex- amine Illinois'experience with home rule tax powers,looking for evidence suggesting irresponsibility in their use.To do so,it will draw upon the lim- ited available research on Illinois home rule and on the author's own 38 years of experience working with,and studying,Illinois'local government system. First,however,it will summarize the extraordinary home rule pow- ers granted to Illinois cities and villages. 2. The History of Illinois Home Rule With Chicago and Cook County's long histories of machine politics and political corruption,Illinois has provided fertile ground for popular scepti- cism about the fiscal responsibility of local municipal officials. The public's reaction to late 19th and early 20th century municipal corruption was an in- tense and continuing pattern of adding ever more restrictions and limitations on municipal taxing powers. Property tax limitations eventually reached a point at which they were so overlapping and confusing that they were barely capable of judicial interpretation,sometimes leading to implementation in an arbitrary and capricious fashion (Fisher and Fairbanks 1968). Indeed,Illinois students of local government routinely attribute Illinois'unusually large number of local governments to the need to evade statutory restrictions on municipal taxing powers so that services demanded by the public could be Page 26 Fiscal Responsibility 81 provided.2 Illinois has also had a history of strict and rigid application of Dillon's Rule to the interpretation of statutory grants of power. In effect,Dil- lon's rule holds that municipal corporations have only those powers specifi- cally granted to them by statute and those necessarily implied from the granted power.3 Indeed,statutory grants of authority to cities were so re- stricted in their application that Chicago attempted,frequently and unsuc- cessfully starting in 1904,to secure some form of home rule (Banovetz and Kelty 1987a). Despite the state's history of local government distrust, Chicago's home rule efforts ultimately proved successful in 1971 when voters approved the State Constitution drafted in 1970. That Constitution provided Illinois cities and villages with an optional home rule system that William N. Cassella of the National Civic League has called"the most advanced form(of govern- ment)as far as a flexible power system is concerned (Banovetz and Kelty 1987b) 3. Illinois Home Rule Powers Defined The 1970 Illinois Constitution provides a very broad definition of home rule powers: "Except as limited by this Section,a home rule unit may ex- ercise any power and perform any function pertaining to its government and affairs including,but not limited to,the power to regulate for the protection of the public health,safety,morals and welfare;to license;to tax;and to incur debt." (Art.VII;Sec. 6a) Except for prohibiting home rule units from levying taxes upon"income, earnings,or occupations"without legislative authorization,the constitu- tional constraints upon home rule units are relatively few and have not proven to be significant. The constitution permits the General Assembly to put specific limits on the use of home rule powers,but with restrictions: (1)it can provide for the exclusive exercise of a power or function by the state by a vote of a simple 2 Depending upon the information source,Illinois has between 6,800 and 7,200 units of local government. It has more units of local government than any other state in the nation,lea ding the second ranked state,Pennsylvania,by nearly 50 percent. A large portion of these govern- ments are fire protection,park,and library districts formed in part to get new access to property tax revenues to support these popular services. 3 Italics added to emphasize the interpretive practices of the Illinois courts. Dillon s rule is a legal concept first articulated by the Iowa courts and later applied by the courts in each state. The classic application of the rule was in Trenton v.New Jersey,262 U.S.182(1923). Further clarification is found in Kennedy(1971)and Braden and Cohn(1969). Page 27 82 James M.Banovetz majority of both houses,or(2)it can prohibit the use of a home rule power, but only by a vote of a three-fifths majority of the membership of both houses. The constitution further stipulates that: "Powers and functions of home rule units shall be construed liberally." (Art.VII,Sec. 6m) The Illinois Supreme Court demonstrated its general willingness to con- strue the grant of home rule powers liberally in three early,landmark cases. In 1972 and again in 1980,the Court ruled that legislation passed before the effective date of the 1970 constitution did not limit home rule powers unless such legislation complied with constitutional requirements(the three-fifths majority vote)needed to impose a limit on home rule powers.4 In 1973,the Court held that statutes restricting the exercise of local government power did not apply to home rule units unless the statute explicitly indicated such an intent.5 In short,Illinois'grant of home rule powers to its cities and villages is, indeed, very broad. 4. Illinois Use of Municipal Home Rule When the 1970 Illinois Constitution took effect on July 1,1971,a total of 67 cities and villages automatically gained home rule authority by virtue of meeting the constitution=s standard of having a population of 25,000 or more persons? By the time of the November 2000 elections,that number had grown to 147 municipalities. In the intervening years,twelve more cities gained home rule by population growth,72 had adopted home rule by refer- endum,and four lost home rule status by referendum. Since the Constitution and its home rule system took effect thirty years ago,over seven million Illinois residents-well over half of the state's popula- tion C have lived in a local government exercising home rule powers. "Thus 4 Kanellos v Cook County,53 111.2d 161,290 N.E.2d 240(1972);Sommer v.Village of Glenview,79 Ill 2d 383,403 N.E.2d 258(1980). 5 Romer v Korshak,55 Ill.2d 430;303 N.E.2d 389(1973) 6 The discussion in this section is based upon"Illinois Home Rule:A Thirty Year Assessment," Policy Profiles,Northern Illinois University Center f or Governmental Studies,February 2001. 7 Home rule was also made available to counties in which a chief executive officer is elected by the voters at large. This structural requirement has resulted in a county experience with home rule very different from the municipal experience,but not necessarily in terms of financial pow- ers,practices,or behaviors. Chiefly,this requirement has effectively limited home rule to just one county,Cook County. As a result,this paper does not deal with county home rule in Illi- nois. Page 28 Fiscal Responsibility 83 it is safe to conclude that Illinois and its residents have had widespread ex- perience with municipal home rule."8 5. Home Rule Tax Powers With significant exceptions,the broad scope of Illinois'home rule power also extends to the power to levy taxes. Home rule freed municipalities from all legislative limitations on the levy and use of property taxes,and gave municipalities wide discretion to design new tax levies. The principal exception is income taxes:the Constitution's sole stated tax limitation prohibits home rule taxes levied on"income,earnings,or occupa- tions"unless such taxes are specifically authorized by the Illinois General Assembly. No such authorization has ever been given or even seriously con- sidered. A second major exception occurred in 1991when the Illinois General Assembly preempted the power to impose retail sales taxes. Illinois had op- erated well before 1971 with a 5 percent state sales tax which went into the state's general fund and an additional 1 percent tax,if locally authorized,9 which was rebated to the city or county in which the retail sale occurred. Functionally,the system produced a state-wide 6 percent sales tax.10 The state collected the entire sales tax and rebated to each local government its portion of the tax. After home rule became effective in 1971,a number of cities and villages enacted their own sales taxes,applied over and above the 6 percent state tax. These local sales taxes sometimes were levied on different bases,usually de- signed to protect local merchants from out-of-town competition. Thus,for instance,some communities with significant farm service businesses ex- empted farm implement sales from the local,home rule sales tax;others lim- ited the local tax to the first$500 of price on any given item;still others used other tax definitions to raise money without harming the local economy. Tax rates,too,were set locally and the collection of these additional local sales taxes was the responsibility of the levying municipality. The result was a pattern of local sales taxes that provoked opposition from statewide merchants who had to program cash registers differently in many communities they served. To assist the merchants,the General As- sembly reserved to the state exclusive authority to enact sales taxes,thereby establishing a single,statewide retail sales tax base.11 Simultaneously,the General Assembly protected home rule communities by authorizing them 8 Policy Profiles,op.cit.,p.1. 9 And nearly all Illinois cities and counties have authorized the use of this local portion of the levy. 10 The tax was later modified so that the 5 percent state portion was not levied on the sale of food (except food served on the premises)and drugs. ii The sales tax in Illinois is technically known in law as the retail occupation tax. Page 29 84 James M.Banovetz individually to levy an additional sales tax,on the state's tax base,in amounts of.25 up to a total additional levy of 1.5 percent. A third constraint upon home rule taxing power was also added by the General Assembly. One of the first12 taxes levied by home rule municipali- ties was a real estate transfer tax. In the decades of the 70's and the 80's, which saw rapid escalation of real estate values,the real estate transfer tax produced a large windfall in revenues from taxpayers whose properties had become so inflated that sellers,who paid the tax,hardly noticed the amount. When the escalation in property values leveled off,however,the tax gener- ated opposition. Thus,the General Assembly enacted legislation which al- lowed existing real estate transfer taxes to continue,but imposed a referen- dum requirement on any future levy of such a tax by a home rule municipal- ity. 6. Hypothesis and Methodology Given: • Illinois'local government history, • The extraordinary breadth of Illinois home rule powers, • The broad scope home rule gives to municipal taxing powers,and • The number of Illinois cities that have used Illinois home rule, the Illinois experience might well be said to represent the most severe test possible of the hypothesis that,given sufficient discretion,local government officials will impose unwarranted taxation on their residents. This paper will examine this hypothesis by(1)examining the extent to which the authority has been used; (2)comparing home rule with non-home rule communities' uses of property taxes as a revenue producing measure; (3)reviewing home rule constraints on the misuse of home rule taxing powers to determine if, indeed,such constraints have been,and can be,used successfully;and(4) examining the nature of voters'reaction to the use of home rule powers. Since the term"unwarranted powers"is subjective,this paper will view only those uses as"unwarranted"which were subsequently constrained or voided by oversight agencies-the General Assembly,the courts,or the voters through a referendum. Ultimately,in a society ruled by democratic principles,the reaction of the voters is the most nearly infallible test of the acceptability and utility of public policy,including the appropriateness of tax policies. Fortunately,for the purposes of testing this hypothesis,voter reaction is also the test with the best available information. 12New at least to Illinois. Page 30 Fiscal Responsibility 85 1. Municipal use of home rule taxing powers Two comprehensive surveys of the uses of home rule powers have been made. The first was undertaken in 1983 (with 95 communities responding) and updated in 1986(with 60 communities responding;taken together in the two surveys,105 communities responded to at least one survey) (Banovetz and Kelty). The second has just been completed(in spring,2002),with 83 communities responding. The most common uses of home rule powers in the two surveys are shown in Table 1. Three relevant conclusions can be drawn from this table. First,home rule is widely used for governmental functions other than taxa- tion. While the use of home rule taxes is one of the two most common uses of home rule powers,home rule is used almost as frequently to promote economic development,strengthen regulatory authority,reduce debt costs,13 and facilitate the purchase,sale,and lease of real estate. Home rule,in short, is not used by government officials primarily as a method of raising more tax revenues. Second,the use of home rule as a means of raising tax revenues from sources other than property taxes is clearly increasing and is widely em- ployed for that purpose,although the frequency of such use is probably overstated by the survey. Well over half of the survey's non-respondents were small communities which make less use of tax and other home rule powers. Nonetheless,this significant increase in use makes the analysis in this study(a)more important,and (b)more likely to support the hypothesis. Third,few home rule communities use their home rule power to levy higher property taxes. Fewer than one-fourth of home rule communities use home rule to increase property tax levies above the levels allowed by statute or to increase such levies above statutory tax caps. 13 Home rule is widely used to lower the interest costs of government borrowing. Because they are not limited in their borrowing to kinds of debt authorized by statute,home rule communi- ties can negotiate better interest rates. Further,home rule communities can issue general obliga- tion bonds(GO bonds which are secured with the government's property tax powers)without the need to secure voter approval through a referendum. The use of GO bonds lowers the inter- est costs of the borrowing. And,indeed,the shift in borrowing from revenue to GO bonds by home rule communities has been significant;it is used even when other revenue sources(e.g., utility bills)are used to raise the funds to repay the debt. Because debt secured with property tax powers can,if used unwisely,lead to substantial increases in property taxes,its indiscrimi- nate use could have serious adverse effects on the property tax levies and credit ratings of home rule communities. Thus this home rule use has a direct relationship to the use of home rule tax powers. Page 31 86 James M.Banovetz Table 1. Uses of Home Rule Powers Function 1 in o 2002 in o Communities Reporting 105 or 95% 83 or 57% Economic Development ** 83 Levy Taxes Based on Home Rule Powers 57 83 Regulation 72 78 Reduce the Cost of Borrowed Money 90 74 Buy,Sell,or Lease Property 43 73 Levy Sales Tax 5 61*** Regulatory Licensing 61 55 Intergovernmental Agreements 58 52 Change Structure of Government 30 29 Exceed Tax Caps NA 24 Extend Property Tax Beyond Statutory Limits 16 18 *Listed in order of frequency. **Not tabulated,but incidence of use was second only to incurring debt. ***Sales taxes reported in the first survey were based on home rule powers;in the second sur- vey,they were levied based on special statutory authority. Note:The lower survey participation in 2002 will cause some inflation in the percentages since the majority of the non-participants were small communities which,in general,make much less use of home rule powers. Two-thirds of communities over 25,000 responded while less than half of those under 25,000 responded. Further insight into the kinds of taxes being levied by home rule com- munities in both the 1983-86 and 2002 surveys is found in table 2. It clearly shows that the years between 1986 and 2002 have witnessed a major expan- sion in the use of taxes levied with home rule powers. This can be attributed to a number of possible factors. Certainly the chronic need of local govern- ments-like all governments-for more money to meet public service de- mands is a factor. So,too,was the loss of federal revenue sharing dollars which occurred during this period. Local governments typically reacted to this loss by maintaining services at or near existing levels and making up the revenue shortfall by some combination of greater operating efficiency and increased use of other revenue sources. Two other factors also played a role. The first is the influence of the Home Rule Attorney's Association,a group sponsored by the Illinois Mu- nicipal League,which has met monthly since first being formed in 1971,to monitor home rule uses with the intent of discouraging uses that would be disapproved in court tests. As case law has developed,and the legality of more uses has been established,many powers have been more frequently used. The second has been the success of home rule itself:experimental uses of home rule powers that subsequently prove successful in achieving their purpose also tended to be copied. The hotel-motel tax is a good example of the latter phenomena. Page 32 Fiscal Responsibility 87 Table 2. Home Rule Taxes,1983-86 and 2002 Tax Levied 1983-86%use 2002%use Communities Reporting 105 or 95% 83 or 57% Retail Sales* 5 61 Hotel/Motel* 35 60 Real Estate Transfer* 11 36 Restaurant food&Beverage Sales* 8 25 Exceed Property Tax Caps NA 24 Property Tax Beyond Statutory Limits 15 18 Gasoline* 9 17 Amusement* 14 14 Wheel Tax(on auto ownership) 4 8 Other 3 7 Sale of New Automobiles 7 2 *Taxes which broaden the tax base to include non-residents of the community. Note: The lower survey participation in 2002 will cause some inflation in the percentages since the majority of the non-participants were small communities that,in general,make much less use of home rule powers. Two-thirds of communities over 25,000 responded while less than half of those under 25,000 responded. The single most notable change in tax patterns has been the increase in the use of home rule retail sales taxes which became much more common after the Illinois General Assembly prohibited the use of home rule powers to levy sales taxes and permitted home rule communities to impose larger local sales tax levies on the state sales tax base. Historically,Illinois has im- posed a 5% state sales tax and permitted local communities (e.g.cities,vil- lages,counties)to add an additional 1% levy within their jurisdictions,which the state collects and remits to them. Now,home rule communities can levy up to an additional 1.5%,to a total of 2.5%,on the state sales tax base which the state will collect and remit to them. By eliminating the need to collect the home rule portion of their local sales tax,this change made the use of home rule sales taxes much more attractive to home rule governments. Two additional points must be added to this. First and foremost, only seven,or 13%,of the fifty-three communities reporting the use of this tax levied the whole 1.5%. Of these,six were located in Cook County and one in a Chicago suburban county. Because of additional levies for metropolitan purposes,total sales tax rates in Chicago and suburbs are higher than in the rest of the state,making local tax additions a smaller percentage of the total levy. Second,non-home rule communities are restricted to the 1% local share. These differences produce total sales tax rates which vary widely throughout the state. No evidence has ever been offered that suggests that such differences have produced a detectable impact on consumers'shopping patterns in either the state or in the Chicago metropolitan area. A second trend evident from a careful reading of the data is that the taxes levied with home rule power are predominantly those that spread the tax burden to non-residents of the community:retail sales tax,hotel/motel tax,real estate transfer tax,restaurant food and beverage tax,gasoline tax, Page 33 88 James M.Banovetz and amusement tax. The four most frequently used home rule taxes,and six of the top eight home rule tax uses,are taxes which spread tax burdens more broadly. In fact,some communities adopted home rule specifically to secure the authority to levy retail sales taxes so that community cost burdens could be transferred to non-residents.14 In short,then,taxation has been an increasingly common use of home rule powers,but it has been most frequently used to transfer local tax bur- dens from residents to non-residents of the community. 2. Comparison of home rule and non-home rule uses of tax powers Home rule governments clearly levy a wider array of taxes than their non-home rule peers since,with one exception,non-home rule units are not authorized to levy any of the taxes listed in Figure 3. That exception is the hotel/motel tax.15 Indeed,only one of the taxes listed in Figure 3 has been challenged by opponents of home rule:the use of home rule to extend prop- erty taxes beyond the statutory limits imposed on non-home rule govern- ments.16 Because this has been the focal point of home rule opposition,it also will be the focal point of this analysis of the hypothesis that,given suffi- cient discretion(as Illinois home rule surely provides),local government of- ficials will impose unwarranted taxation on their residents. Opponents of home rule regularly contend that the adoption of home rule will lead to rapid,and by implication unwarranted,increases in munici- pal property taxes. Two studies have been conducted over the years which compare home rule and non-home rule use of property tax powers;both have relevance for this opponents'contention. The first,undertaken by J.Banovetz and R.Albritton,compared the changes which occurred in all Illinois cities and villages over 10,000 popula- tion during the first ten years of home rule, 1971-81 (Banovetz and Kelty 1987). They found that both population size and geographic location(10- cated inside or outside of Cook County)accounted for more of the variance 14 These tend to be communities with regional shopping malls-Oakbrook and Mt.Vernon are examples. Communities with large college student populations,such as DeKalb,or with busy hotel/motel industries,such as Rosemont,also utilize such taxes heavily. 15 That exception,however,is significant. The City of Rosemont,located adjacent to O'Hare Airport and with a night-time population several times its daytime population,first adopted home rule in 1972 for the express purpose of imposing a hotel/motel tax on the many large hotels within its boundaries. The tax proved so successful and devoid of local opposition,that it was widely copied by other home rule governments. The state legislature finally authorized the tax for use by non-home rule governments,but with a crucial difference:the statutory authoriza- tion permits home rule tax proceeds to be used only to promote tourism to the community. Home rule governments can use the tax proceeds for any public purpose. 16 Presumably,home rule opponents will also object to home rule governments'exemption from statutory property tax caps,but,in the author's experience monitoring home rule referenda,this consideration has not yet emerged as a major issue. Page 34 Fiscal Responsibility 89 in property tax rates and the rate of increase in such rates than did home rule status. While home rule units showed a higher rate of increase in property tax levy amounts during the ten year period,the total amount of their tax levies,shown in Table 3,was not significantly different in 1981,the final year for which data for the study were available. Leaving aside the debate about whether the higher rate of increase was attributable to home rule status or simply a process of"catch-up," and remembering that only 13.7 per cent of all home rule units (of whatever population size)were even levying higher property tax rates than they could have levied without home rule powers in 1983,only one conclusion from that study could be said to be relevant to this inquiry: when controlling for population and location, the average property tax levy for home rule communities was the same as the average property tax levy for non- home rule communities after ten years of Illinois home rule experience. Table 3. Comparison of Property Tax Levy Rates of Home Rule and Non- Home Rule Communities After Ten Years of Illinois Experience with Home Rule Category of Municipality Ave.Rate 1970 Ave.Rate 1981 I.Municipalities Over 25,000 In Cook County(N=27) .794 1.612 Outside Cook County(N=35) 1.114 1.612 U.Cook County Municipalities 10,000-25,000 With home rule(N=8) .543 1.325 Without home rule(N=38) .812 1.303 III.Non-Cook County Municipalities 10,000-25,000 With home rule(N=6) .659 1.002 Without home rule(N=52) .842 1.176 The second,much more contemporary study,by R. Dye and T.McGuire (1997)looked at the effect of property tax limitation measures in general,and specifically on the effect of tax caps on local government fiscal behavior. In studying such effects on Illinois cities and villages located in the six county Chicago metropolitan region,Dye and McGuire specifically evaluated the impact that the state's tax caps,enacted in 1991,had upon the property tax rates of non-home rule communities(which are subject to the caps)when compared to home rule communities (which are not).This is shown in Table 4. They found that: Table 4. Average Annual Growth Rates of Property Taxes Communities Number Growth Rate W/O Cap Growth Rate W Cap Non-Home Rule 104 14.57 7.14 Home Rule 134 9.03 7.55 Source: R.F.Dye&T.J.McGuire(1997). Page 35 90 James M.Banovetz 1. The 104 non-home rule communities had been experiencing a much faster rate of growth in property tax rates before the imposition of the tax caps than the 134 home rule communities. 2. The rate of increase in property tax levies decreased in both the home rule and the non-home rule communities after the imposition of the tax caps upon the non-home rule communities,but the rate of decline was less in home rule communities.17 3. The rate of increase in property tax levies for non-home rule and for home rule communities was comparable18 after the imposition of tax caps. Nothing in the Dye and McGuire study would lead to the conclusion that home rule status results in significantly higher levels of property taxa- tion. In short, nothing in either study comparing home rule and non-home rule uses of the property tax supports the hypothesis that local government leaders,given the freedom from constraint that home rule provides,will impose significantly higher rates of property taxation. In fact,Dye and McGuire's data on the rates of property tax increases prior to the imposition of the tax caps suggests exactly the opposite:that property taxes have increased more slowly in home rule communities. Data in the 2000 survey adds further evidence that home rule communi- ties rely less on property taxes than do their non-home rule peers. It asked communities what proportion of their total revenues in 2000 was derived from property taxes. The results are presented in Table 5 together with a comparison with the statewide average for municipal revenues from prop- erty taxes. Table 5 indicates that(1)the use of home rule powers to levy property taxes in excess of non-home rule statutory limits is very rare in communities smaller than 25,000,and(2)the percentage of total municipal revenues de- rived from property taxes by home rule units,even those home rule units levying property taxes in excess of what would be their statutory limits without home rule powers,is considerably less in communities larger than 25,000 population than the statewide averages. Since property tax levies tend to be higher in larger communities,all else being equal,the averages for large home rule communities should be considerably higher than the state- wide average. That it is not suggests that home rule powers,at worst,have not driven up property taxes and,at best,have been a factor in keeping such 17 Ibid.,p.8. Dye and McGuire did not control for differences in population size,but they did find evidence that location in Cook County or the collar counties did have an independent effect (p.14). 18 The rate of increase was 7.14%for non-home rule and 7.55%for home rule communities. The use of a percentage rate of increase,however,does not control for the impact on the percentage of the much higher rate of initial increase by the non-home rule group. Page 36 Fiscal Responsibility 91 taxes down.19 Such data hardly support the hypothesis that,given the au- thority to do so,local government officials will increase property taxes in unjustifiable amounts. Table 5. Municipal Reliance on Property Taxes: Percentage of Total Mu- nicipal Revenues Derived from Property Taxes Average Average All Category All Home Rule Home Rule Over Statutory Limits Cook County<25,000 18% 23% Cook County>25,000 18% Collar Counties<25,000 13% 11% Collar Counties>25,000 15% Outside<25,000 15% 16% Outside>25,000 10% Statewide Average** 26% *** *Too few cases for valid statistical comparison **Source: Statewide Summary of Municipal Finances, Report of the Comptroller General of Illinois ***Data not available Note: Data from survey is for year 2000;statewide data is for most recent year available,1998. In short,there is no research-based evidence in the public domain which supports claims that,given either the authority or the opportunity,Illinois city officials will drive up property taxes. 3. The impact of constraints on the misuse of home rule authority The 1971 Illinois Constitution establishes legislative,judicial,and elec- toral constraints on the use,and misuse,of home rule power. This section will deal with the first two;electoral constraints will be discussed in the next section. Legislative constraints derive from the constitutional grant of authority to the General Assembly either to preempt home rule powers for exclusive use by the state or to deny certain powers to home rule units. The legislature has used both constraints,but in a way not necessarily intended to show dis- approval of specific uses of home rule tax powers. While the General Assembly seemed to disapprove of a home rule tax when it imposed a referendum requirement on new adoptions of property 19 The example of the City of Rockford,the states only city above 25,000 population without home rule powers,adds further support for this possibility. When Rockford lost its home rule powers,it quickly sought and received both state legislative and local voter approval for a nu m ber of property tax increases which brought the city's property tax rate considerably above its former,non-home rule,statutory limit. Page 37 92 James M.Banovetz transfer taxes,its action was not as negative as it might seem since it neither denied home rule units the authority to levy such taxes in the future nor did it order that existing property transfer taxes either be repealed or submitted to the voters for approval. Its action,then,appeared to be more of a response to anti-tax pressures than disapproval of this use of home rule taxing power. The legislature's 1991 action terminating local home rule powers to levy retail sales taxes was not intended ultimately to restrict home rule powers. The bill's sponsor,Senator Dawn Clark Netsch,was and remains a home rule supporter. Rather,her intent,articulated publicly,was to eliminate the prob- lems for retail merchants caused by the varying,locally defined tax bases on which the local taxes were levied.20 By including in the bill a provision al- lowing only home rule governments to impose an additional sales tax on the state's base,Senator Netsch and the General Assembly preserved home rule units'access to retail sales taxes as an alternative approach for raising reve- nues to support their service commitments. Similarly,the General Assembly passed up other opportunities to restrict home rule taxing powers in 1991 and again in 1995 when it passed laws im- posing caps on annual increases in local government property tax levies.21 The caps were made mandatory for local governments in the six county Chi- cago metropolitan area and in other counties when approved by a county wide referendum. In all cases,however,the General Assembly explicitly exempted home rule units from the tax caps. The tax cap legislation re- sponded to statewide,anti-property tax sentiment and it is reasonable to as- sume that home rule units would not have escaped the limitations if the General Assembly had significant evidence that their tax increases were un- warranted. The Illinois courts,acting in their capacity as the final arbiters of the meaning of constitutional language,including the language of the home rule provisions,also has not hesitated to use its powers to restrict abusive or ex- cessive uses of home rule taxing powers. The Illinois Supreme Court,has heard 20 cases challenging the use of home rule tax powers;it supported home rule taxing power in 17,or 85 percent,of these cases. 20 Senator Netsch,in conversations with the author,expressed her view that her action in spon- soring the bill was actually supportive of home rule taxing powers. Further,there have been other similar situations in which the General Assembly has exercised preemptive powers be- cause the aggregate of otherwise reasonable local decisions created problems for the state as a whole. An excellent example was the action of the 811t General Assembly denying home rule governments the power to regulate minimum ages for the purchase and consumption of alco- holic beverages. In this instance,variations in local laws,all enacted for locally supported rea- sons,led to too many traffic accidents as young drivers drove to communities with more lenient regulations. 21 The tax cap program limited a local government's property tax increase in any year to a maximum of five percent or the increase in the cost of living,whichever was less. Page 38 Fiscal Responsibility 93 The cases in which it did not support home rule taxing authority are par- ticularly significant for the use of home rule authority and for this analysis. In the first,the court struck down a Chicago ordinance imposing a retail sales tax on sellers of services.22 Drawing on the ruling in this case,the court ruled a year later that home rule utility taxes,levied in amounts that ex- ceeded the statutory maximums on such levies for non-home rule units,were a tax on occupations and thus in violation of the constitution.23 Finally,the court ruled that a Chicago tax on memberships in health clubs was an im- permissible occupation tax.24 These examples demonstrate that the legislature and the courts have the power and the inclination to restrict or constrain the use of home rule tax powers if they feel a need to do so. That there are so few such examples,and none in the use of home rule's unlimited power to levy property taxes, suggest that they have not felt such a need; that they have not found significant patterns of misuse or excessive use that require imposing constraints on such tax powers. Of perhaps particular signifi- cance,the legislature did find,in 1991 and again in 1995,excessive use of property taxing powers by non-home rule units of government and did im- pose constraints on those governments,but did not impose similar con- straints on home rule governments. 4. Voter reaction to home rule:electoral constraints From the standpoint of democratic theory,the reaction of the voters is the ultimate test of whether Illinois'broad home rule taxing authority,in- cluding seemingly unlimited property taxing authority,has led to unwar- ranted tax increases. This reaction can be measured by the referenda held on the question of whether or not a city,village,or county should have home rule powers. As of November,2000,there had been 191 such referenda in Illinois.25 As might be expected,these referenda convey a mixed message. In 97 cases,the voters approved the use of home rule;in the other 94 cases they did not. But these 191 referenda can be divided into three distinct categories-county adoption referenda,municipal adoption referenda,and municipal retention referenda- and each produces a different picture of voter support. These referenda re- sults are reported in Table 6. 22Commercial National Bank of Chicago v City of Chicago 89111.2d 45,432 N.E.2d 227(1982). 23 Waukegan Community School District 60 v City of Waukegan 95 111.2d 244,447 N.E.2d at 233-35 (1983). This case also over-ruled a 1974 court ruling favorable to home rule. 24 Chicago Health Clubs,Inc.v Picur 124I11.2d 1,528 N.E.2d 978(1988). 25"111inois Home Rule:A Thirty Year Assessment,"Policy Profiles,op.cit.,pp.1-5. Page 39 94 James M.Banovetz Table 6. Home Rule Referenda Record 1971-2000 Kind of Referenda Voted for Home Rue Voted Against Home Rule County Adoption of Home Rule 0 11 Municipal Adoption of Home Rule 72 79 Municipal Retention of Home Rule 25 4 Total 97 94 All referenda to adopt home rule by county governments were held after Cook County used its home rule powers to levy several new taxes;all failed, on average by a margin of 3-1. However,these referenda results are some- what murky because they contained two separate issues,adopting home rule and restructuring county government.26 On the question of whether or not a city or village should be a home rule unit,the results are mixed-an understandable outcome in a society founded on a legitimate concern for the misuse of government powers. Most of these are referenda in which voters who have not lived in a home rule government are deciding whether to adopt home rule.Given Illinois'history,the only surprise is that so many referenda supported home rule. Of greatest interest for this analysis are the outcomes in elections in which voters currently living in a home rule city are deciding whether or not home rule should be retained. These are voters who have experienced home rule powers,including home rule taxing powers,and who have an opportu- nity to abolish those powers. In these elections,voters opted to retain home rule in 25 out of 29 elections,or in 86 percent of the cases. Equally interest- ing,the average electoral outcome in these elections was a 3-2 margin in fa- vor of home rule.27 "In short, where home rule has been tried in Illinois,voters have been supportive of it."28 Further support for this conclusion can be gleaned from the municipal adoption referenda. The county with the highest percentage of home rule adoptions is Cook County which has home rule powers and whose voters had,by the time they voted on adoption of home rule for their own city or village,experienced county home rule and paid Cook County's home rule taxes. However, no analysis of these voting data and the hypothesis that elected officials with broad taxing power can and will misuse those powers 26 See footnote 6. These referenda can be interpreted as voter rejection of Cook County's new taxes,but Cook County's own voters have never voted on home rule retention. 27 There is a body of opinion among political scientists who specialize in analyzing election out- comes which holds that any outcome in which the margin of victory is 55 percent or more can qualify as a landslide victory. 28"Illinois Home Rule:A Thirty Year Assessment,"Policy Profiles,op.cit.,p.5. Page 40 Fiscal Responsibility 95 can be complete without an examination of the instances in which voters chose to abolish home rule powers. There were four:Lisle in 1977,Villa Park in 1980,Lombard in 1981,and Rockford in 1983. The Lisle abandonment represented an instance in which elected officials announced their intention to proceed with a plan to issue general obligation bonds to build a new city hall despite voter opposition to the plan expressed through an advisory referendum. Voters promptly petitioned for a referen- dum on the abolition of home rule;the referendum carried;home rule pow- ers were lost;and the city hall was never built. Villa Park and Lombard represented a different scenario altogether. In those communities,voters petitioned for an abandonment referendum and the issue was placed on the ballot. In each election campaign,supporters of abandonment asserted that abolition would reduce taxes by negating the taxes passed with home rule powers. The referendums passed,but tax re- ductions did not occur because neither community had used its home rule powers to levy or impose any taxes,including higher property taxes. The Rockford case presented a still different scenario. In that city,after years of delayed maintenance of the city's infrastructure,officials instituted a series of sharp property tax increases to upgrade and repair public facilities. The council could have raised the needed money without resorting to home rule powers by imposing local utility taxes,but it chose not to do so. Opponents of the property tax increases circulated a petition calling for a referendum on abandoning home rule. The referendum was held and home rule was abandoned. Shortly thereafter,a series of seven referenda were held to raise the city's property taxes above the statutory limit. Six of the seven referenda passed. These cases demonstrate that concerned citizens can,when alarmed about local home rule uses,effectively prevent misuse by placing the fate of home rule powers in the hands of the voters. Summation:Analysis of the Hypothesis This paper seeks to validate the popular belief,expressed constantly in election campaigns concerning home rule in Illinois,that,given sufficient discretion,local government officials will impose unwarranted taxation on their residents. The strongest case that can be made in support of this view is with reference to specific instances of home rule powers being used in un- warranted ways,and subsequently being overturned by the Illinois General Assembly,by the Illinois courts,or by local voters. The best case:examples of unwarranted use of home rule powers The clearest example of an unwarranted home rule use was Lisle's at- tempt to issue bonds to build a new city hall after voters had expressed their Page 41 96 James M.Banovetz opposition to the plan in an advisory referendum. Rockford's use of home rule powers to levy large property tax increases can also be cited in this cate- gory. The abandonment of home rule in Lombard and Villa Park is not a relevant example since assertions made to the voters regarding home rule taxes subsequently turned out to be false. A second example has been the rapid increase in the use of home rule taxes. This suggests that local officials make unwarranted use of their broader tax powers. The widespread use of these non-property taxes,have produced several instances of action to curb the use of home rule powers. Three relevant examples of possible unwarranted home rule uses were those taxes constrained by court decisions voiding Chicago's retail sales tax on services,on Chicago's tax on health club memberships,and utility taxes levied by Waukegan and several other home rule communities in excess of statutory maximums. The two home rule taxes subsequently altered by leg- islative action-the retail sales tax and the real estate transfer tax-might also be considered in a best case scenario. In this best case analysis,then,there have been seven examples of un- warranted use of home rule powers during Illinois'thirty year experience with very broad grants of taxing power. Weaknesses in the best case Even this best case,however,has obvious weaknesses. With the excep- tion of the unwarranted uses by Lisle(bond issue over voter opposition)and Chicago (sales tax on services,health membership tax),each example has mitigating circumstances. Rockford's voters,by approving six of seven property tax increase referenda after home rule's abandonment,gave evi- dence that they were less opposed to the higher taxes (policy use)than to the home rule decision process (policy procedure). The specific utility taxes voided by the courts were subsequently reinstated by the General Assembly. In the real estate transfer tax case,existing taxes were permitted to continue unaffected by the legislation. In the sales tax case,the General Assembly gave home rule municipalities special statutory power to access the state sales tax base and home rule use of retail sales taxes has actually increased as a result. Evidence disproving the he hypothesis The strongest evidence disproving the hypothesis comes from two dis- parate sources. One is the empirical research undertaken by Banovetz and Albritton,who failed to find evidence that home rule communities increased property taxes at a faster rate than non-home rule communities,and by Dye and McGuire,who found that non-home rule communities were raising property tax rates faster than home rule communities. Both findings under- cut the central premise of the opposition to Illinois'home rule system:that Page 42 Fiscal Responsibility 97 home rule's unlimited property taxing powers will lead to higher increases in property tax levies. The 2002 survey of home rule use added further data which undercuts the hypothesis. The second,strongest source of evidence comes from Illinois voters. While county home rule voters have been clearly negative,and voter support for home rule adoption has been mixed,the voters who were asked if they wish to continue a home rule system already in use have been strong in their support for home rule. In other words,voters who have home rule want to retain it;they do not feel victimized by unwarranted use of home rule taxing powers. The Anti-tax Hypothesis Evaluated As noted earlier,the Illinois experience with municipal home rule might well be said to represent the most severe test possible of the anti-tax hy- pothesis that,given sufficient discretion,local government officials will im- pose unwarranted levels of taxation on their residents.This review of that experience finds inadequate support for the hypothesis. Despite an extensive pattern of municipal use of home rule over the past thirty years,this study found only seven reasonably verifiable examples of unwarranted uses of home rule powers,only three of which represent un- equivocal instances in which the voters,the courts,or the legislature voided uses of home rule powers. Further,given the paucity of such unwarranted uses,it might reasonably be concluded that these examples are more impres- sive as evidence that home rule abuses can be,and are,adequately con- strained. Finally,the empirical and scholarly evidence against the hypothe- sis is compelling. Thus neither a rational nor an empirical basis could be found to establish a reasonable probability that, given the opportunity,local elected officials will enact new or higher taxes without regard for the wishes of the voters. Indeed,the Illinois home rule experience suggests that city councils and village boards have demonstrated impressive,although not complete,re- sponsibility in the use of local taxing powers. References Banovetz,J.and T.Kelty.2002.The Uses of Home Rule with Special Empha- sis on Taxation.Policy Profiles. Northern Illinois University Center for Governmental Studies,Vol.2,No.3,August. Banovetz,J. and T. Kelty. 1988.Illinois Home Rule and Taxation: A New Approach to Local Government Enabling Authority.Northern Illinois University Law Review,709. Page 43 98 James M.Banovetz Banovetz,J.and T.Kelty.1987. Illinois Home Rule: Image and Reality,Uni- versity of Illinois,Springfield. Banovetz,J.and T.Kelty.1985.Home Rule and Taxes:The Ultimate Issue. Illinois Municipal Review,July. Banovetz,J. and T. Kelty. Home Rule in Illinois,op. cit.,Ch.4,"Debt,taxes and home rule"pp.18-23. Braden,G. and R. Cohn. 1969.The Illinois Constitution:An Annotated and Comparative Analysis,p.499. Canfield,D.S. 1985. Illinois Home Rule and American Democracy:A Study of Anticipated Consequences and Prospects for the Future,Ph.D.disser- tation,Northern Illinois University,DeKalb. Day,R.L.1979. Innovation Adoption:Home Rule Use in Illinois,Ph.D. dis- sertation, University of Illinois,Urbana. Dye,T.F.and T.J.McGuire.1997. The effect of tax limitation measures on local government fiscal behavior.Journal of Public Economics 66:469. Fisher,Glenn W.and Robert P.Fairbanks. 1968. Illinois Municipal Finance, University of Illinois Press. Gierach,W.1977.Home Rule in Illinois:There Are Limits.Illinois Bar journal, No.66. Kennedy,D. 1971.Legal Services and Regulatory Procedures,in J. Banovetz, ed.,Managing the Modern City,403 Kustra,R.W.1975.The Formulation of Constitutional Home Rule in Illinois, Ph. D. dissertation,University of Illinois,Urbana. Northern Illinois University. 2001. Illinois Home Rule:A Thirty Year As- sessment. Policy Profiles. Northern Illinois University Center for Gov- ernmental Studies,February. Witwer,S.W.1974.Federalism and Constitutions:The Illinois Experience. National Civic Review,No. 63. Page 44 M Wil 1 es VOL. 2, No. 3 AUGUST 2002 cyprof 11 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University The Debate: • Home rule gives cities the issue: The Uses of Home Rule With Special power to solve local Emphasis on Taxation problems. (Supporters) James M. Banovetz and Thomas W. Kelty • Home rule gives cities too much power, especially too Public debate continues in Illinois over what was probably the single most significant much power to tax. change in Illinois law made when the state's present constitution went into effect in (Opponents) 1971. At issue is whether or not the constitution's home rule provisions gave individual cities too much power, especially too much power to tax. The Findings: A just completed survey, sponsored jointly by the Illinois Municipal League and the • Home rule taxes reduce Illinois City/County Management Association,offers new insight into the way home cities'reliance on the rule governments use their home rule powers.All Illinois' home rule municipalities property tax were asked how they were using home rule powers. Table 1 divides home rule communities into six groups based on population size and geographic location,shows • Cities use home rule to how many home rule communities are in each group,and the number and percentage respond to quality of life of respondents from each of the six categories. concerns. • Little voter opposition to home rule was reported in tableone home rule cities. Home Rule Survey Participation, 2002 Location&Size of #Home Rule* #Responding %Responding Municipality Cook Co. over 25,000 pop. 31 21 68 Cook Co.under 25,000 pop. 32 15 47 Collar Co. over 25,000 pop. 25 15 60 Collar Co. under 25,000 pop. 15 8 53 Outstate Co. over 25,000 pop. 19 13 68 Outstate Co. under 25,000 pop. 23 11 48 Total 145 83 57 *As of November 1, 2000, excluding Cook County and the City of Chicago. The overall response rate for the largest Larger communities make the most I L I, I NO IS communities, those over 25,000 popu- intensive use of home rule powers; lation,was 65 per cent;the response rate these are the same communities that had U N I V E R S I Y Y for the 70 home rule communities under the highest participation rate in the 25,000, each of which adopted home survey. rule by referendum, was 49 percent. Page 45 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University of is p l es p v ro What did the survey find? tabletwo The survey found that the frequency and Uses of Home Rule Powers breadth of home rule use increased significantly in some important catego- Function 1983-86 2002* ries and changed little in other categories Communities reporting 105 or 95% 83 or 57% during the years since similar surveys (Columns show percentage of respondents using home rule powers for the function) were conducted in 1983 and 1986.(See J. Economic Development ** 83 Banovetz and T. Kelty, Home Rule in Levy taxes based on home rule powers 57 83 Illinois: Image and Reality (Sangamon Regulation 72 78 State University: Illinois Issues, 1987.) Reduce the cost of borrowed money 90 74 Table 2 summarizes the findings from the Buy, sell, or lease property 43 73 2002 survey and compares them to the 1983-86 surveys. Regulatory Licensing 61 55 Intergovernmental Agreements 58 52 Several significant changes occurred Change structure of government 30 29 between 1986 and 2002. First and Exceed Tax Caps NA*** 22 foremost,of course,is a very significant Extend property tax beyond statutory limits 16 18 increase in the use of home rule taxing Listed in order of frequency of use ** powers.Of equal significance is an even Not tabulated,but incidence of use was second only to incurring debt ***There were no tax caps in 19s3-s6. sharper decline in the use of home rule powers to borrow money. While the Note: The lower survey participation in 2002 will cause some inflation in the percentages for that year since the majority of the non participants were small communities which, in general, make match less use of home first will suggest to some observers that rule powers. home rule governments are misusing financial powers, the second directly Doesn't the survey justify paid by the same or different people), countermands that conclusion. opponents' fears about home (2) are these new taxes being used to rule and higher taxation? reduce, hold down, or replace other, Other significant changes are found in the more onerous taxes, and(3) is the total increased use of home rule powers to buy, tax burden in home rule communities sell, or lease property and to levy higher The survey found that home rule cities heavier, more oppressive, and repug- salestaxes.But there was little si ficant and villages are clearly making signifi- � cant use of their power to levy taxes not nant to local taxpayers. change in the frequency with which home rule powers were used to engage in available to non-home rule govern- ments. The third question is the hardest of the regulatory activities, to utilize intergov- survey's y's findings Table 3 (s regarding the home page 3) reports the three to answer. Different cities and ernmental agreements, to change the survey villages provide different services. structure of government, or to extend rule taxes currently being levied. Most provide basic police, fire, roads, property taxes beyond statutory limits. Clearly, taxation has become a major and zoning services,but there are great . use of home rule powers during the past variations in the provision of such Economic development uses were not services as ambulance, park, water, categorized as such in 1983-86, but the 20 years. This finding raises the sewer,solid waste disposal,storm water survey results did report that the variety of question of whether home rule tax collection and disposal, planning, uses lumped into this category made it powers are being abused or used economic development, and other one ofthe most frequent uses ofhome rule excessively. Three other issues must be services. Even in the common services, powers at that time and it, along with considered to answer that question: (1) there is great variation: while all home rule taxation,remains one of the to whom i the burden of this additional communities provide roads, for ex- most frequent uses of home powers. taxation falling(i.e.,are the taxes being Page 46 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University of is p l es a v ro ample, not all provide and maintain their home community, they pay the leadership offered voters a choice. curbs, gutters, and sidewalks. Further, added sales taxes that may be imposed Without home rule powers, the city voters in some communities want by their community. If they rent hotel would have to levy higher property taxes higher service levels than do voters in and motel rooms in their home or a new tax on utilities to pay for the other communities. Because of such community, they will also pay those sewage plant expansion.Either tax would measurement problems, the survey did taxes. But non-residents also pay a have been paid exclusively by local not attempt to compare either total tax significant percentage of such taxes. taxpayers, but if the voters gave the city levies or costs of government in home home rule powers,the officials promised rule and non-home rule cities. A closer look at the taxes listed in Table to levy a higher sales tax to pay for the 3 will reveal that, of the nine taxes plant's expansion. Since the city had a The survey did,however,gather data to (excluding "other") listed there, only large shopping mall which drew custom- answer the first two questions and it did two,the wheel tax and the tax on the use ers from a 50-mile radius outside the gather information on voter response to of natural gas, are levied entirely upon community,the use of sales taxes to pay local use of home rule powers. This residents or businesses in the commu- for the expansion would mean that information is provided in the rest of nity. The other seven taxes fall on non- shoppers from outside the city would pay this report. residents as well as residents. By using a portion of the cost. Faced with that these taxes, home rule governments choice,the voters,by a 3-2 margin,gave Don't local residents have to pay reduce the percentage of the local tax Mount Vernon home rule authority. all the home rule taxes? burden being paid by local taxpayers. Some of the "other" taxes also fall on Local residents pay all the home rule The City ofMount Vernon offers a case in non-residents. The Village of Bedford taxes levied on activities in which they point. When the city was faced with the Park, for example, has a large stone engage. To the extent that they shop in need to expand its sewage plant,the city's quarry inside its corporate limits. The village uses its home rule powers to levy a tax on the mining and removal of the tablethree stone. Enough revenues are produced from the tax so that the village does not Use of Home Rule Taxing Power, 2002 have to levy a property tax to finance Kind of Tax No. of Municipalities village operations and services. Using It % of Total The principal taxes levied by non-home Additional retail sales taxes* 53 60.9 rule communities (taxes on property, Hotel-motel tax 52 59.7 utility bills, and auto ownership) fall Real estate transfer tax 31 35.6 exclusively on residents. Perhaps for Sales tax on restaurant food&beverages 22 25.3 this reason,only one of these home rule Gasoline tax 15 17.2 taxes —the real estate transfer tax— Amusement tax 12 13.8 has been strongly opposed by local Wheel tax 7 8.0 residents. That opposition resulted in Retail sale of new motor vehicles tax 2 2.3 the passage of a new state law requiring Use of Natural Gas 2 2.3 local voter approval in a referendum Other 4 4.6 before any new real estate transfer tax Number reporting not using any could be imposed by a home rule home rule tax 14 16.1 community. *See the discussion of sales taxes for further explanation of this item. Thus, survey data suggest that home rule tax powers have predominantly Page 47 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University of is p l es p v ro been used to shift a portion of the local levies. What evidence is available of home rule communities levy property tax burden to non-residents. To the suggests that voters support home rule taxes in excess of the statutory limits extent that this is so,their use lessens the in part because of the home rule sales that would apply to them if they did not percentage of the local tax burden tax option. The business community in have home rule powers, and 22 percent borne by residents. Sycamore, Illinois, for example, urged of the communities reported that they the city council to ask voters for home have, in one or more years, levied Does home rule result in excessive rule approval so the city could levy property tax increases that exceeded the imposition of sales taxes? higher sales taxes rather than increase tax cap limitations which applied to property taxes to finance needed non-home rule communities in those As Table 3 reports, 61 percent of home municipal improvements. years. rule communities levy sales taxes over and above the one percent rate allowed Sales taxes also provide a way of But there is also evidence that home rule by law to all municipal and county funding local services that is viewed as communities, as a group, rely less on governments in the state. The 1983-86 less painful than higher property taxes. property taxes for local revenues than survey found that only five percent of This was the case in Mount Vernon. do non-home rule cities and villages.In home rule communities levied home Other communities do this in different other words, the survey found support rule sales taxes at that time. Thus, the fashions. Carbondale, for example, for the contention that home rule non- single biggest change in the use of home dedicated a part of its home rule sales property taxes are widely used to hold rule powers between the 1983-86 tax revenues to paying for the down or reduce property tax levies. surveys and the 2002 survey was in the construction of a new high school. much more frequent use of sales Eighty-three percent of Bloomingdale Table 4, for example, provides survey taxation to finance local government voters, in an advisory referendum, data which suggests that home rule operations. approved the village's plan to use communities, as a group and when higher sales taxes to purchase and divided by population size and location, Interestingly,this increased use of sales preserve open space in the community. rely less heavily on property taxes for taxes came in large part as a result of a their revenue than do non-home rule law passed by the Illinois legislature in Despite such evidence, however, if communities. This is true even for 1992 prohibiting home rule retail sales sales and other home rule taxes are communities which levy taxes in excess taxes. To replace such taxes, the state accompanied by large increases in of applicable tax caps. The data in the gave home rule communities authority property taxes,then they could fairly be table compares the percentage of total to increase the local option component challenged as abusive. If not, such a municipal revenues derived from prop- of the state retail sales tax (technically charge would be hard to sustain. erty taxes by home rule communities called a retail occupation tax) from the with the percentage for all Illinois cities, one percent authorized for all cities and More to the point, it is not sales and villages, and incorporated towns. counties to as much as 2.5 percent. home rule taxes,but rather the potential Because this new arrangement gave misuse or abuse of the property tax,that Two qualifications must be made home rule governments the freedom to has concerned home rule opponents. when interpreting the data in Table 4(on levy higher sales taxes without having page 5): to incur any collection costs,the use of So do home rule communities levy home rule sales taxes increased rapidly higher property taxes? ■ While only 44% of the home rule thereafter. communities responded to this part The survey evidence relating to this of the survey, making any definitive In part, too, home rule governments question is mixed. Some evidence (see conclusions difficult to reach, the turned to the use of sales taxes because Table 2) indicates that some home rule data collected offers no support for there is little evidence of significant communities do use home rule powers the notion that home rule voter opposition to higher sales tax to levy higherproperty taxes: 18 percent communities, on average or in Page 48 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University of is p l es a v ro general, are imposing property tax burdens higher than those imposed tabl efour in non-home rule communities Municipal Reliance on Property Taxes: Percentage of Total (which make up the greatest part of Municipal Revenues Derived from Property Taxes the statewide average of all municipalities). Category All Home Rule Taxing Property Over Statutory Limits ■ All else being equal, home rule Cook County<25,000 18% 23% communities should show a higher Cook County>25,000 18% than average level of dependence on Collar Counties <25,000 13% ° property taxation.Normally,the cost 0 I 1*o of government, on a total and per Collar Counties>25,000 15/o capita basis,will be higher in larger Outstate <25,000 15% 16% communities. Since all but one of Outstate >25,000 10% Illinois'cities over 25,000 population Statewide Average** 26% have home rule powers and higher costs, and since the smallest Illinois * Too few cases for valid statistical comparison ** cities and villages are predominantly Source: Statewide Summary of Municipal Finances, 1998,Report of the Comptroller General of Illinois non-home rule with lower costs, Note:Data from survey are for year 2000;statewide data are for most recent year available, 1998. home rule communities should show higher dependence on property taxes.This survey provides evidence which suggests that they do not. tablefive That Illinois home rule cities appear to Average Annual Growth Rates of Property Taxes rely less on property taxes is not because Communities Number Growth Rate Growth Rate such cities cost less to govern and serve, W/O Cap W/Cap but more likely because they are able to Non-Home Rule 104 14.57 7.14 use other kinds of taxes — especially Home Rule 134 9.03 7.55 taxes paid in part by non-residents—to reduce their dependence on property Source:R.F.Dye&T.J.McGuire,Journal of Public Economics 66(1997) taxes.It is most likely,for example,that the relatively low percentage of total revenues derived by home rule Are the survey findings consistent the tax cap are taken into consideration, communities from property taxes is with other published research? Dye and McGuire did not find the rate of related to the widespread use of the sales increase in property taxes between tax as an alternate revenue source in home rule and non-home rule Only one other study, published in the those communities. Journal of Public Economics, has communities to be significantly different. Given these considerations, the most analyzed the effect of home rule on What then can be said about the reasonable conclusion is that (1) home property tax increases. In that study, rule governments, on average, do not summarized in Table 5,R.F.Dye and T. relationship between home rule J. McGuire found that municipal and taxes? finance a higher percentage of their property taxes in Illinois have increased costs using property taxes, but rather that(2)they do a better job of spreading more rapidly in non-home rule Whatever else home rule has their tax burdens among a variety of communities than in home rule accomplished for Illinois cities and taxes less onerous to local taxpayers. communities. Even when the effects of villages, it has managed to spread tax Page 49 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University of is p l es p v ro burdens among a larger number of having to bear a high portion ofthe cost of Village), and providing affordable different taxes and, thereby, it has expanding certain government services, senior citizen housing sites (Wilmette). reduced local reliance on property such as education and parks, needed to taxes. serve residents in new subdivisions. How is home rule being used for regulatory purposes? Since property taxes are widely regarded, Home rule communities use home rule nationally as well as in Illinois, as the powers to impose a broad and flexible Table 6(on page 7)summarizes the most least fair form of taxation, home rule's array of impact fees on developers.Non- common regulatory uses of home rule impact can be said to have transferred home rule communities may require that powers. the burdens of municipal finance residential developers donate land, or toward taxes that enjoy, if not greater cash in lieu of land,to help defray the cost Examples of the use of home rule powers voter support, then certainly less voter of school and park expansion, but the in the regulatory area include: increasing animosity and opposition. scope of their authority is much narrower the frequency of building inspections of than the powers being used by Illinois' rented housing units (Northbrook, What other changes have resulted home rule communities. Addison, Hanover Park), requiring from the use of home rule powers? permits for fiber optic trenching permits Initially, home rule governments used (Granite City), controlling handgun The survey shows that home rule's other their home rule powers to impose impact ownership and use (Morton Grove, major impacts have occurred in the fields fees to transfer more of the burden of Niles),and requiring hazardous materials of economic development, regulation, expanding education and park facilities cleanup(Morton Grove). and changes in the organization and from old to new residents.More recently, structure of local governments. home rule communities have enlarged the How much political opposition is list of government service expansions there to the use of home rule Aging and declining communities use being expanded with the help of impact 9 home rule to attract new business fees. The first expansion was for powers. development; rapidly growing transportation impact fees, used to communities use home rule both to enlarge and expand major arterial streets Respondents to the survey reported very control development and to make to accommodate the increased traffic that little voter opposition to the use of home developers pay more of the increase in follows new development. Some rule powers. Two questions were asked public services costs attributable to their communities are now adding impact fees regarding voter opposition.The questions developments. Home rule communities to help cover the cost of expanding and their answers are set forth in Table 7 use their expanded powers to broaden library, fire protection, and, in some (on page 7).Because of the frequent turn- zoning regulations, negotiate tax cases, even general municipal service over in local officials,and the limitations concessions, develop special planning costs. on memory,such data must be considered and subdivision control regulations, and valid for a limited period of time,such as design programs to limit and eradicate Other examples of the use of home rule the last decade. neighborhood blight and deterioration. powers to promote economic and community development include: This data is also supported by the Illinois home rule communities, for establishing special economic frequency of referenda called by local example,have established a broad use of development districts within the voters to rescind home rule powers.There impact fees to help finance community community with special zoning and were 21 such referenda between 1971 and development. Impact fees are fees development goals (Skokie), providing 1981; three were successful. There were charged developers to recover increases homeowner loans to improve blighted only eight such referenda between 1982 in governmental costs associated with properties(Evergreen Park),authorizing and 1992;only one was successful.There real estate developments; they are a city purchase of properties in blighted have been no such referenda in Illinois device used to protect local residents from commercial districts (Elk Grove since 1992. Page 50 CENTER FOR GOVERNMENTAL STUDIES Northern Illinois University of is p l es a v ro tablesix The Regulatory Use of Home Rule Powers Question # Responses % Question # Responses % Do you use home rule to: 1. Develop regulations on: 2. Engage in licensing or franchising: Curfew 18 20 Liquor sales 15 17 Environment 11 13 Towing truck operators 13 15 Liquor sales or use 35 40 Cable TV 16 18 Zoning 42 48 Utilities 13 15 Other juvenile concerns 13 15 Mobile Homes 9 10 Land use planning/subdivision 34 39 Nursing homes/ 7 8 control retirement communities tableseven Measures of Voter Discontent with Home Rule Question Response Number Percent Has there been an effort to submit a referendum to abandon Yes 3 3.4 home rule in your community? No 79 90.8 Have there been any periodic, significant criticism or attacks Yes 1 1.1 on home rule in your municipality? No 81 93.1 What does this record show? The record would seem to indicate that there has been growing voter acceptance of home rule in the communities which are using home rule powers.While taxation is a major use of home rule powers,the home rule taxes employed spread the cost of local government to non-residents as well as to residents and appear to be easing municipal reliance on property taxes. Finally, home rule communities are employing home rule powers for purposes other than taxation,principally to promote economic development and enhance governments' ability to address a wide range of local problems using regulatory and other measures. Home rule, in short, appears to have proven itself an important weapon in empowering local governments to respond constructively to voter and quality of life concerns. Page 51 olio a v p ro i es Center for Governmental Studies Northern Illinois University EDITORIAL ADVISORY BOARD: ABOUT THE CONTRIBUTORS: Ken Alderson James M. Banovetz is a senior research Executive Director,Illinois Municipal League fellow at the Center for Governmental Studies, Northern Illinois University. A specialist in • • Kathy Buettner Executive Director,State&Federal Relations, local government administration and manage- _ ment, he was a consultant to the Local • Northern Illinois University •_ .• •• _• Government Committee of the 1970 Illinois _ Philip Bus Constitutional Convention. His research on • • •_ _ • • Executive Director,Kane County Development Illinois home rule has been published in Department Illinois Issues, Northern Illinois University Steven C.Carter Law Review,Illinois Municipal Review,and in City Mana g er City of Champaign the Midwest Regional Science Quarterly. • _ Robert J.Christie • Thomas W. Kelty is a principal in the _ Vice President,Public Affairs,Northwestern Springfield, Illinois, firm of Kelty Law Memorial Hospital Offices, P.C., where he concentrates in the _ Roberta Lynch areas of municipal law, municipal finance, Deputy Director,American Federation of land use planning and development,corpora- State, Coun &Municipal Employees tY P tion law, and commercial litigation. General Douglas L.Whitley Counsel to the Illinois Institute for Local President,Illinois Chamber of Commerce Government Law, he has represented hun- John Zeunick dreds of Illinois cities,villages, and counties County Administrator,McLean County over the last 30 years. 'The views expressed in this edition of Policy Profiles are those of James M.Banovetz and Thomas W.Kelty and do not necessarily represent the views of the Center for Governmental Studies or of Northern Illinois University. Page 52 The Status of Illinois Home Rule, Part I: Home Rule Cities And The Voters By JAMES M. BANOVETZ Northern Illinois University With the November 2002 election results compiled,and referendum on the retention of home rule powers. In all of the addition of Bridgeview and Oakbrook Terrace to the these cases, Berkeley, Lincolnshire and Rolling Meadows, roster of home rule cities and villages,the number of Illinois voters opted to retain home rule. municipalities with such powers has now climbed to 153. Home rule retention elections Of these, 78 gained home rule by achieving or surpassing There have been 31 elections in which voters were the 25,000 population mark; the remaining 75 gained it by asked whether or not they wished to keep the home rule referendum. powers already provided to their community. Voters chose Table 1 lists the 153 home rule communities.Those that in 27 of these elections, or 87 per cent,to retain their home adopted home rule by referendum are shown with the date rule powers. of the referendum; those listed without a date gained home Retention elections occur for either of two reasons: (1) rule powers by virtue of their population size. voters dissatisfied with their community's use of home rule Municipalities with a population of 25,000 or more powers may petition the court for a retention election—this automatically have home rule powers unless voters rescind has happened 25 times; or (2) a community which gains those powers through a referendum. home rule powers by population is required by law to hold Home rule cities in Illinois are drawn from all classes of a retention election if its population later falls under the communities, from Chicago with its 2.9 million people to 25,000 ceiling—this has happened six times. even the smallest communities,such as Muddy with a 2000 Of the 25 retention elections held in response to voter population of 78. They come from all parts of the state with petitions,home rule was retained in 21,or 84 per cent of the the greatest concentration found in the Chicago elections. Home rule was retained in all six of the retention metropolitan area. elections held because a community's population had fallen Voter attitudes toward home rule under 25,000. In the aggregate,voters in retention elections Voters' attitudes toward home rule appear to have chose,by a margin of greater than 2-1, to retain home rule become more positive in recent years. In home rule's early powers. years, 1971-75, referenda approving home rule Is home rule an issue with voters? outnumbered those disapproving by a 3-1 margin. That In a survey of all home rule communities undertaken margin slipped to less than 1.5 to 1 in the 1976-85 period, jointly by the Illinois Municipal League and the Illinois then fell further to 1-1.3 against in 1986-99 period. But City-County Management Association in 2001-02, since the turn of the century, voter approval has turned communities were asked whether: (1) there had been a positive, if just barely. There were 13 referenda on home recent effort to submit a petition to call for a retention rule in the first three years of the 21st century; home rule election to abandon home rule, and (2) there had been any was approved in seven of these elections. But this record periodic,significant criticism or attacks on home rule in the combines two very different kinds of elections: adoption community. Of the 83 communities responding to the referenda and retention referenda. survey, 91 per cent answered"no"to both questions. These Adoption referenda findings suggest that the use of home rule powers is not There have been 158 referenda since 1971 in which generating significant opposition among voters in municipal voters have had the opportunity to adopt home communities which already have home rule. rule. They did so in 77 of these elections, or 49 per cent. This conclusion also finds support among the referenda That means voters turned down home rule in 81 record on home rule. Understandably, and appropriately, elections. In five communities,voters rejected home rule in the mixed results of home rule adoption referenda indicate more than one election. In five others,voters rejected home that voters considering the adoption of home rule are very rule when it was first put on the ballot,then adopted home skeptical about giving a broad grant of power,including tax rule in a later election. In Lincolnwood and Oakbrook power, to their municipal government. On the other hand, Terrace, voters rejected home rule twice before finally the support shown for home rule in retention elections adopting it in a third election. indicates that a substantial majority of voters in home rule From another perspective, of the 153 communities communities trust their local officials with home rule which have had referenda to adopt home rule, 77,or 50 per powers. cent,ultimately did so. Of these 77, 75 communities,or 97 Indeed, in one of the most recent retention elections, per cent, still operate under home rule powers. The two held at the request of a voters'petition in Rolling Meadows who do not are National City, which was dissolved as a in 1999, voters supported home rule by a margin of more municipal corporation when its last residents moved away, than 9-1. and Lisle,which later abandoned home rule by referendum. Further results of the survey on home rule will be In addition to Lisle, three other communities which reported in subsequent articles. ■ gained home rule by referendum also had a subsequent December 2002/Illinois Municipal Review/Page 7 Page 53 Home Rule Units In Illinois As of November 20, 2002 Dates listed indicate the year the community adopted home rule by referendum. I. Counties Darien,2001 Lincolnshire, 1975 Peru, 1981 Cook Decatur Lincolnwood, 1997 Quincy Deerfield, 1975 Manhattan, 1996 Rantoul, 1982 II. Cities and Villages DeKalb Marion, 1994 Robbins, 1998 Addison Des Plaines Mascoutah, 1979 Rockdale, 1982 Alsip, 1990 Dolton Maywood Rock Island Alton Downers Grove McCook, 1971 Rolling Meadows, 1985 Arlington Heights East Hazel Crest, 1989 Mettawa, 1990 Rosemount, 1972 Aurora East St. Louis Moline Round Lake Beach Barrington Hills, 1990 Elgin Monee, 1996 St. Charles Bartlett Elk Grove Village Monmouth, 1999 Sauget, 1976 Bedford Park, 1971 Elmhurst Morton Grove Schaumburg Belleville Elmwood Park Mound City, 1973 Schiller Park, 1994 Bellwood, 1994 Elwood, 1997 Mount Prospect Sesser, 1989 Berkeley, 1996 Evanston Mt.Vernon, 1986 Sherman,2002 Berwyn Evergreen Park Muddy, 1981 Skokie Bloomingdale, 1996 Fairview Heights, 1993 Mundelein South Barrington, 1975 Bloomington Flora, 1975 Murphysboro, 1994 South Holland Bolingbrook Freeport Naperville Springfield Bridgeview,2002 Galesburg Naples, 1982 Standard, 1975 Bryant, 1974 Glendale Heights Niles Stickney, 1974 Buffalo Grove, 1980 Glen Ellyn Normal Stone Park, 1972 Burbank Glenview Norridge, 1973 Streamwood Burnham, 1980 Glenwood, 1986 Northbrook Sycamore, 1996 Cahokia, 1996 Golf, 1976 North Chicago Thornton, 1980 Calumet City Granite City Northlake, 1994 Tinley Park Calumet Park, 1976 Gurnee Oak Brook Terrace,2002 University Park, 1975 Carbondale Hanover Park Oak Forest Urbana Carol Stream Harvey Oak Lawn Valmeyer, 1994 Carpentersville, 1993 Harwood Heights, 1995 Oak Park Washington, 1998 Champaign Highland Park Old Mill Creek, 1993 Watseka, 1975 Channahon, 1982 Hillside, 1995 Onarga, 1997 Waukegan Chicago Hodgkins, 1996 Orland Park West Dundee, 1990 Chicago Heights Hoffman Estates Palatine Wheaton Chicago Ridge, 1994 Hopkins Park,2001 Park City, 1973 Wheeling, 1977 Cicero Inverness,2000 Park Forest Wilmette Country Club Hills, 1993 Joliet Park Ridge Woodridge, 1975 Countryside, 1972 Kankakee Pekin Crystal Lake Lake Barrington, 1991 Peoria Danville Lansing Peoria Heights, 1986 Ad Copy Page 8/Illinois Municipal Review/December 2002 Page 54 The Status of Illinois Home Rule, Part III: Do Home Rule Communities Levy More Property Taxes? By JAMES BANOVETZ and THOMAS W. KELTY Does adopting home rule mean that property taxes will Table 1: Municipal Reliance on Property Taxes increase? Percentage of Total Municipal Revenues Derived The opponents of home rule —the optional system for empowering city and village governments to act—assert that from Property Taxes property tax increases are the inevitable consequence when Average of home rule is adopted. All Home An examination of the record does not support oppo- nents'claims. Several scholarly studies have been made of the Rule Over use of property taxes in home rule cities and villages during the Average All Statutory 32 years since home rule first became available to Illinois cities Category Home Rule Limits and villages. This article summarizes the results of those stud- Cook County Over 25,000 18% 23% ies. A study of 134 home rule and 104 comparable non- Cook County Under 25,000 18% home rule communities recently published in the Journal of Public Economics reported that property tax rates levied by Collar Counties Over 25,000 13% 11% non-home rule communities prior to the adoption of tax caps rose 61 per cent faster than rates levied in the home rule com- Collar Counties Under 25,000 15% munities over the same period of time. Further,the study found that the rate of increase in property taxes in the two communi- Outstate Over 25,000 15% 16% ties were comparable despite the fact home rule home rule communities were not subject to tax cap limits. Outstate Under 25,000 10% An earlier study by Professor Robert Albritton reached similar conclusions. It found that population size and geo- State-Wide Average** 25-30% graphic location had a greater effect on the rate of increases in property tax levies than home rule status, and that,when con- * Too few cases for valid statistical comparison trolled for these variables, the average property tax levy for ** Source: Recent annual Statewide Summary of home rule communities was the same as the average property Municipal Finances,report of the Illinois Comptroller tax levy for non-home rule communities during the first ten years of Illinois'home rule experience. A just completed survey of Illinois home rule communi- ties found that home rule communities are less dependent on voted by a margin of more than 3-2 to retain their community's property taxes for their revenues than are non-home rule com- home rule powers. munities. On average, according to annual surveys published In three of the four communities that did reject home rule by the Office of the Illinois Comptroller, cities and villages powers,the use of property taxing powers was the major issue derive 25-30 percent of the revenues from property taxes. The put before the voters. In Lombard and Villa Park,voters were 2002 survey of Illinois home rule communities found that, on promised by home rule opponents that getting rid of home rule average, home rule communities derived 10 to 20 percent of would lower their property taxes. The voters in those commu- their revenue from property taxes,depending upon their popu- nities voted home rule out,but their property taxes did not go lation and geographic location. The data are shown in Table 1. down because home rule powers had not been used to raise To be sure,there are some—fewer than one in five home property taxes. rule communities at last count—that do levy property taxes at rates higher than would be allowed by statute for non-home In the third case involving property taxes, Rockford voters rule communities. But not even these communities use all the decided to abandon home rule and their property taxes did go taxing powers given to non-home rule communities by law. down. So too did municipal services with the result that vot- Rather,to these communities,elected officials have determined ers, in the months following home rule's abolition, voted in that local residents would rather pay higher property taxes than five of seven referenda to increase their property taxes. some of the other taxes,like utility taxes,which non-home rule No community has voted to eliminate home rule since cities can levy to finance the services they provide. Rockford did so in 1983. As home rule's record has become In short, there is no economic data that supports the con- better established and known,there have been fewer such ref- tention that property taxes necessarily or even usually increase erenda and, in those referenda, voters have, by margins of as faster in home rule communities than in non-home rule com- much as 9-1,chosen to retain local home rule powers. munities. There is no evidence in the record that home rule taxing Available evidence also suggests that voters in Illinois powers are being misused. ■ home rule communities do not believe that home rule has led to undesirable rates of taxation. Voters in all home rule com- 1. T.F.Dye and T.J.McGuire,"The effect of tax limitation measures on munities have the option to stop home rule tax levies b voting local government fiscal behavior," Journal of Public Economics, 66 p p Y g (1997)469. home rule out. And, indeed, in the last 32 years, home rule 2. Reported in J.Banovetz and T.Kelty,Home Rule in Illinois:Image and opponents have succeeded 29 times in placing the elimination Reality,(University of Illinois,Springfield),1987 at 18-23. of home rule on the ballot in a home rule community. Most of the resulting election campaigns were fought on the issue of James Banovetz is Professor Emeritus and Senior Research Fellow of the Center for Governmental Studies at Northern Illinois University. whether taxes, and especially property taxes,were being mis- Former legal counsel to the Illinois Municipal League,Thomas W.Kelty is used. Voters approved the retention of home rule powers in 25 the senior member of Kelty Law Offices, P.C., Springfield, Illinois and of these 29 elections, or 83 per cent. In the aggregate, they general counsel to the Illinois Institute for Local Government Law. April 2003/Illinois Municipal Review/Page 15 Page 55 HOME RULE AND DEVELOPMENT James M. Banovetz People tend to equate home rule and taxation, and indeed taxation has emerged as one of the key uses to which home rule is put. Less well known, and probably just as significant, is the way home rule is being used to promote a wide variety of development objectives. The 2002 survey of home rule uses documented, not only heavy development use, but increasingly creative use of home rule powers for developmental purposes. Chief among these is the expansion underway in the use of impact fees. Impact fees are now being used to finance more of the costs of development than the traditional school and park impact fees. Impact fees are now being used to support: Libraries (Arlington Height, Bartlett, Channahon, Carol Stream, Manhattan, and Wheeling); General Municipal service expansion (Carol Stream, Channahon, and Manhattan); and Police services (Bartlett). Skokie uses its home rule powers to create Economic Development Districts. These are special districts created by ordinance. Each district is used as a basis for formulating its own zoning and economic development goals. Other notable new uses of home rule in conjunction with development include Joliet' s neighborhood improvement program in which the city shares infrastructure costs with residents ; Wilmette's transfer of park property to use for the development of senior housing, and Elk Grove Village's use of home rule to support its efforts to purchase and redevelop property in blighted commercial areas. Rock Island uses home rule to offer annexation agreements under which the city rebates taxes for the annexed land until development occurs on the land. Addison used home rule to extend the length of its annexation agreements. Lincolnshire and Schiller Park both have used home rule to combine their planning commissions with their boards of zoning appeals. Addison has raised its home rule sales tax to underwrite bonds issued to raise money to spur redevelopment of buildings, including public buildings. Home rule is truly for something other than levying taxes. Reference: City/County Management in Illinois, Vol.83, No. 10, June 2003 �Ity Warrenville HOMETOWN HAPPENINGS: WINTER 2003 26VM701 Stafford Race • Wa rrenvdie.IL 611555 WWW.WARRENVILLE.IL.US (mil www.warrenville.il.us Home Rule Referendum Winter 2003 On July 21, 2003, the Warrenville City Council voted to pursue a referendum on home rule authority at the March, 2004, primary election. A citizens committee formed to seek petition signatures to put home rule on the ballot.If granted, the home rule authority will only apply to City government. With- out home rule, the City is restricted to the powers that are specifically listed in state statutes. With home rule,the City would have the flexibility to address local matters unless that power is specifically denied by the state. INSIDE THIS ISSUE: City Issues Regarding Home Rule Public Safety/Additional Patrol Officers In recognition of growing demands on public safety, the City Council recently approved hiring of up to three additional Police Officers.New revenue will be needed to pay for these officers. Property Maintenance Codes Without home rule, Code Enforcement Officers must rely on complaints,observations from the street, and the voluntary compliance of property owners.In order to maintain attractive neighborhoods,prop- erty maintenance codes must be enforced. Home rule authority can also allow for broader regulation of large rental complexes. These simple tools would assist the City in monitoring overcrowding and ® illegal room conversions. City Finances Over the past five years,non-personnel expenses have remained static or been reduced each year. Just like most businesses, City costs are rising faster than revenues. Further, significant expenditure cuts ® can only be made in areas that affect services. The Council wishes to find revenue sources that do not increase property/utility taxes and fees such as the vehicle sticker. Passage of a home rule referendum in Warrenville would provide the City Council with several sig- nificant sources of revenue that are not currently available. Examples include a more diverse use of the existing hotel and motel taxes, implementation of a restaurant and bar tax, or additional sales tax. If enacted under home rule authority,these taxes would provide sufficient revenue so that the City can avoid property and utility tax increases. A real estate transfer tax can only be imposed by another ref- erendum. 10 The Debate: Home rule gives cities the power to solve local problems(supporters) 11 Home rule gives cities too much power, especially to tax(opponents) 12 -Continued onpage 3... Edited by Ana Vainisi Executive Secretary/ Deputy City Clerk PaLTe 57 Page 2 Hometown Happenings:Winter 2003 www.warrenville.il.us Hometown Happenings is published by the City as a public information service for our residents City Council Meetings are held at 7:00 p.m. at the Warrenville City Hall on the and businesses first and third Monday of each month. Committee of the Whole Meetings are held at 7:00 p.m. at the Warrenville City City of Warrenville Hall as follows: www.warrenville.il.us Finance:2nd Monday of January,March,May,July, September,November Community Development:4th Monday of January,March,May,July, Septem- Mayor:Vivian M.Lund ber,November vlund @warrenville.il.us Public Safety: 2nd Monday of February,April,June,August,October,December City Clerk:Emily J.Larson elarson @warrenville.il.us Channel 10 Program Schedule CITY HALL HOURS City Treasurer:Robert Johnson Council Meetings Monday through Friday Wednesday 7:00 p.m. 8:00 a.m.to 5:00 p.m. Aldermen Thursday 10:00 a.m. &7:00 p.m. Linda Spicer:lspicer @warrenville.il.us Ward 1 Friday&Saturday 7:00 p.m. OLICE DEPARTMEN James McGuire:jamesmcguire @warrenville.il.us Sunday 10:00 a.m. &7:00 p.m. HOURS Ward 2 Committees Monday through Friday David Schultz:davidschultz @warrenville.il.us Monday 7:00 a.m. 8:00 a.m.to 11:00 p.m. Mark Lamberg:mlamberg @warrenville.il.us Tuesday 7:00 a.m. &3:30 p.m. Saturday Wednesday 2:30 p.m. & 11:00 p.m. 9:00 a.m. to 9:00 p.m. Ward 3 Thursday 2:30 p.m. Gary Reader:greader @warrenville.il.us Friday& Saturday 7:00 a.m. & 11:00 p.m. David Brummel:dbrummel @warrenville.il.us Ward 4 George Safford:gsafford @warrenville.il.us Public Utilities Christopher Stull:cstull @warrenville.il.us Commonwealth Edison ............(1-800-EDISONI)...............1800-334-7661 SBC(Repair) .............................................................1888-611-4466 City Administrator SBC Customer Service ...................................................1800-660-3000 John M.Coakley NICOR.....................................................................1888-642-6748 Police Chief Comcast Cable ...................................................................266-8808 Robert LaDeur ARC Disposal .............................................................1847-981-0091 Warrenville Water/Sewer Division ............................................393-5753 Community Development Director Ronald Mentzer Local Schools Director of Finance&Information Community School District#200 offices.....................................682-2000 Services Bower Elementary School......................................................393-9413 Erik Bush Johnson Elementary School ................................................... 393-7187 Four Winds Waldorf School ................................................... 836-9400 Public Works Superintendent Hubble Middle School ..........................................................682-2160 Michael Smith St.Francis Catholic High School .............................................668-5800 St.Irene Catholic School .......................................................393-9303 Wheaton-Warrenville South High School ................................... 682-2120 Services Available at City Hall Government and Civic Numbers ❑ Temporary Handicapped Parking Placards City Hall—Administration,Finance&Elected Officials ................393-9427 ❑ Dog Tags Police/Fire Response Number....................................................... 911 ❑ "No Solicitors"Cards Police Department Administration ...........................................393-2131 ❑ Payment of Water& Sewer Bills Community Development—Building and Code Enforcement............393-9050 ❑ Notary Public Community Development—Planning and Zoning Division ..............393-9050 ❑ Voter Registration Public Works Administration—City Garage ...............................393-1223 ❑ Sale of Refuse Stickers&Recycling Bins Warrenville Fire Protection District .........................................393-1381 ❑ Building Permits/Zoning Issues Warrenville Library District ...................................................393-1171 Warrenville Chamber of Commerce .........................................393-9080 El Property Maintenance Code Enforcement Warrenville Post Office .......................................................393-1109 ❑ Requests for Public Records Warrenville Youth&Family Services .......................................393-7057 Page 58 Page 3 Hometown Happenings:Winter 2003 www.warrenville.il.us MUNICIPAL Home Rule Referendum (Continued) Unlike property and utility taxes, home rule authority taxes may be applied primarily to non-essential purchases. It also allows the City to capture revenue from the multitude of visitors who eat in our restaurants, visit our bars, or shop here. While the visi- tors are welcome to enjoy the numerous amenities of our community, they do create additional traffic, retail crimes, and police calls. Recouping tax revenue from non-residents to pay for the additional police service or wear and tear on our roads is a more equitable way to cover the costs of these services and reduce the burden on the local taxpayer. Land Acquisition The Council would like to help the school district purchase land for a new middle school to be located in Warrenville. As a non- home rule community,the City is in a difficult position to accomplish this goal. As a home rule unit,the City could purchase the desired site as open space and have more flexibility in working with the school district. According to a study by the Northern Illinois University Center for Governmental Studies, cities with home rule authority did not abuse their taxing authority. In fact, when additional tax revenue was needed, they relied on creative sources of tax revenue that did not solely target the property owners. Home Rule Units of Government The home rule provisions in the 1970 Illinois Constitution allows for broader more flexible authority for home rule units of gov- ernment. `A home rule unit may exercise any power and perform any function pertaining to its government and affairs includ- ing, but not limited to, the power to regulate for the protection of the public health, safety, morals and welfare; to license, to tax, and to incur debt."(Article VII, Sec. 6 of the 1970 Illinois Constitution). As urbanization increased and municipalities became less rural,the complexity of their problems warranted the ability to address them at the local level. Hence, home rule was born. The term "home rule" designates the concept of"local control" or "self- government"(Illinois Municipal Review,June 1997). From Illinois Home Rule: A Thirty Year Assessment by James M. Facts About Home Rule Banovetz and Thomas W. Kelty, as printed in Policy Profiles, by the ❑ Home rule is automatically granted when Center for Governmental Studies, Northern Illinois University, Febru- a local population hits 25,000 ary 2001 ❑ For cities under 25,000 population,home rule can be granted by referendum The Debate: ❑ Home rule can also be removed by refer- Home rule gives cities the power to solve local problems(supporters) endum Home rule gives cities too much power,especially to tax(opponents) ❑ Half(18 out of 36) of the municipalities in DuPage County are home rule The Findings: ❑ There are 153 home rule communities in Home rule taxes reduce the cities'reliance on property tax Illinois ❑ Under home rule, local decisions con- Cities use home rule to respond to quality of life concerns tinue to be made by the City Council, consisting of Aldermen elected by Little voter opposition to home rule was reported in home rule cities Warrenville citizens "It (home rule) gives residents in non-home rule counties, cities, and villages additional options when searching for new ways to solve com- munity problems." -Continued on page 4. Page 59 Page 4 Hometown Happenings:Winter 2003 www.warrenville.il.us MUNICIPAL HAPPENINGS Home Rule Referendum (Continued) Additional Resources on Home Rule Authority Home Rule, the Aftermath of a Revolution by Thomas Kelty and James Banovetz Illinois Home Rule and Taxation:A New Approach to Local Government Enabling Authority by Thomas Kelty. Illinois Municipal Review issued by the Illinois Municipal League,Legislative Action Center Policy Profiles issued by Northern Illinois University,Center for Governmental Studies. Questions regarding home rule authority can be directed to City Administrator John Coakley at 630/393-9427. Excerpts from Policy Profiles "The Uses of Home Rule with Special Emphasis on Taxation", by James M. Banovetz and Thomas W. Kelty, as printed by Center for Governmental Studies, Northern Illinois University, Vo. 2,No. 3, August 2002 ❑ Local residents pay all the home rule taxes levied on activities in which they engage. To the extent that they shop in their community, they pay the added sales taxes that may be imposed by their community. If they rent hotel and motel rooms in their home community, they will also pay those taxes. But, non-residents also pay a significant percentage of such taxes. ❑ Thus, survey data suggests that home rule tax powers have predominantly been used to shift a portion of the local tax burden to non-residents. To the extent that this is so, their use lessens the percentage of the local tax burden borne by residents. ❑ That Illinois home rule cities appear to rely less on property taxes is not because such cities cost less to govern and serve, but more likely because they are able to use other kinds of taxes — especially taxes paid in part by non-residents—to reduce their dependence on property taxes. ❑ Whatever else home rule has accomplished for Illinois cities and villages, it has managed to spread tax burdens among a larger number of different taxes and, thereby, it has reduced local reliance on property taxes. Conclusion: What does the record show? While taxation is a major use of home rule powers, the home rule taxes employed spread the cost of local govern- ment to non-residents as well as to residents and appear to be easing municipal reliance on property taxes. Finally, home rule communities are employing home rule powers for purposes other than taxation, principally to promote economic development and enhance government's ability to address a wide range of local problems using regula- tory and other measures. Home rule, in short, appears to have proven itself an important weapon in empowering local government to re- spond constructively to voter and quality of life concerns. Page 60 Illinois Home Rule Municipalities As of 10/14/04 there are 167 Home Rule Municipalities in Illinois Addison Decatur Lincolnshire Pose Alsip Deerfield Lincolnwood Prairie Grove Alton DeKalb Manhattan Quincy Arlington Heights Des Plaines Marion Rantoul Aurora Dolton Mascoutah Robbins Barrington Hills Downers Grove Maywood Rock Island Bartlett East Dundee McCook Rockdale Bartonville East Hazel Crest Mettawa Rolling Meadows Batavia* East St. Louis Moline Romeoville Bedford Park Elgin Monee Rosemont Belleville Elk Grove Village Monmouth Round Lake Beach Bellwood Elmhurst Morton Grove Saint Charles Berkeley Elmwood Park Mound City Sauget Berwyn Elwood Mount Prospect Schaumburg Bloomingdale Evanston Mount Vernon Schiller Park Bloomington Evergreen Park Muddy Sesser Bolingbrook Fairview Heights Mundelein Sherman Bridgeview Flora Murphysboro Skokie Bryant Forest View Naperville South Barrington Buffalo Grove Freeport Naples South Holland Burbank Galesburg Nauvoo Springfield Burnham Glen Ellyn Niles Standard Cahokia Glendale Heights Normal Stickney Calumet City Glenview Norridge Stone Park Calumet Park Glenwood North Chicago Streamwood Carbondale Golf Northbrook Sycamore Carlock Granite City Northlake Thornton Carol Stream Gurnee Oak Forest Tinley Park Carpentersville Hanover Park Oak Lawn Tuscola Carterville Harvey Oak Park University Park Champaign Harwood Heights Oakbrook Terrace Urbana Channahon Herrin Old Mill Creek Valmeyer Chicago Highland Park Onarga Warrenville Chicago Heights Hillside Orland Park Washington Chicago Ridge Hodgkins Palatine Watseka Christopher Hoffman Estates Park City Waukegan Cicero Hopkins Park Park Forest West Dundee Country Club Hills Inverness Park Ridge Wheaton Countryside Joliet Pekin Wheeling Crainville Kankakee Peoria Wilmette Crystal Lake Lake Barrington Peoria Heights Woodridge Danville Lansing Peru Darien *Per a special census, Batavia has more than 25,000 in population,but is waiting for State to issue certification. Geneva's comparable communities (highlighted in yellow)include Algonquin, Batavia, Bloomingdale, Carpentersville, Darien, Deerfield, Glen Ellyn, Hinsdale, LaGrange, Libertyville, Lisle, McHenry, St. Charles,West Chicago, and Woodstock. Page 61 a F Al. •� 1 O\ City of Geneva Home Rule Research Information "Possible Uses of Home Rule in Specific Areas" August 23, 2005 Possible Uses of Home Rule in Specific Areas General Administration Home rule allows for broader licensing and regulation authority for municipalities without first having to go to the state government for permission. Examples of licensing and regulations: • Cable • Liquor • Utilities • Land Use • Public Transit • Mobile Homes • Vendors • Nursing Homes • Tow Trucks • Pollution By changing to home rule, a municipality would be able to: • Impose fines greater than the $750 limit • License and regulate cats • License vending machines by ordinance • Impose a user fee on truck traffic • Alter curfew for juveniles • Regulate hand gun registration and possession within city boundaries Governmental Organization Home rule allows for a change in the structure of municipal government based upon the approval of local voters. Examples of governmental changes: • Appointing a Clerk • Creating or eliminating positions • Changing council powers • Changing size of council • Changing election procedures • Lengthening terms of an office 2 By changing to home rule, a municipality would be able to: • Increase or decrease the size of the city council • Establish a strong mayor form of government • Change the Mayor's position from part-time to full-time or from full-time to part- time • Make all municipal elections non-partisan • Cease being a home rule unit through public referendum Opposing State Mandates Home rule allows a municipality to work around certain state mandates. By changing to home rule, a municipality would be able to: • Adopt a budget and appropriation ordinance process different than what is found in the state statutes • Build and operate a hydroelectric plant without regard to specific Illinois statutory requirements • Set mandatory retirement age below the statutory age of 63 Community Development Home rule gives municipalities, through the use of broader zoning regulations, the ability to rehabilitate older residential neighborhoods while helping to prevent neighborhood deterioration. By changing to home rule, a municipality would be able to: • Enforce regulations regarding property maintenance costs • Adopt a housing code provision prohibiting owners of vacant houses from leaving the property boarded up and unused longer than six months • Revise zoning regulations • Require a license to install or maintain burglar and/or fire alarms • Broaden the use of eminent domain in acquiring blighted or deteriorated properties Financial Tools Home rule gives municipalities the ability to develop creative financing and incur debt beyond statutory limits, in order to expediate local economic development. Examples of financial development: • Authorize municipal acquisition, redevelopment, and sale of blighted areas 3 • Issue non referendum general obligation bonds for private loans or for the purpose of development • Allows local officials more latitude to bargain with developers • Revenue bonds can be used to finance projects which are not specified in state statutes, at higher interest rates • Issue revenue bonds to provide capital for low-interest residential loans • The ability to use ordinary bank loans as an alternative,which may not be available under statutory law to non-home rule units • Secure Industrial Revenue Bonds not subject to outside competition • Adopt investment policies not restricted by state statutes • Provide subsidies or credits to private businesses using non-referendum general obligation bonds as loan guarantees By changing to home rule, a municipality would be able to: • Issue development revenue bonds to help develop a shopping center • Issue a sales tax rebate to a new or expanding business in order to attract new retail • Adopt investment policies not included in state statutes • Use non-referendum general obligation bonds for private loans for construction of housing for the elderly • Issue non-referendum general obligation bonds to build a new civic center • Issue non-referendum general obligation bonds to construct parking ramps Taxing Authority Home rule allows municipalities to impose taxes not available to non home rule municipalities. Home rule municipalities are not subject to limitations set by state statute on property tax rates or bonded indebtedness. Examples of taxes that home rule municipalities can impose or are freed from state restrictions are: • Real Estate Transfer Tax • Hotel/Motel • Utility • Property taxes • Amusement • New motor vehicle • Gasoline • Food and Beverage • Liquor • Mobile Homes 4 By changing to home rule, a municipality would be able to: • Adopt a restaurant tax to fund a convention or visitor's bureau • Give a sales tax rebate to new or expanding businesses • Impose a tax on the storage of flammable liquids • Impose a hotel-motel tax or use the existing hotel-motel tax for any purpose deemed necessary • Impose a tax on retail sales that is limited to the first $500 • Impose a tax on the retail sale of automobiles • Impose a tax on cigarettes • Impose a tax on gasoline • Impose a real estate transfer or exit tax, local moves exempted Police and Fire Home rule allows municipalities to organize the Police and Fire departments in unique ways that better serve the municipalities. Examples of better organization of Police and Fire Departments are: • Creation of alternatives to Police and Fire Commissions • Create exempt ranks • Change Commission powers • Create new positions By changing to home rule, a municipality would be able to: • Create two police deputy chief positions • Hire a personnel director and personnel board instead of having a Police and Fire Commission • Give Police and Fire Commissioners more authority over personnel including demotions • Transfer power to hire police officers from Police and Fire Commission to the City Manager/Administrator Conclusion These are just some of the many possible uses for Home Rule. Since the 1970 Illinois Constitution states that the "... powers and functions of home rule units shall be construed liberally." (Art. VII, Sec. 6), this allows for home rule municipalities to find more creative ways to manage local municipalities. 5 T HE C IT Y OF LAKE FOREST HOME RULE QUESTIONS &ANSWERS C I I A R T E R E D }9 4 1 WHAT IS "HOME RULE"? Under the 1970 Illinois Constitution, Home Rule shifts decision making from the state level (Springfield) to the local level (Lake Forest) enabling communities to find local solutions to local problems. Home Rule communities are granted a broad range of powers for the local good unless exempted by the State. Often a Home Rule community is exempted from meeting requirements mandated by state legislation. HOW DOES A COMMUNITY BECOME HOME RULE? Municipalities with populations over 25,000 are automatically granted Home Rule status, while smaller communities can put the question on a ballot and let voters decide. The majority(over 70%) of Illinois' 12.5 million citizens live in Home Rule communities. Among Illinois communities having Home Rule, 55% attained Home Rule status by voter approval of a Home Rule referendum, such as the one on the November 2, 2004 ballot. No community has petitioned to revoke Home Rule status in the past 20 years. WHAT NEARBY COMMUNITIES ARE HOME RULE? Deerfield Gurnee Mettawa Skokie Evanston Highland Park Mundelein Waukegan Glenview Lincolnshire Northbrook Wilmette Currently, several other North Shore communities like Lake Forest are considering voter approval of Home Rule status. WHY IS LAKE FOREST CONSIDERING HOME RULE? If approved by the voters, Home Rule will provide the City with additional flexibility and local control for maintaining the character of our community. It would enhance the City's ability to preserve the integrity of its zoning ordinances, to operate in a more cost-effective manner, and to have a more diversified and flexible revenue base that could reduce dependency on property taxes. WHAT ARE THE BENEFITS OF HOME RULE? The adoption of Home Rule would provide Lake Forest greater protection from state mandates and the ability to solve problems at a local level. Specifically, major benefits frequently associated with Home Rule are threefold: Maintaining Community Character Home Rule would mean that the State of Illinois cannot intercede as a super zoning authority. The City would retain local control over zoning issues instead of allowing petitioners to go to the State for final decisions on such things as affordable housing, day care, etc. Petitions would come directly to the City and go through the local public hearing process for a decision. This local process gives residents the opportunity 1 to review petitions that directly impact their property. Lake Forest would have direct control over important issues that impact property values and community character. Increased Financial Flexibility Lake Forest's long-term financial stability is being impacted by decreasing revenues (tax cap limitation and a reduction in state revenues, development fees and sales taxes) coupled with increasing expenses (higher insurance,pension and health care costs, aging infrastructure, and additional state mandates). Home Rule is not only a flexible tool that endorses local decision making; it enables sound long-term fiscal planning. Home Rule would provide Lake Forest with the flexibility to explore new funding sources, such as a licensing fee for service businesses (banks, landscapers, etc.), restaurant tax, real estate transfer tax, etc. Home Rule status would also allow the City to use the existing Hotel Tax revenue for infrastructure (streets, sewers, etc.) instead of limiting its use solely to tourism. Home Rule communities have more flexibility in regard to debt offerings often resulting in lower interest rates and a strengthened bond rating. Reduced Regulation from State Mandates Home Rule can afford Lake Forest greater protection against state control, such as the recently enacted Affordable Housing Act. Under that Act, Lake Forest could be required to increase its overall percentage of affordable housing to 10%, or approximately 330 new units. If Lake Forest were Home Rule, it could still support this important initiative but at a level that more appropriately addresses our community's needs. State legislatures often impose unfunded mandates on local governments to provide certain services that fail to provide a revenue source to offset the cost of those services. WHAT ARE THE POTENTIAL DISADVANTAGES OF HOME RULE? Home Rule gives local government greater discretion to generate revenues through issuing bonds and increased taxes -- i.e., property and sales tax increases, restaurant tax, real estate transfer tax, etc. Home Rule permits greater local control over decision making without state oversight and without certain procedural limitations. WILL PROPERTY TAXES INCREASE UNDER HOME RULE? Based on the research of Professor James Banovetz, widely regarded as the foremost expert on Home Rule in Illinois, there is no evidence that Home Rule municipalities have higher or faster growing property taxes than comparable non-Home Rule municipalities. In fact, Home Rule status is often used to shift the tax burden from property taxes to other revenue sources, such as licensing fees, restaurant tax, real estate transfer tax, etc. This would diversify the revenue base and reduce the burden on property owners. Indeed, communities that have adopted Home Rule status have seen their property taxes increase at a lower rate than non-Home Rule communities. The City Council has recognized the concern of residents about increased taxing authority. In early August 2004, the City Council adopted an ordinance to continue to adhere to the property tax limitations commonly referred to as the "property tax cap." The only exceptions to this limitation would be if an emergency or legal requirement dictates an increase or if the residents approved a referendum for an increase beyond that called for under tax cap legislation. Additionally, under a proposal before the City Council, if Home Rule authority is approved by the voters, any increase in tax rates would require two public meetings and a super-majority (two-thirds)vote of the City Council. 2 IF THE HOME RULE REFERENDUM IS APPROVED, DOES THAT MEAN THAT THE CITY WILL ADOPT A REAL ESTATE TRANSFER TAX? The real estate transfer tax is one alternative revenue source that could be considered by The City of Lake Forest if the voters approve the Home Rule referendum. Before the City could enact a real estate transfer tax, however, voters would have to approve it on a separate referendum in the future. HOW DOES HOME RULE AFFECT SCHOOL DISTRICT FUNDING? Home Rule has no effect on School Districts 115 or 67 as they are independent governmental and funding bodies. HOW DO RESIDENTS CONTROL THE USE OF HOME RULE? Voters can petition to revoke a community's Home Rule status. (In Illinois, this has not occurred in the past 20 years.) Another safeguard for taxation and spending restraint is resident participation in City government and local elections. One-half of the City's aldermen are up for election each year, the Mayor every two years. Lake Forest has a long-standing tradition of residents staying informed on local issues and communicating with local officials. If residents view the City Council as not fiscally prudent, residents can vote to change Council membership and leadership. Finally, the Aldermen and Mayor are also residents. They would be personally impacted by any Council action. IF THE HOME RULE REFERENDUM FAILS, HOW WILL IT AFFECT LAKE FOREST RESIDENTS? Lake Forest will be required to comply with all State mandates, including those that are not funded; some current mandates could impact community character, long-term finances and property values. Without the financial flexibility Home Rule provides, the City Council will continue to look for ways to contain costs to maintain a balanced budget and fund necessary capital expenditures. This would likely include reductions in personnel and equipment purchases; postponement/elimination of needed capital improvements (repairs to streets, sewers,parks, etc.); and/or modifications to user fees to fund service delivery costs (garbage collection, etc.). In all likelihood, additional borrowing for infrastructure improvements would be required. The issuance of additional bonds would result in higher property taxes. IF THE HOME RULE REFERENDUM IS APPROVED, HOW WILL IT AFFECT LAKE FOREST RESIDENTS? Lake Forest will not be required to comply with all State mandates (whether funded or not)but will have the ability to evaluate certain State requirements and decide what is appropriate for Lake Forest. The City Council will have the flexibility to explore a variety of alternative revenue sources to balance future budgets and fund needed infrastructure improvements. home rule/q&a final 9/7/04 3 a 0 T II E C IT Y OF LAKE FOREST I I A R T[R[D 18 6 I LEARN MORE ABOUT HOME RULE Residents have an opportunity to learn more about Home Rule and to discuss its impact on community character with their Aldermen at these upcoming meetings: Ward 1: Thursday, September 23, 6:30-8:30 p.m., Sheridan School, 1360 N. Sheridan Road Ward 2: Wednesday, September 29, 6:30-8:30 p.m., Cherokee School, 475 E. Cherokee Road Ward 3: to be determined Ward 4: Tuesday, September 28, 6:30-8:30 p.m., Everett School, 1111 Everett School Road Public Forum: Wednesday, October 6, 6:30-8:30 p.m., location to be determined For updates on these meetings and additional information on Home Rule, go to the City's website at www.cityoflakeforest.com and visit the "What's New" section. 4 C/T y Reviewed By: Agenda Item Number J� A 0 Legal El II NB #5 11 "AM Finance ❑ EST. �Z 1836 Engineer ❑ u City Administrator Tracking Number Police ❑ Kentlall County E `���� Human Resources El ADM 2011-35 t Public Works ❑ City Council Agenda Item Summary Memo Title: City Intern- discussion City Council/Committee Agenda Date: Administration Committee—July 21, 2011 Synopsis: Discussion of the creation of a Code Enforcement Intern position for FY 12 and 13. Council Action Previously Taken: Date of Action: N/A Action Taken: Item Number: Type of Vote Required: Majority Council Action Requested: Discussion and direction Submitted by: Alderwoman Rose Spears Administration Name Department Agenda Item Notes: Co.y o Memorandum '"' To: City Council EST. �Z 1836 From: Bart Olson, City Administrator .4 _�` CC: 0 �� �o,gaa, �p Date: July 15, 2011 Ke tld"u" Subject: City intern discussion J Y This agenda item was requested by Alderwoman Spears. She has forwarded along a job posting from Oswego (attached) for a Code Enforcement intern, who is specifically responsible for processing every aspect of weed violations during the spring, summer and fall. At $10 per hour, 35 hours per week, and probably 31 weeks per year, the total cost of this intern for Oswego will approach $10,000 per year. Since the departure of the Code Official, the Public Works and Parks Department has been processing weed violation complaints. While the initial investigation and processing has been handled relatively efficiently by the staff, the posting documentation and ticket writing is done singularly by the Public Works Director(he is the remaining individual authorized to write the tickets). The Public Works Director has more important issues to deal with than processing weed complaints, and likewise for the Public Works and Parks Department employees currently doing the investigations. If authorized by City Council, this position could be hired in 3 weeks from approval, and would still be very useful to staff for the remainder of this calendar year. We are still predicted to run a budget surplus this year(to offset our negative fund balance), so any expenses associated with this position would merely reduce that surplus. If the Administration Committee approves the position, we would post a job opening immediately with a salary of$10 per hour and 35 hours per week with employment through the end of October. Village of i swepn POSITION ANNOUNCEMENT Position: Code Enforcement Intern Department: Building & Zoning Status: Temporary, Part-Time (June —August 2011) Pay Rate: $10.00 per hour Posting Date: May 18, 2011 Application Deadline: May 31, 2011 Position Summary This temporary position will be responsible for conducting daily tours of the Village to report on weed,watering and sign violations; issuing warnings and violations notices; and assisting Code Enforcement Officers. Hours of Work Work hours for this position will be approximately 25-30 hours per week, primarily during the day,from June through August. Education/License/Certifications/ High school diploma (or equivalent); 1-3 years of related Experience experience; and valid State of Illinois driver's license required. Candidates pursuing an education in municipal government strongly preferred. Selection Process Selection process includes 1 personal interview, background check including criminal history check, previous employment verification. The selection process is expected to take 2 weeks. Previous application for this position or others within the department does not disqualify individuals from consideration for this position. Skills/Abilities Candidates must possess the ability to express themselves effectively verbally and in writing; and excellent customer service skills. To Apply Please forward questions and completed applications and/or resumes to: Village of Oswego Human Resource Department, 100 Parkers Mill, Oswego, IL 60543,fax: 630/554-3306; email hu man resources osweeoil.ore. The Village of Oswego is an EOE/ADA employer C/Ty Reviewed By: Agenda Item Number 0s Legal ❑ ° NB #6 Finance ❑ EST. , �'� 1836 Engineer ❑ 4O y City Administrator Tracking Number °°°°gam �O Police ❑ Kendall County � E `y Human Resources El ADM 2011-36 � Public Works ❑ City Council Agenda Item Summary Memo Title: Library Impact Fee Ordinance City Council/Committee Agenda Date: Administration Committee—July 21, 2011 Synopsis: An amendment to the Library Impact Fee Ordinance. Council Action Previously Taken: Date of Action: N/A Action Taken: Item Number: Type of Vote Required: Majority Council Action Requested: Approval Submitted by: Alderman Carlo Colosimo Administration Name Department Agenda Item Notes: .��0 Co.y o Memorandum '"' To: Administration Committee EST. �Z 1836 From: Bart Olson, City Administrator .4 _�` CC: 0 �� �o,gaa, �p Date: July 15, 2011 Ke tld"u" Subject: Library Impact Fee Ordinance J Y P This item was requested by Alderman Carlo Colosimo and the Library Board. The current library impact fee is $500 per dwelling unit. That $500 is further split between $250 for books and technology, and $250 for building issues. With the construction of the new library, the Library Board is sitting on $300,000 of library building impact fees with few projects in which to use the fees. With that not expected to change over the next few years, the Library Board has asked for greater discretion in the use of fees collected in the future. The attached ordinance amends the Library Impact Fee so that future collections of the library impact fee would be able to be used on books, technology, and building items—without regard to any split between the categories (books and buildings). As stated prior, and as long as the City has non-home rule status, this ordinance applies only to fees collected in the future and as a result of an annexation agreement negotiation. Finally, City staff is working on identifying uses for the building impact fees already collected. Ordinance No. 2011- AN ORDINANCE OF THE UNITED CITY OF YORKVILLE, KENDALL COUNTY, ILLINOIS, AMENDING ORDINANCE 2003-31 ENTITLED "AN ORDINANCE AMENDING ORDINANCE NO. 1990-24 AN ORDINANCE SETTING FORTH THE STANDARDS AND REGULATIONS FOR PAYMENT FOR DEVELOPMENT AND EXTENSION OF UTILITY COSTS UPON ANNEXATION AND/OR PLANNED UNIT DEVELOPMENT" CLARIFYING THE USE OF FEES PAYABLE TO THE CITY LIBRARY FUND WHEREAS, the United City of Yorkville (the "City") is a duly organized and validly existing non home-rule municipality created in accordance with the Constitution of the State of Illinois of 1970 and the laws of the State; and, WHEREAS, the City has determined that new developments impose financial burdens by creating a greater need for City facilities and that the City has experienced increased difficulties in funding those facilities; and WHEREAS, fees place the obligation to fund City facilities on those who create the need for the new facilities and improve the quality of life for those residents; and WHEREAS, the City adopted Ordinance 2003-31 on June 10, 2003 amending the fees incurred by various governmental entities and the City, and hereby desire to clarify the use of those fees payable to the City Library Fund. NOW, THEREFORE, BE IT ORDAINED by the City Council of the United City of Yorkville, Kendall County, Illinois, as follows: Section 1. That Section 3 of Ordinance 2003-31 adopted June 10, 2003 be and is hereby amended to read as follows: "3. The Development Fee for the United City of Yorkville Library Fund shall be five hundred dollars ($500.00) per residential dwelling unit due at the time a building permit is issued on any real property annexed, zoned and platted within the City after the effective date of this amended ordinance, to be used for the Library building and associated capital purchases, site improvements, or other capital improvements including the acquisition of automation/technology equipment, and for books, audiocassettes, compact disks, magazines, vehicles, or other such equipment." Section 2. That except as to the extent modified by this ordinance, all other terms and conditions of Ordinance 2003-31 are hereby ratified and approved. Section 3. This Ordinance shall be in full force and effect upon its passage, approval, and publication as provided by law. Passed by the City Council of the United City of Yorkville, Kendall County, Illinois this day of , A.D. 2011. CITY CLERK ROSE ANN SPEARS DIANE TEELING GEORGE GILSON JR. JACKIE MILSCHEWSKI CARLO COLOSIMO MARTY MUNNS CHRIS FUNKHOUSER LARRY KOT Approved by me, as Mayor of the United City of Yorkville, Kendall County, Illinois, this day of 2011. MAYOR Q cl s- Reviewed By: Agenda Item Number a� �.1% Legal ❑ OB #1 Finance F-1 leas Engineer ❑ Trackin Number 0� �� y City Administrator ■ g �L? Police LE Human yv� Human Resources ❑ CC 2011-48 Public Works ❑ City Council Agenda Item Summary Memo Title: Refinancing options City Council/Committee Agenda Date: Administration Committee—July 21, 2011 Synopsis: See attached memo. Council Action Previously Taken: Date of Action: N/A Action Taken: Item Number: Type of Vote Required: Majority Council Action Requested: Discussion and direction Submitted by: Bart Olson Administration Name Department Agenda Item Notes: D Cip 4 o Memorandum To: City Council EST. 1836 From: Bart Olson, City Administrator p Date: July 15, 2011 �N ���� Subject: Refinancing options for Rob Roy bonds LE This item was last discussed by the Administration Committee at the June meeting. At that meeting, the Committee asked for information related to the amount of money that could be dedicated to year-to-year road improvements under different refinancing scenarios (first chart), and the property tax bill associated with bond non-abatements under a no refinancing and refinancing scenario (second chart). There are a few items of note in each chart. First, the first chart shows a net present value calculation for each bond refinancing term. At the last meeting, the staff stated that the 15-year refinancing term actually had a negative net present value—which means you could make a strong fiscal argument for refinancing. What we have learned from the last meeting, is that all of the refinancing scenarios presented have a negative net present value; so, by pushing payments off well into the future, refinancing becomes advantageous from a cash-flow perspective and an overall fiscal policy. With that particular issue settled, the question now becomes one of term length, which is the second item of note. A ten year bond will allow almost no money for road resurfacing for the 10 years it is in existence, but it will allow for maximum dollars to be used in 2022. On the other end of the spectrum, a twenty year bond will allow as much as $550,000 per year to be used on road resurfacing while the bond is in existence,but does not allow maximum dollars to be used until 2032. The 14-year, 15-year, and 17-year issuances are in-between. The third item of note is contained within the second chart. This shows the comparison over time between property taxes associated with bonds and non-abatements under a refinancing and no refinancing scenario. With the introduction of the non-home rule sales tax, the City does have the ability to cut bond-related property taxes by 42%next year,but those property taxes will increase substantially each year beyond that until 2016. Under any refinancing scenario, the City has the ability to not only remove the Rob Roy bonds from property taxes,but remove a third sewer bond from property taxes. Non-home rule sales taxes would not be used to clear that third sewer bond from property taxes; we are able to afford its abatement from the tax bills over the next 8 years because of the payment schedule of the refinancing bond(namely, that there is no payment due in December 2011 and a minimal payment in December 2012). Finally, the fourth item of note is the year-to-year increase in the second chart under both scenarios. While the change in property taxes from year-to-year generally drops off in 2013 and then gradually increases over time, we have the ability to reverse that trend. In essence, asking for slightly more in 2013 than we need and then banking that money for future bond payments when they are higher. This model would allow us to reduce overall property taxes (not just the taxes associated with the bonds) each year for several years. No refi 30 year 14 year 15 year 17 year 20 year FY Payment $for Roads Payment $for Roads Payment $for Roads Payment $for Roads Payment $for Roads Payment $for Roads 2012 $1,496,040 $ $ - $ 1,248,020 $ - $ 1,248,020 $ - $1,248,020 $ - $ 1,248,020 $ - $ 1,248,020 2013 $2,054,540 $ $ 1,474,921 $ 25,079 $ 608,587 $ 891,413 $ 612,203 $ 887,797 $ 914,928 $ 585,072 $ 627,798 $ 872,202 2014 $2,088,140 $ $ 1,458,897 $ 41,103 $ 1,190,435 $ 309,565 $ 1,192,992 $ 307,008 $ 939,920 $ 560,080 $ 949,022 $ 550,978 2015 $2,317,590 $ $ 1,461,305 $ 38,695 $ 1,188,655 $ 311,345 $ 1,191,212 $ 308,788 $ 938,860 $ 561,140 $ 947,962 $ 552,038 2016 $3,234,590 $ $ 1,458,782 $ 41,218 $ 1,193,640 $ 306,360 $ 1,196,197 $ 303,803 $ 940,700 $ 559,300 $ 949,802 $ 550,198 2017 $1,095,090 $ 404,910 $ 1,461,170 $ 38,830 $ 1,190,075 $ 309,925 $ 1,192,632 $ 307,368 $ 940,300 $ 559,700 $ 949,402 $ 550,598 2018 $1,091,408 $ 408,592 $ 1,454,237 $ 45,763 $ 1,188,742 $ 311,258 $ 1,191,300 $ 308,700 $ 938,110 $ 561,890 $ 947,212 $ 552,788 2019 $ $ 1,500,000 $ 1,461,722 $ 38,278 $ 1,193,580 $ 306,420 $ 1,196,137 $ 303,863 $ 938,530 $ 561,470 $ 947,632 $ 552,368 2020 $ $ 1,500,000 $ 1,458,372 $ 41,628 $ 1,189,510 $ 310,490 $ 1,192,067 $ 307,933 $ 941,880 $ 558,120 $ 950,982 $ 549,018 2021 $ $ 1,500,000 $ 1,469,060 $ 30,940 $ 1,191,510 $ 308,490 $ 1,194,067 $ 305,933 $ 937,330 $ 562,670 $ 946,432 $ 553,568 2022 $ $ 1,500,000 $ 969,060 $ 530,940 $ 1,189,910 $ 310,090 $ 1,192,467 $ 307,533 $ 940,795 $ 559,205 $ 949,897 $ 550,103 2023 $ $ 1,500,000 $ - $ 1,500,000 $ 1,190,010 $ 309,990 $ 1,192,567 $ 307,433 $ 942,117 $ 557,883 $ 951,220 $ 548,780 2024 $ $ 1,500,000 $ $ 1,500,000 $ 1,760,460 $ (260,460) $ 1,193,017 $ 306,983 $ 1,476,517 $ 23,483 $ 950,620 $ 549,380 2025 $ $ 1,500,000 $ $ 1,500,000 $ 1,730,025 $ (230,025) $ 1,194,372 $ 305,628 $ 1,476,117 $ 23,883 $ 947,690 $ 552,310 2026 $ $ 1,500,000 $ $ 1,500,000 $ - $ 1,500,000 $ 1,191,750 $ 308,250 $ 1,471,742 $ 28,258 $ 947,675 $ 552,325 2027 $ $ 1,500,000 $ $ 1,500,000 $ $ 1,500,000 $ - $1,500,000 $ 1,493,242 $ 6,758 $ 950,275 $ 549,725 2028 $ $ 1,500,000 $ $ 1,500,000 $ $ 1,500,000 $ $1,500,000 $ 1,135,452 $ 364,548 $ 950,922 $ 549,078 2029 $ $ 1,500,000 $ $ 1,500,000 $ $ 1,500,000 $ $1,500,000 $ - $ 1,500,000 $ 949,187 $ 550,813 2030 $ $ 1,500,000 $ $ 1,500,000 $ $ 1,500,000 $ $1,500,000 $ $ 1,500,000 $ 950,412 $ 549,588 2031 $ $ 1,500,000 $ $ 1,500,000 $ $ 1,500,000 $ $1,500,000 $ $ 1,500,000 $ 948,892 $ 551,108 Total Cost $ 14,127,526 $ 16,005,139 $ 16,122,980 $ 17,366,540 $ 17,713,034 .0 *All money in FY 12 will be put towards Route 47 and River Road Bridge Property tax scenarios,studying bonds only Assumptions Assumption for refi scenario is that Rob Roy bonds will be paid for entirely by sales taxes, and the rest is used for road improvements Assumption for"no refi" scenario is that all non-home rule sales taxes go towards bonds, and none are used for road improvements Assumption for"no refi" scenarios is that 2007A(water) and 2005A(debt service), and 2004B bonds will stay on property taxes (non-abatement) Assumption for refi scenario is that 2007A(water), 2005A(debt service) will stay on property taxes (non-abatement) Assumption for all scenarios is no growth in the local economy %increase, Refi (all %increase, No refi year-to-year scenarios) year-to-year 2012 $ 2,212,735 $ 2,212,735 -42.23% -79.22% 2013 $ 1,278,223 $ 459,833 11.34% 1.39% 2014 $ 1,423,110 $ 466,220 22.16% 0.17% 2015 $ 1,738,542 $ 467,002 53.16% 0.08% 2016 $ 2,662,787 $ 467,372 -80.12% 1.06% 2017 $ 529,432 $ 472,342 0.81% -0.14% 2018 $ 533,712 $ 471,704 -100.00% 0.79% 2019 $ - $ 475,407 #DIV/0! 140.50% 2020 $ - $ 1,143,356 #DIV/0! -1.42% 2021 $ - $ 1,127,131 #DIV/0! 0.65% 2022 $ - $ 1,134,469 #DIV/0! -0.42% 2023 $ - $ 1,129,656 #DIV/0! -100.00% 2024 $ - $ - C/T y Reviewed By: Agenda Item Number J� A 0 Legal El II OB #2 11 "AM Finance ❑ EST. �Z 1836 Engineer ❑ u City Administrator Tracking Number C"Ityfsea, O Police ❑ Kentlall County At `���� Human Resources El PW 2011-39 Public Works ❑ City Council Agenda Item Summary Memo Title: Solid Waste Franchise Agreement City Council/Committee Agenda Date: Administration Committee—July 21, 2011 Synopsis: See attached memo. Council Action Previously Taken: Date of Action: N/A Action Taken: Item Number: Type of Vote Required: Majority Council Action Requested: Discussion and direction Submitted by: Bart Olson Administration Name Department Agenda Item Notes: Co.y o Memorandum '"' To: Administration Committee EST. �Z 1836 From: Bart Olson, City Administrator .4 _�` CC: 0� �� �o,gaa, �p Date: July 15, 2011 Ke tld"u" Agreement Subject: Solid Waste Franchise A J g This item was last discussed at the June Public Works Committee meeting, and was subsequently sent to the Administration Committee. At the last Public Works Committee meeting, the committee asked for information related to the actual cost of refuse stickers in communities that have a pay-as-you-throw system. Since that meeting, we have heard from the City Council that most residents are not in favor of that system. So, I have not conducted any research on stickers under the assumption that direction would be received to maintain the current program. However, I do have a survey from 2008 that compares our program to other municipalities. I have attached that for your reference. Since this agenda item is being discussed by a new committee, I have attached all of the material from the June Public Works Committee meeting on this item. It includes a brief analysis memo and the entire solid waste franchise agreement. The direction sought from the Public Works Committee in the analysis memo is the same direction sought from the Administration Committee: 1) Do we want to amend the current solid waste collection service 2) Do we want to go out to RFP? I have done a brief analysis of other municipalities current solid waste programs, and I can preliminarily say that the price of our program is not likely to decrease for the user from its current price, whether we go out to RFP or we negotiate individually with Veolia for a contract extension. It appears the only option for reducing the monthly cost to the user would be to change the program. .��0 Co.y o Memorandum "' To: City Council EST. �Z 1836 From: Bart Olson, City Administrator .4 ` CC: O C u oY, p Date: June 16, 2011 Count Seat Subject: Solid Waste Franchise Agreement The City has a franchise agreement with Veolia for residential solid waste collection that is set to expire in April 2012. That franchise agreement is attached. Within the agreement is an option to extend the contract for two, 2-year terms, as long as those terms are negotiated 120 days prior to the end of the term. Thus, the City has until December 31, 2011 to decide whether it wants to extend the current contract (and negotiate with Veolia individually), or submit a new RFP for the service. A copy of the last RFP the City had for this service is attached. Staff is seeking direction on the current solid waste collection services, and if there is an initial preference for changing the plan. When that direction is given, staff will entertain an offer from Veolia and present that offer to the committee—at which time the committee can direct us to further negotiate with Veolia or prepare an RFP. The current solid waste collection plan For one monthly fee (escalates throughout the contract), residents receive: 1) Two 64 gallon wheeled toters; one for recycling and one for recycling 2) Pickup of those toters once per week 3) The ability to change the size of either toter to 33 gallons or 95 gallons, for a$5 monthly upcharge. 4) The ability to dispose of additional items in excess of the refuse placed in the toter, for $1 per unit a. Disposal units are defined as: i. Refuse that fits in a 33 gallon container ii. Refuse or debris bundled together that does not exceed three feet in diameter, six feet in length and 50 pounds in weight. iii. Any one miscellaneous or odd-shaped item that does not exceed 50 pounds in weight. 5) The ability to dispose of one "bulk" item per week a. Bulk items are defined as: i. Discarded large household appliances, including freezers, stoves, trash compactors, washers, dryers, pianos, organs, tables, chairs, mattresses, box springs, sofas, etc. White goods(refridgerators) and electronic goods (TVs) are specifically excluded from this definition. 6) Unlimited yard waste collection every week between the first collection day in April to the last collection day in November. a. Yard-waste, in a krafl paper bag that does not exceed 33 gallons in capacity and 50 pounds in weight b. Bundles of brush that does not exceed 2 feet in diameter, 4 feet in length, and 50 pounds in weight 7) Curbside Christmas tree collection during the first two weeks in January of each year. 8) Two amnesty days per year(one in spring, one in fall), which allow an unlimited amount of refuse, bulk items, white goods, and up to 4 car tires per house. 9) Refuse collection and recycling at all City facilities, with the City having the discretion to change container sizes and facilities. 10)Refuse and recycling collection, and portable toilets at Hometown Days, the 4th of July parade, and other special events. 11)Delayed pickups during the weeks that contain New Year's Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day, and Christmas Day. i United CITY of Yorkville Contract for United CITY of Yorkville Garbage, Refuse, Recycling and Yard Waste Collection This contract is made as of May 1 , 2007, by and between the United CITY of Yorkville, IL (CITY) and Veolia ES Solid Waste Midwest, LLC. . (CONTRACTOR). RECITALS WHEREAS, the CITY desires to enter into an agreement with CONTRACTOR for refuse, recycling and yard waste collection within the CITY; and WHEREAS, CONTRACTOR desires to provide refuse, recycling, and yard waste collection within the CITY; and WHEREAS, CONTRACTOR submitted the lowest price for refuse, recycling and yard waste collection services in response to an RFP for said services dated March 19, 2007. NOW, THEREFORE, the CITY and the CONTRACTOR agree as follows: I. TERMS AND CONDITIONS 11 CITY ORDINANCES 1 . 1 The successful CONTRACTOR will strictly comply with all ordinances of the CITY of Yorkville and laws of the State of Illinois. 2 USE OF CITY'S NAME 2. 1 The CONTRACTOR is specifically denied the right of using in any form or medium the name of the CITY for public advertising unless express permission is granted by the CITY. 3. INDEMNITY AND HOLD HARMLESS AGREEMENT 3 . 1 To the fullest extent permitted by law, the CONTRACTOR shall indemnify, keep and save harmless the CITY and its agents, officers, and employees, against all injuries, deaths, losses, damages, claims, suits, liabilities, judgments, costs and expenses, which may arise directly or indirectly from any negligence or from the reckless or willful misconduct of the CONTRACTOR, its employees, or its subcontractors, and the CONTRACTOR, its employees, or its subcontractors, and the CONTRACTOR shall at its own expense, appear, defend and pay all charges of attorneys and all costs and other expenses arising therefrom or incurred in connection therewith, and, if any judgment shall be rendered against the CITY in any such action, the CONTRACTOR shall, at its own expense, satisfy and discharge the same. This Agreement shall not be construed as requiring the CONTRACTOR to indemnify the CITY for its own negligence. The CONTRACTOR shall indemnify, keep and save harmless the CITY only where a loss was caused by the negligent, willful or reckless acts or omissions of the CONTRACTOR, 1 United CITY of Yorkville its employees, or its subcontractors. 4. NONDISCRIMINATION 4. 1 CONTRACTOR shall, as a party to a public contract: (a) Refrain from unlawful discrimination in employment and undertake affirmative action to assure equality of employment opportunity and eliminate the effects of past discrimination; (b) By execution of this contract, the CONTRACTOR certifies that he is an "equal opportunity employer" as defined by Section 2000(e) of Chapter 21 , Title 42, U.S. Code Annotated and Executive Orders #11246 and #11375, which are incorporated herein by reference. The Equal Opportunity clause, Section 6. 1 of the Rules and Regulations of the Department of Human Rights of the State of Illinois, is a material part of any contract awarded on the basis of this proposal. 4.2 It is unlawful to discriminate on the basis of race, color, sex, national origin, ancestry, age, marital status, physical or mental handicap or unfavorable discharge for military service. CONTRACTOR shall comply with standards set forth in Title VII of the Civil Rights Act of 1964, 42 U.S.C. Secs. 2000 et seq., The Human Rights Act of the State of Illinois, 775 ILCS 5/1 - 10let. seq., and The Americans With Disabilities Act, 42 U.S.C. Secs. 12101 et. seq. 51 SEXUAL HARASSMENT POLICY 5 . 1 The CONTRACTOR, as a party to a public contract, shall have a written sexual harassment policy that: 5. 1 . 1 Notes the illegality of sexual harassment; 5 . 1 .2 Sets forth the State law definition of sexual harassment; 5 . 1 .3 Describes sexual harassment utilizing examples; 5 . 1 .4 Describes the CONTRACTOR's internal complaint process including penalties; 5 . 1 .5 Describes the legal recourse, investigative and complaint process available through the Illinois Department of Human Rights and the Human Rights Commission and how to contact these entities; and 5 . 1 .6 Describes the protection against retaliation afforded under the Illinois Human Rights Act. 6. EQUAL EMPLOYMENT OPPORTUNITY 6. 1 In the event of the CONTRACTOR's non-compliance with the provisions of this Equal Employment Opportumity Clause, the Illinois Human Rights Act or the Rules and Regulations of the Illinois Department of Human Rights ("Department"), the CONTRACTOR may be declared ineligible for future contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations, and the contract may be canceled or voided in whole or in part, and such other sanctions or penalties may be imposed or remedies invoked as provided by statute or regulation. 2 United CITY of Yorkville During the performance of this contract, the CONTRACTOR agrees as follows: 6. 1 . 1 That it will not discriminate against any employee or applicant for employment because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, sexual orientation, sexual identity or an unfavorable discharge from military service; and further that it will examine all job classifications to determine if minority persons or women are underutilized and will take appropriate affirmative action to rectify any such underutilization. 6. 1 .2 That, if it hires additional employees in order to perform this contract or any portion thereof, it will determine the availability (in accordance with the Department's Rules and Regulations) of minorities and women in the area(s) from which it may reasonably recruit and it will hire for each job classification for which employees are hired in such a way that minorities and women are not underutilized. 6. 1 .3 That, in all solicitations or advertisements for employees placed by it or on its behalf, it will state that all applicants will be afforded equal opportunity without discrimination because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military services. 6. 1 .4 That it will send to each labor organization or representative of workers with which it has or is bound by a collective bargaining or other agreement or understanding, a notice advising such labor organization or representative of the CONTRACTOR's obligations under the Illinois Human Rights Act and the Department's Rules and Regulations. If any such labor organization or representative fails or refuses to cooperate with the CONTRACTOR in its efforts to comply with such Act and Rules and Regulations, the CONTRACTOR will promptly so notify the Department and the contracting agency and will recruit employees from other sources when necessary to fulfill its obligations thereunder. 6. 1 .5 That it will submit reports as required by the Department's Rules and Regulations, furnish all relevant information as may from time to time be requested by the Department or the contracting agency, and in all respects comply with the Illinois Human Rights Act and the Department's Rules and Regulations. 6. 1 .6 That it will permit access to all relevant books, records, accounts and work sites by personnel of the contracting agency and the Department for purpose of investigation to ascertain compliance with the Illinois Human Rights Act and the Department's Rules and Regulations. 6. 1 .7 That it will include verbatim or by reference the provisions of this clause in every subcontract it awards under which any portion of the contract obligations are undertaken or assumed, so that such provisions will be binding upon such 3 United CITY of Yorkville subcontractor. In the same manner as with other provisions of this contract, the subcontractor will be liable for compliance with applicable provisions of this clause by such subcontractors; and further it will promptly notify the contracting agency and the Department in the event any subcontractor fails or refuses to comply therewith. In addition, the CONTRACTOR will not utilize any subcontractor declared by the Illinois Human Rights Commission to be ineligible for contracts or subcontracts with the State of Illinois or any of its political subdivision or municipal corporations. 7. DRUG FREE WORK PLACE 7. 1 CONTRACTOR, as a party to a public contract, certifies and agrees that it will provide a drug free workplace by: 7.2 Publishing a statement: (1 ) Notifying employees that the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance, including cannabis, is prohibited in the CITY's or CONTRACTOR's workplace. (2) Specifying the actions that will be taken against employees for violations of such prohibition. (3) Notifying the employee that, as a condition of employment on such contact or grant, the employee will: (A) abide by the terms of the statement; and (B) notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction. 7.3 Establishing a drug free awareness program to inform employee's about: ( 1 ) the dangers of drug abuse in the workplace; (2) the CITY's or CONTRACTOR's policy of maintaining a drug free workplace; (3) any available drug counseling, rehabilitation and employee assistance programs; (4) the penalties that may be imposed upon employees for drug violations. 7.4 Providing a copy of the statement required above to each employee engaged in the performance of the contract or grant and to post the statement in a prominent place in the workplace. 7.5 Notifying the contracting or granting agency within ten ( 10) days after receiving notice of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction from an employee or otherwise receiving actual notice of such conviction. 7.6 Imposing a sanction on, or requiring the satisfactory participation in a drug abuse assistance or rehabilitation program by any employee who is so convicted as required by section 5 of the Drug Free Workplace Act. 7.7 Assisting employees in selecting a course of action in the event drug counseling, treatment and rehabilitation is required and indicating that a trained referral team is in place. 7.8 Making a good faith effort to continue to maintain a drug free workplace through 4 United CITY of Yorkville implementation of the Drug Free Workplace Act. S. PREVAILING WAGE ACT 8. 1 CONTRACTOR agrees to comply with the Illinois Prevailing Wage Act, 820 ILCS 130/1 et seq., for all work completed under this contract. CONTRACTOR agrees to pay the prevailing wage and require that all of its subCONTRACTORs pay prevailing wage to any laborers, workers or mechanics who perform work pursuant to this contract or related subcontract. 8.2 CONTRACTOR and each subcontractor shall keep or cause to be kept an accurate record of names, occupations and actual wages paid to each laborer, workman and mechanic employed by the CONTRACTOR in connection with the contract. This record shall be open to inspection at all reasonable hours by any representative of the CITY or the Illinois Department of labor and must be preserved for four (4) years following completion of the contract. 9. INSURANCE REQUIREMENTS — 9. 1 Prior to the beginning of the contract period, CONTRACTOR and any subcontractors shall procure, maintain and pay for such insurance as will protect against claims for bodily injury of death, or for damage to property, including loss of use, which may arise out of operations by the CONTRACTOR or subcontractor or any Sub-Sub CONTRACTOR or by anyone employed by any of them, or by anyone for whose acts any of them may be liable. Such insurance shall not be less than the greater of coverages and limits of liability specified below or any coverages and limits of liability specified in the Contract Documents or coverages and limits required by law unless otherwise agreed to by the CITY. Workers Compensation $500,000 Statutory Employers Liability $ 1 ,000,000 Each Accident $ 1 ,000,000 Disease Policy Limit $ 1 ,000,000 Disease Each Employee Comprehensive General Liability $2,000,000 Each Occurrence $2,000,000 Aggregate (Applicable on a Per Project Basis) Commercial Automobile $ 1 ,000,000 Each Accident Liability Umbrella Liability $ 5,0009000 9.2 Commercial General Liability Insurance required under this paragraph shall be written on an occurrence form and shall include coverage for Products/Completed Operations, 5 United CITY of Yorkville Personal Injury with Employment Exclusion (if any) deleted, Blanket XCU and Blanket Contractual Liability insurance applicable to defense and indemnity obligations and other contractual indemnity assumed under the Contract Documents.'' 9.3 Comprehensive Automobile Liability Insurance required under this paragraph shall include coverage for all owned, hired and non-owned automobiles. 9.4 Workers Compensation coverage shall include a waiver of subrogation against the CITY. 9.5 Comprehensive General Liability, Employers Liability and Commercial Automobile Liability Insurance may be arranged under single policies for full minimum limits required, or by a combination of underlying policies with the balance provided by Umbrella and/or Excess Liability policies. 9.6 CONTRACTOR and all Subcontractors shall have their respective Comprehensive General Liability (including products/completed operations coverage), Employers Liability, Commercial Automobile Liability, and Umbrella/Excess Liability policies endorsed to add the "CITY of Yorkville, its officers, officials, employees and volunteers" as "additional insureds" with respect to liability arising out of operations performed; claims for bodily injury or death brought against CITY by any CONTRACTOR of Subcontractor employees, or the employees of Subcontractor' s subcontractors of any tier, however caused, related to the performance of operations under the Contract Documents. Such insurance afforded to the CITY shall be endorsed to provide that the insurance provided under each policy shall be Primary and Non-Contributory. 9.7 CONTRACTOR and all Subcontractors shall maintain in effect all insurance coverages required by the Contract Documents at their sole expense and with insurance carriers licensed to do business in the State of Illinois and having a current A. M. Best rating of no less than A- VIII. In the event that the CONTRACTOR or any Subcontractor fails to procure or maintain any insured required by the Contract Documents, the CITY may, at its option, purchase such coverage and deduct the cost thereof from any monies due to the CONTRACTOR or Subcontractor, or withhold funds in an amount sufficient to protect the CITY, or terminate this Agreement pursuant to its terms. 9.8 All insurance policies shall contain a provision that coverages and limits afforded hereunder shall not be canceled, materially changed, non-renewed or restrictive modifications added, without thirty (30) days prior written notice to the CITY. Renewal certificates shall be provided to the CITY not less than five (5) prior to the expiration date of any of the required policies. All Certificates of Insurance shall be in a form acceptable to CITY and shall provide satisfactory evidence of compliance with all insurance requirements. The CITY shall not be obligated to review such certificates or other evidence of insurance, or to advise CONTRACTOR or Subcontractor of any deficiencies in such documents, and receipt thereof shall not relieve the CONTRACTOR or Subcontractor from, nor be deemed a waiver the right to enforce the terms of the obligations hereunder. The CITY shall have the right to examine any policy required and evidenced on the Certificate of Insurance. 6 United CITY of Yorkville 10, COPYRIGHT/PATENT INFRINGEMENT 10. 1 The CONTRACTOR agrees to indemnify, defend, and hold harmless the CITY against any suit, claim, or proceeding brought against the CITY for alleged use of any equipment, systems, or services provided by the CONTRACTOR that constitutes a misuse of any proprietary or trade secret information or an infringement of any patent or copyright. 11 . COMPLIANCE WITH OSHA STANDARDS 11 . 1 Equipment supplied to the CITY must comply with all requirements and standards as specified by the Occupational Safety and Health Act. All guards and protectors as well as appropriate markings will be in place before delivery. Items not meeting any OSHA specifications will be refused. 12. CERCLA INDEMNIFICATION 12. 1 In the event this is a contract that has environment aspects, the Awarded CONTRACTOR shall, to the maximum extent permitted by law, indemnify, defend, and hold harmless the CITY, its officers, employees, agents, and attorneys from and against any and all liability, including without limitation, costs of response, removal, remediation, investigation, property damage, personal injury, damage to natural resources, health assessments, health settlements, attorneys' fees, and other related transaction costs arising under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of 1980, 42 U.S.C.A. Sec. 9601 , et seq ., as amended, and all other applicable statutes, regulations, ordinances, and under common law for any release or threatened release of the waste material collected by the Awarded CONTRACTOR, both before and after its disposal. 13. SUBLETTING OF CONTRACT 13 . 1 No contract awarded by the CITY shall be assigned or any part sub-contracted without the written consent of the City Administrator. In no case shall such consent relieve the Awarded CONTRACTOR from their obligation or change the terms of the contract. 15. TERMINATION OF CONTRACT 15 . 1 The CITY reserves the right to terminate the whole or any part of this contract, upon ten (10) days' written notice to the Awarded CONTRACTOR, in the event of default by the Awarded CONTRACTOR. Default is defined as failure of the Awarded CONTRACTOR to perform any of the provisions of this contract or failure to make sufficient progress so as to endanger performance of this contract in accordance with its terms. In the event that the Awarded CONTRACTOR fails to cure the default upon notice, and the CITY declares default and termination, the CITY may procure, upon such terms and in such manner as the CITY may deem appropriate, supplies or services similar to those so terminated. The Awarded CONTRACTOR shall be liable for any excess costs for such similar supplies or services unless acceptable evidence is submitted to the CITY that failure to perform the contract was due to causes beyond the control and without the fault or negligence of the Awarded CONTRACTOR. Any such excess costs incurred by the CITY may be set-off against any monies due and owing by the CITY to 7 United CITY of Yorkville the Awarded CONTRACTOR. 16. BILLING & PAYMENT PROCEDURES 16. 1 Payment will be made upon receipt of an invoice. Once an invoice has been verified, the invoice will be processed for payment in accordance with the CITY payment schedule, policy and procedures. 16.2 The CITY shall review in a timely manner each bill or invoice after its receipt. If the CITY determines that the bill or invoice contains a defect making it unable to process the payment request, the CITY shall notify the CONTRACTOR requesting payment as soon as possible after discovering the defect pursuant to rules promulgated under 50 ILCS 505/1 et seq. The notice shall identify the defect and any additional information necessary to correct the defect. 16.3 Please send all invoices to the attention of CITY of Yorkville, Accounts Payable, 800 Game Farm Road, Yorkville, IL 60560. 17, RELATIONSHIP BETWEEN THE CONTRACTOR AND THE CITY 17. 1 The relationship between the CITY and the CONTRACTOR is that of a buyer and seller of professional services and it is understood that the parties have not entered into any joint venture or partnership with the other. 18. STANDARD OF CARE, 18 . 1 . Services performed by CONTRACTOR under this Agreement will be conducted in a manner consistent with that level of care and skill ordinarily exercised by members of the profession currently practicing in the same locality under similar conditions. No other representations express or implied, and no warranty or guarantee is included or intended in this Agreement, or in any report, opinions, and documents or otherwise. 18.2 If the CONTRACTOR fails to meet the foregoing standard, CONTRACTOR will perform at its own cost, and without reimbursement from the CITY, the professional services necessary to correct errors and omissions caused by CONTRACTOR's failure to comply with the above standard and reported to CONTRACTOR within one (1 ) year from the completion of CONTRACTOR's services for the Project. 19. GOVERNING LAW 19. 1 This Agreement will be governed by and construed in accordance with the laws of the State of Illinois without regard for the conflict of laws provisions. Venue is proper only in the County of Kendall and the Northern District of Illinois. 20. SUCCESSORS AND ASSIGNS 20. 1 The terms of this Agreement will be binding upon and inure to the benefit of the parties and their respective successors and assigns; provided, however, that neither party will assign this Agreement in whole or in part without the prior written approval of the other. 8 United CITY of Yorkville The CONTRACTOR will provide a list of key staff, titles, responsibilities, and contact information to include all expected subContraetors. 21 . WAIVER OF CONTRACT BREACH 21 . 1 The waiver by one party of any breach of this Agreement or the failure of one party to enforce at any time, or for any period of time, any of the provisions hereof will be limited to the particular instance and will not operate or be deemed to waive any future breaches of this Agreement and will not be construed to be a waiver of any provision except for the particular instance. 22. AMENDMENT 22. 1 This Agreement will not be subject to amendment unless made in writing and signed by all parties. 23. CHANGE ORDERS 23 . 1 At any time additional work is necessary or requested, and the not-to-exceed price is increased thereby, any change, addition or price increase must be agreed to in writing by all parties. The appropriate authorizing signature for the CITY is the CITY Administrator. Not withstanding the foregoing, upon petition from the Contractor to the City, the rates may be increased on a pro-rata basis to reflect any increased costs actually incurred by Contractor due to any unforeseen or unusual change or interpretation in law, increased labor costs, increased fuel costs or increased governmental fee, which increase shall be evidenced by empirical documentation reasonably acceptable to the City provided by Contractor. 24. SEVERABILITY OF INVALID PROVISIONS 24. 1 If any provisions of this Agreement are held to contravene or be invalid under the laws of any state, country or jurisdiction, contravention will not invalidate the entire Agreement, but it will be construed as if not containing the invalid provision and the rights or obligations of the parties will be construed and enforced accordingly. 25. NOTICE 25 . 1 Any notice will be in writing and will be deemed to be effectively served when deposited in the mail with sufficient first class postage affixed, and addressed to the party at the party's place of business. Notices shall be addressed to the CITY as follows: CITY Administrator CITY of Yorkville 800 Game Farm Road, Yorkville, IL 60560 And to the CONTRACTOR as designated in the Contract Forth. 9 United CITY of Yorkville III. DETAILED SPECIFICATIONS 26, DEFINITIONS 26. 1 For the purpose of the Contract, definitions of certain terms are listed below. Certain words or phrases, when used in the Contract shall have the same meaning given to them in this section. Other terms shall be defined within applicable subsections. Attached Single-Family Dwelling (Group, ROW, Townhouse) A building originally designed and constructed to accommodate two (2) or more dwelling units, with dwelling units joined together by party wall or walls and being not more than two (2) stories in height. Each unit shall have its own ground floor entrance and living space. Biodegradable shall mean chemically structured material that decomposes rapidly primarily through the action of living soil-borne microorganisms (bacteria, fungi, and actinomycetes) or macro-organisms (crickets, slugs, snowbugs, millipedes, etc.). Brown Kraft 2-Ply Paper Bags shall mean a two-layer brown product container comprised of kraft paper most often used to contain groceries. Chipboard shall mean a single-layer cardboard used for packaging cereal, crackers, tissues, and other similar products. Compost(ing) shall mean the process by which aerobic microorganisms decompose organic matter into a humus-like product. Contract shall mean the agreement created by and consisting of the Contract Documents. Contract Documents shall include the Request for Proposals, Terms and Conditions, Detail Specifications and the Proposal /Contract Form. CONTRACTOR shall mean the firm with which the CITY has executed the Contract for Solid Waste Collection and Disposal Services Corrugated Cardboard shall mean a sturdy paper product commonly used as a packaging consisting of two paper grades — a wavy inner portion and an outside liner. Curbside shall mean adjacent to the street pavement, alley pavement and gutter and within five feet thereof. Customer shall mean the resident party, property owner of a dwelling unit in Yorkville corporate boundaries participating in the scavenger collection service. Day shall mean Calendar Day unless otherwise stated. Detached Dwelling A single-family dwelling entirely surrounded by open space. 10 United CITY of Yorkville Disposal Unit shall have different meanings as follows: For the purposes of refuse collection, a "disposal unit" shall mean one (1) 64-gallon, 33-gallon, or 96-gallon tote or one (1) water-tight metal, or plastic reusable waste container, no larger than thirty-two (32) or thirty-three (33) gallons in capacity, containing refuse, yard-waste or household construction and demolition debris as herein defined; or a securely tied, bundle of refuse or debris which is not placed in a container that does not exceed three (3) feet in diameter, six (6) feet in length, and fifty (50) pounds in weight, or one (1) single miscellaneous or odd-shaped item of refuse or debris that does not exceed fifty (50) pounds in weight. A large household item, as herein defined, is to be considered a disposal unit. Household construction and demolition debris, as is herein defined, is to be considered a disposal unit. For the purpose of yard-waste collection, a "disposal unit' shall mean a biodegradable two-ply fifty (50) pound wet-strength kraft paper bag designed for yard-waste collection, not to exceed thirty-three (33) gallons in capacity and fifty (50) pounds in weight, containing "yard-waste" as herein defined, or securely tied, bundles of brush or branches using biodegradable cord, string, rope or twine that does not exceed fifty (50) pounds in weight, two (2) feet in diameter, and four (4) feet in length and is manageable by one (1 ) person. For purpose of recycling collection, a "disposal unit" shall mean one (1) 64 gallon, 33 gallon, or 96 gallon tote. Envelope shall mean a flat, folded paper container for a letter or smaller object. Frozen Food Packages shall mean paperboard containers with special coatings to prevent tearing of the packages or smearing of the ink from moisture when refrigerated or frozen. Garbage or Rubbish shall mean discarded materials resulting from the handling, cooking, spoilage, and leftovers of food, discarded food or food residues, and paper necessarily used for wrapping same, and all types and kinds of waste materials from housekeeping activities, including, but not limited to ashes, metal cans bottles, books, glass, plastic, newspapers, boxes, cartons, and small amounts of earth, rock or sod, small automobile parts and building materials waste from residential type do-it-yourself projects provided that all such materials are of a size sufficiently small to permit being placed in an approved refuse container, except those items which are banned from direct disposal into a landfill. HDPE shall mean high-density polyethylene. Household Construction and Demolition Debris shall mean waste materials from interior and exterior household construction, remodeling and repair projects, including but not limited to: drywall, plywood and paneling pieces, lumber and other building materials; windows and doors, cabinets, carpeting, disassembled bathroom and kitchen fixtures; and small amounts of sod, earth, clay, sand, concrete, rocks and similar materials. Such debris shall conform to the following: loose small items shall be placed in suitable disposable containers not exceeding fifty (50) pounds in weight, or in bundles not exceeding two (2) feet in diameter, four (4) feet in length, and fifty (50) pounds in weight. 11 United CITY of Yorkville Household Garbage shall mean garbage and rubbish as collected from the residents of the CITY of Yorkville currently receiving curbside scavenger service or on-site dumpster service. Household Garbage — Large Items shall mean any items set forth under "Garbage and Rubbish" above if such item is too large to fit in an approved Disposal Unit including, but not limited to boxes, barrels, crates, furniture, refrigerators, carpets, mattresses, box springs, hot water heaters, stoves and other household appliances, except those items which are banned from direct disposal into a landfill. Household Garbage — Large Items shall not include waste from manufacturing processes, construction materials, broken concrete, lumber, large rocks, automobile parts other than tires or dangerous substances which may create a danger to the health, safety, comfort or welfare of the residents of the CITY of Yorkville or items which are banned from direct disposal into a landfill. Industrial Wastes shall mean any and all debris and waste products generated by canning, manufacturing, food processing, restaurant, land clearing, building construction or alteration and public works type construction projects whether performed by a governmental unit or by Contract. Juice Boxes shall mean aseptic cartons consisting of a high-grade paperboard coated with polyethylene plastic and aluminum foil, excluding milk cartons. Junk Mail shall mean brochures, advertisements, flyers, post cards, greeting cards, window envelopes, and other similar correspondence. Landscape Waste (also referred to as Yard-waste) shall mean hard landscape waste and soft landscape waste. Large Household Item (also known as `Bulk Item"), shall mean any discarded and unwanted large household appliance such as freezers, stoves, trash compactors, washers, dryers, dishwasher, humidifiers, dehumidifiers, microwaves, water softeners, televisions, pianos, organs, tables, chairs, mattresses, box springs, bookcases, sofas and similar furniture. "White goods" including those containing CFC' s (chlorofluorocarbons) shall fit into this definition. "White goods" containing switches containing mercury, and PCB ' s (polychlorinated biphenyls) shall not fit into this definition. LDPE shall mean low density polyethylene. Magazines shall mean periodical publications, usually glue bound. Mixed Papers shall mean stationary, various office papers such as; computer paper, xerox paper, note paper, letterhead, and other similar papers. 12 United CITY of Yorkville Multiple-Family Dwelling A dwelling containing three (3) or more dwelling units, with one or both of the following: (a) More than one ( 1 ) dwelling unit connecting to a common corridor or entrance-way; or, (b) Dwelling unit vertically connected to neighboring dwelling units through shared floors and ceilings. PET shall mean polyethylene terephthalate. Performance Bond shall mean the form of security approved by the CITY and furnished by the CONTRACTOR as a guarantee that the CONTRACTOR will execute the work in accordance with the terms of the Contract and will pay all lawful claims. Processing Center shall mean a location to be maintained or utilized by the CONTRACTOR for the purpose of sorting, preparing, and marketing of recyclable materials. Properly-Prepared shall mean materials prepared according to the disposal program restrictions for refuse, yard-waste, and recycling. Processing Costs shall mean all reasonable costs incurred by the CONTRACTOR with respect to the collection of recyclables from residents currently receiving curbside scavenger services. Public Awareness Program shall mean a program developed and provided by the CONTRACTOR and the CITY to inform and encourage residents to use the recycling collection services and other waste collection and disposal services of the CITY. Recyclables or Recyclable Material(s) shall mean, at a minimum, those materials listed on Appendix 2. Recycling shall mean the use, collection, and remanufacture of secondary materials as feedstock for the production of new materials or products. Recycling Containers (bins) shall mean a 64 gallon tote, or a 33-gallon or 94-gallon tote if so acquired by the customer in the manner prescribed in the recycling collection program Refuse shall mean all discarded and unwanted household and kitchen wastes, including but not limited to: food, food residues, and materials necessarily used for packaging, storing, preparing and consuming same, usually defined as "garbage"; and all combustible and non-combustible waste materials resulting from routine domestic housekeeping, including but not limited to: aluminum and steel cans, glass containers, plastic containers, crockery and other containers, metal, paper (of all types), including newspapers, books, magazines, catalogs, boxes and cartons, cold ashes, furniture, furnishings and fixtures, household appliances (all kinds), textiles and leathers, toys and recreational equipment and similar items. For the purposes of this Agreement, the terms "garbage", `refuse", "rubbish", and "waste" shall be synonymous unless otherwise more 13 United CITY of Yorkville specifically defined (for example: "yard-waste"). Refuse Sticker shall mean a biodegradable paper stamped with the CITY name and the CONTRACTOR' s name and telephone number providing the solid waste services for the CITY. The sticker shall represent proof of payment for collection and disposal services to be rendered by the CONTRACTOR. Residence shall mean all attached single family and detached single family dwelling. Single-Family Dwelling A detached dwelling containing accommodations for and occupied by one ( 1 ) family only. Specifications shall mean specifications identified in the Contract. Tote (also referred to as a Toter) A plastic wheeled container in size of 64 gallon, 33 gallon, or 96 gallon with tight-fitting cover, requiring semi-automatic lifting mechanism for collection. Waste shall mean refuse, recyclables, yard or landscape waste and white goods. Wet-strength Carrier Stock shall mean rectangular-shaped paperboard containers with special coatings to prevent tearing of the containers or smearing of the ink from moisture when refrigerated. White Goods shall mean refrigerators, ranges or stoves (electric or gas), freezers, room air conditioners, water heaters and other similar domestic large appliances. Yard-waste container/unit shall mean a container or unit and may be a kraft paper bag not exceeding thirty (34) gallons of capacity weighing up to fifty (50) pounds. The kraft paper bag shall be of the type specifically intended for landscape waste, being specifically biodegradable and not chemically treated; or a waste container (excluding plastic bags) not exceeding thirty-four (34) gallons of capacity weighing up to fifty (50) pounds; or bundles of hard landscape waste not exceeding two (2) feet in diameter and four (4) feet in length weighing up to fifty (50) pounds. Said bundle to be securely tied with biodegradable natural fiber twine. Securing with plastic or wire is prohibited. Yard-waste (also known as "landscape waste") shall mean grass clippings, leaves, branches and brush, other yard and garden trimmings, vines, garden plants and flowers, weeds, tree droppings (for example: pine cones and crabapples), and other similar organic waste materials accumulated as the result of the cultivation and maintenance of lawns, shrubbery, vines, trees and gardens. Sod, dirt, Christmas trees, and greenery from wreathes and garlands shall not be considered yard-waste and shall be disposed of as refuse, unless the composting facility will accept it. 27. DESCRIPTION OF THE CITY'S SOLID WASTE PROGRAM 27. 1 Refuse, yard-waste, and curbside recycling services are provided to residences located 14 United CITY of Yorkville within the CITY on a once-per-week basis. The program, being a modified volume based program, based on a monthly fee for pickup of all refuse, consisting of one-64 gallon tote, and a $ 1 charge for each refuse disposal unit beyond the 64-gallon tote, unlimited yard waste, and unlimited recycling. As part of program, the CONTRACTOR will supply the customer with a 64-gallon refuse tote and a 64-gallon recycling tote, and will allow a customer to downsize or upsize to a 33 gallon tote or a 96 gallon tote for either the recycling or refuse program, for a cost outlined in Appendix 1 . 27. 2 BULK ITEMS, as herein defined, are considered subject to collection by the CONTRACTOR, according to the terms and definitions of this contract. The CONTRACTOR will make available the collection of (1 ) one bulk item per week from residential UNITS at no additional cost to the resident. Individual residents will be responsible to contact CONTRACTOR and make arrangements for collection of additional BULK ITEMS on an individual basis. Residents with additional material or home improvement projects may contract separately with the CONTRACTOR. The CONTRACTOR will make available 6, 10, 15, 20, and 30 cubic yard containers for this purpose. 27.3 Yard-waste collection shall begin each year on the lst collection day in April and end the last collection day in November. 28, SCOPE OF WORK 28 . 1 The CONTRACTOR shall be responsible for performing all work as outlined in the specifications herein and shall provide and furnish all labor, materials, equipment and supplies, vehicles, transportation services, and landfill and compost facility space required to perform and complete the collection and disposal of refuse and yard waste. The CONTRACTOR shall also make necessary arrangements with processors required to perform and complete the collection and marketing of recyclables. 28.2 The collection of refuse, yard waste, and recyclable materials shall be a joint program awarded to one firm and cannot be quoted or operated as separate programs. 29. COLLECTION UNITS 29. 1 The base unit of service shall be known as a "Collection Unit or Stop". The CONTRACTOR shall collect, remove and dispose from every residential building unit, as defined herein, in the CITY of Yorkville, all refuse, yard-waste and curbside recyclables that may be set out for collection one (1) time each week. 30. GARBAGE AND REFUSE COLLECTION; PREPARATION AND PLACEMENT OF DISPOSAL UNITS 30. 1 The CONTRACTOR agrees to provide, at its own expense, one 64-gallon tote to each single-family residence in the CITY of Yorkville for the purposes of garbage collection. The CONTRACTOR will allow a customer to downsize or upsize to a 33 gallon tote or a 96 gallon tote for the refuse program, provided that the customer pays for the downsize or upsize as outlined in Appendix 1 . The carts will remain the property of the CONTRACTOR and the CONTRACTOR will be responsible for replacement of carts 15 United CITY of Yorkville that become worn or damaged through normal usage. 30.2 The CONTRACTOR shall provide weekly collection of garbage and refuse for all occupied UNITS within the CITY. All GARBAGE and REFUSE as herein defined that is designated for collection and disposal hereunder must be placed in the provided carts. 30.3 Additional refuse material may be placed in covered cans or containers not to exceed thirty-three (33) gallons in capacity with a maximum weight for any one container and its contents not to exceed fifty (50) pounds. The minimum can or container shall not be less than fifteen (15) gallons. Heavy duty bags which are securely fastened shall be considered proper containers so long as they do not exceed thirty-three (33) gallons capacity and are fifty (50) pounds or less in weight. Cans, containers, and/or heavy duty bags must be placed at the curb or roadway or in the alley (if designed by the CONTRACTOR). A $ 1 prepaid sticker must be attached to each bag or can in excess of the provided cart prior to collection by the CONTRACTOR. 30.4 All residences receiving the aforementioned services shall be required to prepare all materials for collection and/or disposal into proper "disposal units". The CONTRACTOR will be required to collect only properly prepared disposal units. Residents will be allowed to place unlimited amounts of disposal units at the curb for collection and disposal provided that a disposal sticker has been attached to each unit above and beyond the disposal units covered in the monthly fee. 30.5 Properly prepared refuse shall be placed as close to the roadway as practicable without interfering with or endangering the movement of vehicles or pedestrians or snow plowing operations. The CONTRACTOR shall return all containers at each pick-up location to the curbside or adjacent to the right-of-way of paved or traveled CITY roadways. Containers will be placed, not thrown, and securely placed in such a manner that they are not left lying on their sides or in a manner that would allow roadway interference of vehicle and/or pedestrian traffic. Any contents spilled by CONTRACTOR on the parkways, premises, or streets are to be cleaned up in a workmanlike manner. 31 . ACCEPTABLE/UNACCEPTABLE MATERIAL 31 . 1 . UNACCEPTABLE MATERIAL: Residents shall not set out for disposal and the CONTRACTOR shall refuse to accept for regular collection: hazardous waste materials, radioactive materials, poisons, liquid waste, paint or similar products, acids, used motor oils, or any other material that the CONTRACTOR is legally unable to accept. 31 .2 ACCEPTABLE MATERIAL: All refuse normally produced by residential properties shall be accepted for regular collection including but not necessarily limited to: bulk items, household fixtures, appliances, furniture and yard-waste. 32. EXAMINATION OF SERVICE AREA 32. 1 It is the responsibility of the CONTRACTOR to be completely informed of all conditions under which service is to be performed, the service area, and all other relevant matters 16 United CITY of Yorkville pertaining to the collection services as specified herein, including, but not limited to, type of housing, population density, roads, traffic patterns, required collection procedure, labor requirements, and any other factor which would effect the execution and/or completion of the work covered by the contract. 33. ALTERNATIVES AND DEVIATIONS 33 . 1 The specifications included in this package describe existing services which the CITY believes are necessary to meet performance requirements of the CITY and shall be considered the minimum standards expected of the CONTRACTOR. 34 CHRISTMAS TREE COLLECTION 34. 1 The CONTRACTOR will provide curbside collection service of live Christmas trees two (2) weeks during the I " and 2nd full week in January each contract year. It will be the responsibility of the CONTRACTOR to either recycle or correctly dispose of live Christmas trees. There will be no cost to the CITY of Yorkville for this service. The CONTRACTOR and the CITY will work together to educate the public with respect to the condition of the trees before they will be collected. Christmas trees will be accepted provided they are free of all ornamentation, including tinsel, garland and lights. If disposable tree bags are used, a refuse sticker must be affixed to the plastic bag. Christmas trees placed at the curb during the two-week special collection period shall be recycled. Recycling shall consist of taking the Christmas trees to a compost site to be chipped, mulched or composted. The CONTRACTOR shall provide the name and location of the compost site in accordance with Appendix 6. 35, YARD-WASTE/BUNDLED BRUSH COLLECTION 35 . 1 As a part of yard-waste collection, all eligible households located within the CITY's corporate boundaries shall be provided weekly yard-waste and bundled brush collection in an unlimited amount. All yard waste materials must be placed in "Kraft" paper bags designed and sold specifically for the collection and disposal of yard waste. All bundled brush must not exceed four (4) foot length, with each individual bundle not to exceed excess weight of fifty (50) pounds. Resident customers placing bundled brush out for collection will be required to bundle brush with biodegradable natural fiber twine (plastic or wire is prohibited). Bundled brush will be collected on regular refuse service days during the yearly period of time established, (April 1 st through the last collection day in November). 36. RECYCLABLE MATERIAL PROGRAM 36. 1 The CONTRACTOR agrees to provide, at its own expense, one 64-gallon tote to each single-family residence in the CITY of Yorkville for the purposes of recycling collection. CONTRACTOR will allow a customer to downsize or upsize to a 33 gallon tote or a 96 gallon tote for the recycling program, provided that the customer pays the cost of the upsize or downsize as provided for in Appendix 1 . The carts will remain the property of the CONTRACTOR and the CONTRACTOR will be responsible for replacement of carts that become worn or damaged through normal usage. 36.2 The CITY of Yorkville' s recyclable material program shall remain voluntary on the part 17 United CITY of Yorkville of any person receiving residential scavenger service as covered tinder this contract. The CONTRACTOR shall, however, provide for the collection and disposal of all recyclable material placed for collection in accordance with the terms of this Contract. The CONTRACTOR shall provide for the collection and disposal of recyclable material at no additional cost to customers receiving residential scavenger service as covered under this contract. The cost of recycling collection and disposal services has been built into the rates and charges otherwise provided for in the Contract for collection of refuse and yard- waste. All revenue collected from the sale of recyclable material shall be the property of the CONTRACTOR. The CONTRACTOR shall have representatives available to participate in community-sponsored events promoting environmental awareness. 36.3 The method in which the recyclables are to be generally sorted for collection by the household shall be commingled within the recycling container(s). 36.4 The CONTRACTOR shall specify the manner in which the recyclables are to be collected and sorted by the CONTRACTOR at the curbside; i.e. curb-sort, sorting at an intermediate processing facility, and the like. The CONTRACTOR will be responsible for cleaning up any material that has spilled as a result of the collection process. 36.5 The CONTRACTOR shall allow for a tagging system for recyclables not collected and must provide a simple explanation as to why the recyclable material(s) were not picked up, including, but not limited to, the following: contaminants, improper preparation; materials not accepted in program: refuse and/or yard-waste mixed with recyclables; or some combination thereof. The CONTRACTOR shall submit an example of the tagging system to be used. Recyclable materials that were rejected shall be returned to the container and not left on the street or parkway areas. 36.6 The CONTRACTOR shall purchase and maintain a reasonable supply of recycling totes, for residential scavenger service to cover replacement for lost, damaged and stolen containers, and for customers desiring additional recycling capacity. The CITY reserves the right to approve the type of containers purchased by the CONTRACTOR. 36.7 The CONTRACTOR shall pick up all recyclable material placed in the recycling existing 64 gallon totes, or the recycling containers supplied by the CONTRACTOR, or any other recycling containers used by the customer. If, for operational purposes, the CONTRACTOR has difficulty identifying recycling containers used for recycling purposes, the CONTRACTOR shall provide free of charge, a recycling sticker or other identification mechanism to be placed on the various recycling containers used for collection of recyclable material. 36. 8 The CONTRACTOR shall provide the name and location of the processing facility, as well as the proposed buyer/market for recyclable materials as set forth in Appendix 6. In the event that an alternative site is preferred by the CITY, the CONTRACTOR shall use the alternative site location provided that any changes in the costs for collection and processing created by the use of such site will be negotiated between the CITY and the CONTRACTOR prior to its use. 18 United CITY of Yorkville 36.9 The CITY reserves the right to accept or reject any or all suggested categories, which may be offered for collection in the residential recycling program. The CITY also reserves the right to phase in at a later date, any materials) which the CONTRACTOR has indicated an ability to collect but which the CITY has determined not to add to the collection program, or to phase in any material(s) that the CONTRACTOR may not presently offer but will be able to offer sometime during the term of the Contract. The basis for determining cost of adding materials at a later date will be based on evidence supplied by the CONTRACTOR specifically justifying additional cost due to collection, administration, profit, and processing (minus revenue) only. 37. AMNESTY DAY 37. 1 The CONTRACTOR shall provide for a spring and fall curbside collection of additional refuse and bulk items as defined herein, on a date(s) that is mutually agreed upon between the CONTRACTOR and the CITY. In addition, the CONTRACTOR will collect WHITE GOODS and up to 4 automobile tires during the scheduled Amnesty Day. All rims must be removed from the tires prior to collection. There shall be no additional charge to the residents for the clean up and additional BULK ITEMS and WHITE GOODS that will be accepted during the designated clean-up week and stickers will not be required. 38. COLLECTION FROM CITY-OWNED FACILITIES 38. 1 At no additional cost, the CONTRACTOR shall collect, transport, and dispose of all refuse, yard-waste and recyclables from all CITY-owned facilities as set forth in Exhibit B . The CONTRACTOR shall furnish, at no additional cost to the CITY, at each municipal building served, containers for refuse, yard-waste and recyclables as requested by the CITY's Designated Representative, with the size to be agreed upon. The CITY reserves the right to request such containers, in addition to, or increase the size of normal containers, on a permanent or temporary basis. If requested by the CITY, any and all containers furnished by the CONTRACTOR shall be equipped with non-removable hinged covers or lids. Collection and disposal services by the CONTRACTOR will be as often as necessary each week, as set forth in Exhibit B. 39. STICKER DESIGN AND DISTRIBUTION 39. 1 The CITY has the sole authority to approve or disapprove the design and constriction of the CONTRACTOR' s stickers. Stickers must be of an approved color, which should be clearly visible at dawn or at dusk by drivers, and which said color should be changed periodically to prevent counterfeiting. The paper used shall be biodegradable and shall contain glue backing that will adhere in sub-zero temperatures as well as in extreme heat. The stickers shall contain the CONTRACTOR's name and telephone number, state the CITY of Yorkville title and be consecutively numbered for record keeping and balancing purposes. The CONTRACTOR will deliver stickers to retail outlets and the CITY upon request. 39.2 The CONTRACTOR shall be responsible for the printing, distribution, and sale of an ample and always available supply of waste stickers. The CONTRACTOR shall arrange 19 United CITY of Yorkville for local retail outlets to aid in the sale of the stickers. The CITY also may act as a disposal sticker retailer for the CONTRACTOR. 40. BILLING PROCEDURES 40. 1 The CONTRACTOR shall bill the CITY for all serviced UNITS within the CITY. The CITY shall provide the CONTRACTOR with the number of occupied UNITS within the CITY on a monthly basis. 41 . MONTHLY REPORTING 41 . 1 The CONTRACTOR shall prepare and submit to the CITY a monthly refuse, yard-waste and recycling material report, due by the 25`h of the following month. The report shall include the following information for all residential scavenger service covered under this contract: 41 .2 Refuse - Total weight in tons and total volume in compacted cubic yards of refuse land- filled each month; Number of white goods collected each month; Tipping fee charge per ton at the landfill site; Name and location of the landfill facility and/or transfer station used by the CONTRACTOR; and, Copy of all complaints filed by the CITY of Yorkville customers during the month. 41 .3 Yard-waste - Total volume, in compacted cubic yards, of yard-waste collected; Tipping fee charge per compacted cubic yard at the compost facility; Name and location of the compost facility used by the CONTRACTOR; and, Copy of all complaints filed by the CITY of Yorkville customers during the month. 41 .4 Recyclable Material - Weekly set-out rate; Monthly participation rate (total number of set-outs divided by the number of homes/dwelling units included in the collection service); Total weight, in pounds, of recyclable materials collected; Revenue received by the CONTRACTOR for the sale ofrecyclables; Tipping fee savings (total weight of recyclable materials collected in tons multiplied by the tipping fee charge per ton at the landfill site); Name and location of processing facility used by the CONTRACTOR; and, Copy of all complaints filed by the CITY of Yorkville customers during the month. 42. CONSUMER EDUCATION 42. 1 Upon request, the CONTRACTOR agrees to provide CITY residents with such educational materials as the CITY deems necessary. Educational materials may include notices to be left at resident's property as well as literature describing in detail the refuse, recycling and yard-waste collection program. There shall be no cost to the CITY or its residents for the printing and distribution of any consuuner education materials. 43. TITLE TO WASTES 43 . 1 All refuse, yard-waste, and curbside recyclables collected shall belong to the CONTRACTOR as soon as the same is placed in the CONTRACTOR' s vehicle. 44. DISPOSAL 44. 1 All refuse and yard-waste collected shall be removed from the CITY by the 20 United CITY of Yorkville CONTRACTOR as soon as it has been collected; but in any event, not later than noon of the date following collection, and shall not be disposed of in violation of any state, federal or county laws or regulations. 44.2 In the event that a landfill is sited, permitted and operational in the City limits of Yorkville, during the term of this contract, the Contractor agrees to deliver the solid waste generated under this contract to that facility providing however that doing so does not cause any increase in Contractor's operational costs. The City and the Contractor agree to negotiate in good faith an increase or decrease in the rates hereunder if Contractor's operational costs increase or decrease as a result of delivering the waste to the Yorkville landfill. 45. RATES AND SPECIAL RATES 45 . 1 For any services required to be performed under this Contract, the charge shall not exceed the rates as fixed by the Contract and set forth in Appendix 1 attached hereto and made a part hereof. For items not otherwise provided for by the Contract document, and requiring special handling due to size, weight, type of material or method of placement, the charges are to be negotiated between the CONTRACTOR and the resident customer for collection and disposal into a landfill or processing facility. 46. SPECIAL & EMERGENCY COLLECTIONS 46. 1 The CONTRACTOR shall offer special curbside collection service for large quantities of refuse including, but not limited to, construction and demolition debris, and move-in or move-out clean-up rubbish. Such services shall be an advance arrangement with the CONTRACTOR at the resident customer request. The collection cost for such services shall be based upon cubic yards and the resident customer shall make payment directly to the CONTRACTOR. The CONTRACTOR agrees to provide free dumpsters (sizes 1 yard through 30 yard as requested by the CITY) for refuse and recycling collection and free portable toilets during the CITY's annual Hometown Days, 4th of July Parade and celebration in the park, and other special events which were provided service under the previous contract. The CITY and the CONTRACTOR may mutually agree to emergency pick-up services for disasters including, but not limited to, flood, wind and snow 47. SCHEDULE AND TIME OF COLLECTIONS 47. 1 The CITY of Yorkville shall be divided into collection areas and a regular weekday collection shall be assigned to each area. A map of the CITY of Yorkville, designating collection areas shall be made a part of this contract and attached hereto as Exhibit A. 47.2 The schedule shall not be changed without first obtaining consent from the CITY Administrator or designee, and not without giving a minimum of thirty (30) days written notice to all parties affected by the change. The CITY may, at its discretion, waive the minimum time limits required. This waiver must be in writing and signed by the CITY designee. The CONTRACTOR will be required to publish an advertisement twice per week in two separate weekly issues of the local newspapers, no earlier than 60 days prior to the change, with the last advertisement to be no later than fifteen ( 15) days prior to the schedule change. Failure of the CONTRACTOR to maintain said collection schedule 21 United CITY of Yorkville shall be considered a breach and default of the contract and grounds for immediate termination of the contract. 47.3 In no case shall collection commence prior to 6 :00 a.m. or continue past 7 :00 p.m. on any day during the term of the contract. The collection schedule shall not include Saturday or Sunday as a regular collection day for any area in the CITY. 48, HOLIDAYS 48. 1 Collection normally falling on the following holidays may be rescheduled for the first working day following the legal holiday, or on Saturday, as necessary, for that week only: New Year' s Day Memorial Day Independence Day Labor Day Thanksgiving Day Christmas Day 48.2 The CONTRACTOR agrees to inform the CITY and its residents of changes in normal collections due to holidays by notification through at least two local media outlets or establish a permanent holiday schedule or plan to be printed within the refuse literature. 49. SCHEDULE ADHERANCE 49. 1 If, at any time during the term of this contract, the CONTRACTOR shall collect any section of the CITY on a day other than the scheduled day, the CONTRACTOR shall immediately notify the CITY that he is in violation of the contract. If a similar violation should occur more than once within the three week period following the week of the original violation, the CITY will notify the CONTRACTOR by certified mail and withhold any further payment that may be due under the contract until the CONTRACTOR has famished evidence satisfactory to the CITY that the CONTRACTOR has taken necessary actions and precautions to prevent further violations. The CITY may determine that this second or subsequent collection violation as a breach of contract, and therefore the CITY reserves the right to terminate the contract. Delays that are occasioned by holidays, or by daily (any 24-hour period) precipitation of four (4) inches or more of rain, or eight (8) inches or more of snow, may not be considered as violations. The City Administrator or the CITY' s Designated Representative shall be the judge of whether delays constitute a violation, or not. 50. PLACE OF PICK-UP 50. 1 The CONTRACTOR is responsible for the public streets, or properly wavered private street curbside pick-up of all residential locations as well as designated locations as requested by the CITY. 51 . REPLACEMENT DAMAGE 51 . 1 The CONTRACTOR is responsible for damages resulting from its careless handling of any receptacle. The CONTRACTOR at no extra charge to the user shall replace all containers, which suffer damage caused by the CONTRACTOR. The containers so supplied shall remain the property of the CONTRACTOR. 22 United CITY of Yorkville 52. COLLECTION VEHICLES 52. 1 All vehicles used for collection purposes, except those exempted by other provisions of these specifications, shall have fully enclosed bodies with self-contained mechanisms to load and compress the material collected. These vehicles must be modern, neat, rear, front, or side-loading packer-type motor trucks, have entry for refuse into the vehicle's collecting body. All vehicles shall be kept watertight to prevent leaking, shall be kept closed except during collections along collection route. All equipment used by the CONTRACTOR shall be painted with no rust showing on the cab, chassis or body. Vehicles must be kept in clean, sanitary and quiet operating condition. Vehicles must at all times be supplied with brooms and necessary items to provide for immediate clean up of any litter or mess, which may result from leaking, spilling or blowing during collection procedures. Vehicles shall be clearly labeled with the firm' s name, address, and telephone number and have a vehicle identification number printed clearly on each and every vehicle. However, if the CONTRACTOR desires to use a vehicle of larger capacity, specific written approval of the specific vehicle shall be required from the CITY's Designated Representative, after an actual demonstration of the vehicle on the streets of Yorkville. Overweight vehicles are the responsibility of the CONTRACTOR. CONTRACTOR is required to comply with weight requirements and safety requirements as established by Illinois Law or CITY Ordinances for vehicles, vehicle operators and specialty equipment. 53. EMPLOYEES 53 . 1 The CONTRACTOR shall undertake to perform all disposal services rendered in a neat, orderly and efficient manner; to use care and diligence in the performance of this contract; and to provide neat, orderly and courteous personnel on its crews. The CONTRACTOR shall agree to prohibit any drinking of alcoholic beverages or use of illegal drugs or drugs which impair the ability of the employee or agent to safely and adequately perform his or her (drivers and crew members) job while on duty or in the course of performing their duties under this contract. The CONTRACTOR shall also agree to ensure that each employee driving a vehicle shall at all times carry a valid operator's license for the type vehicle he/she is driving. The CONTRACTOR's employees will be attired, at all times, in a professional-type manner. These specifics will be agreed upon between representatives from the CONTRACTOR and the CITY Designated Representative. 54. ACCIDENT PREVENTION 54. 1 Precaution shall be exercised at all times for the citizens, employees and property. The safety provisions of all applicable laws and building and construction codes shall be observed. Machinery, equipment and all hazards shall be guarded or eliminated in accordance with the safety provisions of the manual of Accident Prevention in Constriction, published by the Associated General Contractors of America, to the extent that such provisions are not in contravention of applicable law. 55. COMPLAINT PROCEDURE 23 United CITY of Yorkville 55 . 1 All complaints received by the CONTRACTOR shall be given prompt and courteous attention. The CITY and the CONTRACTOR will agree upon a formalized complaint form to be filled out by the CONTRACTOR each and every time a customer contacts the CONTRACTOR with a complaint. It will be the CONTRACTOR's responsibility to have the complaint forms, on NCR (no carbon required) paper, printed and available for use by the CONTRACTOR prior to the cormnencement of this Contract. The CONTRACTOR will supply the CITY with sufficient NCR forms for logging of complaints by City of Yorkville staff Any complaint received by the CITY shall be immediately communicated to the CONTRACTOR. The CONTRACTOR is required to supply the CITY with copies of all complaint forms within five (5) business days of a complaint being made, indicating thereon the resolution thereof 55.2 The CONTRACTOR shall provide the CITY with name, phone number, and email address for an individual to serve as point person for purposes of CITY staff contact with the CONTRACTOR. 56. COMPLAINTS 56. 1 Where any dispute arises between a resident/customer and the CONTRACTOR, as to the manner or placing of containers for collection or preparation of recyclable materials, or the nature of the Contract or the like, the CONTRACTOR agrees that in the specific instance collection will be immediately made (except with respect to unacceptable waste or improperly prepared waste) even though in its opinion, the customer is in error; and that it will immediately report the same to the CITY's Designated Representative so that the CITY and the CONTRACTOR may resolve the dispute, if possible, before additional collection becomes necessary. The intent of this paragraph is to avoid disputes/disagreements between the customers and the CONTRACTOR' s employees, and to permit disputes/disagreements to be handled by mutual discussion between the CONTRACTOR and the CITY. If a missed pick up is reported by the CITY or a customer to the CONTRACTOR, the CONTRACTOR shall collect the refuse, recyclable material or yard-waste from such customer within on (1 ) business day of notification. All complaints other than missed pickups shall be resolved to the satisfaction of the CITY within two (2) business days. As noted above, the CONTRACTOR shall supply to the CITY an NCR copy of the complaint form for each and every complaint and on which the nature of the complaint and the disposition is clearly noted. The CONTRACTOR shall cooperate with the CITY in minimizing complaints from customers. Continued unreasonable complaint levels, as determined by the CITY, or failure of the CONTRACTOR to carry out any of its contractual obligations such as, but not limited to, rude treatment, messy pickups, damage to persons or property and early start-up may be due cause for the CITY to terminate this Contract after notice and an opportunity to be heard. 57. CUSTOMER VIOLATIONS OF CITY CODE 57. 1 The CONTRACTOR shall have the right to notify any customer of noncompliance with the applicable Yorkville code provisions concerning the handling or disposal of solid waste as those same may apply to such customers. The CONTRACTOR shall report any continuance of any such noncompliance to the CITY. 24 United CITY of Yorkville 58. NEW CUSTOMERS 58. 1 The CONTRACTOR agrees to provide service immediately to all new customers, even if the new customer neglected to first notify or request collection services. The CITY agrees to make every effort possible to alert the new customer to the collection procedure for refuse, recycling and yard-waste. 59. EXCLUSIVE GRANT/INTENT 59. 1 The CITY agrees that in consideration of the faithful performance of the obligations herein undertaken by the CONTRACTOR, the CITY does, by execution of this Contract pursuant to CITY Code, give and grant to the CONTRACTOR, for the term of this Contract only, the sole and exclusive Class A License to collect and dispose of all residential solid wastes. The Contract shall include all residences (attached single-family and detached single-family as defined herein) and municipal facilities as required within the corporate boundaries of the City of Yorkville. This grant expressly includes the right and duty to service any land annexed to the CITY where new residences or municipal buildings have been constructed during the term of this Contract. Service will be provided on the same terms as set forth herein. The CITY shall communicate any changes to the corporate boundaries or service area resulting from annexations, zoning actions, site plan approvals, construction, etc., to the CONTRACTOR. It is the intent of this Contract to obtain, throughout its term, clean, courteous, well scheduled, and well- executed collection and disposal or processing of refuse, recycling and yard-waste from properties in the CITY of Yorkville. While the CITY recognizes that any collection service involves minor customer operating problems, the intent of this Contract is to ensure that any such operating problems are minimized to the extent possible and corrected as soon as possible. 62. TERM OF CONTRACT 62. 1 Section 14. 1 of the Terms and Conditions document is hereby waived. The term of the Contract will be five (5) years, and shall commence at 12:01 a.m. on May 1 , 2007 and shall remain in full force and effect through termination at 11 :59 p.m. on April 30, 2012. Upon request, the CITY may exercise an option to extend the contract term for an additional two (2) year period ending at 11 : 59 p.m. on April 30, 2014. This contract may be extended no more than twice for subsequent annual periods (two annual extensions) by mutual agreement of both parties, providing such agreement complies with CITY purchasing policies and the availability of funds. The CONTRACTOR may negotiate in good faith, on request of the CITY, for an extension to the contract, provided that the contract extension is approved by the CITY Council no later than one hundred twenty ( 120) days before the termination of the existing contract. 63. STICKER REFUND 63 . 1 At the end of the Contract term, should the CITY select a different scavenger service, the CONTRACTOR agrees to refund to all customers, retailers and the CITY, the full purchase price of all refuse/yard-waste stickers returned to the CONTRACTOR within one hundred twenty (120) days after the end of such term. 25 United CITY of Yorkville 64. PERFORMANCE BOND 64. 1 The CONTRACTOR shall provide the CITY with a performance bond issued by a surety in an amount of $500,000. 65. EMERGENCIES 65 . 1 The CONTRACTOR agrees that should any emergency arise by reason of storm, tornadoes, or other act of God which require additional hauling equipment by the CITY, the CONTRACTOR may be requested to provide additional services beyond those contemplated herein for the collection of materials in the normal and ordinary course, provided that the CITY and the CONTRACTOR shall mutually agree to the scope of services and compensation to the CONTRACTOR. 66 LOCALIMPROVEMENTS 66. 1 The CITY of Yorkville reserves the right to construct any improvement or to permit any constriction in any street, which may have the effect for a time of preventing the CONTRACTOR from traveling his accustomed route or routes for collection. The CONTRACTOR shall, however, by an acceptable method, continue to collect the refuse, yard-waste and recyclables to the same extent as though no interference existed upon the streets formerly traveled. This shall be done without extra cost to the CITY of Yorkville. 67. TAXES, LICENSES & PERMITS 67. 1 The CONTRACTOR shall pay all sales, use, property, income, and other taxes that are lawfully assessed against the CITY or the CONTRACTOR in connection with the CONTRACTOR' s facilities and the work included in this Contract, and shall obtain and pay for all licenses, permits, certificates of authority, and inspections required for the work. The CONTRACTOR shall furnish to the CITY satisfactory evidence that it has all permits, licenses, and certificates of authority required to operate for the term of this contract. 68. DEFAULT 68 . 1 If the CONTRACTOR fails to observe the established schedule for more than two (2) consecutive working days, and in the opinion of the CITY' s Designated Representative, there has not been sufficient cause to justify such lack of observance, the CITY shall serve notice, either personally or by affixing such notice to the local premises of the CONTRACTOR, that this contract shall be in default if the CONTRACTOR does not take action to re-establish the schedule within twenty-four (24) hours of said notice. If at the end of the twenty-four (24) hour period, the CONTRACTOR has not made the necessary corrections, the CITY shall take such steps as are necessary, to provide services according to the collection schedule submitted by the CONTRACTOR. The CONTRACTOR will be liable for any costs of such steps from the date of the notice of default. 69. STRIKES/FORCE MAJEURE 69. 1 The CONTRACTOR shall be required to file proof with the CITY Administrator or his designee that it has a "no strike" provision for the duration of all collective bargaining agreements with its workers. Upon execution of any new agreement, the 26 United CITY of Yorkville CONTRACTOR shall forward to the CITY Administrator within thirty (30) days thereafter, proof that said agreement also contains a "no strike" clause. In the event of a labor related strike or picketing by CONTRACTOR' S employees, the CONTRACTOR shall exert commercially reasonable efforts to ensure the continuation of its contracted collection services to the CITY. 69.2 In the event that the Contractor shall fail to collect, remove and properly dispose of the waste in accordance with the terms of this contract, for a period of five (5) business days or more, the CITY, may, at its option, cause such waste to be collected and disposed of by any reasonable-means available to the CITY, and the cost thereof may be charged against the Contractor and the performance bond furnished by the Contractor. The foregoing option shall not be available to the CITY if the Contractor's failure so to collect and remove waste for the period was due to unusual weather conditions, or some other "act of God," which rendered such collection and removal impossible to perform. The Contractor shall not be liable for the failure to perform its duties if such failure was caused by a catastrophe, riot, war, government order or regulation, fire, accident or any similar contingency beyond the reasonable control of the Contractor. "Act of God" does not include any strike, sympathy strike, slowdown, sit-down, stoppage of work, refusal to perform overtime, mass absenteeism, refusal to cross a picket line or any other similar concerted action or intentional interruption or disruption of the operations of the Contractor by Contractor' s own employees (the foregoing collectively referred to as "labor dispute"), provided, however, that in the event that the CITY exercises its option under this Article to collect and dispose of waste by other reasonable means because of the Contractor's failure to perform due to a labor dispute, the total amount charged against the Contractor by the CITY can only be an amount which is in excess of the total amount that the CITY would have otherwise paid to the Contractor for collection over the duration of the labor dispute. The CONTRACTOR shall promptly notify the CITY in writing of any event covered by this Section and the date, nature and cause thereof. Such notice shall indicate the anticipated extent of such delay and the obligations under this Agreement to be affected thereby 27 United CITY of Yorkville IV. CONTRACT FORM Entire Block Must Be Completed To Be Considered an Executed Contract CONTRACTOR: Veolia ES Solid Waste Midwest , LLC Date: April 25 , 2007 Company Name Bob . Pfister @veoliaes . com 1210 Lyon Street Email Address Street Address of Company Robert F . Pfister Batavia , Illinois 60510 Contact Name (Print) CITY, State, Zip ( 708 ) 774 - 2586 ( 630 ) 587 - 8282 24-Hour Telephone Business Phone 28 United CITY of Yorkville ( 630 ) 761 - 0077 Signature of Officer, Partner or Fax Sole Proprietor Regional VP P • t me & Title ATTEST: If a Corporation Signature ofetperiex SeereE Municipal Marketing Manager CITY OF YORKVILLE: LIZ ATTEST:51 Authorized gignature n L eel Af c f ITY Clerk Title { / Z7 /a -7 Z7101 Date Date 29 United CITY of Yorkville APPENDIX 1 GENERAL PRICE QUOTATION SHEET Please provide all costs associated with once a week, same day refuse, yard waste, leaf, and recycling collection services for each year in accordance with the following schedule: Year 5 5/01/07- 5/01/08- 5/01/09- i i Description of Service 4/30/08 4/30/09 4/30/10 4/30/11 1. Monthly Prices (Shall include 2 Amnesty Day Collection and Live Christmas tree collection for two weeks in January at no additional cost Refuse, yard waste, and recycling collection program as outlined in $ 19.10 per $ 19.67 per $ 20.26 per $ 20.87 per $ 21 .50 per the contract, one 64 month month month month month gallon refuse tote, and one 64 gallon recycling tote 2. Other Components Special Collections (charge $18 per yard $19 per yard $20 per yard $21 per yard $22 per yard per cubic yard) Cost of 96 gallon or 33 $5 per month $5 per month $5 per month $5 per month $5 per month gallon refuse cart or per cart per cart per cart per cart per cart recycling cart 30 United CITY of Yorkville APPENDIX 2 REQUIRED RECYCLABLES TO BE COLLECTED The CITY requires that the CONTRACTOR shall collect the following recyclable material for the entire term of the contract. Additionally, the CONTRACTOR is encouraged to identify additional items they will be collecting, not on the current list. Required Recyclable Materials • brown paper bags • corrugated cardboard • boxes and cartons • chipboard/paperboard (to include brown or gray box board or paperboard, cereal boxes, shoe boxes, & paper towel cores) • magazines and catalogues • mixed paper, glossy & non-glossy (to include stationary, notebook paper, post-it notes, computer paper, typing paper, flyers, greeting cards, File folders and all envelopes, with and without windows) • newspaper (including all supplements) • telephone books • wet strength carrier stock (to include paper board used for refrigerated and frozen items) • frozen food packages • aerosol cans • aluminum cans and foil • formed aluminum containers and wraps • aseptic packaging and gable top containers • formed steel containers • glass bottles and jars (brown, green, and clear) • plastic containers (colored or cloudy white HDPE milk, juice and/or water bottles, jars and jugs) • all plastic containers # 1 through #5 and plastic containers #7 • LDPE and HDPE soft plastic six (6) and twelve ( 12) pack rings • steel cans • steel paint cans and lids • household batteries 31 United CITY of Yorkville EXHIBIT A SOLID WASTE COLLECTION DAY MAP See attached 32 WIT] o as MR 0 47 o IL ❑� �34 34 �Q 71 o a �a � 4 Pickup Day 4\\ �❑0 Monday - Tuesday - Wednesday - Thursday �� - Friday -- _ United City of Yorkville GIS United CITY of Yorkville EXHIBIT B SERVICES FOR MUNICIPAL AND PUBLIC FACILITIES Location - Service Type Size Frequency Library Refuse 1 -1 .5 yd Ix/wk 902 Game Farm Road Recycling 1 -1 .5 yd lx/wk CITY Hall and Police Refuse 1-6 yd 2x/wk Department Recycling 1 -2 yd cardboard lx/wk 800 Game Farm Road Recycling (paper) 6-96 gallon toters lx/wk Public Works Recycling 1-2 yd cardboard lx/wk 610 Tower Lane Refuse 1 -20 yd open lx/wk Parks and Recreation Refuse 1 -20 yd open Ix/wk Satellite Office at Old Post Recycling 1 -96 gallon toter Ix/wk Office Recycling 1- 1 yd cardboard lx/wk 201 W. Hydraulic Avenue Parks and Recreation Refuse 1 -1 .5 yd lx/wk Riverfront Administrative Recycling 2-96 gallon toter lx/wk Building 301 E. Hydraulic Parks and Recreation Refuse 1-1 .5 yd lx/wk Riverfront Program Recycling 2-96 gallon toter lx/wk Building 131 E. Hydraulic Beecher Center Refuse 1 -4yd refuse lx/wk 908 Game Farm Road Recycle 1-2yd recycle 1x/wk All CITY Rentals Refuse 96 gal.toters, 33 gal. toters, 18 When Required gal. toters 30 yd open dumpster The CONTRACTOR shall provide, at no cost to the CITY, the collection and disposal of all refuse, recycling, and yard waste, or more often if requested by the CITY. A comprehensive recycling program shall also be provided at no cost for the municipal facilities listed above (new or additional facilities may be added at any time during the Contract term). The CONTRACTOR shall be responsible for supplying all service equipment associated with totes and containers/dumpsters to said facilities as set forth in the Contract. All equipment to be provided or furnished by CONTRACTOR hereunder shall remain the property of CONTRACTOR. 33 REQUEST FOR PROPOSAL Name of Proposing Company: Project Name: Solid Waste Collection Services Proposal No.: Proposal Due: Monday, March 19, 2007 cni 4:30 p.m. Proposal Opening_ Monday, March 19, 2007 4:31 p.m. Required of All Proposers: Deposit: $5,000.00 Letter of Capability of Acquiring Performance Bond: Not Required Required of Awarded Contractor: Performance Bond/Letter of Credit: $500,000.00 Certificate of Insurance: Required Legal Advertisement Published: Thursday, March 1, 2007 Date Issued: Friday, February 23, 2007 This document consists of 44 pages. Return original and two duplicate copies of proposal along with one compact disc with proposal information contained on it in a *.doc (Microsoft Word) or *.pdf(Abode Acrobat) version in a sealed envelope marked with the Proposal Number as noted above to: JOHN CROIS CITY ADMINISTRATOR UNITED CITY OF YORKVILLE 800 GAME FARM ROAD YORKVILLE, IL 60560 PHONE: 630-553-4350 FAX: 630-553-7575 www.vorkville.il.us 1 The UNITED CITY OF YORKVILLE will receive proposals Monday thru Friday, 8:00 A.M. to 4:30 P.M. at City Hall, 800 Game Farm Road, Yorkville, IL 60560. SPECIFICATIONS MUST BE MET AT THE TIME THE PROPOSAL IS DUE. The City Council reserves the right to accept or reject any and all proposals, to waive technicalities and to accept or reject any item of any proposal. The documents constituting component parts of this contract are the following: I. REQUEST FOR PROPOSALS II. TERMS & CONDITIONS III. DETAILED SPECIFICATIONS IV. PROPOSAL/CONTRACT FORM DO NOT DETACH ANY PORTION OF THIS DOCUMENT. INVALIDATION COULD RESULT. Proposers MUST submit an original, 2 additional paper copies and one compact disc of the total proposal. Upon formal award of the proposal, the successful Proposer will receive a copy of the executed contract. 2 I. REQUEST FOR PROPOSALS 1. GENERAL 1.1 Notice is hereby given that United City of Yorkville will receive sealed proposals up to Monday, March 19, 2007 at 4:30 p.m. 1.2 Proposals will be opened and read aloud in the City Council Chambers at Yorkville City Hall, 800 Game Farm Road, on Monday, March 19, 2007 at 4:31 p.m. 1.2 Proposals must be received at the United City of Yorkville by the time and date specified. Proposals received after the specified time and date will not be accepted and will be returned unopened to the Proposer. 1.3 Proposal forms shall be sent to the United City of Yorkville, ATTN: John Crois, in a sealed envelope marked "SEALED PROPOSAL". The envelope shall be marked with the name of the project, date, and time set for receipt of proposals. 1.4 All proposals must be submitted on the forms supplied by the City and signed by a proper official of the company submitting proposal. Telephone, email and fax proposals will not be accepted. 1.5 By submitting this proposal, the proposer certifies under penalty of perjury that they have not acted in collusion with any other proposer or potential Proposer. 2. PREPARATION OF PROPOSAL 2.1 It is the responsibility of the proposer to carefully examine the specifications and proposal documents and to be familiar with all of the requirements, stipulations, provisions, and conditions surrounding the proposed services. 2.2 No oral or telephone interpretations of specifications shall be binding upon the City. All requests for interpretations or clarifications shall be made in writing and received by the City at least five (5) business days prior to the date set for receipt of proposals. All changes or interpretations of the specifications shall be made by the City in a written addendum to our proposer's of record. 2.3 In case of error in the extension of prices in the proposal, the hourly rate or unit price will govern. In case of discrepancy in the price between the written and numerical amounts, the written amount will govern. 2.4 All costs incurred in the preparation, submission, and/or presentation of any proposal including any proposer's travel or personal expenses shall be the sole responsibility of the proposer and will not be reimbursed by the City. 2.5 The proposer hereby affirms and states that the prices quoted herein constitute the total cost to the City for all work involved in the respective items and that this cost also includes all insurance, royalties, transportation charges, use of all tools and equipment, superintendence, overhead expense, all profits and all other work, services and conditions necessarily involved in the work to be done and materials to be furnished in accordance 3 with the requirements of the Contract Documents considered severally and collectively. 3. MODIFICATION OR WITHDRAWAL OF PROPOSALS 3.1 A Proposal that is in the possession of the City may be altered by a letter bearing the signature or name of person authorized for submitting a proposal, provided that it is received prior to the time and date set for the bid opening. Telephone, email or verbal alterations of a proposal will not be accepted. 3.2 A Proposal that is in the possession of the City may be withdrawn by the proposer, up to the time set for the proposal opening, by a letter bearing the signature or name of person authorized for submitting proposals. Proposals may not be withdrawn after the proposal opening and shall remain valid for a period of ninety(90) days from the date set for the proposal opening, unless otherwise specified. 4. SECURITY FOR PERFORMANCE 4.1 The awarded contractor, within thirteen(13) calendar days after acceptance of the proposer's proposal by the City, shall furnish security for performance acceptable to the City when required under the documents. Such security shall be either a satisfactory performance bond(bonding company must be licensed to do business in Illinois) or a letter of credit on the form provided by the City and available from the City's Attorney. NOTE: As evidence of capability to provide such security for performance, each proposer shall submit with the proposal either a letter executed by its surety company indicating the proposer's performance bonding capability, or a letter from a bank or savings and loan within twenty-five miles of the corporate boundaries of the City indicating its willingness and intent to provide a letter of credit for the proposer. 5. DELIVERY 5.1 All proposal prices are to be quoted, delivered F.O.B. City of Yorkville, 800 Game Farm Road, Yorkville, IL 60560. 6. TAX EXEMPTION 6.1 The City is exempt from Illinois sales or use tax for direct purchases of materials and supplies. A copy of the Illinois Sales Tax Exemption Form will be issued upon request. Our federal identification will also be provided to selected vendor. 7. RESERVED RIGHTS 7.1 The City of Yorkville reserves the exclusive right to waive sections, technicalities, irregularities and informalities and to accept or reject any and all proposals and to disapprove of any and all subcontractors as may be in the best interest of the City. Time and date requirements for receipt of proposal will not be waived. 4 II. TERMS AND CONDITIONS 8. CITY ORDINANCES 8.1 The successful proposer will strictly comply with all ordinances of the City of Yorkville and laws of the State of Illinois. 9 USE OF CITY'S NAME 9.1 The proposer is specifically denied the right of using in any form or medium the name of the City for public advertising unless express permission is granted by the City. 10. INDEMNITY AND HOLD HARMLESS AGREEMENT 10.1 To the fullest extent permitted by law, the Proposer shall indemnify, keep and save harmless the City and its agents, officers, and employees, against all injuries, deaths, losses, damages, claims, suits, liabilities,judgments, costs and expenses, which may arise directly or indirectly from any negligence or from the reckless or willful misconduct of the Proposer, its employees, or its subcontractors, and the Proposer, its employees, or its subcontractors, and the Proposer shall at its own expense, appear, defend and pay all charges of attorneys and all costs and other expenses arising therefrom or incurred in connection therewith, and, if any judgment shall be rendered against the City in any such action, the Proposer shall, at its own expense, satisfy and discharge the same. This Agreement shall not be construed as requiring the Proposer to indemnify the City for its own negligence. The Proposer shall indemnify, keep and save harmless the City only where a loss was caused by the negligent, willful or reckless acts or omissions of the Proposer, its employees, or its Subcontractors. 11. NONDISCRIMINATION 11.1 Proposer shall, as a party to a public contract: (a) Refrain from unlawful discrimination in employment and undertake affirmative action to assure equality of employment opportunity and eliminate the effects of past discrimination; (b) By submission of this proposal, the Proposer certifies that he is an "equal opportunity employer" as defined by Section 2000(e) of Chapter 21, Title 42, U.S. Code Annotated and Executive Orders #11246 and#11375, which are incorporated herein by reference. The Equal Opportunity clause, Section 6.1 of the Rules and Regulations of the Department of Human Rights of the State of Illinois, is a material part of any contract awarded on the basis of this proposal. 11.2 It is unlawful to discriminate on the basis of race, color, sex, national origin, ancestry, age, marital status, physical or mental handicap or unfavorable discharge for military service. Proposer shall comply with standards set forth in Title VII of the Civil Rights Act of 1964, 42 U.S.C. Secs. 2000 et seq., The Human Rights Act of the State of Illinois, 775 ILCS 511-101et. seq., and The Americans With Disabilities Act, 42 U.S.C. Secs. 12101 et. seq. 5 12. SEXUAL HARASSMENT POLICY 12.1 The proposer, as a party to a public contract, shall have a written sexual harassment policy that: 12.1.1 Notes the illegality of sexual harassment; 12.1.2 Sets forth the State law definition of sexual harassment; 12.1.3 Describes sexual harassment utilizing examples; 12.1.4 Describes the Proposer's internal complaint process including penalties; 12.1.5 Describes the legal recourse, investigative and complaint process available through the Illinois Department of Human Rights and the Human Rights Commission and how to contact these entities; and 12.1.6 Describes the protection against retaliation afforded under the Illinois Human Rights Act. 13. EQUAL EMPLOYMENT OPPORTUNITY 13.1 In the event of the Proposer's non-compliance with the provisions of this Equal Employment Opportunity Clause, the Illinois Human Rights Act or the Rules and Regulations of the Illinois Department of Human Rights ("Department"), the Proposer may be declared ineligible for future contracts or subcontracts with the State of Illinois or any of its political subdivisions or municipal corporations, and the contract may be canceled or voided in whole or in part, and such other sanctions or penalties may be imposed or remedies invoked as provided by statute or regulation. During the performance of this contract, the Proposer agrees as follows: 13.1.1 That it will not discriminate against any employee or applicant for employment because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, sexual orientation, sexual identity or an unfavorable discharge from military service; and further that it will examine all job classifications to determine if minority persons or women are underutilized and will take appropriate affirmative action to rectify any such underutilization. 13.1.2 That, if it hires additional employees in order to perform this contract or any portion thereof, it will determine the availability(in accordance with the Department's Rules and Regulations) of minorities and women in the area(s) from which it may reasonably recruit and it will hire for each job classification for which employees are hired in such a way that minorities and women are not underutilized. 13.1.3 That, in all solicitations or advertisements for employees placed by it or on its behalf, it will state that all applicants will be afforded equal opportunity without discrimination because of race, color, religion, sex, marital status, national origin or ancestry, age, physical or mental handicap unrelated to ability, or an unfavorable discharge from military services. 13.1.4 That it will send to each labor organization or representative of workers with which it has or is bound by a collective bargaining or other agreement or understanding, a notice advising such labor organization or representative of the Proposer's obligations under the Illinois Human Rights Act and the Department's Rules and Regulations. If any such labor organization or representative fails or 6 refuses to cooperate with the Proposer in its efforts to comply with such Act and Rules and Regulations, the Proposer will promptly so notify the Department and the contracting agency and will recruit employees from other sources when necessary to fulfill its obligations thereunder. 13.1.5 That it will submit reports as required by the Department's Rules and Regulations, furnish all relevant information as may from time to time be requested by the Department or the contracting agency, and in all respects comply with the Illinois Human Rights Act and the Department's Rules and Regulations. 13.1.6 That it will permit access to all relevant books, records, accounts and work sites by personnel of the contracting agency and the Department for purpose of investigation to ascertain compliance with the Illinois Human Rights Act and the Department's Rules and Regulations. 13.1.7 That it will include verbatim or by reference the provisions of this clause in every subcontract it awards under which any portion of the contract obligations are undertaken or assumed, so that such provisions will be binding upon such subcontractor. In the same manner as with other provisions of this contract, the Proposer will be liable for compliance with applicable provisions of this clause by such subcontractors; and further it will promptly notify the contracting agency and the Department in the event any subcontractor fails or refuses to comply therewith. In addition, the Proposer will not utilize any subcontractor declared by the Illinois Human Rights Commission to be ineligible for contracts or subcontracts with the State of Illinois or any of its political subdivision or municipal corporations. 14. DRUG FREE WORK PLACE 14.1 Proposer, as a party to a public contract, certifies and agrees that it will provide a drug free workplace by: 14.2 Publishing a statement: (1) Notifying employees that the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance, including cannabis, is prohibited in the City's or proposer's workplace. (2) Specifying the actions that will be taken against employees for violations of such prohibition. (3) Notifying the employee that, as a condition of employment on such contact or grant, the employee will: (A) abide by the terms of the statement; and(B) notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction. 14.3 Establishing a drug free awareness program to inform employee's about: (1) the dangers of drug abuse in the workplace; (2) the City's or proposer's policy of maintaining a drug free workplace; (3) any available drug counseling, rehabilitation and employee assistance programs; (4) the penalties that may be imposed upon employees for drug violations. 14.4 Providing a copy of the statement required above to each employee engaged in the performance of the contract or grant and to post the statement in a prominent place in the workplace. 14.5 Notifying the contracting or granting agency within ten(10) days after receiving notice of 7 any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction from an employee or otherwise receiving actual notice of such conviction. 14.6 Imposing a sanction on, or requiring the satisfactory participation in a drug abuse assistance or rehabilitation program by any employee who is so convicted as required by section 5 of the Drug Free Workplace Act. 14.7 Assisting employees in selecting a course of action in the event drug counseling, treatment and rehabilitation is required and indicating that a trained referral team is in place. 14.8 Making a good faith effort to continue to maintain a drug free workplace through implementation of the Drug Free Workplace Act. 15. PREVAILING WAGE ACT 15.1 Proposer agrees to comply with the Illinois Prevailing Wage Act, 820 ILCS 130/1 et seq., for all work completed under this contract. Proposer agrees to pay the prevailing wage and require that all of its subcontractors pay prevailing wage to any laborers, workers or mechanics who perform work pursuant to this contract or related subcontract. 15.2 Proposer and each subcontractor shall keep or cause to be kept an accurate record of names, occupations and actual wages paid to each laborer, workman and mechanic employed by the Proposer in connection with the contract. This record shall be open to inspection at all reasonable hours by any representative of the City or the Illinois Department of labor and must be preserved for four(4) years following completion of the contract. 16. INSURANCE REQUIREMENTS— 16.1 Prior to the beginning of the contract period, Contractor and any Subcontractors shall procure, maintain and pay for such insurance as will protect against claims for bodily injury of death, or for damage to property, including loss of use, which may arise out of operations by the Contractor or Subcontractor or any Sub-Sub Contractor or by anyone employed by any of them, or by anyone for whose acts any of them may be liable. Such insurance shall not be less than the greater of coverages and limits of liability specified below or any coverages and limits of liability specified in the Contract Documents or coverages and limits required by law unless otherwise agreed to by the City. Workers Compensation $500,000 Statutory Employers Liability $1,000,000 Each Accident $1,000,000 Disease Policy Limit $1,000,000 Disease Each Employee Comprehensive General Liability $2,000,000 Each Occurrence $2,000,000 Aggregate (Applicable on a Per Project Basis) 8 Commercial Automobile $1,000,000 Each Accident Liability Umbrella Liability $ 5,000,000 16.2 Commercial General Liability Insurance required under this paragraph shall be written on an occurrence form and shall include coverage for Products/Completed Operations, Personal Injury with Employment Exclusion(if any) deleted, Blanket XCU and Blanket Contractual Liability insurance applicable to defense and indemnity obligations and other contractual indemnity assumed under the Contract Documents." 16.3 Comprehensive Automobile Liability Insurance required under this paragraph shall include coverage for all owned, hired and non-owned automobiles. 16.4 Workers Compensation coverage shall include a waiver of subrogation against the City. 16.5 Comprehensive General Liability, Employers Liability and Commercial Automobile Liability Insurance may be arranged under single policies for full minimum limits required, or by a combination of underlying policies with the balance provided by Umbrella and/or Excess Liability policies. 16.6 Contractor and all Subcontractors shall have their respective Comprehensive General Liability(including products/completed operations coverage), Employers Liability, Commercial Automobile Liability, and Umbrella/Excess Liability policies endorsed to add the "City of Yorkville, its officers, officials, employees and volunteers" as "additional insureds"with respect to liability arising out of operations performed; claims for bodily injury or death brought against City by any Contractor of Subcontractor employees, or the employees of Subcontractor's subcontractors of any tier, however caused, related to the performance of operations under the Contract Documents. Such insurance afforded to the City shall be endorsed to provide that the insurance provided under each policy shall be Primary and Non-Contributory. 16.7 Contractor and all Subcontractors shall maintain in effect all insurance coverages required by the Contract Documents at their sole expense and with insurance carriers licensed to do business in the State of Illinois and having a current A. M. Best rating of no less than A- VIII. In the event that the Contractor or any Subcontractor fails to procure or maintain any insured required by the Contract Documents, the City may, at its option, purchase such coverage and deduct the cost thereof from any monies due to the Contractor or Subcontractor, or withhold funds in an amount sufficient to protect the City, or terminate this Agreement pursuant to its terms. 16.8 All insurance policies shall contain a provision that coverages and limits afforded hereunder shall not be canceled, materially changed, non-renewed or restrictive modifications added, without thirty(30) days prior written notice to the City. Renewal certificates shall be provided to the City not less than five (5) prior to the expiration date of any of the required policies. All Certificates of Insurance shall be in a form acceptable to City and shall provide satisfactory evidence of compliance with all insurance requirements. The City shall not be obligated to review such certificates or other evidence of insurance, or to advise Contractor or Subcontractor of any deficiencies in such 9 documents, and receipt thereof shall not relieve the Contractor or Subcontractor from, nor be deemed a waiver the right to enforce the terms of the obligations hereunder. The City shall have the right to examine any policy required and evidenced on the Certificate of Insurance. 17. COPYRIGHT/PATENT INFRINGEMENT 17.1 The Proposer agrees to indemnify, defend, and hold harmless the City against any suit, claim, or proceeding brought against the City for alleged use of any equipment, systems, or services provided by the Proposer that constitutes a misuse of any proprietary or trade secret information or an infringement of any patent or copyright. 18. COMPLIANCE WITH OSHA STANDARDS 18.1 Equipment supplied to the City must comply with all requirements and standards as specified by the Occupational Safety and Health Act. All guards and protectors as well as appropriate markings will be in place before delivery. Items not meeting any OSHA specifications will be refused. 19. CERCLA INDEMNIFICATION 19.1 In the event this is a contract that has environment aspects, the Awarded Proposer shall, to the maximum extent permitted by law, indemnify, defend, and hold harmless the City, its officers, employees, agents, and attorneys from and against any and all liability, including without limitation, costs of response, removal, remediation, investigation, property damage, personal injury, damage to natural resources, health assessments, health settlements, attorneys' fees, and other related transaction costs arising under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of 1980, 42 U.S.C.A. Sec. 9601, et seq., as amended, and all other applicable statutes, regulations, ordinances, and under common law for any release or threatened release of the waste material collected by the Awarded Proposer, both before and after its disposal. 20. SUBLETTING OF CONTRACT 20.1 No contract awarded by the City shall be assigned or any part sub-contracted without the written consent of the City Administrator. In no case shall such consent relieve the Awarded Proposer from their obligation or change the terms of the contract. 21. TERM OF CONTRACT 21.1 This contract may be extended no more than twice for subsequent annual periods (two annual extensions) by mutual agreement of both parties, providing such agreement complies with City purchasing policies and the availability of funds. However, if this contract is not one that is subject to extension, such information will be available in the detailed specifications or special conditions section, supra. 22. TERMINATION OF CONTRACT 22.1 The City reserves the right to terminate the whole or any part of this contract, upon ten (10) days' written notice to the Awarded Proposer, in the event of default by the Awarded Proposer. Default is defined as failure of the Awarded Proposer to perform any of the provisions of this contract or failure to make sufficient progress so as to endanger performance of this contract in accordance with its terms. In the event that the Awarded Proposer fails to cure the default upon notice, and the City declares default and termination, the City may procure, upon such terms and in such manner as the City may 10 deem appropriate, supplies or services similar to those so terminated. The Awarded Proposer shall be liable for any excess costs for such similar supplies or services unless acceptable evidence is submitted to the City that failure to perform the contract was due to causes beyond the control and without the fault or negligence of the Awarded Proposer. Any such excess costs incurred by the City may be set-off against any monies due and owing by the City to the Awarded Proposer. 23. BILLING & PAYMENT PROCEDURES 23.1 Payment will be made upon receipt of an invoice. Once an invoice has been verified, the invoice will be processed for payment in accordance with the City payment schedule, policy and procedures. 23.2 The City shall review in a timely manner each bill or invoice after its receipt. If the City determines that the bill or invoice contains a defect making it unable to process the payment request, the City shall notify the Proposer requesting payment as soon as possible after discovering the defect pursuant to rules promulgated under 50 ILCS 50511 et seq. The notice shall identify the defect and any additional information necessary to correct the defect. 23.3 Please send all invoices to the attention of City of Yorkville, Accounts Payable, 800 Game Farm Road, Yorkville, IL 60560. 24. RELATIONSHIP BETWEEN THE PROPOSER AND THE CITY 24.1 The relationship between the City and the Proposer is that of a buyer and seller of professional services and it is understood that the parties have not entered into any joint venture or partnership with the other. 25. STANDARD OF CARE 25.1. Services performed by Proposer under this Agreement will be conducted in a manner consistent with that level of care and skill ordinarily exercised by members of the profession currently practicing in the same locality under similar conditions. No other representations express or implied, and no warranty or guarantee is included or intended in this Agreement, or in any report, opinions, and documents or otherwise. 25.2 If the Proposer fails to meet the foregoing standard, Proposer will perform at its own cost, and without reimbursement from the City, the professional services necessary to correct errors and omissions caused by Proposer's failure to comply with the above standard and reported to Proposer within one (1) year from the completion of Proposer's services for the Project. 26. GOVERNING LAW 26.1 This Agreement will be governed by and construed in accordance with the laws of the State of Illinois without regard for the conflict of laws provisions. Venue is proper only in the County of Kendall and the Northern District of Illinois. 27. SUCCESSORS AND ASSIGNS 27.1 The terms of this Agreement will be binding upon and inure to the benefit of the parties 11 and their respective successors and assigns;provided, however, that neither party will assign this Agreement in whole or in part without the prior written approval of the other. The Proposer will provide a list of key staff, titles, responsibilities, and contact information to include all expected sub Proposers. 28. WAIVER OF CONTRACT BREACH 28.1 The waiver by one party of any breach of this Agreement or the failure of one party to enforce at any time, or for any period of time, any of the provisions hereof will be limited to the particular instance and will not operate or be deemed to waive any future breaches of this Agreement and will not be construed to be a waiver of any provision except for the particular instance. 29. AMENDMENT 29.1 This Agreement will not be subject to amendment unless made in writing and signed by all parties. 30. CHANGE ORDERS 30.1 The contract price is a"not-to-exceed" cost. At any time additional work is necessary or requested, and the not-to-exceed price is increased thereby, any change, addition or price increase must be agreed to in writing by all parties. The appropriate authorizing signature for the City is the City Administrator. 31. SEVERABILITY OF INVALID PROVISIONS 31.1 If any provisions of this Agreement are held to contravene or be invalid under the laws of any state, country or jurisdiction, contravention will not invalidate the entire Agreement, but it will be construed as if not containing the invalid provision and the rights or obligations of the parties will be construed and enforced accordingly. 32. NOTICE 32.1 Any notice will be in writing and will be deemed to be effectively served when deposited in the mail with sufficient first class postage affixed, and addressed to the party at the party's place of business. Notices shall be addressed to the City as follows: City Administrator City of Yorkville 800 Game Farm Road. Yorkville, IL 60560 And to the Proposer as designated in the Contract Form. 12 III. DETAILED SPECIFICATIONS 33. DEFINITIONS 33.1 For the purpose of the Contract, definitions of certain terms are listed below. Certain words or phrases, when used in the Contract shall have the same meaning given to them in this section. Other terms shall be defined within applicable subsections. Attached Single-Family Dwelling (Group, ROW, Townhouse) A building originally designed and constructed to accommodate two (2) or more dwelling units, with dwelling units joined together by party wall or walls and being not more than two (2) stories in height. Each unit shall have its own ground floor entrance and living space. Biodegradable shall mean chemically structured material that decomposes rapidly primarily through the action of living soil-borne microorganisms (bacteria, fungi, and actinomycetes) or macro-organisms (crickets, slugs, snowbugs, millipedes, etc.). Brown Kraft 2-Ply Paper Bags shall mean a two-layer brown product container comprised of kraft paper most often used to contain groceries. Chipboard shall mean a single-layer cardboard used for packaging cereal, crackers, tissues, and other similar products. Compost(ing) shall mean the process by which aerobic microorganisms decompose organic matter into a humus-like product. Contract shall mean the agreement created by and consisting of the Contract Documents. Contract Documents shall include the Request for Proposals, Terms and Conditions, Detail Specifications and the Proposal/Contract Form. Contractor shall mean the firm with which the City has executed the Contract for Solid Waste Collection and Disposal Services Corrugated Cardboard shall mean a sturdy paper product commonly used as a packaging consisting of two paper grades—a wavy inner portion and an outside liner. Curbside shall mean adjacent to the street pavement, alley pavement and gutter and within five feet thereof. Customer shall mean the resident party, property owner of a dwelling unit in Yorkville corporate boundaries participating in the scavenger collection service. Day shall mean Calendar Day unless otherwise stated. Detached Dwelling A single-family dwelling entirely surrounded by open space. Disposal Unit shall have different meanings as follows: For the purposes of refuse collection, a"disposal unit" shall mean one (1) 64-gallon, 33-gallon, or 96-gallon tote or 13 one (1) water-tight metal, or plastic reusable waste container, no larger than thirty-two (32) or thirty-three (33) gallons in capacity, containing refuse, yard-waste or household construction and demolition debris as herein defined; or a securely tied, bundle of refuse or debris which is not placed in a container that does not exceed three (3) feet in diameter, six(6) feet in length, and fifty(50) pounds in weight, or one (1) single miscellaneous or odd-shaped item of refuse or debris that does not exceed fifty(50) pounds in weight. A large household item, as herein defined, is to be considered a disposal unit. Household construction and demolition debris, as is herein defined, is to be considered a disposal unit. For the purpose of yard-waste collection, a"disposal unit" shall mean a biodegradable two-ply fifty(50) pound wet-strength kraft paper bag designed for yard- waste collection, not to exceed thirty-three (33) gallons in capacity and fifty(50) pounds in weight, containing "yard-waste" as herein defined, or securely tied, bundles of brush or branches using biodegradable cord, string, rope or twine that does not exceed fifty(50) pounds in weight, two (2) feet in diameter, and four(4) feet in length and is manageable by one (1) person. For purpose of recycling collection, a"disposal unit" shall mean one (1) 64 gallon, 33 gallon, or 96 gallon tote. Envelope shall mean a flat, folded paper container for a letter or smaller object. Frozen Food Packages shall mean paperboard containers with special coatings to prevent tearing of the packages or smearing of the ink from moisture when refrigerated or frozen. Garbage or Rubbish shall mean discarded materials resulting from the handling, cooking, spoilage, and leftovers of food, discarded food or food residues, and paper necessarily used for wrapping same, and all types and kinds of waste materials from housekeeping activities, including, but not limited to ashes, metal cans bottles, books, glass, plastic, newspapers, boxes, cartons, and small amounts of earth, rock or sod, small automobile parts and building materials waste from residential type do-it-yourself projects provided that all such materials are of a size sufficiently small to permit being placed in an approved refuse container, except those items which are banned from direct disposal into a landfill. HDPE shall mean high-density polyethylene. Household Construction and Demolition Debris shall mean waste materials from interior and exterior household construction, remodeling and repair projects, including but not limited to: drywall, plywood and paneling pieces, lumber and other building materials; windows and doors, cabinets, carpeting, disassembled bathroom and kitchen fixtures; and small amounts of sod, earth, clay, sand, concrete, rocks and similar materials. Such debris shall conform to the following: loose small items shall be placed in suitable disposable containers not exceeding fifty(50) pounds in weight, or in bundles not exceeding two (2) feet in diameter, four(4) feet in length, and fifty(50) pounds in weight. Household Garbage shall mean garbage and rubbish as collected from the residents of the City of Yorkville currently receiving curbside scavenger service or on-site dumpster service. Household Garbage—Large Items shall mean any items set forth under"Garbage and Rubbish" above if such item is too large to fit in an approved Disposal Unit including, but 14 not limited to boxes, barrels, crates, furniture, refrigerators, carpets, mattresses, box springs, hot water heaters, stoves and other household appliances, except those items which are banned from direct disposal into a landfill. Household Garbage—Large Items shall not include waste from manufacturing processes, construction materials, broken concrete, lumber, large rocks, automobile parts other than tires or dangerous substances which may create a danger to the health, safety, comfort or welfare of the residents of the City of Yorkville or items which are banned from direct disposal into a landfill. Industrial Wastes shall mean any and all debris and waste products generated by canning, manufacturing, food processing, restaurant, land clearing, building construction or alteration and public works type construction projects whether performed by a governmental unit or by Contract. Juice Boxes shall mean aseptic cartons consisting of a high-grade paperboard coated with polyethylene plastic and aluminum foil, excluding milk cartons. Junk Mail shall mean brochures, advertisements, flyers, post cards, greeting cards, window envelopes, and other similar correspondence. Landscape Sticker(also referred to as Yard-waste Sticker) shall mean a special biodegradable sticker with glue that adheres to plastic and paper during weather extremes provided by the Contractor to retailers for sale to the public wherein the purchase price includes the Contractor's total collection, processing, and sale/disposal costs for Landscape Waste. Landscape Waste (also referred to as Yard-waste) shall mean hard landscape waste and soft landscape waste. Large Household Item (also known as "Bulk Item"), shall mean any discarded and unwanted large household appliance such as freezers, stoves, trash compactors, washers, dryers, dishwasher, humidifiers, dehumidifiers, microwaves, water softeners, televisions, pianos, organs, tables, chairs, mattresses, box springs, bookcases, sofas and similar furniture. All"white goods" including those containing CFC's (chlorofluorocarbons), switches containing mercury, and PCB's (polychlorinated biphenyls) shall all fit into this definition. LDPE shall mean low density polyethylene. Magazines shall mean periodical publications, usually glue bound. Mixed Papers shall mean stationary, various office papers such as; computer paper, xerox paper, note paper, letterhead, and other similar papers. Multiple-Family Dwelling A dwelling containing three (3) or more dwelling units, with one or both of the following: (a) More than one (1) dwelling unit connecting to a common corridor or entrance-way; or, (b) Dwelling unit vertically connected to neighboring dwelling units through shared floors and ceilings. 15 PET shall mean polyethylene terephthalate. Performance Bond shall mean the form of security approved by the City and furnished by the Contractor as a guarantee that the Contractor will execute the work in accordance with the terms of the Contract and will pay all lawful claims. Processing Center shall mean a location to be maintained or utilized by the Contractor for the purpose of sorting, preparing, and marketing of recyclable materials. Properly-Prepared shall mean materials prepared according to the disposal program restrictions for refuse, yard-waste, and recycling. Processing Costs shall mean all reasonable costs incurred by the Contractor with respect to the collection of recyclables from residents currently receiving curbside scavenger services. Public Awareness Program shall mean a program developed and provided by the Contractor and the City to inform and encourage residents to use the recycling collection services and other waste collection and disposal services of the City. Recyclables or Recyclable Material(s) shall mean, at a minimum, those materials listed on Appendix 2. Recycling shall mean the use, collection, and remanufacture of secondary materials as feedstock for the production of new materials or products. Recycling Containers (bins) shall mean a 64 gallon tote, or a 33-gallon or 94-gallon tote if so acquired by the customer in the manner prescribed in the recycling collection program Refuse shall mean all discarded and unwanted household and kitchen wastes, including but not limited to: food, food residues, and materials necessarily used for packaging, storing, preparing and consuming same, usually defined as "garbage"; and all combustible and non-combustible waste materials resulting from routine domestic housekeeping, including but not limited to: aluminum and steel cans, glass containers, plastic containers, crockery and other containers, metal, paper(of all types), including newspapers, books, magazines, catalogs, boxes and cartons, cold ashes, furniture, furnishings and fixtures, household appliances (all kinds), textiles and leathers, toys and recreational equipment and similar items. For the purposes of this Agreement, the terms "garbage", "refuse", "rubbish", and"waste" shall be synonymous unless otherwise more specifically defined (for example: "yard-waste"). Refuse Sticker shall mean a biodegradable paper stamped with the City name and the Contractor's name and telephone number providing the solid waste services for the City. The sticker shall represent proof of payment for collection and disposal services to be rendered by the Contractor. Residence shall mean all attached single family and detached single family dwelling. 16 Single-Family Dwelling A detached dwelling containing accommodations for and occupied by one (1) family only. Specifications shall mean specifications identified in the Contract. Tote (also referred to as a Toter) A plastic wheeled container in size of 64 gallon, 33 gallon, or 96 gallon with tight-fitting cover, requiring semi-automatic lifting mechanism for collection. Waste shall mean refuse, recyclables, yard or landscape waste and white goods. Wet-strength Carrier Stock shall mean rectangular-shaped paperboard containers with special coatings to prevent tearing of the containers or smearing of the ink from moisture when refrigerated. White Goods shall mean refrigerators, ranges or stoves (electric or gas), freezers, room air conditioners, water heaters and other similar domestic large appliances. Yard-waste container/unit shall mean a container or unit and may be a kraft paper bag not exceeding thirty(34) gallons of capacity weighing up to fifty(50) pounds. The kraft paper bag shall be of the type specifically intended for landscape waste, being specifically biodegradable and not chemically treated; or a waste container(excluding plastic bags) not exceeding thirty-four(34) gallons of capacity weighing up to fifty(50) pounds; or bundles of hard landscape waste not exceeding two (2) feet in diameter and four(4) feet in length weighing up to fifty(50) pounds. Said bundle to be securely tied with biodegradable natural fiber twine. Securing with plastic or wire is prohibited. Yard-waste (also known as "landscape waste") shall mean grass clippings, leaves, branches and brush, other yard and garden trimmings, vines, garden plants and flowers, weeds, tree droppings (for example: pine cones and crabapples), and other similar organic waste materials accumulated as the result of the cultivation and maintenance of lawns, shrubbery, vines, trees and gardens. Sod, dirt, Christmas trees, and greenery from wreathes and garlands shall not be considered yard-waste and shall be disposed of as refuse, unless the composting facility will accept it. 34. DESCRIPTION OF THE CITY'S SOLID WASTE PROGRAM 34.1 Refuse, yard-waste, and curbside recycling services are provided to residences located within the City on a once-per-week basis. For purposes of this proposal, the City is requiring one bid for each of two different solid waste programs. The first program, herein referenced as "Program A", being a modified volume based program, based on a monthly fee for pickup of all refuse, consisting of one-64 gallon tote, and a $1 charge for each refuse disposal unit beyond the 64-gallon tote, unlimited yard waste, and unlimited recycling. As part of Program A, the Contractor will supply the customer with a 64-gallon refuse tote and a 64-gallon recycling tote, and will provide a quote for cost to be charged to a customer to downsize or upsize to a 33 gallon tote or a 96 gallon tote for either the recycling or refuse program. The second program, herein referenced as "Program B", being the same as Program A, except that the sticker and $1 fee shall be administered, sold, and all revenue realized by the City as outlined below in Section 37.1 and 37.2. 17 34. 2 BULK ITEMS, as herein defined, are considered subject to collection by the CONTRACTOR, according to the terms and definitions of this contract. The CONTRACTOR will make available the collection of(1) one bulk item per week from residential UNITS at no additional cost to the resident. Individual residents will be responsible to contact CONTRACTOR and make arrangements for collection of additional BULK ITEMS on an individual basis. Residents with additional material or home improvement projects may contract separately with the CONTRACTOR. The CONTRACTOR will make available 6, 10, 15, 20, and 30 cubic yard containers for this purpose. 34.3 Yard-waste collection shall begin each year on the 1St collection day in April and end the last collection day in November. 35. SCOPE OF WORK 35.1 The Contractor shall be responsible for performing all work as outlined in the specifications herein and shall provide and furnish all labor, materials, equipment and supplies, vehicles, transportation services, and landfill and compost facility space required to perform and complete the collection and disposal of refuse and yard waste. The Contractor shall also make necessary arrangements with processors required to perform and complete the collection and marketing of recyclables. 35.2 The collection of refuse, yard waste, and recyclable materials shall be a joint program awarded to one firm and cannot be quoted or operated as separate programs. 36. COLLECTION UNITS 36.1 The base unit of service shall be known as a"Collection Unit or Stop". The Contractor shall collect, remove and dispose from every residential building unit, as defined herein, in the City of Yorkville, all refuse, yard-waste and curbside recyclables that may be set out for collection one (1) time each week. 37. GARBAGE AND REFUSE COLLECTION; PREPARATION AND PLACEMENT OF DISPOSAL UNITS 37.1 The CONTRACTOR agrees to provide, at its own expense, one 64-gallon tote to each single-family residence in the City of Yorkville for the purposes of garbage collection. The contractor will provide a quote for cost to be charged to a customer to downsize or upsize to a 33 gallon tote or a 96 gallon tote for the refuse program. The carts will remain the property of the CONTRACTOR and the CONTRACTOR will be responsible for replacement of carts that become worn or damaged through normal usage. 37.2 The CONTRACTOR shall provide weekly collection of garbage and refuse for all occupied UNITS within the CITY. All GARBAGE and REFUSE as herein defined that is designated for collection and disposal hereunder must be placed in the provided carts. 37.3 For Program A and Program B, additional refuse material may be placed in covered cans or containers not to exceed thirty-three (33) gallons in capacity with a maximum weight for any one container and its contents not to exceed fifty(50) pounds. The minimum can or container shall not be less than fifteen(15) gallons. Heavy duty bags which are securely fastened shall be considered proper containers so long as they do not 18 exceed thirty-three (33) gallons capacity and are fifty(50) pounds or less in weight. Cans, containers, and/or heavy duty bags must be placed at the curb or roadway or in the alley (if designed by the CONTRACTOR). A $1 prepaid sticker must be attached to each bag or can in excess of the provided cart prior to collection by the CONTRACTOR. 37.4 All residences receiving the aforementioned services shall be required to prepare all materials for collection and/or disposal into proper"disposal units". The Contractor will be required to collect only properly prepared disposal units. Residents will be allowed to place unlimited amounts of disposal units at the curb for collection and disposal provided that a disposal sticker has been attached to each unit above and beyond the disposal units covered in the monthly fee. 37.5 Properly prepared refuse shall be placed as close to the roadway as practicable without interfering with or endangering the movement of vehicles or pedestrians or snow plowing operations. The Contractor shall return all containers at each pick-up location to the curbside or adjacent to the right-of-way of paved or traveled City roadways. Containers will be placed, not thrown, and securely placed in such a manner that they are not left lying on their sides or in a manner that would allow roadway interference of vehicle and/or pedestrian traffic. Any contents spilled on the parkways, premises, or streets are to be cleaned up in a workmanlike manner. 38. ACCEPTABLE/UNACCEPTABLE MATERIAL 38.1. UNACCEPTABLE MATERIAL: The Contractor shall refuse to accept for regular collection: hazardous waste materials, radioactive materials, poisons, liquid waste, paint or similar products, acids, used motor oils, or any other material that the Contractor is legally unable to accept. 38.2 ACCEPTABLE MATERIAL: All refuse normally produced by residential properties shall be accepted for regular collection including but not necessarily limited to: bulk items, household fixtures, appliances, furniture and yard-waste. 39. EXAMINATION OF SERVICE AREA 39.1 It is the responsibility of the Contractor to be completely informed of all conditions under which service is to be performed, the service area, and all other relevant matters pertaining to the collection services as specified herein, including, but not limited to, type of housing, population density, roads, traffic patterns, required collection procedure, labor requirements, and any other factor which would effect the execution and/or completion of the work covered by the RFP document. 40. ALTERNATIVES AND DEVIATIONS 40.1 The specifications included in this package describe existing services which the City believes are necessary to meet performance requirements of the City and shall be considered the minimum standards expected of the Contractor. 40.2 Other alternatives from the specifications in Section III may be indicated if the proposed alternatives are equal to or greater than what is required by these specifications. All alternatives shall be separately listed, and a justification for each shall be stated. The Contractor shall use Appendix 3, Schedule of Alternatives and Deviations, for listing other 19 alternatives. 40.3 If the Contractor is unable to meet any of the specifications as outlined herein, it shall also separately list all requested deviations from the specifications, with justifications attached for each deviation. The Contractor shall use Appendix 3, Schedule of Alternatives and Deviations, for listing proposed deviations. 40.4 If the Contractor does not indicate alternatives to or deviations from the specifications, the City shall assume it is able to fully comply with these specifications. The City shall be the sole and final judge of compliance with all specifications. 40.5 The City further reserves the right to determine the acceptability or unacceptability of any and all alternatives or deviations The City shall also be the sole and final judge as to whether any alternative or deviation is of an equivalent or better quality of service. 41 CHRISTMAS TREE COLLECTION 41.1 The Contractor will provide curbside collection service of live Christmas trees two (2) weeks during the 1' and 2nd full week in January each contract year. It will be the responsibility of the Contractor to either recycle or correctly dispose of live Christmas trees. There will be no cost to the City of Yorkville for this service. The Contractor and the City will work together to educate the public with respect to the condition of the trees before they will be collected. Christmas trees will be accepted provided they are free of all ornamentation, including tinsel, garland and lights. If disposable tree bags are used, a refuse sticker must be affixed to the plastic bag. Christmas trees placed at the curb during the two-week special collection period shall be recycled. Recycling shall consist of taking the Christmas trees to a compost site to be chipped, mulched or composted. The Contractor shall provide the name and location of the compost site in accordance with Appendix 6. 42. YARD-WASTE/BUNDLED BRUSH COLLECTION 42.1 As a part of yard-waste collection, all eligible households located within the City's corporate boundaries shall be provided weekly yard-waste and bundled brush collection in an unlimited amount. All yard waste materials must be placed in"Kraft"paper bags designed and sold specifically for the collection and disposal of yard waste. All bundled brush must not exceed four(4) foot length, with each individual bundle not to exceed excess weight of fifty(50) pounds. Resident customers placing bundled brush out for collection will be required to bundle brush with biodegradable natural fiber twine (plastic or wire is prohibited). Bundled brush will be collected on regular refuse service days during the yearly period of time established, (April 1 st through the last collection day in November). 43. RECYCLABLE MATERIAL PROGRAM 43.1 The CONTRACTOR agrees to provide, at its own expense, one 64-gallon tote to each single-family residence in the City of Yorkville for the purposes of recycling collection. Contractor will provide a quote for cost to be charged to a customer to downsize or upsize to a 33 gallon tote or a 96 gallon tote for the recycling program. The carts will remain the property of the CONTRACTOR and the CONTRACTOR will be responsible for replacement of carts that become worn or damaged through normal usage. 20 United City of Yorkville 43.2 The City of Yorkville's recyclable material program shall remain voluntary on the part of any person receiving residential scavenger service as covered under this contract. The Contractor shall, however, provide for the collection and disposal of all recyclable material placed for collection in accordance with the terms of this Contract. The Contractor shall provide for the collection and disposal of recyclable material at no additional cost to customers receiving residential scavenger service as covered under this contract. The cost of recycling collection and disposal services has been built into the rates and charges otherwise provided for in the Contract for collection of refuse and yard-waste. All revenue collected from the sale of recyclable material shall be the property of the Contractor. The Contractor shall have representatives available to participate in community-sponsored events promoting environmental awareness. 43.3 The method in which the recyclables are to be generally sorted for collection by the household shall be commingled within the recycling container(s). 43.4 The Contractor shall specify the manner in which the recyclables are to be collected and sorted by the Contractor at the curbside; i.e. curb-sort, sorting at an intermediate processing facility, and the like. The Contractor will be responsible for cleaning up any material that has spilled as a result of the collection process. 43.5 The Contractor shall allow for a tagging system for recyclables not collected and must provide a simple explanation as to why the recyclable material(s) were not picked up, including, but not limited to, the following: contaminants, improper preparation; materials not accepted in program: refuse and/or yard-waste mixed with recyclables; or some combination thereof. The Contractor shall submit an example of the tagging system to be used. Recyclable materials that were rejected shall be returned to the container and not left on the street or parkway areas. 43.6 The Contractor shall purchase and maintain a reasonable supply of recycling totes, for residential scavenger service to cover replacement for lost, damaged and stolen containers, and for customers desiring additional recycling capacity. The City reserves the right to approve the type of containers purchased by the Contractor. 43.7 The Contractor shall pick up all recyclable material placed in the recycling existing 64 gallon totes, or the recycling containers supplied by the Contractor, or any other recycling containers used by the customer. If, for operational purposes, the Contractor has difficulty identifying recycling containers used for recycling purposes, the Contractor shall provide free of charge, a recycling sticker or other identification mechanism to be placed on the various recycling containers used for collection of recyclable material. 43.8 The Contractor shall provide the name and location of the processing facility, as well as the proposed buyer/market for recyclable materials as set forth in Appendix 6. In the event that an alternative site is preferred by the City, the Contractor shall use the alternative site location provided that any changes in the costs for collection and processing created by the use of such site will be negotiated between the City and the 21 United City of Yorkville Contractor prior to its use. 43.9 The City reserves the right to accept or reject any or all suggested categories, which may be offered for collection in the residential recycling program. The City also reserves the right to phase in at a later date, any material(s) which the Contractor has indicated an ability to collect but which the City has determined not to add to the collection program, or to phase in any material(s) that the Contractor may not presently offer but will be able to offer sometime during the term of the Contract. The basis for determining cost of adding materials at a later date will be based on evidence supplied by the Contractor specifically justifying additional cost due to collection, administration, profit, and processing (minus revenue) only. 44. AMNESTY DAY 44.1 The CONTRACTOR shall provide for a spring and fall curbside collection of additional refuse and bulk items as defined herein, on a date(s) that is mutually agreed upon between the CONTRACTOR and the CITY. In addition, the CONTRACTOR will collect WHITE GOODS and up to 4 automobile tires during the scheduled Amnesty Day. All rims must be removed from the tires prior to collection. There shall be no additional charge to the residents for the clean up and additional BULK ITEMS and WHITE GOODS that will be accepted during the designated clean-up week and stickers will not be required. 45. COLLECTION FROM CITY-OWNED FACILITIES 45.1 At no additional cost, the Contractor shall collect, transport, and dispose of all refuse, yard-waste and recyclables from all City-owned facilities as set forth in Exhibit B. The Contractor shall furnish, at no additional cost to the City, at each municipal building served, containers for refuse, yard-waste and recyclables as requested by the City's Designated Representative, with the size to be agreed upon. The City reserves the right to request such containers, in addition to, or increase the size of normal containers, on a permanent or temporary basis. If requested by the City, any and all containers fumished by the Contractor shall be equipped with non-removable hinged covers or lids. Collection and disposal services by the Contractor will be as often as necessary each week, as set forth in Exhibit B. 46. STICKER DESIGN AND DISTRIBUTION—Program A 46.1 The City has the sole authority to approve or disapprove the design and construction of the Contractor's stickers. Stickers must be of an approved color, which should be clearly visible at dawn or at dusk by drivers, and which said color should be changed periodically to prevent counterfeiting. The paper used shall be biodegradable and shall contain glue backing that will adhere in sub-zero temperatures as well as in extreme heat. The stickers shall contain the Contractor's name and telephone number, state the City of Yorkville title and be consecutively numbered for record keeping and balancing purposes. The Contractor will deliver stickers to retail outlets and the City upon request. 46.2 The Contractor shall be responsible for the printing, distribution, and sale of an ample and always available supply of waste stickers. The Contractor shall arrange for local retail outlets to aid in the sale of the stickers. The City also may act as a disposal sticker retailer 22 United City of Yorkville for the Contractor. 47. STICKER DESIGN AND DISTRIBUTION—Program B 47.1 The City has the sole authority to approve or disapprove the design and construction of the refuse stickers. Stickers must be of an approved color, which should be clearly visible at dawn or at dusk by drivers, and which said color should be changed periodically to prevent counterfeiting. The paper used shall be biodegradable and shall contain glue backing that will adhere in sub-zero temperatures as well as in extreme heat. The stickers shall contain the City's name and telephone number and be consecutively numbered for record keeping and balancing purposes. The Contractor will deliver stickers to retail outlets upon City request. 47.2 The Contractor shall be responsible for the printing and distribution to the City of an ample and always available supply of waste stickers. The City shall realize all revenue from sticker sales. 48. BILLING PROCEDURES 48.1 The CONTRACTOR shall bill the City for all serviced UNITS within the City. The City shall provide the contractor with the number of occupied UNITS within the City on a monthly basis. 49. MONTHLY REPORTING 49.1 The Contractor shall prepare and submit to the City a monthly refuse, yard-waste and recycling material report, due by the 25th of the following month. The report shall include the following information for all residential scavenger service covered under this contract: 49.2 Refuse - Total weight in tons and total volume in compacted cubic yards of refuse land- filled each month;Number of white goods collected each month; Tipping fee charge per ton at the landfill site;Name and location of the landfill facility and/or transfer station used by the Contractor; and, Copy of all complaints filed by the City of Yorkville customers during the month. 49.3 Yard-waste - Total volume, in compacted cubic yards, of yard-waste collected; Tipping fee charge per compacted cubic yard at the compost facility;Name and location of the compost facility used by the Contractor; and, Copy of all complaints filed by the City of Yorkville customers during the month. 49.4 Recyclable Material- Weekly set-out rate; Monthly participation rate (total number of set- outs divided by the number of homes/dwelling units included in the collection service); Total weight, in pounds, of recyclable materials collected; Revenue received by the Contractor for the sale of recyclables; Tipping fee savings (total weight of recyclable materials collected in tons multiplied by the tipping fee charge per ton at the landfill site); Name and location of processing facility used by the Contractor; and, Copy of all complaints filed by the City of Yorkville customers during the month. 50. CONSUMER EDUCATION 23 United City of Yorkville 50.1 Upon request, the Contractor agrees to provide City residents with such educational materials as the City deems necessary. Educational materials may include notices to be left at resident's property as well as literature describing in detail the refuse, recycling and yard-waste collection program. There shall be no cost to the City or its residents for the printing and distribution of any consumer education materials. 51. TITLE TO WASTES 51.1 All refuse, yard-waste, and curbside recyclables collected shall belong to the Contractor as soon as the same is placed in the Contractor's vehicle. 52. DISPOSAL 52.1 All refuse and yard-waste collected shall be removed from the City by the Contractor as soon as it has been collected; but in any event, not later than noon of the date following collection, and shall not be disposed of in violation of any state, federal or county laws or regulations. 53. RATES AND SPECIAL RATES 53.1 For any services required to be performed under this Contract, the charge shall not exceed the rates as fixed by the Contract and set forth in Appendix 1 attached hereto and made a part hereof. For items not otherwise provided for by the Contract document, and requiring special handling due to size, weight, type of material or method of placement, the charges are to be negotiated between the Contractor and the resident customer for collection and disposal into a landfill or processing facility. 54. SPECIAL & EMERGENCY COLLECTIONS 54.1 The Contractor shall offer special curbside collection service for large quantities of refuse including, but not limited to, construction and demolition debris, and move-in or move- out clean-up rubbish. Such services shall be an advance arrangement with the Contractor at the resident customer request. The collection cost for such services shall be based upon cubic yards and the resident customer shall make payment directly to the Contractor. The Contractor agrees to provide free dumpsters (sizes 1 yard through 30 yard as requested by the City) for refuse and recycling collection during the City's annual Hometown Days, 4th of July Parade and celebration in the park, and other special events which were provided service under the previous contract. The City and the Contractor may mutually agree to emergency pick-up services for disasters including, but not limited to, flood, wind and snow 55. SCHEDULE AND TIME OF COLLECTIONS 55.1 The City of Yorkville shall be divided into collection areas and a regular weekday collection shall be assigned to each area. A map of the City of Yorkville, designating collection areas shall be made a part of this contract and attached hereto as Exhibit A. 55.2 The schedule shall not be changed without first obtaining consent from the City Administrator or designee, and not without giving a minimum of thirty(30) days written notice to all parties affected by the change. The City may, at its discretion, waive the minimum time limits required. This waiver must be in writing and signed by the City 24 United City of Yorkville designee. The Contractor will be required to publish an advertisement twice per week in two separate weekly issues of the local newspapers, no earlier than 60 days prior to the change, with the last advertisement to be no later than fifteen(15) days prior to the schedule change. Failure of the Contractor to maintain said collection schedule shall be considered a breach and default of the contract and grounds for immediate termination of the contract. 55.3 In no case shall collection commence prior to 6:00 a.m. or continue past 7:00 p.m. on any day during the term of the contract. The collection schedule shall not include Saturday or Sunday as a regular collection day for any area in the City. 56. HOLIDAYS 56.1 Collection normally falling on the following holidays may be rescheduled for the first working day following the legal holiday, or on Saturday, as necessary, for that week only: New Year's Day Memorial Day Independence Day Labor Day Thanksgiving Day Christmas Day 56.2 The Contractor agrees to inform the City and its residents of changes in normal collections due to holidays by notification through at least two local media outlets or establish a permanent holiday schedule or plan to be printed within the refuse literature. 57. SCHEDULE ADHERANCE 57.1 If, at any time during the term of this contract, the Contractor shall collect any section of the City on a day other than the scheduled day, the Contractor shall immediately notify the City that he is in violation of the contract. If a similar violation should occur more than once within the three week period following the week of the original violation, the City will notify the Contractor by certified mail and withhold any further payment that may be due under the contract until the Contractor has furnished evidence satisfactory to the City that the Contractor has taken necessary actions and precautions to prevent further violations. The City may determine that this second or subsequent collection violation as a breach of contract, and therefore the City reserves the right to terminate the contract. Delays that are occasioned by holidays, or by daily(any 24-hour period) precipitation of four(4) inches or more of rain, or eight (8) inches or more of snow, may not be considered as violations. The City Administrator or the City's Designated Representative shall be the judge of whether delays constitute a violation, or not. 58. PLACE OF PICK-UP 58.1 The Contractor is responsible for the public streets, or properly wavered private street curbside pick-up of all residential locations as well as designated locations as requested by the City. 59. REPLACEMENT DAMAGE 59.1 The Contractor is responsible for damages resulting from its careless handling of any receptacle. The Contractor at no extra charge to the user shall replace all containers, 25 United City of Yorkville which suffer damage caused by the Contractor. The containers so supplied shall then belong to the user. 60. COLLECTION VEHICLES 60.1 All vehicles used for collection purposes, except those exempted by other provisions of these specifications, shall have fully enclosed bodies with self-contained mechanisms to load and compress the material collected. These vehicles must be modern, neat, rear, front, or side-loading packer-type motor trucks, have entry for refuse into the vehicle's collecting body. All vehicles shall be kept watertight to prevent leaking, shall be kept closed except during collections along collection route. All equipment used by the Contractor shall be painted with no rust showing on the cab, chassis or body. Vehicles must be kept in clean, sanitary and quiet operating condition. Vehicles must at all times be supplied with brooms and necessary items to provide for immediate clean up of any litter or mess, which may result from leaking, spilling or blowing during collection procedures. Vehicles shall be clearly labeled with the firm's name, address, and telephone number and have a vehicle identification number printed clearly on each and every vehicle. However, if the Contractor desires to use a vehicle of larger capacity, specific written approval of the specific vehicle shall be required from the City's Designated Representative, after an actual demonstration of the vehicle on the streets of Yorkville. Overweight vehicles are the responsibility of the Contractor. Contractor is required to comply with weight requirements and safety requirements as established by Illinois Law or City Ordinances for vehicles, vehicle operators and specialty equipment. 61. EMPLOYEES 61.1 The Contractor shall undertake to perform all disposal services rendered in a neat, orderly and efficient manner; to use care and diligence in the performance of this contract; and to provide neat, orderly and courteous personnel on its crews. The Contractor shall agree to prohibit any drinking of alcoholic beverages or use of illegal drugs or drugs which impair the ability of the employee or agent to safely and adequately perform his or her(drivers and crew members)job while on duty or in the course of performing their duties under this contract. The Contractor shall also agree to ensure that each employee driving a vehicle shall at all times carry a valid operator's license for the type vehicle he/she is driving. The Contractor's employees will be attired, at all times, in a professional-type manner. These specifics will be agreed upon between representatives from the Contractor and the City Designated Representative. 62. ACCIDENT PREVENTION 62.1 Precaution shall be exercised at all times for the citizens, employees and property. The safety provisions of all applicable laws and building and construction codes shall be observed. Machinery, equipment and all hazards shall be guarded or eliminated in accordance with the safety provisions of the manual of Accident Prevention in Construction, published by the Associated General Contractors of America, to the extent that such provisions are not in contravention of applicable law. 63. COMPLAINT PROCEDURE 26 United City of Yorkville 63.1 All complaints received by the Contractor shall be given prompt and courteous attention. The City and the Contractor will agree upon a formalized complaint form to be filled out by the Contractor each and every time a customer contacts the Contractor with a complaint. It will be the Contractor's responsibility to have the complaint forms, on NCR (no carbon required)paper, printed and available for use by the Contractor prior to the commencement of this Contract. The Contractor will supply the City with sufficient NCR forms for logging of complaints by City of Yorkville staff. Any complaint received by the City shall be immediately communicated to the contractor. The Contractor is required to supply the City with copies of all complaint forms within five (5) business days of a complaint being made, indicating thereon the resolution thereof 63.2 The Contractor shall provide the City with name, phone number, and email address for an individual to serve as point person for purposes of City staff contact with the Contractor. 64. COMPLAINTS 64.1 Where any dispute arises between a resident/customer and the Contractor, as to the manner or placing of containers for collection or preparation of recyclable materials, or the nature of the Contract or the like, the Contractor agrees that in the specific instance collection will be immediately made even though in its opinion, the customer is in error; and that it will immediately report the same to the City's Designated Representative so that the City and the Contractor may resolve the dispute, if possible, before additional collection becomes necessary. The intent of this paragraph is to avoid disputes/disagreements between the customers and the Contractor's employees, and to permit disputes/disagreements to be handled by mutual discussion between the Contractor and the City. If a missed pick up is reported by the City or a customer to the Contractor, the Contractor shall collect the refuse, recyclable material or yard-waste from such customer within on(1) business day of notification. All complaints other than missed pickups shall be resolved to the satisfaction of the City within two (2) business days. As noted above, the Contractor shall supply to the City an NCR copy of the complaint form for each and every complaint and on which the nature of the complaint and the disposition is clearly noted. The Contractor shall cooperate with the City in minimizing complaints from customers. Continued unreasonable complaint levels, as determined by the City, or failure of the Contractor to carry out any of its contractual obligations such as, but not limited to, rude treatment, messy pickups, damage to persons or property and early start- up may be due cause for the City to terminate this Contract after notice and an opportunity to be heard. 65. CUSTOMER VIOLATIONS OF CITY CODE 65.1 The Contractor shall have the right to notify any customer of noncompliance with the applicable Yorkville code provisions concerning the handling or disposal of solid waste as those same may apply to such customers. The Contractor shall report any continuance of any such noncompliance to the City. 66. NEW CUSTOMERS 66.1 The Contractor agrees to provide service immediately to all new customers, even if the new customer neglected to first notify or request collection services. The City agrees to 27 United City of Yorkville make every effort possible to alert the new customer to the collection procedure for refuse, recycling and yard-waste. 67. EXCLUSIVE GRANT/INTENT 67.1 The City agrees that in consideration of the faithful performance of the obligations herein undertaken by the Contractor, the City does, by execution of this Contract pursuant to City Code, give and grant to the Contractor, for the term of this Contract only, the sole and exclusive Class A License to collect and dispose of all residential solid wastes. The Contract shall include all residences (attached single-family and detached single-family as defined herein) and municipal facilities as required within the corporate boundaries of the City of Yorkville. This grant expressly includes the right and duty to service any land annexed to the City where new residences or municipal buildings have been constructed during the term of this Contract. Service will be provided on the same terms as set forth herein. The City shall communicate any changes to the corporate boundaries or service area resulting from annexations, zoning actions, site plan approvals, construction, etc., to the Contractor. It is the intent of this Contract to obtain, throughout its term, clean, courteous, well scheduled, and well-executed collection and disposal or processing of refuse, recycling and yard-waste from properties in the City of Yorkville. While the City recognizes that any collection service involves minor customer operating problems, the intent of this Contract is to ensure that any such operating problems are minimized to the extent possible and corrected as soon as possible. 68. QUALIFICATIONS/REFERENCES 68.1 The Contractor shall provide at least five (5) references of"like"public agencies with current contacts in accordance with Appendix 4 and shall indicate if appropriate, which municipality has implemented a volume-based program. Contractor shall complete the attached Appendix 6 listing its qualifications. 69. PROPOSAL SECURITY 69.1 Each proposal shall be accompanied by proposal security, which shall be in the form of a certified check or a bank cashier's check in the amount of five thousand dollars ($5,000), made payable to the City of Yorkville. Proposals submitted without the required security shall be rejected. After formal written notification by the City that a contract award decision has been made, the proposal security of the successful Contractor shall be forfeited to the City in the event that the Contractor shall withdraw its proposal, or neglect or refuse to enter into a contract and required bond, and the Contractor shall be liable for any damages the City may thereby suffer. 69.2 Proposal securities shall be released as follows: 69.3 (1) The successful Contractor's security shall be retained until the required performance bond($500,000.00) has been furnished; (2) Proposal securities of the proposing Contractors shall be held until the successful Contractor's performance bond has been furnished, at which time the checks will be promptly returned to the unsuccessful Contractors 28 United City of Yorkville 70. TERM OF CONTRACT 70.1 Section 21.1 of the Terms and Conditions document is hereby waived. The term of the Contract will be five (5) years, and shall commence at 12:01 a.m. on May 1, 2007 and shall remain in full force and effect through termination at 11:59 p.m. on April 30, 2012. Upon request, the City may exercise an option to extend the contract term for an additional two (2) year period ending at 11:59 p.m. on April 30, 2014. The Contractor may negotiate in good faith, on request of the City, for an extension to the contract, provided that the contract extension is approved by the City Council no later than one hundred twenty(120) days before the termination of the existing contract. 71. STICKER REFUND 71.1 At the end of the Contract term, should the City select a different scavenger service, the Contractor agrees to refund to all customers, retailers and the City, the full purchase price of all refuse/yard-waste stickers returned to the Contractor within one hundred twenty (120) days after the end of such term. 72. PERFORMANCE BOND 72.1 The Contractor shall provide the City with a performance bond issued by a surety in an amount of$500,000. 73. EMERGENCIES 73.1 The Contractor agrees that should any emergency arise by reason of storm, tornadoes, or other act of God which require additional hauling equipment by the City, the Contractor's equipment shall be placed at the disposal of the City upon request for such temporary use, provided that upon such use the City shall pay the operating cost of such equipment and labor as it is used. The City reserves the right to direct which disposal sites are to be used during an emergency. 74 LOCAL IMPROVEMENTS 74.1 The City of Yorkville reserves the right to construct any improvement or to permit any construction in any street, which may have the effect for a time of preventing the Contractor from traveling his accustomed route or routes for collection. The Contractor shall, however, by an acceptable method, continue to collect the refuse, yard-waste and recyclables to the same extent as though no interference existed upon the streets formerly traveled. This shall be done without extra cost to the City of Yorkville. 75. TAXES, LICENSES & PERMITS 75.1 The Contractor shall pay all sales, use, property, income, and other taxes that are lawfully assessed against the City or the Contractor in connection with the Contractor's facilities and the work included in this Contract, and shall obtain and pay for all licenses, permits, certificates of authority, and inspections required for the work. The Contractor shall furnish to the City satisfactory evidence that it has all permits, licenses, and certificates of authority required to operate for the term of this contract. 76. DEFAULT 76.1 If the Contractor fails to observe the established schedule for more than two (2) 29 United City of Yorkville consecutive working days, and in the opinion of the City's Designated Representative, there has not been sufficient cause to justify such lack of observance, the City shall serve notice, either personally or by affixing such notice to the local premises of the Contractor, that this contract shall be in default if the Contractor does not take action to re-establish the schedule within twenty-four(24) hours of said notice. If at the end of the twenty-four (24) hour period, the Contractor has not made the necessary corrections, the City shall take such steps as are necessary, to provide services according to the collection schedule submitted by the Contractor. The Contractor will be liable for any costs of such steps from the date of the notice of default. If deemed necessary by the City's Designated Representative, the City shall have the right to take over all equipment and facilities of the Contractor for a period of up to one-hundred-twenty(120) days from the date of notice of default. 77. STRIKES/FORCE MAJEURE 77.1 The Contractor shall be required to file proof with the City Administrator or his designee that it has a "no strike" provision for the duration of all collective bargaining agreements with its workers. Upon execution of any new agreement, the Contractor shall forward to the City Administrator within thirty(30) days thereafter, proof that said agreement also contains a "no strike" clause. 78.2 Should nevertheless, a strike occur which lasts more than three (3) calendar days, the City shall be permitted to institute such procedures to collect and dispose of the waste to be collected pursuant to this Agreement as the City deems necessary. The Contractor shall be responsible for reimbursing the City for any and all costs it may incur in such an endeavor. 78.3 Neither party shall be deemed in violation of this Agreement for the delay in that party's performance or failure to perform in whole or in part its obligations under this Agreement due to war or act of war(whether an actual declaration is made or not), insurrection, riot, act of public enemy, fire, flood or other act of God or by other events to the extent that such events are caused by circumstances beyond the party's control and are not caused by negligence on the part of that party or anyone acting on its behalf,provided, however, that strikes or work stoppages by Contractor's own work forces shall not be considered events caused by circumstances beyond the Contractor's control. In the event that the delay in performance or failure to perform affects only part of the Contractor's capacity to perform its obligations under this Agreement, the Contractor shall perform such obligations to the extent it is able to do so in as expeditious a manner as possible. The Contractor shall promptly notify the City in writing of any event covered by this Section and the date, nature and cause thereof. Such notice shall indicate the anticipated extent of such delay and the obligations under this Agreement to be affected thereby 30 United City of Yorkville IV. PROPOSAL/CONTRACT FORM ***THIS PROPOSAL, WHEN ACCEPTED AND SIGNED BY AN AUTHORIZED SIGNATORY OF THE CITY OF YORKVILLE, SHALL BECOME A CONTRACT BINDING UPON BOTH PARTIES. Entire Block Must Be Completed When A Submitted Bid Is To Be Considered For Award PROPOSER: Date: Company Name 31 United City of Yorkville Email Address Street Address of Company Contact Name (Print) City, State, Zip 24-Hour Telephone Business Phone Signature of Officer, Partner or Fax Sole Proprietor Print Name & Title ATTEST: If a Corporation Signature of Corporation Secretary CITY OF YORKVILLE: ATTEST: Authorized Signature Signature of City Clerk Title Date Date In compliance with the specifications, the above-signed offers and agrees, if this Proposal is accepted within 90 calendar days from the date of opening, to furnish any or all of the services upon which prices are quoted, at the price set opposite each item, delivered at the designated point within the time specified above. VENDOR W-9 REQUEST FORM The law requires that we maintain accurate taxpayer identification numbers for all individuals and partnerships to whom we make payments, because we are required to report to the I.R.S. all payments of$600 or more annually. We also follow the I.R.S. recommendation that this information be maintained for all payees including corporations. Please complete the following substitute W-9 letter to assist us in meeting our I.R.S. reporting requirements. The information below will be used to determine whether we are required to send you a Form 1099. Please respond as soon as possible, as failure to do so will delay our payments. 32 United City of Yorkville BUSINESS(PLEASE PRINT OR TYPE): NAME ADDRESS: CITY: STATE: ZIP: PHONE: FAx: TAX ID#(TIN): (If you are supplying a social security number, please give your full name) REMIT TO ADDRESS(IF DIFFERENT FROM ABOVE): NAME ADDRESS: CITY: STATE: ZIP: TYPE OF ENTITY(ciRcLE ONE): -Individual -Sole Proprietor -Government Agency •LLP(Limited Liability Partnership) •LLC(Limited Liability Corporation) •Medical -Partnership -Charitable/Nonprofit •Incorporated -Other(Please describe) SIGNATURE: DATE: 33 United City of Yorkville PROPOSER'S CERTIFICATION (page 1 of 3) With regard to , proposer hereby certifies (Name of Project) (Name of Proposer) the following: 1. Proposer is not barred from bidding this contract as a result of violations of Section 720 ILCS 5/33E-3 (Bid Rigging) or 720 ILCS 5/33E-4 (Bid-Rotating); 2. Proposer certifies that it has a written sexual harassment policy in place and is in full compliance with 775 ILCS §12-105(A)(4); 3. Proposer certifies that not less than the prevailing rate of wages as determined by the City of Yorkville, Kendall County County or the Illinois Department of Labor shall be paid to all laborers, workers and mechanics performing work for the City of Yorkville. All bonds shall include a provision as will guarantee the faithful performance of such prevailing wage clause. Proposer agrees to comply with the Illinois Prevailing Wage Act, 820 ILCS 130/1 et seq., for all work completed. Proposer agrees to pay the prevailing wage and require that all of its subcontractors pay prevailing wage to any laborers, workers or mechanics who perform work pursuant to this contract or related subcontract. Proposer and each subcontractor shall keep or cause to be kept an accurate record of names, occupations and actual wages paid to each laborer, workman and mechanic employed by the Proposer in connection with the contract. This record shall be sent to the City on a monthly basis along with the invoice and shall be open to inspection at all reasonable hours by any representative of the City or the Illinois Department of Labor and must be preserved for four(4) years following completion of the contract. Proposer certifies that proposer and any subcontractors working on the project are aware that filing false payroll records is a class B misdemeanor and that the monetary penalties for violations are to be paid pursuant to law by the proposer, contractor and subcontractor. The City shall not be liable for any underpayments. If applicable: Since this is a contract for a fixed public works project, as defined in 820 ILCS 130/2, Contractor agrees to post at the job site in an easily accessible place, the prevailing wages for each craft or type of worker or mechanic needed to execute the contract or work to be performed. 4. Proposer certifies that it is in full compliance with the Federal Highway Administrative Rules on Controlled Substances and Alcohol Use and Testing, 49 C. F.R. Parts 40 and 382 and that all employee drivers are currently participating in a drug and alcohol testing program pursuant to the Rules. 5. Proposer further certifies that it is not delinquent in the payment of any tax administered by the Department of Revenue, or that Proposer is contesting its liability for the tax delinquency or the amount of a tax delinquency in accordance with the procedures established by the appropriate Revenue Act. Proposer further certifies that if it owes any tax payment(s) to the Department of Revenue, Proposer has entered into an agreement with the Department of 34 United City of Yorkville PROPOSER'S CERTIFICATION (page 2 of 3) Revenue for the payment of all such taxes that are due, and Proposer is in compliance with the agreement. BY: Proposer's Authorized Agent FEDERAL TAXPAYER IDENTIFICATION NUMBER or Social Security Number Subscribed and sworn to before me this day of , 20_. Notary Public) (Fill Out Applicable Paragraph Below) (a) Corporation The Proposer is a corporation organized and existing under the laws of the State of which operates under the Legal name of and the full names of its Officers are as follows: President: Secretary: Treasurer: and it does have a corporate seal. (In the event that this bid is executed by other than the President, attach hereto a certified copy of that section of Corporate By-Laws or other authorization by the Corporation which permits the person to execute the offer for the corporation.) (b) Partnership Signatures and Addresses of All Members of Partnership: 35 United City of Yorkville PROPOSER'S CERTIFICATION (page 3 of 3) The partnership does business under the legal name of- which name is registered with the office of in the state of (c) Sole Proprietor The Supplier is a Sole Proprietor whose full name is: and if operating under a trade name, said trade name is: which name is registered with the office of in the state of 5. Are you willing to comply with the City's preceding insurance requirements within 13 days of the award of the contract? Insurer's Name Agent Street Address City, State, Zip Code Telephone Number UWe affirm that the above certifications are true and accurate and that I/we have read and understand them. Print Name of Company: Print Name and Title of Authorizing Signature: Signature: Date: 36 United City of Yorkville APPENDIX 1 GENERAL PRICE QUOTATION SHEET Please provide all costs associated with once a week,same day refuse,yard waste,leaf,and recycling collection services for each year in accordance with the following schedule: Year I Year 2 Year 3 Year 4 Year 5 5/01/09- I 1 4/30/08 4/30/09 4/30/10 I I 1. Monthly Prices(Shall include 2 Amnesty Day Collection and Live Christmas tree collection for two weeks in January at no additional cost) Refuse,yard waste,and recycling collection program as outlined in the contract as Program $ $ $ $ $ A,one 64 gallon refuse tote,and one 64 gallon recycling tote Refuse,yard waste,and recycling collection program as outlined in the contract as Program $ $ $ $ $ B,one 64-gallon refuse tote,and one 64 gallon recycling tote 2.Other Components of Price Quotation Special Collections(charge $ $ $ $ $ per cubic yard) Cost of 96 gallon or 33 gallon refuse cart or $ $ $ $ $ recycling cart 37 United City of Yorkville APPENDIX 2 REQUIRED RECYCLABLES TO BE COLLECTED The City requires that the Contractor shall collect the following recyclable material for the entire term of the contract. Additionally, the Contractor is encouraged to identify additional items they will be collecting, not on the current list. Required Recyclable Materials • brown paper bags • corrugated cardboard • boxes and cartons • chipboard/paperboard (to include brown or gray box board or paperboard, cereal boxes, shoe boxes, &paper towel cores) • magazines and catalogues • mixed paper, glossy & non-glossy (to include stationary, notebook paper, post-it notes, computer paper, typing paper, flyers, greeting cards, file folders and all envelopes, with and without windows) • newspaper(including all supplements) • telephone books • wet strength carrier stock (to include paper board used for refrigerated and frozen items) • frozen food packages • aerosol cans • aluminum cans and foil • formed aluminum containers and wraps • aseptic packaging and gable top containers • formed steel containers • glass bottles and jars (brown, green, and clear) • plastic containers (colored or cloudy white HDPE milk,juice and/or water bottles, jars and jugs) • all plastic containers #1 through#5 and plastic containers #7 • LDPE and HDPE soft plastic six(6) and twelve (12) pack rings • steel cans • steel paint cans and lids • household batteries Other Recyclable Materials Proposed by Contractor LJ LJ LJ 38 United City of Yorkville APPENDIX 3 SCHEDULE OF ALTERNATIVES AND DEVIATIONS Please list any proposed alternative or deviation to the minimum standards outlined in the specifications section of this document. (Please attach additional sheets if necessary.) Section Paragraph Explanation Alternative/Deviation 39 United City of Yorkville APPENDIX 4 SCHEDULE OF ILLINOIS MUNICIPALITIES SERVED Please list municipal references. (Please attach additional sheets if necessary) Municipality Contact Name & Service Explanation of Collection and Telephone Number Dates Disposal Program 40 United City of Yorkville APPENDIX 5 LOCATION OF DISPOSAL FACILITIES Please provide below information concerning the facilities, which are intended to be used for the disposal of refuse, yard waste, and recyclable materials collected at the curbside. (Please attach additional sheets if necessary.) REFUSE Name of Facility Facility Address Disposal Limitations RECYCLING Name of Facility Facility Address Disposal Limitations YARD WASTE Name of Facility Facility Address Disposal Limitations 41 United City of Yorkville APPENDIX 6 CONTRACTOR QUALIFICATIONS Name of Business: Business Address: Mailing Address: Business Number: Emergency Number: Fax Number: Ownership: Individual Partnership Corporation Franchise or Parent Company(if applicable): List all Partners, Managers, and Corporate Officers: Name Title Residence Phone Days of Operation: Business Hours: Number of Employees: Supervisors: Drivers: Office Personnel: Signature: Date: 42 United City of Yorkville EXHIBIT A SOLID WASTE COLLECTION DAY MAP See attached 43 United City of Yorkville EXHIBIT B SERVICES FOR MUNICIPAL AND PUBLIC FACILITIES Location Service Type Size Frequency Library Refuse 1-1.5 yd lx/wk 902 Game Farm Road Recycling 1-1.5 yd lx/wk City Hall and Police Refuse 1-6 yd 2x/wk Department Recycling 1-2 yd cardboard lx/wk 800 Game Farm Road Recycling(paper) 6-96 gallon toters lx/wk Public Works Recycling 1-2 yd cardboard lx/wk 610 Tower Lane Refuse 1-20 yd open lx/wk Parks and Recreation Refuse 1-20 yd open lx/wk Satellite Office at Old Post Recycling 1-96 gallon toter lx/wk Office Recycling 1-1 yd cardboard lx/wk 201 W.Hydraulic Avenue Parks and Recreation Refuse 1-1.5 yd lx/wk Riverfront Administrative Recycling 2-96 gallon toter Ix/wk Building 301 E.Hydraulic Parks and Recreation Refuse 1-1.5 yd lx/wk Riverfront Program Recycling 2-96 gallon toter lx/wk Buildine 131 E.Hydraulic Beecher Center Refuse 1-4yd refuse lx/wk 908 Game Farm Road Recycle 1-2yd recycle lx/wk All City Rentals Refuse 96 gal.toters, 33 gal. toters, 18 When Required gal.toters 30 yd open dumpster The Contractor shall provide, at no cost to the City, the collection and disposal of all refuse, recycling, and yard waste, or more often if requested by the City. A comprehensive recycling program shall also be provided at no cost for the municipal facilities listed above (new or additional facilities may be added at any time during the Contract term). The Contractor shall be responsible for supplying all service equipment associated with totes and containers/dumpsters to said facilities as set forth in the Contract. 44 0 C/T y Reviewed By: Agenda Item Number J� A 0 Legal ❑ OB #3 Q}y Finance esr. 1Z � 1836 Engineer El-�� Tracking Number W City Administrator 0 °°°^oys Consultant El K° CC 2011-71 El Agenda Item Summary Memo Title: Revised FY 12 Budgets—Parks &Recreation and Library Meeting and Date: Administration Committee 7/21/11 Synopsis: Ordinance approving a revised budget. See attached memo. Council Action Previously Taken: Date of Action: CC 4/12/11 Action Taken: Approval of FYI Budget Item Number: CC 2011-22 Type of Vote Required: Majority Council Action Requested: Approval Submitted by: Rob Fredrickson Finance Name Department Agenda Item Notes: Memorandum To: Administration Committee EST. -,l 1836 From: Rob Fredrickson, Finance Director .4 y Date: June 30, 2011 p� az 2p� Subject: Park and Recreation, Recreation Center and Library Amended �nd� o Ty vt Budgets ALE The following Park and Recreation (79), Recreation Center(80) and Library (82-84)budget documents were passed by their respective boards on April 28th and April 11'. These budget documents differ from the original proposed budgets adopted by City Council on April 12th Therefore, these budget documents are once again submitted to Council for formal adoption. For comparative purposes, both the adopted (City Council approved) and amended(Park/Library Board approved)budgets are presented(side-by-side) on the attachments that follow this memorandum. Please note that the Library Fund has been divided into three funds to enhance transparency and budgetary control. The Library Operations Fund(82) shows all revenues and expenditures that relate to day-to-day operations, thus excluding debt service and building development fees. The Library Debt Service Fund (83) will be used to account for revenues and expenditures associated with the 2005B and 2006 bonds. The fund balance for this fund, at least in theory, is zero due to the fact that the property tax amount levied should equal corresponding debt service payments. The Library Development Fee Fund(84)will be used to account for building permit fees that have been designated for Library building maintenance or related capital purchases. The fund will be created by an interfund transfer from Library Operations in the amount of$332,500, which represents the approximate amount of cash at Old Second Bank in the Library's Development/Building Expansion account. Parks and Recreation Fund(79) This fund accounts for the daily operations of the Parks and Recreation Department. Programs,classes,special events and maintenance of City wide park land and public facilities makeup the day today operations. Programs and classes consist of a wide variety of options serving children through senior citizens. Special events range from Music Under the Stars to Home Town Days. City wide maintenance consists of over two hundred acres at more than fifty sites including buildings,boulevards,parks, utility locations and natural areas. FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projected Adopted Amended Projected Projected Revenue Intergovernmental 2,000 1,478 500 - - - - - Charges for Service 419,091 365,910 394,000 327,792 345,000 345,000 345,000 345,000 Investment Earnings 1,370 286 500 300 300 300 300 300 Reimbursements - - - 7,000 - - - - Miscellaneous 32,292 29,905 33,100 26,200 97,700 97,700 30,200 65,200 Other Financing Sources 1,080,348 1,119,500 1,051,890 774,244 732,710 732,710 800,210 765,210 Total Revenue 1,535,101 1,517,079 1,479,990 1,135,536 1,175,710 1,175,710 1,175,710 1,175,710 Expenditures Salaries 1,009,480 790,971 807,938 684,300 648,300 667,800 667,800 667,800 Benefits 141,014 124,085 134,224 110,884 109,730 109,730 109,730 109,730 Contractual Services 157,117 125,365 149,300 138,400 150,430 144,430 144,430 144,430 Supplies 252,136 245,396 270,450 247,103 267,250 267,250 267,250 267,250 Contingencies 440 - - - - - - - Other Financing Uses - 150,000 100,000 - - - - - Total Expenditures 1,560,187 1,435,817 1,461,912 1,180,687 1,175,710 1,189,210 1,189,210 1,189,210 Surplus(Deficit) (25,086) 81,262 18,078 (45,151) - (13,500) (13,500) (13,500) Ending Fund Balance (56,112) 25,151 (38,034) (20,000) 0 (33,500) (47,000) (60,500) -1.7% 0.0% -2.8% -4.0% -5.1% $40 Fund Balance $20 3 $0 t ($20) ~ ($40) ($60) ($80) FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projected Adopted Amended Projected Projected Personnel-Parks Department Full-time Personnel: Parks Superintendent 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Foreman 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Maintenance Worker I 3.0 3.0 2.0 2.0 2.0 2.0 2.0 2.0 Maintenance Worker II 4.0 4.0 4.0 4.0 4.0 4.0 4.0 4.0 Total Full-Time Personnel 9.0 9.0 8.0 8.0 8.0 8.0 8.0 8.0 Part-time Personnel: Seasonal Staff 12.0 2.0 4.0 4.0 4.0 4.0 4.0 4.0 Total Personnel-Parks 21.0 11.0 12.0 12.0 12.0 12.0 12.0 12.0 Personnel-Recreation Department Full-time Personnel: Director of Parks&Recreation 1.0 0.5 0.5 0.5 0.5 0.5 0.5 0.5 Recreation Superintendent 0.0 0.0 0.0 1.0 1.0 1.0 1.0 1.0 Recreation Manager 1.0 1.0 1.0 0.0 0.0 0.0 0.0 0.0 Recreation Coordinator 2.0 2.0 2.0 1.0 1.0 1.0 1.0 1.0 Office Supervisor 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Receptionist 1_0 1_0 1_0 0.0 0_0 0_0 0_0 0_0 Total Full-Time Personnel 6.0 5.5 5.5 3.5 3.5 3.5 3.5 3.5 Part-time Personnel: Receptionist 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Maintenance Worker 1.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 Total Part-Time Personnel 2.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Total Personnel-Recreation 8.0 6.5 6.5 4.5 4.5 4.5 4.5 4.5 Total Personnel 29.0 17.5 18.5 16.5 16.5 16.5 16.5 16.5 The City Administrator is also the Interim Director of Parks and Recreation Salary and benefit amounts are split equally between General and Park and Recreation Funds United City of Yorkville Parks and Recreation Fund 79 PARKS AND RECREATION FUND REVENUE FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Intergovernmental 79-000-41-00-4182 MISC INTERGOVERNMENTAL 2,000 1,478 500 - - - - - Total: Intergovernmental $2,000 $1,478 $500 $0 $0 $0 $0 $0 Charges for Services 79-000-44-00-4440 PROGRAM FEES 244,521 180,230 225,000 160,000 180,000 180,000 180,000 180,000 79-000-44-00-4441 CONCESSION REVENUE 29,597 39,573 30,000 33,000 30,000 30,000 30,000 30,000 79-000-44-00-4442 GOLF OUTING REVENUE 34,210 8,659 9,000 - - - - - 79-000-4400-4443 HOMETOWN DAYS 110,763 137,448 130,000 134,792 135,000 135,000 135,000 135,000 Total: Charges for Services $419,091 $365,910 $394,000 $327,792 $345,000 $345,000 $345,000 $345,000 Investment Earnings 79-000-45-00-4500 INVESTMENT EARNINGS 1,370 286 500 300 300 300 300 300 Total: Investment Earnings $1,370 $286 $500 $300 $300 $300 $300 $300 Reimbursements 79-000-46-00-4680 REIMB-LIABILITY INSURANCE - - - 7,000 - - - - Total: Reimbursements $0 $0 $0 $7,000 $0 $0 $0 $0 Miscellaneous 79-000-48-00-4820 RENTAL INCOME 15,991 19,329 15,000 15,000 86,000 86,000 15,000 50,000 Verizon Wireless Lease$71,000 Other Rentallncame$15,000 79-000-48-00-4846 SPONSORSHIPS/DONATIONS 16,301 10,576 14,600 11,200 11,200 11,200 14,700 14,700 79-000-48-00-4850 MISCELLANEOUS INCOME - - 3,500 - 500 500 500 500 Total: Miscellaneous $32,292 $29,905 $33,100 $26,200 $97,700 $97,700 $30,200 $65,200 Other Financing Sources 79-000-49-00-4901 TRANSFER FROM GENERAL 1,080,348 1,119,500 1,051,890 774,244 732,710 732,710 800,210 765,210 Total: Other Financing Sources $1,080,348 $1,119,500 $1,051,890 $774,244 $732,710 $732,710 $800,210 $765,210 Total: PARKS&REC REVENUE $1,535,101 $1,517,079 $1,479,990 $1,135,536 $1,175,710 $1,175,710 $1,175,710 $1,175,710 United City of Yorkville Parks and Recreation Fund 790 PARKS DEPARTMENT EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Salaries 79-790-50-00-5010 SALARIES AND WAGES 402,683 383,500 350,026 353,000 370,000 370,000 370,000 370,000 79-790-50-00-5015 PART-TIME SALARIES 27,925 7,509 17,000 16,000 17,000 17,000 17,000 17,000 79-790-50-00-5020 OVERTIME 3,264 308 4,000 500 3,000 3,000 3,000 3,000 Total: Salaries $433,872 $391,317 $371,026 $369,500 $390,000 $390,000 $390,000 $390,000 Benefits 79-790-52-00-5212 RETIREMENT PLAN CONTRIBUTION 32,296 32,960 33,953 33,500 37,730 37,730 37,730 37,730 79-790-52-00-5214 FICA CONTRIBUTION 33,192 29,265 28,383 28,611 30,000 30,000 30,000 30,000 Total: Benefits $65,488 $62,224 $62,336 $62,111 $67,730 $67,730 $67,730 $67,730 Contractual Services 79-790-54-00-5412 TRAINING&CONFERENCES 834 - 1,500 700 2,600 2,600 2,600 2,600 79-790-54-00-5415 TRAVEL AND LODGING 41 - - - 750 750 750 750 79-790-54-00-5440 TELECOMMUNICATIONS 3,927 3,085 4,200 4,200 3,780 3,780 3,780 3,780 Cellular Phone$3,780 79-790-54-00-5462 PROFESSIONAL SERVICES 21,449 865 2,000 2,500 4,500 4,500 4,500 4,500 Parks Contractual$4,500 79-790-54-00-5466 LEGAL SERVICES 10,742 4,582 4,000 2,000 4,000 4,000 4,000 4,000 79-790-54-00-5485 RENTAL&LEASE PURCHASE 1,631 - 2,500 500 2,500 2,500 2,500 2,500 Total: Contractual Services $38,625 $8,532 $14,200 $9,900 $18,130 $18,130 $18,130 $18,130 Supplies 79-790-56-00-5600 WEARING APPAREL 2,801 4,024 4,100 4,100 4,100 4,100 4,100 4,100 79-790-56-00-5610 OFFICE SUPPLIES 142 70 300 150 300 300 300 300 79-790-56-00-5620 OPERATING SUPPLIES 22,801 20,372 22,000 17,000 22,500 22,500 22,500 22,500 Operating Supplies$20,000 Flowers&Trees$1,000 Christmas&Public Decorations$1,500 79-790-56-00-5630 SMALL TOOLS&EQUIPMENT 923 1,889 2,250 2,250 2,250 2,250 2,250 2,250 Hand Tools$1,750 Office Equipment$500 79-790-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE - - 500 - 500 500 500 500 79-790-56-00-5640 REPAIR AND MAINTENANCE 35,265 40,514 48,000 38,000 48,000 48,000 48,000 48,000 Maintenance-Equipment$14,000 Maintenance-Parks$34,000 Total: Supplies $61,931 S66,868 $77,150 $61,500 $77,650 $77,650 $77,650 $77,650 Total: PARK DEPT EXPENDITURES $599,917 $528,941 $524,712 $503,011 $553,510 $553,510 $553,510 $553,510 United City of Yorkville Parks and Recreation Fund 792 RECREATION DEPARTMENT EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Salaries 79-792-50-00-5010 SALARIES AND WAGES 400,557 342,637 368,532 248,500 190,000 190,000 190,000 190,000 79-792-50-00-5015 PART-TIME SALARIES 42,060 13,482 22,080 16,000 22,000 25,000 25,000 25,000 79-792-50-00-5020 OVERTIME - - 300 300 300 300 300 300 79-792-50-00-5045 CONCESSION WAGES 8,842 9,968 10,000 10,000 10,000 12,500 12,500 12,500 79-792-50-00-5046 PRE-SCHOOL WAGES 36,905 19,468 20,000 20,000 20,000 25,000 25,000 25,000 79-792-50-00-5052 INSTRUCTORS WAGES 87,243 14,100 16,000 20,000 16,000 25,000 25,000 25,000 Total: Salaries $575,607 $399,654 $436,912 $314,800 $258,300 $277,800 $277,800 $277,800 Benefits 79-792-52-00-5212 RETIREMENT PLAN CONTRIBUTION 35,095 31,675 41,537 28,584 22,000 22,000 22,000 22,000 79-792-52-00-5214 FICA CONTRIBUTION 40,430 30,185 30,351 20,189 20,000 20,000 20,000 20,000 Total: Benefits $75,526 $61,860 $71,888 $48,773 $42,000 $42,000 $42,000 $42,000 Contractual Services 79-792-54-00-5412 TRAINING&CONFERENCES 2,455 - 500 700 2,000 2,000 2,000 2,000 79-792-54-00-5415 TRAVEL AND LODGING 499 - 300 - 1,000 1,000 1,000 1,000 79-792-54-00-5419 GOLF OUTING 21,457 6,001 6,000 - - - - - 79-792-54-00-5426 PUBLISHING&ADVERTISING 41,405 28,013 27,000 27,000 27,000 27,000 27,000 27,000 79-792-54-00-5440 TELECOMMUNICATIONS 5,896 4,358 4,300 4,300 4,300 4,300 4,300 4,300 Cellular Phone$3,000 Telephonellntereet$1,300 79-792-54-00-5447 SCHOLARSHIPS 1,050 156 1,000 500 1,000 1,000 1,000 1,000 79-792-54-00-5452 POSTAGE&SHIPPING 12,009 7,391 8,000 7,500 8,000 8,000 8,000 8,000 79-792-54-00-5462 PROFESSIONAL SERVICES 2,966 43,483 53,000 54,000 53,000 47,000 47,000 47,000 Contractual Services$50,000 Recording Secretary-Contractual$3,000 79-792-54-00-5480 UTILITIES 12,031 15,690 22,000 22,000 22,000 22,000 22,000 22,000 Electricity$22,000 79-792-54-00-5485 RENTAL&LEASE PURCHASE 4,267 4,145 3,500 3,500 4,500 4,500 4,500 4,500 79-792-54-00-5490 DUES AND SUBSCRIPTIONS 713 1,061 1,500 1,500 1,500 1,500 1,500 1,500 79-792-54-00-5495 OUTSIDE REPAIR AND MAINTENANCE 1,552 587 1,000 1,500 1,000 1,000 1,000 1,000 79-792-54-00-5496 PROGRAM REFUNDS 12,193 5,949 7,000 6,000 7,000 7,000 7,000 7,000 Total: Contractual Services $118,492 $116,833 $135,100 $128,500 $132,300 $126,300 $126,300 $126,300 Supplies 79-792-56-00-5600 WEARING APPAREL - - - - - - - - 79-792-56-00-5602 HOMETOWN DAYS SUPPLIES 94,783 100,579 100,000 99,903 100,000 100,000 100,000 100,000 79-792-56-00-5606 PROGRAM SUPPLIES 54;603 41,176 53,600 54,000 55,000 55,000 55,000 55,000 79-792-56-00-5607 CONCESSION SUPPLIES 18,658 24,239 18,000 16,000 18,000 18,000 18,000 18,000 79-792-56-00-5610 OFFICE SUPPLIES 4,599 4,268 3,000 2,500 3,000 3,000 3,000 3,000 79-792-56-00-5620 OPERATING SUPPLIES 6,199 4,837 8,500 5,500 5,500 5,500 5,500 5,500 Operating Supplies$1,000 Portable Toilets$4,500 79-792-56-00-5630 SMALL TOOLS&EQUIPMENT 1,788 510 2,000 2,000 2,000 2,000 2,000 2,000 Recreation Equipment$2,000 79-792-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 155 98 2,600 2,600 500 500 500 500 79-792-56-00-5640 REPAIR AND MAINTENANCE 3,714 825 2,000 1,000 2,000 2,000 2,000 2,000 79-792-56-00-5645 BOOKS AND PUBLICATIONS 708 104 100 100 100 100 100 100 79-792-56-00-5690 SUPPLIES-GRANT REIMBURSABLE 489 45 500 - 500 500 500 500 Youth Services Grant Expenses$500 79-792-56-00-5695 GASOLINE 4,511 1,846 3,000 2,000 3,000 3,000 3,000 3,000 Total: Supplies $190,205 $178,528 $193,300 $185,603 $189,600 $189,600 $189,600 $189,600 United City of Yorkville Parks and Recreation Fund 792 RECREATION DEPARTMENT EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Contingencies 79-792-70-00-7799 CONTINGENCIES 440 - - - - - - - Total: Contingencies $440 $0 $0 $0 $0 $0 $0 $0 Other Financing Uses 79-792-99-00-9901 TRANSFER TO GENERAL - 150,000 100,000 - - - - - Total: Other Financing Uses $0 $150,000 $100,000 $0 $0 $0 $0 $0 Total: RECREATION EXPENDITURES 96$ 0,270 0$9 6,875 9$37.200 67$ 7,676 62$ 2.200 63$ 5.700 63$ 5.700 63$ 5,700 Recreation Center Fund(80) The REC Center is a 38,000 square foot,full-service fitness and recreation facility leased by the City and operated by the Parks and Recreation Department. A variety of membership options are available to both residents and non-residents. The REC Center houses an indoor track,lap pool,whirlpool,and a variety of cardio and resistance equipment. The facility is also used for programming and events,such as Family Winter Fun Night,the Go Green Fair,open basketball,preschool,5k runs and sports leagues. FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projection Adopted Amended Projected Projected Revenue Charges for Service 489,847 574,408 603,500 582,000 603,500 610,000 610,000 610,000 Miscellaneous 8,145 8,632 5,500 8,700 7,500 7,500 7,500 7,500 Other Financing Sources 100,000 - - - - - - - Total Revenue 597,992 583,040 609,000 590,700 611,000 617,500 617,500 617,500 Expenses Salaries 215,132 211,086 232,043 231,543 232,700 243,700 243,700 243,700 Benefits 19,746 24,837 27,658 27,658 27,708 27,708 27,708 27,708 Contractual Services 261,416 342,276 362,650 379,280 380,580 386,880 392,880 398,880 Supplies 79,486 55,080 52,950 52,100 50,750 53,450 53,450 53,450 Capital Outlay 99,837 - - - - - - - Total Expenses 675,617 633,279 675,301 690,581 691,738 711,738 717,738 723,738 Surplus(Deficit) (77,625) (50,240) (66,301) (99,881) (80,738) (94,238) (100,238) (106,238) Ending Fund Balance Equivalent (77,579) (127,815) (143,880) (227,696) (308,434) (321,934) (422,172) (528,410) -33.0% -44.6% -45.2% -58.8% -73.0% Fund Balance Equivalent $0 1$200) 0 L ~ ($400) ($600) Personnel Full-time Personnel: Facility Coordinator 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Part-time Personnel: Front Desk Staff 11.0 11.0 8.0 9.0 9.0 9.0 9.0 9.0 Janitorial Staff 2.0 2.0 2.0 2.0 2.0 2.0 2.0 2.0 Kidz Club Staff 4.0 4.0 4.0 4.0 4.0 4.0 4.0 4.0 Preschool Staff 3_0 3_0 3_0 3_0 3.0 3_0 3_0 3_0 Total Part-Time Personnel 20.0 20.0 17.0 18.0 18.0 18.0 18.0 18.0 Total Personnel 21.0 21.0 18.0 19.0 19.0 19.0 19.0 19.0 United City of Yorkville Recreation Center Fund 80 RECREATION CENTER FUND REVENUE FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Charges for Services 80-000-44-00-4440 PROGRAM FEES 121,406 123,073 125,000 125,000 125,000 125,000 125,000 125,000 80-000-44-00-4441 CONCESSION REVENUE 8,372 12,915 12,500 12,700 12,500 12,500 12,500 12,500 80-000-44-00-4444 MEMBERSHIP FEES 321,099 387,975 410,000 400,000 410,000 430,000 430,000 430,000 80-000-44-00-4445 GUEST FEES 7,517 4,303 3,500 4,300 3,500 5,000 5,000 5,000 80-000-44-00-4446 SWIM CLASS FEES 17,060 30,949 35,000 30,000 35.,000 25,000 25,000 25,000 80-000-44-00-4447 PERSONAL TRAINING FEES 11,576 12,603 15,000 8,000 15,000 10,000 10,000 10,000 80-000-44-00-4448 TANNING SESSION FEES 2,817 2,590 2,500 2,000 2,500 2,500 2,500 2,500 Total: Charges for Services $489,847 $574,408 $603,500 $582,000 $603,500 $610,000 $610,000 $610,000 Miscelaneous 80-000-48-00-4820 RENTAL INCOME 4,698 4,056 3,000 6,000 5,000 5,000 5,000 5,000 80-000-48-00-4845 DONATIONS 3,447 3,176 2,000 2,700 2,000 2,000 2,000 2,000 80-000-48-00-4850 MISCELLANEOUS INCOME - 1,400 500 - 500 500 500 500 Total: Miscellaneous $8,145 $8,632 $5,500 $8,700 $7,500 $7,500 $7,500 $7,500 Other Financing Sources 80-000-49-00-4972 TRANSFER FROM LAND CASH 100,000 - - - - - - - Total: Other Financing Sources $100,000 $0 $0 $0 $0 $0 $0 $0 Total: REC CTR REVENUE $597,992 $583,040 $609,000 $590,700 $611,000 $617,500 $617,500 $617,500 United City of Yorkville Recreation Center Fund 800 RECREATION CENTER EXPENSES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Salaries 80-800-50-00-5010 SALARIES AND WAGES 27,886 34,068 33,543 33,543 34,200 34,200 34,200 34,200 80-800-50-00-5015 PART-TIME SALARIES 90,600 101,640 98,000 98,000 98,000 114,000 114,000 114,000 80-800-50-00-5020 OVERTIME 953 - 500 - 500 500 500 500 80-800-50-00-5046 PRE-SCHOOL WAGES 35,781 22,644 35,000 35,000 35,000 35,000 35,000 35,000 80-800-50-00-5052 INSTRUCTORS WAGES 59,912 52,734 65,000 65,000 65,000 60,000 60,000 60,000 Total: Salaries $215,132 $211,086 $232,043 $231,543 $232,700 $243,700 $243,700 $243,700 Benefits 80-800-52-00-5212 RETIREMENT PLAN CONTRIBUTION 4,088 8,804 10,000 10,000 10,000 10,000 10,000 10,000 80-800-52-00-5214 FICA CONTRIBUTION 15,658 16,034 17,658 17,658 17,708 17,708 17,708 17,708 Total: Benefits $19,746 $24,837 $27,658 $27,658 $27,708 $27,708 $27,708 $27,708 Contractual Services 80-800-54-00-5412 TRAINING&CONFERENCES 660 - - - - - - - 80-800-54-00-5415 TRAVEL AND LODGING 157 - 200 100 200 200 200 200 Mileage$200 80-800-54-00-5426 PUBLISHING&ADVERTISING 859 1,478 1,500 1,000 1,500 1,500 1,500 1,500 80-800-54-00-5440 TELECOMMUNICATIONS 2,051 2,357 2,350 3,600 3,600 3,600 3,600 3,600 Telephone$3,000 Cellular Phone$600 80-800-54-00-5447 SCHOLARSHIPS - 216 900 400 900 900 900 900 80-800-54-00-5452 POSTAGE&SHIPPING 73 180 600 500 600 600 600 600 80-800-54-00-5462 PROFESSIONAL SERVICES 7,152 22,433 17,700 22,700 17,700 20,000 20,000 20,000 Contractual Services$15,000 Towel Rental$1,500 Licenses grid Permits$700 Security$500 80-800-54-00-5480 UTILITIES 42,628 46,796 39,000 49,000 49,000 53,000 53,000 53,000 Electricity$38,000 Nicor$11,000 80-800-54-00-5485 RENTAL&LEASE PURCHASE 177,131 214,558 220,500 220,500 226,500 226,500 232,500 238,500 Lease Payments$222,000 Maintenance-Office Equipment$4,500 80-800-54-00-5490 DUES AND SUBSCRIPTIONS 174 89 200 200 200 200 200 200 80-800-54-00-5495 OUTSIDE REPAIR AND MAINTENANCE 26,691 20,012 21,200 21,100 21,200 21,200 21,200 21,200 Maintenance-General$16,000 Pool Repair$5,000 Phone System$200 80-800-54-00-5496 PROGRAM REFUNDS 3,840 7,837 5,500 6,500 5,500 5,500 5,500 5,500 80-800-54-00-5497 PROPERTY TAX PAYMENT - 26,320 53,000 53,680 53,680 53,680 53,680 53,680 Total: Contractual Services $261,416 $342,276 $362,650 $379,280 $380,580 $386,880 $392,880 $398,880 United City of Yorkville Recreation Center Fund 800 RECREATION CENTER EXPENSES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Supplies 80-800-56-00-5600 WEARING APPAREL - - - - - - - - 80-800-56-00-5606 PROGRAM SUPPLIES 18,631 19,119 17,000 17,000 17,000 17,000 17,000 17,000 80-800-56-00-5607 CONCESSION SUPPLIES 5;234 11,615 6,300 8,000 6,300 9,000 9,000 9,000 Concession Supplies$6,000 Miscellaneous Retail$300 80-800-56-00-5610 OFFICE SUPPLIES 5,045 2,383 2,600 1,800 2,600 2,600 2,600 2,600 80-800-56-00-5620 OPERATING SUPPLIES 7,332 5,330 6,200 4,700 6,200 6,200 6,200 6,200 Operating Supplies$3,000 Pool Supplies$3,200 80-800-56-00-5630 SMALL TOOLS&EQUIPMENT 6,678 4,100 6,300 6,200 6,300 6,300 6,300 6,300 Recreation Equipment$6,000 Office Equipment$300 80-800-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 22,278 3,178 3,200 3,200 1,000 1,000 1,000 1,000 80-800-56-00-5640 REPAIR AND MAINTENANCE 14,184 9,355 11,000 11,000 11,000 11,000 11,000 11,000 Maintenance Supplies$11,000 80-800-56-00-5645 BOOKS AND PUBLICATIONS 105 - 50 - 50 50 50 50 80-800-56-00-5695 GASOLINE - - 300 200 300 300 300 300 Total: Supplies $79,486 $55,080 $52,950 $52,100 $50,750 $53,450 $53,450 $53,450 Capital Outlay 80-800-60-00-6020 BUILDINGS AND STRUCTURES 99,837 - - - - - - - Total: Capital Outlay $99,837 $0 $0 $0 $0 $0 $0 $0 Total: REC CTR EXPENSES $675,617 $633,279 $675,301 $690,581 $691,738 $711,738 $717,738 $723,738 Library Operations Fund(82) The Yorkville Public Library provides the people of the community,from pre-school through maturity,with access to a collection of books and other materials which will serve their educational,cultural and recreational needs. The Library board and staff strive to provide the community an environment that promotes the love of reading. FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projected Adopted Amended Projected Projected Revenue Taxes 1,115,409 1,183,774 1,255,924 1,252,191 1,395,800 675,000 700,000 725,000 Intergovernmental 4,551 19,693 22,500 22,693 18,500 22,200 22,200 22,200 Licenses&Permits 65,400 31,100 40,000 17,650 - 8,000 8,000 8,000 Fines&Forfeits 9,531 11,503 9,000 13,906 20,000 13,000 13,000 13,000 Charges for Service 19,487 18,493 18,000 16,802 20,500 13,000 13,000 13,000 Investment Earnings 10,985 1,952 10,000 784 2,000 250 250 250 Reimbursements - 6,181 - - - - - - Miscellaneous 3,183 6,113 4,500 7,687 6,500 5,500 5,500 5,500 Total Revenue 1,228,546 1,278,809 1,359,924 1,331,713 1,463,300 736,950 761,950 786,950 Expenditures Salaries 428,161 486,675 650,000 501,500 475,000 434,000 434,000 434,000 Benefits 99,917 134,192 155,000 143,368 140,500 158,425 175,455 191,565 Contractual Services 129,909 152,280 258,500 192,000 116,800 105,100 105,100 105,100 Supplies 181,878 164,687 345,000 202,652 123,500 29,250 29,250 29,250 Contingencies 6,923 4,985 144,561 10,000 10,000 1,000 1,000 1,000 Debt Service 467,406 564,050 605,925 605,925 720,800 - - - Other Financing Uses - - - - - 332,500 - - Total Expenditures 1,314,193 1,506,868 2,158,986 1,655,445 1,586,600 1,060,275 744,805 760,915 Surplus(Deficit) (85,647) (228,059) (799,062) (323,732) (123,300) (323,325) 17,145 26,035 Ending Fund Balance 799,062 571,002 0 247,270 (158,223) (76,055) (58,910) (32,875) 14.9% -10.0% -7.2% -7.9% -4.3% $1,000 Fund Balance $500 0 L ~ $o ($500) FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projected Adopted Amended Projected Projected Personnel Full-time Personnel: Library Director 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Director of Adult Services 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Director of Youth Services 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Director of Technical Services 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Circulation Manager 1_0 1_0 1_0 1_0 1_0 1_0 1_0 1_0 Total Full-time Personnel 5.0 5.0 5.0 5.0 5.0 5.0 5.0 5.0 Part-time Personnel: Library Clerks 30.0 30.0 30.0 30.0 26.0 26.0 26.0 26.0 Building Manager 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 Custodian 4.0 4.0 4.0 4.0 4.0 4.0 4.0 4.0 Total Part-Time Personnel 35.0 35.0 35.0 35.0 31.0 31.0 31.0 31.0 Total Personnel 40.00 40.00 40.00 40.00 36.00 36.00 36.00 36.00 United City of Yorkville Library Fund 82 LIBRARY FUND REVENUE FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Taxes 82-000-40-00-4005 PROPERTY TAXES-LIBRARY 652,085 622,624 650,000 663,101 675,000 675,000 700,000 725,000 82-000-40-00-4015 PROPERTY TAXES-DEBT SERVICE 463,324 561,150 605,924 589,090 720,800 - - - Total: Taxes $1,115,409 $1,183,774 $1,255,924 $1,252,191 $1,395,800 $675,000 $700,000 $725,000 Intergovernmental 82-000-41-004120 PERSONAL PROPERTY TAX 4,551 5,139 5,000 5,500 5,000 5,000 5,000 5,000 82-000-41-004170 STATE GRANTS - 14,555 17,500 17,193 13,500 17,200 17,200 17,200 Libraryper Capita Grant$17,200 Total: Intergovernmental $4,551 $19,693 $22,500 $22,693 $18,500 $22,200 $22,200 $22,200 Licenses and Permits 82-000-42-004211 DEVELOPMENT FEES-BOOKS 32,700 15,550 20,000 8,825 - 8,000 8,000 8,000 82-000-42-004212 DEVELOPMENT FEES-BUILDING 32,700 15;550 20,000 8,825 - - - - Total: Licenses and Permits $65,400 $31,100 $40,000 $17,650 $0 $8,000 $8,000 $8,000 Fines and Forfeits 82-00043-00-4330 LIBRARY FINES 9.,531 11,503 9,000 13,906 20,000 13,000 13.000 13,000 Total: Fines and Forfeits $9,531 $11,503 $9,000 $13,906 $20,000 $13,000 $13,000 $13,000 Charges for Services 82-000-44-00-4401 LIBRARY SUBSCRIPTION CARDS 16,758 14,720 15,000 13,419 17,000 8,000 8,000 8,000 82-000-44-004422 COPY FEES 2,729 3,773 3,000 3,383 3,500 3,000 3,000 3,000 82-000-44-004440 PROGRAM FEES - - - - - 2,000 2,000 2,000 Total: Charges for Services $19,487 $18,493 $18,000 $16,802 $20,500 $13,000 $13,000 $13,000 Investment Earnings 82-000-45-00-4500 INVESTMENT EARNINGS 10,985 1,952 WA00 784 2,000 250 250 250 Total: Investment Earnings $10,985 $1,952 $10,000 $784 $2,000 $250 $250 $250 Reimbursements 82-000-46-004682 REIMB-INSURANCE - 6,181 - - - - - - Total: Reimbursements $0 $6,181 $0 $0 $0 $0 $0 $0 Miscellaneous 82-000-48-004820 RENTAL INCOME 1,101 1,239 1,000 1,296 2,500 1,500 1,500 1,500 Library Building Rental$1,500 82-000-48-004824 DVD RENTAL INCOME - - - 3,800 - 4,000 4,000 4,000 82-000-48-004832 MEMORIALS 1,363 4,451 3,000 2,200 3,500 - - - 82-000-48-004850 MISCELLANEOUS INCOME - - - 40 - - - - Exam Proctoring-FY2011 82-00048-004881 SALE OF BOOKS 719 423 500 350 500 - - - Total: Miscellaneous $3,183 $6,113 $4,500 $7,687 $6,500 $5,500 $5,500 $5,500 Total: LIBRARY FUND REVENUE $1,228,546 $1,278,809 $1,359,924 $1,331,713 $1,463,300 $736,950 $761,950 $786,950 United City of Yorkville Library Fund 820 LIBRARY FUND EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Salaries 82-820-50-00-5010 SALARIES AND WAGES 428,161 486,675 650,000 501,500 475,000 241,000 241,000 241,000 82-820-50-00-5015 PART-TIME SALARIES - - - - - 193,000 193,000 193,000 Total: Salaries $428,161 $486,675 $650,000 $501,500 $475,000 $434,000 $434,000 $434,000 Benefits 82-820-52-00-5212 RETIREMENT PLAN CONTRIBUTION 14,704 19,866 22,000 21,605 22,500 22,500 25,000 25,000 82-820-52-00-5214 FICA CONTRIBUTION 32,754 36,691 55,000 37,900 40,000 40,000 40,000 40,000 82-820-52-00-5216 GROUP HEALTH INSURANCE. 47,457 70,805 70,000 76,500 70,000 87,975 101,171 116,347 82-820-52-00-5222 GROUP LIFE INSURANCE 992 1,240 2,000 1,200 2,000 1,000 1,500 1,500 82-820-52-00-5223 DENTAL&VISION INSURANCE 4,010 5,589 6,000 6,163 6,000 6,950 7,784 8,718 Total: Benefits $99,917 $134,192 $155,000 $143,368 $140,500 $158,425 $175,455 $191,565 Contractual Services 82-820-54-00-5412 TRAINING&CONFERENCES 3,421 358 5,000 1,000 800 - - - 82-820-54-00-5415 TRAVEL AND LODGING 989 566 1,000 1,000 500 500 500 500 Mileage$500 82-820-54-00-5423 PUBLIC RELATIONS - 663 2,000 500 1,000 - - - 82-820-54-00-5426 PUBLISHING&ADVERTISING 63 29 2,000 500 500 100 100 100 82-820-54-00-5440 TELECOMMUNICATIONS 4,218 5,198 8,000 10,000 5,000 8,500 8,500 8,500 82-820-54-00-5452 POSTAGE&SHIPPING 1,156 1,738 2,500 2,500 2,000 2,000 2,000 2,000 82-820-54-00-5460 DUES AND SUBSCRIPTIONS 5,205 18,046 30,000 20,000 20,000 14,000 14,000 14,000 Database$7,000 Subscriptions$7,400 82-820-54-00-5462 PROFESSIONAL SERVICES 22,496 20,090 45,000 39,500 44,000 29,000 29,000 29,000 Contractual Services$25,000 Banding Fees$4,000 82-820-54-00-5466 LEGAL SERVICES 595 2,125 10,000 3,500 5,000 2,000 2,000 2,000 82-820-54-00-5468 AUTOMATION 38,933 24,973 40,000 45,500 - 30,000 30,000 30,000 82-820-54-00-5480 UTILITIES 15,454 12,009 48,000 20,000 15,000 15,000 15,000 15,000 Electricity$5,000 Gas$10,000 82-820-54-00-5485 RENTAL&LEASE PURCHASE 1,638 2,442 15,000 3,000 3,000 - - - 82-820-54-00-5489 BUILDING-DEVELOPMENT FEES 6;850 16,171 20,000 20,000 - - - - 82-820-54-00-5495 OUTSIDE REPAIR AND MAINTENANCE 28,892 47,872 30,000 25,000 20,000 4,000 4,000 4,000 Maintenance-Bldg&Janitorial$4,000 Total: Contractual Services $129,909 $152,280 $258,500 $192,000 $116,800 $105,100 $105,100 $105,100 Supplies 82-820-56-00-5610 LIBRARY SUPPLIES 15,808 13,889 35,000 9,000 10,000 8,000 8,000 8,000 82-820-56-00-5620 OPERATING SUPPLIES 8,932 11,104 15,000 12,000 16,000 9,000 9,000 9,000 Custodial Supplies$9,000 82-820-56-00-5635 COMPUTER EQUIPMENT&SOFTWARE 12,188 4,276 20,000 8,500 2,000 - - - 82-820-56-00-5640 REPAIR AND MAINTENANCE 6,404 2,506 20,000 3,000 3,000 - - - 82-820-56-00-5671 LIBRARY PROGRAMMING 11,126 10,137 20,000 15,000 10,000 2,000 2,000 2,000 82-820-56-00-5676 EMPLOYEE RECOGNITION 1,194 1,113 4,000 - - - - - 82-820-56-00-5680 ADULT BOOKS 20,412 20,213 50,000 40,000 15,000 - - - 82-820-56-00-5681 .JUVENILE BOOKS 19,724 40,325 50,000 50,000 30,000 - - - 82-820-56-00-5682 REFERENCE BOOKS 21,716 24,097 35,000 20,000 20,000 - - - 82.820-56-00-5683 AUDIO BOOKS 11,708 8,176 30,000 17,500 5,000 - - - 82-820-56-00-5684 COMPACT DISCS AND OTHER MUSIC 6,645 2,963 15,000 4,000 3,000 - - - 82-820-56-00-5685 DVD'S 4,961 4,750 25,000 10,000 5,000 2,000 2,000 2,000 United City of Yorkville Library Fund 820 LIBRARY FUND EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected 82-820-56-00-5686 BOOKS-DEVELOPMENT FEES 38,068 16,638 20,000 8,652 - 8,000 8,000 8,000 82-820-56-00-5698 MEMORIALS AND GIFTS 2,844 4;416 3,000 3,000 3,500 - - - 82-820-56-00-5699 MISCELLANEOUS 147 83 3,000 2,000 1,000 250 250 250 Meeting Room$250 Total: Supplies $181,878 $164,687 $345,000 $202,652 $123,500 $29,250 $29,250 $29,250 Contingencies 82-820-70-00-7799 CONTINGENCIES 6,923 4,985 144,561 10,000 10,000 1,000 1,000 1,000 Total: Contingencies $6,923 $4,985 $144,561 $10,000 $10,000 $1,000 $1,000 $1,000 Debt Service-2005B Bond 82-820-83-00-8000 PRINCIPLE PAYMENT 25,000 25,000 75,000 75,000 175,000 - - - 82-820-83-00-8050 INTEREST PAYMENT 321,106 320,125 319,125 319,125 316,125 - - - Total: Debt Service-2005B Bond $346,106 $345,125 $394,125 $394,125 $491,125 $0 $0 $0 Debt Service-2006 Bond 82-820-84-00-8000 PRINCIPLE PAYMENT 50,000 150,000 150,000 150,000 175,000 - - - 82-820-84-00-8050 INTEREST PAYMENT 71,300 68,925 61,800 61,800 54,675 - - - Total: Debt Service-2006 Bond $121,300 $218,925 $211,800 $211,800 $229,675 $0 $0 $0 Other Financing Uses 82-820-99-00-9984 TRANSFER TO LIBRARY DEVLP FEE - - - - - 332,500 - - Total: Other Financing Uses $0 $0 $0 $0 $0 $332,500 $0 $0 Total: LIBRARY EXPENDITURES $1,314,193 $1,506,868 $2,158,986 $1,655,445 $1,586,600 $1,060,275 $744,805 $760,915 Library Debt Service Fund(83) The Library Debt Service Fund accumulates monies for payment of the 2005B and 2006 bonds,which were issued to finance construction of the Library building. FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projected Adopted Amended Projected Projected Revenue Taxes 720,800 795,488 771,763 Total Revenue 720,800 795,488 771,763 Expenditures Debt Service 720,800 795,488 771,763 Total Expenditures 720,800 795,488 771,763 Surplus(Deficit) - - - Ending Fund Balance 0 0 0 0 0 0 0 0 N $0 Fund Balance $0 0 $0 $0 $0 $0 United City of Yorkville Library Debt Service Fund 82 LIBRARY DEBT SERVICE FUND REVENUE FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Taxes 83-000-40-00-4015 PROPERTY TAXES - - - - - 720,800 795,488 771,763 Total: Taxes $0 $0 $0 $0 $0 $720,800 $795,488 $771,763 Total: LIBRARY D/S FUND REVENUE $0 $0 $0 $0 $0 $720,800 $795,488 $771,763 United City of Yorkville Library Debt Service Fund 820 LIBRARY DEBT SERVICE FUND EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Debt Service-2005B Bond 83-830-83-00-8000 PRINCIPLE PAYMENT - - - - - 175,000 290,000 335,000 83-830-83-00-8050 INTEREST PAYMENT - - - - - 316,125 309,125 297,525 Total: Debt Service-2005B Bond 50 $0 $0 $0 $0 $491,125 $599,125 $632,525 Debt Service-2006 Bond 83-830-84-00-8000 PRINCIPLE PAYMENT - - - - - 175,000 150,000 100,000 83-830-84-00-8050 INTEREST PAYMENT - - - - - 54,675 46,363 39,238 Total: Debt Service-2006 Bond $0 $0 $0 $0 $0 $229,675 $196,363 $139,238 Total: LIBRARY D/S EXPENDITURES UO ift 10— io_ io_ 72$ 0,800 79$ 5,488 77$ 1,763 Library Development Fee Fund(84) The Library Development Fee Fund derives its revenue from monies collected from building permits. The revenue is used for Library building maintenance and associated capital purchases. FY 2011 FY2009 FY2010 Adopted FY2011 FY2012 FY2012 FY2013 FY2014 Actual Actual Budget Projected Adopted Amended Projected Projected Revenue Licenses&Permits 8,000 8,000 8,000 Investment Earnings 500 500 500 Other Financing Sources 332,500 - - Total Revenue 341,000 8,500 8,500 Expenditures Capital Outlay 4,000 4,000 4,000 Total Expenditures 4,000 4,000 4,000 Surplus(Deficit) 337,000 4,500 4,500 Ending Fund Balance 0 0 0 0 0 337,000 341,500 346,000 „ $400 Fund Balance m $300 r $200 $100 $0 -- — 0 z United City of Yorkville Library Development Fee Fund 82 LIBRARY DVLP FEE FUND REVENUE FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Licenses and Permits 84-000-42-00-4212 DEVELOPMENT FEES-BUILDING - - - - - 8,000 8,000 8,000 Total: Licenses and Permits SO $0 $0 $0 $0 $8,000 $8,000 $8,000 Investment Earnings 84-000-45-00-4500 INVESTMENT EARNINGS - - - - - 500 500 500 Total: Investment Earnings $0 $0 $0 $0 $0 $500 $500 $500 Other Financing Sources 84-000-49-00-4982 TRANSFER FROM LIBRARY OPS - - - - - 332,500 - - Total: Other Financing Sources $0 $0 $0 $0 $0 $332,500 $0 $0 Total: LIBRARY DVLP FEE REVENUE $0 $0 $0 $0 $0 $341,000 $8y00 $8,500 United City of Yorkville Library Development Fee Fund 820 LIBRARY DVLP FEE FUND EXPENDITURES FY 2009 FY 2010 FY 2011 FY 2011 FY 2012 FY 2012 FY 2013 FY 2014 Account Description Actual Actual Budget Projected Adopted Amended Projected Projected Contractual Services 84-840-60-00-6020 BUILDINGS AND STRUCTURES - - - - - 4,000 4,000 4,000 Total: Contractual Services $0 $0 $0 $0 $0 $4,000 $4,000 $4,000 Total: LIBRARY DVLP FEE EXP SO $0 $0 $0 $0 $4100 $4100 $4,000 STATE OF ILLINOIS ) ) ss COUNTY OF KENDALL ) ORDINANCE NO. 2011- ORDINANCE APPROVING THE REVISION OF THE 2011-2012 FISCAL BUDGET FOR THE UNITED CITY OF YORKVILLE WHEREAS, the Mayor and City Council of the UNITED CITY OF YORKVILLE have duly considered revision of the budget for the 2011-2012 Fiscal Year; and WHEREAS, a revised budget was available for examination at the City offices of the UNITED CITY OF YORKVILLE and posted on the city's website; and WHEREAS, the Mayor and City Council of the UNITED CITY OF YORKVILLE deem it in the best interest of the City for the orderly operation thereof to pass and approve the revised 2011-2012 Fiscal Year Budget being submitted on July 26, 2011 at its regular City Council Meeting: NOW, THEREFORE, BE IT ORDAINED, by the Mayor and City Council of the United City of Yorkville, Kendall County, Illinois that the revision of the 2011-2012 Fiscal Budget as presented is hereby adopted for the 2011-2012 Fiscal Year. Passed by the City Council of the United City of Yorkville, Kendall County, Illinois this day of , A.D. 2011. CITY CLERK ROSE ANN SPEARS DIANE TEELING GEORGE GILSON JR. JACKIE MILSCHEWSKI CARLO COLOSIMO MARTY MUNNS CHRIS FUNKHOUSER LARRY KOT Approved by me, as Mayor of the United City of Yorkville, Kendall County, Illinois, this day of , A.D. 2011. MAYOR