AGENDA. Invocation Pastor Phil Zilinski, Fox Valley Baptist Church. V. Proclamations, Congratulatory Resolutions, and Awards

Transcription

1 AGENDA BOARD OF TRUSTEES VILLAGE OF CARPENTERSVILLE November 4, :00 P.M. VILLAGE HALL BOARD ROOM 1200 L.W. BESINGER DRIVE, CARPENTERSVILLE, ILLINOIS I. Call to Order II. III. IV. Roll Call for Attendance Pledge of Allegiance Invocation Pastor Phil Zilinski, Fox Valley Baptist Church V. Proclamations, Congratulatory Resolutions, and Awards VI. Appointments, Confirmations, and Administration of Oath A. Appointment of Finance Director Hitesh Desai to the Position of Village Treasurer B. Reappointment of Mr. Jack Roberts to the Planning and Zoning Commission VII. Public Comment Please keep comments to 5 minutes or less VIII. Consent Agenda All items listed on the Consent Agenda will be enacted by one motion. There will be no separate discussion of those items unless a Trustee so requests, in which event the item will be removed from the general order of business and considered in its normal sequence on the agenda. A. Approval of Bills Fiscal Year Bills List Totaling $ 1,306, B. Approval of Minutes Regular Meeting of October 7, 2014 Page 1

2 C. Ordinance Amending Section of the Carpentersville Municipal Code, as Amended, Regarding the Adoption and Amendment of Rules Governing the Board of Fire and Police Commissioners D. Resolution Approving the Adoption of the Rules and Regulations of the Carpentersville Board of Fire and Police Commissioners E. Resolution Approving Agreements with Third Millennium Associates, Inc. for the Provision of Utility Billing Services F. Adopt Continuing Disclosure Procedures and Policy for 2014 Bond Issuance IX. Reports of Manager, Officers, Commissions, and Staff X. Old Business XI. XII. XIII New Business Trustee Reports Executive Session A. Section 2(c)(6) of Open Meetings Act The setting of a price for sale or lease of property owned by the public body. B. Section 2(c)(11) of Open Meetings Act Litigation, when an action against, affecting or on behalf of the particular public body has been filed and is pending before a court or administrative tribunal, or when the public body finds that an action is probable or imminent, in which case the basis for the finding shall be recorded and entered into the minutes of the closed meeting XIV. Adjournment The Village of Carpentersville, in compliance with the Americans with Disabilities Act (ADA), requests that persons with disabilities requiring accommodations to observe and / or participate in this meeting or having questions about the accessibility of meeting facilities contact the Assistant Village Manager (the Village s ADA Coordinator) at (847) at least 24 hours in advance of the meeting date. Posted on October 30, 2014 at Village of Carpentersville 1200 L.W. Besinger Drive Carpentersville, Illinois Page 2

3 VILLAGE OF CARPENTERSVILLE 1200 L. W. Besinger Drive Carpentersville, Illinois /04/14 Agenda Item No. VI.A. Village President Ed Ritter Village Clerk Therese M. Wilde Village Manager J. Mark Rooney JMR Concur Village Trustees Don Burroway Paul Humpfer Kevin Rehberg Pat Schultz Virginia Stephens Kay Teeter BOARD REPORT TO: FROM: Village President and Board of Trustees J. Mark Rooney, Village Manager DATE: November 4, 2014 RE: Appointment of Village Treasurer President Ritter will appoint Mr. Hitesh Desai to the position of Village Treasurer for a term coinciding with the term of President subject to the consent of the Board of Trustees.

4 VILLAGE OF CARPENTERSVILLE 1200 L. W. Besinger Drive Carpentersville, Illinois /04/14 Agenda Item No. VI.B. Village President Ed Ritter Village Clerk Therese M. Wilde Village Manager J. Mark Rooney JMR Concur Village Trustees Don Burroway Paul Humpfer Kevin Rehberg Pat Schultz Virginia Stephens Kay Teeter BOARD REPORT TO: FROM: Village President and Board of Trustees J. Mark Rooney, Village Manager DATE: November 4, 2014 RE: APPOINTMENT TO THE CARPENTERSVILLE PLANNING AND ZONING COMMISSION Subject to confirmation by the President and Board of Trustees, Village President Ritter will re-appoint Mr. Jack Roberts to the Planning and Zoning Commission.

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22 11/04/14 Agenda Item No. VIII.C. VILLAGE OF CARPENTERSVILLE 1200 L. W. Besinger Drive Carpentersville, Illinois Village President Ed Ritter Village Clerk Therese M. Wilde Village Manager J. Mark Rooney JMR Concur Village Trustees Don Burroway Paul Humpfer Kevin Rehberg Pat Schultz Virginia Stephens Kay Teeter BOARD REPORT TO: FROM: Village President and the Board of Trustees Alan V. Popp, Director of Public Safety DATE: October 27, 2014 RE: Ordinance Amending Section of the Carpentersville Municipal Code Governing the Board of Fire and Police Commissioners BACKGROUND The Board of Fire and Police Commissioners of the Village of Carpentersville, Illinois, derives its power and authority from Article 10, Division 2.1 of the Illinois Municipal Code titled Board of Fire and Police Commissioners Act, 65 ILCS 5/ et seq.), and from the President and Board of Trustees of the Village of Carpentersville pursuant to Article VII, Section 6 of the Constitution of the State of Illinois of ANALYSIS Under existing Village Ordinance, The Board of Fire and Police Commissioners has the authority to make changes to the Rules and Regulations of the Board of Fire and Police Commissioners without any approval by the Village Board of Trustees. As a component of the current Rules and Regulations revision project, it has been determined that it is in the best interest of the Village to have the Board of Fire and Police Commissioners recommend proposed changes or amendments to the Village Board, and that the Village Board have final approval for proposed changes or amendments. Therefore, a change in Village Ordinance defining Village Board authority to approve recommended changes or amendments is required. The attached Ordinance provides for this change in approval procedure.

23 11/04/14 Agenda Item No. VIII.C. FISCAL IMPACT There is no cost associated with adoption of this Ordinance. RECOMMENDATION It is the recommendation of the Police and Fire Departments, as well as Village Attorneys that the Village Board of Trustees adopt the Ordinance granting final approval for any changes or amendments to the Rules and Regulations of the Board of Fire and Police Commissioners as outlined above.

24

25

26

27 11/04/14 Agenda Item No. VIII.D. VILLAGE OF CARPENTERSVILLE 1200 L. W. Besinger Drive Carpentersville, Illinois Village President Ed Ritter Village Clerk Therese M. Wilde Village Manager J. Mark Rooney JMR Concur Village Trustees Don Burroway Paul Humpfer Kevin Rehberg Pat Schultz Virginia Stephens Kay Teeter BOARD REPORT TO: FROM: Village President and the Board of Trustees Alan V. Popp, Director of Public Safety DATE: October 27, 2014 RE: Resolution Authorizing the Adoption of Revised Rules and Regulations of the Board of Fire and Police Commissioners, Carpentersville, Illinois. BACKGROUND The Board of Fire and Police Commissioners of the Village of Carpentersville, Illinois, derives its power and authority from Article 10, Division 2.1 of the Illinois Municipal Code titled Board of Fire and Police Commissioners Act, 65 ILCS 5/ et seq.), and from the President and Board of Trustees of the Village of Carpentersville pursuant to Article VII, Section 6 of the Constitution of the State of Illinois of In light of procedural changes in State Statutes as well as a desire to update existing Rules and Regulations, a revision to the current 2009 edition is required. ANALYSIS Members of the Board of Fire and Police Commissions, Police and Fire Senior Command Staff and Village Attorneys worked collaboratively to update the existing Rules and Regulations. The following items constitute the substantive changes and updates to the current Rules and Regulations; Weighted score of the Oral examination for Police Officer and Firefighter positions has been given greater emphasis (60% as opposed to the existing 40%), a member of Police/Fire Command Staff will be permitted to participate in the Oral interview process for Police Officers and Firefighters and will having scoring authority consistent with Commission members, preference points have been included (consistent with State Statutes) to allow for

28 11/04/14 Agenda Item No. VIII.D. Village residents and current Community Service Officers to receive additional points pertaining to entry level exams, and disciplinary procedures have been modified to comport with current Collective Bargaining Agreements in both the Police and Fire Departments. All minimum qualifications for entry level positions and promotions in either the Police or Fire Department remain unchanged. FISCAL IMPACT There is no cost associated with adoption and implementation of the proposed revised Rules and Regulations. RECOMMENDATION It is the recommendation of the Police and Fire Departments, as well as Village Attorneys that the Village Board of Trustees authorize the Resolution adopting the 2014 revision to the Rules and Regulations of the Board of Fire and Police Commissioners, Village of Carpentersville, Illinois.

29 RESOLUTION NO. A RESOLUTION APPROVING THE ADOPTION OF THE RULES AND REGULATIONS OF THE CARPENTERSVILLE BOARD OF FIRE AND POLICE COMMISSIONERS WHEREAS, pursuant to the Illinois Board of Fire and Police Commissioners Act, 65 ILCS 5/ et seq. ("Act"), the Village has established the Carpentersville Board of Fire and Police Commissioners ("Board"), which Board is responsible for the certification, discipline, demotion, and termination of persons in the positions of Police Officer, Police Sergeant, Firefighter, and Fire Lieutenant in and for the Village; and WHEREAS, on September, 2014, pursuant to Section of the Act, and pursuant to Section G of the "Carpentersville Municipal Code," as amended ("Village Code"), the Board voted to recommend adoption of the Rules and Regulations of the Board of Fire and Police Commissioners" for the Village, in order to carry out the purposes of the Act and of Chapter 2.48 of the Village Code ("Board Rules"); and WHEREAS, pursuant to Section G of the Village Code, the Board Rules may not take effect except upon approval of the Village President and Board of Trustees, by resolution duly adopted; and WHEREAS, the Village President and Board of Trustees have determined that approval of the Board Rules will serve and be in the best interest of the Village; NOW, THEREFORE, BE IT RESOLVED, by the President and Board of Trustees of the Village of Carpentersville, Kane County, Illinois, as follows: SECTION 1: RECITALS. The facts and statements contained in the preamble to this Resolution are found to be true and correct and are hereby adopted as part of this Resolution. SECTION 2: APPROVAL OF BOARD RULES. The Board Rules are hereby approved in the form attached to this Resolution as Exhibit A. SECTION 3: EFFECTIVE DATE. This Resolution will be in full force and effect from and after its passage and approval as provided by law. [SIGNATURE PAGE FOLLOWS]

30 Motion made by Trustee, seconded by Trustee, that the Resolution be adopted. ADOPTED BY THE PRESIDENT AND BOARD OF TRUSTEES of the Village of Carpentersville, Illinois at a regular meeting thereof held on the day of, 2014, pursuant to a roll call vote as follows: AYES: NAYS: ABSENT: APPROVED by me this day of, (SEAL) Ed Ritter, Village President ATTEST: Therese M. Wilde, Village Clerk

31 EXHIBIT A BOARD RULES # _v1

32 RULES AND REGULATIONS OF THE BOARD OF FIRE AND POLICE COMMISSIONERS VILLAGE OF CARPENTERSVILLE, ILLINOIS (Amended October 27, 2014) CHAPTER 1: ADMINISTRATION SECTION I: POWER AND AUTHORITY OF BOARD The Board of Fire and Police Commissioners of the Village of Carpentersville, Illinois, derives its power and authority from Article 10, Division 2.1 of the Illinois Municipal Code titled Board of Fire and Police Commissioners Act, 65 ILCS 5/ et seq.) and from the President and Board of Trustees of the Village of Carpentersville pursuant to Article VII, Section 6 of the Constitution of the State of Illinois of SECTION II: ORGANIZATION 1. Meetings. The Board of Fire and Police Commissioners shall hold meetings as needed for the transaction of business. 2. Annual Meeting; Chairperson. The Board shall consist of three members, who may annually on the first meeting date in January elect a Chairperson, who shall hold office for a term of one year or until a successor is duly elected and qualified. 3. Board Secretary. The Board shall employ a Secretary to serve at the pleasure of the Board. 4. Quorum. Two members of the Board shall constitute a quorum for the transaction of business. 5. Meeting Calls. Meetings shall be called by any two members of the Board with written notification to the other member not less than three days prior to such meeting. If written notice is not given to a particular member and that member appears at the meeting, then this written notice requirement shall be deemed to be waived. 6. Regular Meetings. Regular meetings shall be held monthly, notice shall be posted and meetings shall be open to the public, all in accordance with the Open Meetings Act, 5 ILCS 120/1 et seq. 7. Special Meetings. Special meetings shall be open, notice thereof to be posted 48 hours prior to convening, called by the filing of a notice in writing with the Secretary of the Board and signed either by the Chairperson of the Board or any two members thereof. The notice shall contain a brief statement of the business to be submitted for the consideration of the Board at such special meetings, and shall set forth the time and place of such special meeting. No other business shall be considered at such special meeting unless by unanimous consent of the Board. 8. Closed Sessions. During any meeting, a closed session may be held upon approval of a motion made by any single member of the Board for the purpose of discussing a topic authorized to be discussed in a closed meeting pursuant to the Open Meetings Act. Closed sessions shall be limited to Board members and such invited persons as the Board may deem appropriate. The

33 Secretary will record the motion to close the meeting, record the roll call vote of the members on said motion, make a verbatim record of the closed session, and prepare and keep minutes of the closed session. Each special meeting agenda shall schedule a closed session. SECTION III: DUTIES 1. Chairperson. The Chairperson shall be the Executive Officer of the Board, shall preside at all meetings, and shall attend to duties pertaining to such office. 2. Secretary. The Secretary shall: (a) keep the minutes of the Board s proceedings as a permanent record; (b) be the custodian of all papers pertaining to the business of the Board; (c) cause a record to be kept of all examinations held; and (4) perform all other duties prescribed by the Board. SECTION IV: MOTIONS Motions or resolutions may be made orally by a member and shall be recorded in the minutes by the Secretary together with the action upon same. SECTION V: ORDER OF BUSINESS The following order of business shall be followed in disposing of business before the Board: (a) (b) (c) (d) (e) (f) SECTION VI: Call to Order / Roll Call Approval of Minutes Communications Unfinished Business New Business Adjournment ANNUAL REPORT Annually, or at any time the Village Board of Trustees may approve, the Board shall submit to the Village President a report of its activities, its rules in force, the practical effect thereof, and any recommendations for the greater efficiency of the Fire and Police Departments. CHAPTER 2: APPLICATIONS SECTION I: APPLICATIONS Applications for any position in the Police or Fire Service shall be filed upon forms furnished by the Board, and all applicants must comply with the requirements of said form in every respect. The application must be filed with the Secretary of the Board or other designee of the Board prior to taking an examination. 2

34 SECTION II: RESIDENCE Applicants for examination must be citizens of the United States; or a non-citizen who has been duly admitted for permanent or temporary residence and who produces adequate evidence of intention to become a citizen of the United States. What constitutes adequate evidence shall be within the sole discretion of the Board. SECTION III: QUALIFICATIONS 1. General Applicant Qualifications. Every applicant for an entry level position in the Police Department or Fire Department: (a) (b) (c) (d) (e) Must be under 35 years of age, subject to the age exception provisions of 65 ILCS 5/ (d). To qualify for the age exception applicable to an applicant already employed either as a firefighter or as a police officer, the applicant must have been so employed, continuously and on a full-time basis, for the 365-day period immediately prior to the date of application. Must possess a valid, current driver s license from the state of the applicant s residence at the time of application. Must be of good moral character. Must have satisfactorily completed a four-year high school education or its equivalent and must provide proof of completion to the Board. Must be of temperate habits and of sound health. 2. Police Department Applicant Qualifications. Every applicant for an entry level position in the Police Department: (a) (b) (c) Must be, at the commencement of the examination, 21 years of age or 20 years of age and have successfully completed two years of law enforcement studies at an accredited college or university. Must be physically qualified to sustain the labors and exposures of a police officer as determined by the medical examiner or physical examiner or both who shall be appointed by the Board for the purpose of making examinations. Must have passed the Police Officer Wellness Evaluation Report ( POWER ) and possess the POWER proficiency card from either the Northeastern Illinois Public Safety Training Academy or another Village-approved physical agility testing agency or application, issued within 12 months of the last date for filing applications to the Board. An applicant also must provide the POWER card or equivalent, issued within 12 months, of the time of appointment. 3. Fire Department Applicant Qualifications. Every applicant for any entry level position in the Fire Department: (a) (b) Must be, at the commencement of the examination, 21 years of age. Must be physically qualified to sustain the labors and exposures of a firefighter, as determined by the medical examiner or physical examiner or both, who shall be appointed by the Board for the purpose of making examinations. 3

35 (c) (d) (e) SECTION IV: Must either (i) be certified by the State of Illinois Department of Public Health as a Paramedic, or (ii) be listed on the National Registry of Emergency Medical Technicians as a Paramedic, or (iii) be certified by the State of Illinois Department of Public Health as Emergency Medical Technician / B and enrolled in Emergency Medical Technician / Paramedic classes at an accredited degree-granting college or university as listed in the then current edition of Accredited Institutions of Postsecondary Education published by the American Council on Education. Must be a fully certified Paramedic by the State of Illinois Department of Public Health and Firefighter Basic through the Office of the State Fire Marshall at the time of appointment. Must provide the Board a Fire Service Joint Labor Management Wellness / Fitness Initiative Candidate Physical Ability Test ( CPAT ) certificate, which must include a Ladder Climb Exercise Certification of Completion, issued within 12 months of the date of filing an application to the Board. An applicant also must provide the CPAT certificate, with the Ladder Climb certificate, issued within 12 months of the time of appointment. DISQUALIFICATION The Board may refuse to examine an applicant or, after examination, to certify the applicant as eligible: (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) Who fails to properly complete the application or comply with procedures established for such application. Who fails to appear at the scheduled date and time for any scheduled appointment or examination and/or pass any examination. Who is found lacking in any of the established preliminary requirements for the service for which he or she applies. Who is physically unable to perform the duties of the position to which he or she seeks appointment. Who is addicted to the use of intoxicating beverages or is found to have taken or used cannabis within the past year or has used any other controlled substance within the past five years. Who has been convicted of a felony or any misdemeanor involving. moral turpitude, as specified in Section 5/ of the Board of Fire and Police Commission Act. (65 ILCS 5/ et. seq.) Who has been dismissed from any public service for good cause. Who has attempted to practice any deception or fraud in his or her application. Who may be found disqualified in personal qualifications or health. Whose character and employment references are unsatisfactory. 4

36 (k) (l) (m) (n) (o) Who does not possess a high school education or its equivalent. Who has applied for a position of a police officer and is or has been classified by his or her Location Selective Service Draft Board as a conscientious objector. Who solicits or attempts to solicit, in connection with an application for employment, or preferential treatment from any member of the Village Board, this Board, and any of their employees, or other Village officials. Who has been convicted for driving offenses within the last two years caused by alcohol, including DUI, or two or more convictions within the last seven years. A false statement made by a person in an application for examination, including any false statement made in any document which may accompany such application, or complicity in any fraud touching the same, shall be regarded as good cause for exclusion from the examination, or from the service, under this paragraph. Any applicant, or eligible, deemed disqualified hereunder, shall be notified by the Board in writing of the Board s determination. The Board shall be the contact with applicants from initial application to appointment. SECTION V: DEFECTIVE APPLICATIONS It is the responsibility of the applicant to fully and accurately complete the application. If the applicant notifies the Board of a defect, the Board may, where practical, permit the correction of formal omissions or deficiencies that can be corrected prior to the initial written test. The responsibility to make the corrections will be the applicants. Failure to do so will result in the applicant being dropped from the process. SECTION VI: PHYSICAL AND MEDICAL EXAMINATIONS Applicants for entry level shall be required to submit to a physical and medical examination by a licensed physician appointed by the Board as follows: 1. Physical Health. Applicants for the position of firefighter or patrol officer must meet standards of physical aptitude and mental health as required by the Board. 2. Medical Evaluation. Applicants will be required, just prior to appointment, to successfully complete a thorough medical evaluation to assess their fitness to perform the duties of the position sought. SECTION VII: RELEASE OF LIABILITY All applicants shall execute and deliver to the Board a release of all liability as the result of taking a Physical Ability Test in favor of the Village of Carpentersville on a form to be prescribed by the Board. 5

37 CHAPTER 3: EXAMINATION ENTRY LEVEL APPOINTMENTS SECTION I: GENERAL All examinations shall be given by or under the direction of the Board. The Board may call on other persons outside its own organization, either within or without the Village service, for assistance in preparing, holding and rating the results of tests and/or examinations. The Board shall be responsible for determining the types of examinations/tests to be used, and the order in which they are administered. In addition, the Board may establish such other examination rules and regulations as are deemed necessary to carry out its duties under the Statutes of the State of Illinois and ordinances of the Village of Carpentersville. SECTION II: NOTICE OF EXAMINATIONS Examinations shall be held on the dates fixed by the Board and advertised in local paper in accordance with the statutes of the State of Illinois. Examinations may be postponed, however, by order of the Board, which order shall state the reason for such postponement and shall designate a new date for said examination. Applicants shall be notified of the postponement of any examination and of the new date fixed for said examination. SECTION III: EXAMINATIONS The Board shall call examinations to fill vacancies in the class of service in which vacancies are liable to occur. A call for examination shall be entered in the minutes of the Board and shall include a statement of: (a) (b) (c) SECTION IV: The time and place where such examination will be held. Applications shall be available after the Orientation and for a minimum of seven working days as listed in the public notice. The position to be filled from the resulting eligibility register. TYPE OF EXAMINATIONS Applicants may be required to attend the orientation program sponsored by the Board. In addition, applicants will be required to participate in a written examination, physical ability test, and oral interview and any other relevant test deemed appropriate by the Board, as determined by the Board and as more particularly set forth in Section 5 below. No examination shall contain questions regarding applicant s political or religious opinions or affiliations. SECTION V: MINIMUM EXAMINATION GRADES The following examinations may be conducted by the Board. The sequence of testing may vary at the discretion of the Board. Failure to achieve the minimum passing grade in any examination disqualifies the applicant from any further participation. Note: The Board will award preference points as specified in the Board of Fire and Police Commissioners Act, at the request of applicant. See Sections IX and X of this Chapter below. 6

38 Percent of Examination Total Grade Minimum Passing Grade Orientation n/a Attendance Written test 40% Test score of 75% or above median, whichever is higher Physical ability test n/a Pass or Fail Oral interview 60% Interview score of 75 percent Background investigation n/a Pass or Fail Psychological examination n/a Pass or Fail Medical examination n/a Pass or Fail Polygraph n/a Pass or Fail * Minimum passing score will be announced by the Board prior to conducting the examination and may vary based on the examination or relevant testing agency used by the Board. All applicants may be required to submit themselves to a physical ability test. SECTION VI: ENTRY LEVEL APPOINTMENT WRITTEN EXAMINATION Information as to the type of written examination employed by the Board will be provided as part of the orientation program. All examination papers shall be and remain the property of the Board and the grading thereof by the Board shall be final and conclusive and not subject to review by any other board or tribunal of any kind or description. Applicants who fail to achieve a passing grade will be notified and eliminated from all further consideration. SECTION VII: ENTRY LEVEL APPOINTMENT ORAL EXAMINATION The Board will select a number of the highest-rated applicants in descending order after completion of the orientation, physical performance examination (if required) and written examination to participate in the oral examination phase of testing. It shall be left to the Board s discretion to determine the number of applicants invited to participate in the oral examinations. All Commissioners shall participate in the oral examinations, except that oral examinations may be conducted with two Commissioners when one Commissioner is absent due to illness or other exigent circumstances. In no event may examinations be conducted if only one Commissioner is present. In addition, the Public Safety Director or his or her designee shall participate in the oral examinations and the grading of each applicant, in the same manner as the Commissioners. Questions shall be asked of each applicant that will enable the Commissioners and the Public Safety Director to properly evaluate and grade the applicant on speech, alertness, ability to communicate, judgment, emotional stability, self-confidence, social skill, and general fitness for the position. On completion of each oral examination, the Commissioners and the Public Safety Director will discuss the applicant s abilities using the traits listed above. Each Commissioner and the Public Safety Director will then evaluate the applicant. Applicants who fail to successfully complete the oral examination will be notified and eliminated from all further consideration. 7

39 SECTION VIII: INITIAL ELIGIBILITY REGISTER 1. Initial Eligibility Register. The Board will prepare an Initial Eligibility Register of the applicants successfully completing orientation, written test, physical ability test, oral interviews, and any other relevant testing. 2. Order of Listing. The applicants will be listed on the Initial Eligibility Register in order on the basis of their final weighted score. 3. Revisions to Register. The Initial Eligibility Register is subject to change with the addition of the veteran, educational or law enforcement preference points as prescribed by State statute. 4. Claims. A dated copy of the Initial Eligibility Register shall be sent to each person appearing thereon. Applicants who are eligible for veteran, educational or law enforcement or preference points, shall make a claim in writing with proof thereof within 10 days after the date of the eligibility register or such claim shall be deemed waived. SECTION IX: POLICE DEPARTMENT PREFERENCE POINTS 1. Maximum Possible Police Department Entry-Level Points. An applicant for the rank of patrol officer may receive preference points if that applicant qualifies for those points under this Section. Not more than a total of 5 preference points may be awarded to any applicant. Points may be given only if a proper and valid claim for a preference has been made and only if the standards of the Act and these Rules and Regulations have been met. 2. Available Police Department Entry-Level Points. Preference points for the rank of patrol officer may be awarded for educational status, law enforcement training and employment, or military service, or community service officer experience as follows: (a) Education Points. The applicant may be awarded 5 points if the applicant has successfully obtained an associate s degree in the field of law enforcement or criminal justice, or a bachelor s degree, from a nationally accredited college or university. (b) Law Enforcement Training and Employment Points. The applicant may be awarded 5 points if the applicant has been awarded a certificate attesting to the successful completion of the Minimum Standards Basic Law Enforcement Training Course as provided in the Illinois Police Training Act and is currently serving as a law enforcement officer on a part-time or full-time basis within the State of Illinois. (c) (d) Military Service Points. An applicant shall be awarded 5 points if (a) the applicant was engaged in the active military or naval service of the United States for a total cumulative period of at least one year and was honorably discharged or (b) the applicant is currently or has been on inactive or reserve duty in such military or naval service for a total cumulative period of at least one year, except as provided in Section of the Act. Community Service Officer Points. The applicant may be awarded 3 points if the applicant is employed at the time of the examination call as a community service officer for the Village and has been in that position continuously for at least one year. 8

40 3. Time and Method of Claiming Police Department Entry-Level Preference Points. Within 10 days after the posting of an initial eligibility list, each applicant on that list who may claim preference points for educational status, law enforcement training and employment, or military service shall submit his or her claim for that preference in writing to the Commission. Claims not made within that 10-day period will be deemed waived. The applicant, at the time of submitting a claim for a preference, must submit evidence of qualification for that preference. 4. Police Department Promotional Preference Points. (a) (b) (c) SECTION X: Maximum Possible Police Department Promotional Points. An applicant for a promotional rank within the Police Department may receive preference points if that applicant qualifies for those points under this Subsection 4. Not more than a total of 3.5 preference points may be awarded to any applicant. Military Service Points. Upon receipt of a valid claim for a military service preference from an applicant for a promotional position in the Police Department, the Secretary shall add 7 10 of one point to the applicant s total examination score for each six months or fraction thereof of active military service, not exceeding 30 months. One Time Only Preference. A preference for a promotional appointment may be made only if the applicant has not previously been promoted in the Police Department. No applicant may receive a preference for a promotional appointment after that person has received one promotion, during his or her employment by the Police Department, from an Eligibility Register on which the applicant was allowed a preference. FIRE DEPARTMENT PREFERENCE POINTS 1. Maximum Possible Fire Department Entry-Level Points. An applicant for an entry-level position in the Fire Department may receive preference points if that applicant qualifies for such points under this Section. The Board may prescribe the total number of preference points awarded under this Section, but the total number of preference points may not be less than 10 points or more than 30 points. Points may be given only if a proper and valid claim for preference points has been made and only if the standards for such preference points have been met under the Act and these Rules and Regulations. 2. Available Fire Department Entry-Level Points. Entry-level preference points in the Fire Department may be awarded for veteran service, fire cadet completion, education, paramedic certification status, experience, and residency as follows: (a) (b) Veteran Service Points. An applicant will be awarded 5 points if (a) the applicant was engaged in the active military or naval service of the United States for a total cumulative period of at least one year and was honorably discharged or (b) the applicant is currently or has been on inactive or reserve duty in such military or naval service for a total cumulative period of at least one year, except as provided in Subsection 3(a) of this Section. Fire Study and Cadet Points. An applicant who has successfully completed two years of study in fire techniques or cadet training within a cadet program established under the rules of the Joint Labor and Management Committee, as defined in Section 50 of the Fire Department Promotion Act, may be awarded points in an amount set by the 9

41 Commission prior to issuance of a notice of examination under Section 2.2 of these Rules and Regulations. (c) (d) (e) Education Points. An applicant who has obtained an associate s degree in the field of fire service or emergency medical services, or a bachelor s degree from an accredited college or university, may be awarded points in the following amounts: 2.5 points for an associate degree, 5 points for a bachelor s degree, and 7 points for a master s or doctorate degree. Paramedic Points. An applicant may be awarded 2½ points if the applicant, at the time of the examination, has obtained and holds a valid State of Illinois certification of an Emergency Medical Technician/Basic. Alternatively, an applicant may be awarded 5 points if the applicant, at the time of the examination, has obtained and holds a valid State of Illinois certification of an Emergency Medical Technician / Paramedic. Experience Points. An applicant may be awarded up to 5 preference points under the following standards. This number of 5 experience points presumes a rating scale totaling 100 points for the Eligibility Register. If fewer than 100 total points are used in the rating scale for the Eligibility Register, then the points awarded under this Subsection b will be decreased proportionately. (i) (ii) Paid-On-Call, Certified Firefighter Experience with Village. An applicant will be awarded 0.5 point for each year of successful service as a (a) paid-oncall or part-time certified Firefighter II, (b) State of Illinois or a nationally licensed EMT-B or EMT-I, or (c) any combination of these for the Village, if the applicant at the time of the examination has been serving as one or more of these continuously for at least two years immediately prior to the time of the examination except for any periods of military service or other absences excused by the Deputy Fire Chief. No excused absence will be considered a break in service, but no excused absence will be counted toward the minimum required two years of continuous service. The applicant may be awarded up to a maximum of 2½ points under this Subsection a. Certified Firefighter III and Licensed Paramedic Experience. An applicant will be awarded 1 point for each year of successful, continuous service as a certified Firefighter III and State of Illinois or nationally licensed paramedic. To qualify for any point under this Subsection b, the most recent period of continuous one-year service must have occurred immediately prior to the time of the examination. The applicant may be awarded up to a maximum of 5 point under this Subsection b. (iii) Other Experience. An applicant from outside the Village will be awarded 5 points if the applicant has been employed successfully and continuously as a full-time firefighter or firefighter-paramedic for at least two years by fire protection district or another municipality within the State of Illinois. To qualify for the 5 points under this Subsection (iii), the period of continuous employment must have occurred immediately prior to the time of the examination. (f) Residency Points. An applicant whose principal residence is located within the Village may be awarded 2 points. 10

42 3. Time and Method of Claiming Fire Department Entry-Level Preference Points. (a) (b) Veteran Service Points. Within 10 days after the posting of an Initial Eligibility List, each applicant on that list who may claim preference points for veteran service must submit his or her claim for those veteran service points in writing to the Board. Claims not made within that 10-day period will be deemed waived. The applicant, at the time of submitting a claim for veteran service points, must submit evidence of qualification for those points. Paramedic and Experience Points. Within 10 days after the posting of an Initial Eligibility Register, each applicant who may claim preference points for paramedic status or for paid-on-call or other experience must submit his or her claim for one or more of those preferences to the Board, at the time of submitting a claim for a preference, must submit evidence of qualification for that preference. Paramedic and experience preference points will be added to the applicant s written grade prior to placement of the applicants on a Final Eligibility Register, but only if the applicant has completed the written examination with at least the minimum passing grade. (c) (d) Fire Study and Cadet, Education, and Residency Points. Within 10 days after the posting of an Initial Eligibility Register, each applicant on that list who may claim preference points for fire study and cadet, education, or residency must submit his or her claim for that preference in writing to the Board. Claims not made within that 10- day period will be deemed waived. The applicant, at the time of submitting a claim for a preference, must submit evidence of qualification for that preference. Limitation of Award of Preference Points. An applicant may not receive an amount of preference points under this Subsection 3 that would move the applicant ahead of any veteran on the Initial Eligibility List. Instead, the applicant may receive that number of preference points that will not move the applicant ahead of any veteran. If two or more applicants receiving veteran points are prevented from receiving all of their points because they cannot move ahead of a veteran, then those applicants will be placed on the Initial Eligibility List below the veteran and in rank order based on the total veteran points they would have received except for the prohibition of moving ahead of a veteran. In the event of tied scores, the tie will be broken by lot in the presence of at least two Commissioners, at a regular or special meeting of the Commission, in a manner the Commission determines is appropriate under the circumstances. 4. Fire Department Promotional Preference Points. 1. Military Service Points. Upon receipt of a valid claim of preference from an applicant for a promotional position in the Fire Department, the Secretary shall add 7 10 of one point to the applicant s total examination score for each six months or fraction thereof of active military service, not exceeding 30 months. 2. One Time Only Preference. No person shall receive a preference for a promotional appointment after that person has received one promotion, during his or her 11

43 employment by the Fire Department, from a Eligibility Register on which he or she was allowed such preference. SECTION XI: FINAL ELIGIBILITY REGISTER 1. Final Eligibility Register. The Board will prepare a Final Eligibility Register which shall include claimed preference points. 2. Ties. In the event of a tie, the following order shall determine position on the eligibility register: written test score, oral interview score, additional points. 3. Posting. A copy of the Final Eligibility Register, stating the date of its effectiveness and the date of its expiration two years hence, shall be posted and sent to each person appearing thereon. The Final Eligibility Register shall state that its expiration date may be extended by order of the Board. 4. Post-Offer Examinations. Appointment from this Final Eligibility Register is subject to satisfactorily passing an in- depth psychological examination, a background investigation, and a thorough medical examination (which may include a test of the applicant s vision, hearing, the presence of communicable diseases, as well as a test to screen for the use of drugs and/or narcotics), polygraph and any other relevant test the Board deems necessary. A second interview may be required by the Board. SECTION XII: PROFESSIONAL EXAMINATIONS AND TESTS 1. Psychological Examination. Each applicant for entry-level appointment shall submit to a psychological examination by such psychologist or psychiatrist as the Board may designate and to a polygraph examination by such examiner as the Board may designate. Such examination shall be without expense to the applicant. Failure of the applicant to take or successfully complete such test shall eliminate him or her from further consideration. 2. Medical Examinations. Medical examinations shall be performed by a licensed physician. SECTION XIII: PROBATIONARY APPOINTMENT 1. Filling Vacancies. All vacancies in Fire Department or Police Department shall be filled by individuals who have met all requirements previously listed, in the order in which their names appear on the Final Eligibility Register. The Board may, in its discretion, choose to appoint an applicant who has been awarded a certificate attesting to his or her successful completion of the Minimum Standards Basic Law Enforcement Training Course, as provided in the Illinois Police Training Act. 2. Appointments. Any applicant eligible for appointment under these rules may decline appointment tendered upon giving reasons, in writing, satisfactory to the Board without losing his or her position on the eligibility register except to give way to the next eligible. If the reasons assigned are not satisfactory to the Board, or if no reason be given and the eligible does not accept probationary appointment within a specified time after it is tendered to him or her, then his or her name shall be removed from the eligibility register. 12

44 3. Probationary Term. All entry-level appointments to the Police Department shall be for a probationary period of 24 months. Each firefighter appointee shall be on probationary status for a period of one year from the date of the appointee begins employment with the Fire Department as a firefighter. 4. At-Will Status. Probationary appointees are at will employees and may be summarily dismissed by the Board without cause and are not entitled to the protection afforded to nonprobationary full-time members of the fire and police departments by statute or these rules. SECTION XIV: CERTIFICATION 1. Board Authority. The sole authority to issue certificates of appointment is vested in the Board and all certificates of appointment issued to any officer or member of the Fire Department or Police Department shall be signed by the chairperson and secretary of the Board, upon appointment of such officer or member of the Fire Department and Police Department by action of the Board. 2. Probationary Police Officers. Final certification of probationary police officers shall be subject to successful completion of the Basic Training Course as provided by the Illinois Law Enforcement Training and Standards Board within the prescribed probationary period and having met all the other village and/or department requirements. 3. Probationary Firefighter / Paramedics. Final certification of probationary firefighter / paramedics shall be subject to successful completion of the Fire Apparatus Engineer, State Certification as prescribed by the Illinois State Fire Marshall s Office of Standard and Education Commission within the prescribed probationary period, certified in HazMat Operations, and having met all other village and/or department requirements. Inability to successfully complete this course shall be grounds for dismissal CHAPTER 4: PROMOTIONAL EXAMINATIONS SECTION I: GENERAL Upon notice from the Village Manager or other appropriate corporate authority that a promotional vacancy exists, the Board shall select the individual to be promoted in the manner specified in this Section I. All examinations for promotion shall be competitive among such members of the next lower rank as desire to submit themselves to examination, and have met all other village and/or department requirements. The manner of evaluation of applicants for promotion shall be nondiscriminatory and job-related. Probationary police officers and firefighters shall be ineligible to test for promotion during their probationary period. In order to qualify for promotion, the eligible applicant must be capable of performing all duties required of that rank. The method of examination and the rules governing examinations for promotion are specified below. 1. Promotional Examinations. The promotional exam may consist of the following portions and any other relevant test deemed appropriate by the Board. The final score shall be apportioned among the tests as declared by the Board prior to the initial phase of testing. If such apportionment is not so declared, each portion shall be given equal weight. 13

45 (a) (b) (c) (d) (e) Written Test. Oral Interview. The oral interview shall be conducted in the same manner generally as the oral interview for entry-level appointment, with the participation of the Public Safety Director or his or her designee. Merit and Efficiency as established by supervisory staff. Seniority. An applicant for promotion shall be given credit for seniority for all actual, full time, sworn service in the department in which he or she is employed on the basis of half-point for each year or fraction of a year, as of the date of the written examination, with a maximum of five points. All such credits shall be added to the final score the applicant attains in his or her various examinations. Military 2. Initial Promotional List. The Board, upon tabulation of the scores as determined in each of the areas set forth in the Subsection 1 above, shall prepare an Initial Promotional List ranking all applicants in the order in which they finished as compared to the other applicants, with the highest score being first and the lowest score being last. The Initial Promotional List shall be subject to Veteran s Points as set forth in these Rules above. Upon request by the applicant and if otherwise allowable, Veteran s Points shall be added to the applicant s final score and a Final Promotional List shall be compiled and posted following the same procedure as in the preparation of the Initial Promotional List. 3. Those Eligible to Test. In the event no applicant from the immediate next lower rank qualifies for promotion, the Board shall extend the examination successively through all the orders of rank in the respective service in an endeavor to qualify suitable applicants for the vacancy or vacancies existing before extending the examination to the general public. 4. Final Promotional List. Final Promotion Lists shall remain valid for three years. 5. Promotion from Top Three. All promotions shall be made from the three having.the highest rating on an existing register. If there are fewer than three names on the eligibility register, then the promotion or promotions shall be made from those names or name remaining on the register. However, if the Board finds that a applicant has demonstrated some substantial shortcoming in work performance or has engaged in misconduct affecting that person s ability to perform the duties of the promoted rank since the posting of the promotion list, that applicant may be deleted from the list. 6. Passing Over. No person may be passed over more than once unless the reason for passing over was not remediable. 7. Striking Names. The Board shall strike off the names of applicants for promotional appointment after they have remained for more than three years, provided there is no vacancy existing which can be filled from the promotional register. 8. Declining Promotion. Any applicant may decline a promotion from a list on one occasion. An applicant who declines promotion a second time will be removed from the promotion list. 9. Ties. In the event of ties, the following order shall determine position on the eligibility register: 14

46 (a) (b) (c) (d) (e) (f) SECTION II: highest written score, if necessary, highest oral interview score, if necessary, highest evaluation, if necessary, seniority points if necessary, military points if necessary, starting date in previous rank REGULATIONS THAT APPLY ONLY TO FIRE DEPARTMENT PROMOTIONS FIRE LIEUTENANTS 1. Governing Rules. Promotions to the rank of Fire Lieutenant shall be made in accordance with the provisions of the Fireman s Promotion Act, Public Act , and as set forth in these Rules and Regulations. 2. Minimum Eligibility. The Board may establish minimum eligibility requirements for participation in the lieutenant s testing process including length of employment, education, training and certification in subjects and skills related to firefighting. Any such minimum eligibility requirements shall be published at least one year prior to the commencement of the promotional process. 3. Listing of Tests. Prior to the beginning of the promotional process, the Board will publish a listing of each component of the promotional process to be used, such as (a) Written examination, (b) Seniority, (c) Merit and Efficiency, and (d) Oral examination, along with the evaluation procedure for each component. 4. Observers. The bargaining unit representing the rank immediately below Fire Lieutenant may appoint two impartial observers to be present and monitor all aspects of the administration and scoring of the promotional examinations. The Board may also appoint two impartial observers to monitor the process. 5. Written Examination. Written examinations will consist of matters relating to duties regularly performed by the rank. The contents of the examination must be based upon the content of written materials identified and made available at least 90 days before the examination. The written examination must be administered after all other components of the testing process. the written exam will be supplied by a bona fide testing agency, in which case the observers must witness the sealing and shipping of the tests for grading and the opening of the scores upon return. The scores will be provided to the examinees after the date of return and the examinees will be entitled to review the answers that were considered incorrect. 6. Scoring. Each component of the promotional process will be scored on a scale of 100 points. Each component score shall then be multiplied by the percentage weighting given to the component. The components of the examination process shall be weighted as follows: Written Examination: 50 points (percent); Seniority: 5 points (percent); Ascertained Merit: 10 points (percent); Subjective Component: 35 points (percent). 7. Inconsistencies. If there is any inconsistency between this Section II and Section I above, this Section II shall prevail. 15

47 SECTION III: PROBATIONARY APPOINTMENT All promotional appointments shall be probationary for a period of one year. In the event the person is unable to meet the terms and conditions of the appointment, the person shall revert to the previous position held. SECTION IV: APPEAL PROCESS Applicants wishing to contest the results of a promotional exam shall submit a written request to the Board specifying the alleged errors. The Board shall review the request to determine its validity. The Board shall have the sole discretion to determine the validity of the claim. If the Board determines that an error occurred, it will be corrected as deemed appropriate by the Board. Requests must be submitted to the Board within five days of the posting of the Eligibility Register. CHAPTER 5: ORDER OF RANK; CLASSIFICATION; OATH OF OFFICE SECTION I: RANK The order of rank in the police and fire departments shall be as provided by ordinance and the Village budget. Positions exempt from the jurisdiction of this Board shall be as declared by the Corporate Authorities. SECTION II: CLASSIFICATION The Board classifies such offices in the fire and police services for the purpose of establishing and maintaining standards of examinations and promotions based upon job description and departmental regulations. SECTION III: OATH OF OFFICE All members appointed to the police and fire department by the Board shall be sworn in by a member of the Board as follows: I,, do solemnly swear or affirm that I will support the Constitution of the United States, the Constitution of the State of Illinois, and the ordinances of the Village of Carpentersville in the County of Kane. I will also abide by the Rules and Regulations of the Department and the orders and directives of the Chief of the department and I will faithfully discharge the duties of the office of according to the best of my ability. Signed: Subscribed and sworn to before me this day of 20. Notary Public He or she shall enter into such bond in such amount as prescribed by ordinance. 16

48 CHAPTER 6: HEARING OF CHARGES, REMOVALS, SUSPENSIONS, AND DISCHARGES SECTION I: RULES GOVERNING TERMINATION OF PROBATIONARY APPOINTMENTS During his or her probationary period, an appointee s work shall be evaluated and rated by his or her commanding officers. Probationary appointees are at will employees. At any time, prior to the completion of the probationary period, the Chief of the Fire or Police Department, whichever is applicable, may make a recommendation to the Board for the dismissal or retention of the probationer. If the respective Chief recommends the dismissal of the probationary appointee, the recommendation shall be filed with the Secretary of the Board. The appointee shall then be notified of the recommendation by the respective Chief 10 days after such notification, the appointee s service with the Village shall be terminated by the Board unless the appointee shall, within said 10-day period, furnish the Secretary of the Board with written objections to the recommended dismissal. On receipt of said written objections, the Board shall meet to decide, in its sole discretion, whether the probationary appointee shall be dismissed or retained, and if retained, under what conditions. Cause is not required for dismissal of a probationary appointee. Meetings of the Board to consider the recommended dismissal of a probationary appointee are summary proceedings. SECTION II: RULES GOVERNING HEARING OF CHARGES, REMOVALS, SUSPENSIONS, AND DISCHARGES 1. Disciplinary Action. Disciplinary action, including removal from office and suspension from service in the Fire and Police Departments shall be in compliance with the Fire and Police Commissioners Act of the State of Illinois, being Section 5/ through Section 5/ , inclusive, of Chapter 65 of the Illinois Compiled Statutes, except as may be modified or superseded by Village home-rule ordinance or a valid, applicable collective bargaining agreement. If there is a conflict between the state law and Village regulation, the Village regulation shall control. 2. Hearing of Charges. (a) (b) (c) (d) (e) Hearings before the Board are not common law proceedings. In conducting a hearing, the Board will generally be guided by the rules of evidence as se.t forth in Section of the Administrative Procedure Act (Section of Chapter 5 of the Illinois Compiled Statutes). Counsel as used herein means one who has been admitted to the bar as an attorney at law in this State. No rehearing, reconsideration, modification, vacation, or alteration of a decision of the Board shall be allowed. Cause for discharge is some substantial shortcoming which renders continuance in employment in some way detrimental to the discipline and efficiency of any public service and something which the law and sound public opinion recognize as cause for the officer or firefighter no longer occupying his or her position. A different standard of cause is required to justify a suspension, imposition of a fine, demotion in one rank, removal of the officer or member s name from the promotional eligibility list or any combination of these forms of discipline. In such cases, the 17

49 (f) (g) (h) (i) (j) (k) (l) (m) (n) discipline must not be arbitrary, unreasonable or unrelated to the requirements of the service. The right to determine what constitutes cause rests solely with the Board. The complainant or appellant initiating any proceedings which call for a hearing before the Board shall have the burden of proof to establish by a preponderance of the evidence that cause for discipline exists or that a suspension, previously imposed by the Chief of a department, is unwarranted. Should the question of a crime be involved, the rule of reasonable doubt shall not control, The phrase preponderance of evidence is defined as the greater weight of the evidence, that is to say, it rests with that evidence which, when fairly considered produces the stronger impression, and has a greater weight, and is more convincing as to its truth when weighed against the evidence in opposition thereto. All hearings shall be public, in accordance with the Open Meetings Act, except that the Board may meet in closed meeting for any proper purpose recognized in that Act. At the time and place of hearing, both parties may be represented by counsel, if they so desire. All proceedings before the Board during the conduct of the hearing shall be recorded by a court reporter to be employed by the Board. The records of all hearings will not be transcribed by the reporter unless requested to do so by the Board or any party of interest. All witnesses shall be sworn prior to testifying, and all evidence and proof shall conform to the issues. The matter shall be decided by the Board solely on evidence presented at the hearing. The Board shall first hear the witnesses either substantiating the charges which have been made against the respondent (person charged) or in support of an appeal brought by a suspended police officer or firefighter. Thereafter the other party may present and examine those witnesses whom he/she desires the Board to hear. All parties shall have the right to cross-examine witnesses presented by the opposite party. All examination and cross-examination shall be conducted with proper decorum. f any person against whom charges have been filed shall fail to appear at the hearing before the Board, the Board may hear such evidence as may be produced and make findings and a decision according to the evidence. 3. Hearing Procedure. (a) (b) Complaints Against Police Officers or Firefighters. In all cases, a written complaint ( charges ) shall be filed with the Secretary of the Board in quintuplicate, setting forth a plain and concise statement of facts upon which the complaint is based. Probable Cause. The Board shall have the right to determine whether there is or is not probable cause for hearing a complaint and may conduct investigations or informal hearings as may be necessary for such determination. In the conduct of such investigation or informal hearings, each member of the Board shall have the power to secure by its subpoena both the attendance and testimony of witnesses and the production of books and papers relevant to such investigation. 18

50 (c) (d) (e) (f) Notification of Hearing. Upon the filing of a complaint in quintuplicate with the Secretary of the Board, the Secretary of the Board shall notify both the complainant and respondent of the time and place of the hearing of the charges contained in the complaint. The respondent shall also be served with a copy of the complaint, and if an Order of Suspension is entered by the Board, the respondent, the complainant, the Chief of the Department, the treasurer, the comptroller, manager, or other finance officer of the Village shall be notified of the entry of such Order of Suspension, with a copy of such Order of Suspension. The Board shall commence the hearing within 30 days of the date that charges are filed. This time limitation is not applicable to hearings conducted to review suspensions of five days or less imposed by the Chief of the Police or Fire Department on a department member. The matter of granting or refusing to grant a continuance of a hearing is within the discretion of the Board. No hearing shall be continued at the request of any of the parties to a proceeding or their attorneys, unless such request is received in writing by the Board s attorney at least 48 hours before the scheduled hearing date. Answer; Witness Lists. The respondent shall file an answer to the charges with the Secretary of the Board not less than five days before the day of the hearing. At least five days prior to the hearing, respondent and complainant shall exchange witness lists and provide the Board s secretary with a copy of said list. Stipulations. Parties may, on their own behalf, or by counsel, stipulate and agree in writing, or on the record, to a continuance or any material fact. The facts so stipulated shall be considered as evidence in the proceeding. However, the Board is not bound to accept a stipulation to a continuance. In the event a respondent has been suspended pending a hearing and desires a continuance, it shall also be stipulated and agreed that in the event said respondent is to be retained in his or her position as the result of a decision of the Board following a hearing of the cause, then no compensation shall be paid to the respondent during the period of the continuance. Objections to Sufficiency of Charges. Motions or objections to the sufficiency of written charges must be filed or made prior to the hearing before the Board. 4. Subpoenas. (a) Any party to an administrative hearing may, at any time before the hearing, make application to the Board by filing with it a written request for subpoenas for any individual to appear for a hearing or have them produce books, papers, records, accounts and other documents as may be deemed by the Board to be relevant to the hearing. On the filing of such application, subpoenas may be served by any person 21 years of age or older designated by the party requesting the subpoenas. Applications for subpoenas should contain the names and addresses of the individuals to be subpoenaed, and the identity of any documents which they are to produce. In general, subpoenas will not be issued for anyone residing outside of the State of Illinois. 19

51 (b) Any request for continuance by reason of inability to serve subpoenas shall be filed with the Board s Secretary at least three days before the date set for such hearing, provided, however, that the Board in its discretion may waive this rule. 5. Service. All papers required by these Rules and Regulations to be served shall be delivered personally to the party designated or mailed by United States mail in an envelope properly addressed with postage prepaid, to the designated party at his or her last known address as reflected by the complaint filed with the Board, except as herein otherwise provided. Proof of service of any paper may be made by the certification of any person so mailing the paper or delivering the same to the designated party personally, or by filing a return receipt showing that a paper was mailed, by either registered or certified mail, return receipt requested, to a party s address where it was received by a named party. 6. Filing. All papers may be filed with the Board by mailing them or delivering them personally to the Secretary of the Board at the Village of Carpentersville Village Hall, 1200 L.W. Besinger Drive, Carpentersville, Illinois. For the purpose of these Rules and Regulations, the filing date of any paper shall be the date it was received in the office of the Secretary of the Board, in the event the paper is delivered personally or by messenger. In the event a paper is forwarded by mail, then the filing date shall be the date which is postmarked on the envelope of such paper. 7. Forms of Papers. (a) (b) (c) (d) (e) All papers filed in any proceeding shall be typewritten or printed and shall be on one side of the paper only. If typewritten, the lines shall be double spaced, except that long quotations may be single space and indented. All papers shall be not larger than 8 by 11 with inside margins of not less than one inch. The original of all papers shall be signed in ink by the party filing the paper or by an officer, agent, or attorney thereof, and copies thereof provided the opposing party.or his or her counsel. If the papers are filed by an attorney, the attorney s name and address shall appear thereon. 8. Computation of Time. The time within which any act under these Rules is to be done shall be computed by excluding the first day and including the last, unless the last day is Saturday or Sunday or is a holiday as defined or fixed in any statute now or hereafter in force in the State, and then it shall also be excluded. If the day succeeding such Saturday, Sunday or holiday is also a holiday or a Saturday or Sunday, then such succeeding day shall also be excluded. 9. Suspension. (a) The Board may suspend any member of the Fire and Police Department against whom charges have been preferred, pending a hearing of the charges by the Board, but not to exceed 30 days, without pay. 20

52 (b) (c) (d) The Chief of the Fire or Police Department shall have the right to suspend any officer under his or her command for a period not to exceed five calendar days, and he or she shall notify the Board in writing within 24 hours of the time of such suspension. Any police officer or firefighter so suspended may appeal to the Board for a review of the suspension within five calendar days after receiving notice of such suspension by filing notice of such appeal in writing with the Secretary of the Board. A hearing shall be had upon such appeal, and due notice given to the Chief of the Department who suspended such officer or firefighter and to the officer or firefighter so suspended in the same manner as if charges were originally filed before the Board. The officer or firefighter appealing the suspension has the burden of proof and the obligation of going forward with the evidence. Upon such appeal, the Board may sustain the action of the Chief of the Department, may reverse it with instructions that the officer or firefighter so suspended receive his or her pay for the period involved, may suspend the officer or firefighter for a period of not more than 30 calendar days, demote or discharge him or her, depending on the evidence presented. 10. Findings and Decision. (a) (b) (c) (d) SECTION III. The Board, after hearing the evidence and completion of testimony, may immediately announce its decision in the case or defer such decision until a date fixed by the Board. Upon a finding of guilty, the Board may hear evidence in aggravation and mitigation. In case any person charged is found guilty, the Board may discharge, demote one rank, suspend the accused for a period not exceeding 30 days without pay remove a person s name from the applicable Promotional Eligibility List, or any combination of the foregoing. The findings and decision of the Board, following a hearing of charges, shall be preserved by the Secretary and notice of said findings and decision sent to the officer or firefighter involved and to the head of the respective department. If the decision is that an officer or firefighter is guilty of the charges preferred, and removal or discharge is ordered, such order of removal or discharge shall become effective immediately. The Board shall, within a reasonable time after the hearing is completed, enter its findings and decision on the records of the Board. A copy of the Board s decision shall be placed in the officer or firefighter s personnel file. APPLICABILITY OF RULES The personnel of the fire and police department shall be governed by the Rules and Regulations as adopted by the Board and the Regulations of the fire and police departments. CHAPTER 7: GENERAL PROVISIONS SECTION I: POWERS AND DUTIES 21

53 The Board shall have such other powers and duties as are given it by statutes of the State of Illinois or by ordinance of the village. SECTION II: AMENDMENTS TO RULES AND REGULATIONS Amendments to the Rules of the Board may be made at any meeting of the Board. A notice shall be published in a newspaper of general circulation in the Village of Carpentersville, specifying where such rules are available for inspection. The notice shall specify the date, not less than 10 days subsequent to the date of such publication when said rules shall become effective. The rules of the Board shall be reviewed at the Annual Meeting to determine the necessity for any changes and/or additions. SECTION III: VALIDITY OF RULES AND REGULATIONS If any portion of the foregoing Rules for the operation of the Board are found invalid by any court, that ruling shall not invalidate any other portions of the Rules. SECTION IV: LEAVES OF ABSENCE Leaves of absence shall be granted by reason of military service or duty-related disability as specified in the Illinois Compiled Statutes, Chapter 65, Section 5/ If a leave of absence is granted by the Board during a probationary period, such probationary period shall be tolled until the probationary employee returns from his or her leave of absence. SECTION V: TEMPORARY APPOINTMENTS 1. Upon request of the Corporate Authorities to prevent the stoppage of public business, or to meet extraordinary exigencies, the Board may make a temporary appointment to remain in force not exceeding 60 days and only until a regular appointment can be made under these rules. No temporary appointment to an acting rank shall exceed 60 days. 2. If the work for which a probationer has been certified proves to be temporary, and he or she is laid off without fault or delinquency on his or her part before his or her time for probation is completed, the he or she shall be placed on furlough and his or her name will be restored to its proper position on the eligibility list and, upon re-employment, the term he or she previously served shall be credited to him or her and he or she shall continue to complete his or her probationary period. Adopted by the Board of Fire and Police Commissioners on November 4, Board of Fire and Police Commissioners Village of Carpentersville, Illinois Commissioner Commissioner Commissioner 22

54 Published this day of November 2014, in the Daily Herald newspaper, a newspaper with a general circulation within the Village of Carpentersville. 23

55 11/04/14 Agenda Item No. VIII.E. Village of Carpentersville 1200 L. W. Besinger Drive Carpentersville, Illinois Village President Ed Ritter Village Clerk Theresa M. Wilde Village Manager J. Mark Rooney _JMR Concur Village Trustees Don Burroway Paul Humpfer Kevin Rehberg Pat Schulz Virginia Stephens Kay Teeter BOARD REPORT TO: Mark Rooney, Village Manager FROM: Hitesh Desai, Finance Director DATE: November 4, 2014 SUBJECT: Utility Bill Printing and Mailing Outsourcing BACKGROUND The Audit and Finance Commission is recommending utility bill printing and mailing to be outsourced. Currently, Finance department staff spends approximately a day per month printing, folding, and mailing utility bills. Staff feels that this time could be better used for other critical projects. ANALYSIS An analysis was performed in August of this year: 1 P age

56 11/04/14 Agenda Item No. VIII.E. VILLAGE OF CARPENTERSVILLE UTILITY BILLS ANALYSIS Aug-2014 VENDOR COSTS Utility Billing Production (.15 per bill) 10,800 Delinquent Notice Production ($25 per month +.15 per bill) 1,740 Utility Billing Postage (.381 per bill) 23,622 VILLAGE SAVINGS Utility Bill Stock From Tyler Forms (8,325) Staff Time (1 Day(s) per month Utility Specialist) (2,391) Utility Billing Postage Savings (28,520) 36,162 (39,236) Total Anticipated Savings (3,074) In addition to cost savings, this could result in improved utility billing process and customer service. FISCAL IMPACT Outsourcing has the potential to save the Village approximately $3,000 per year. DEPARTMENT RECOMMENDATION Village staff recommends utility bill printing and mailing to be outsourced, as it will allow staff to make more efficient use of their time while saving money. 2 P age

57 RESOLUTION NO. A RESOLUTION APPROVING AGREEMENTS WITH THIRD MILLENNIUM ASSOCIATES, INC. FOR THE PROVISION OF UTILITY BILLING SERVICES WHEREAS, the Village and Third Millennium Associates, Inc., of Warrenville, Illinois ( TMA ), desire to enter into an agreement for the provision by TMA of utility billing services for the Village, and a related confidentiality agreement (collectively, the Agreements ); and WHEREAS, the Village President and Board of Trustees have determined that entering into the Agreements with TMA will serve and be in the best interest of the Village; NOW, THEREFORE, BE IT RESOLVED, by the President and Board of Trustees of the Village of Carpentersville, Kane County, Illinois, as follows: SECTION 1: RECITALS. The facts and statements contained in the preamble to this Resolution are found to be true and correct and are hereby adopted as part of this Resolution. SECTION 2: APPROVAL OF AGREEMENTS. The Agreements by and between the Village and TMA are hereby approved in substantially the forms attached to this Resolution as Exhibit B, and in final forms to be approved by the Village Manager and the Village Attorney. SECTION 3: EXECUTION OF AGREEMENTS. The Village Manager and the Village Clerk are hereby authorized and directed to execute and attest, on behalf of the Village, the final Agreements upon receipt by the Village Clerk of at least one original copy of each of the Agreements executed by TMA; provided, however, that if the executed copies of both Agreements are not received by the Village Clerk within 30 days after the effective date of this Resolution, then this authority to execute and attest will, at the option of the President and Board of Trustees, be null and void. SECTION 4: EFFECTIVE DATE. This Resolution will be in full force and effect from and after its passage and approval as provided by law. [SIGNATURE PAGE FOLLOWS]

58 Motion made by Trustee, seconded by Trustee, that the Resolution be adopted. ADOPTED BY THE PRESIDENT AND BOARD OF TRUSTEES of the Village of Carpentersville, Illinois at a regular meeting thereof held on the day of, 2014, pursuant to a roll call vote as follows: AYES: NAYS: ABSENT: APPROVED by me this day of, (SEAL) Ed Ritter, Village President ATTEST: Therese M. Wilde, Village Clerk # _v1

59 EXHIBIT A AGREEMENT # _v1

60 Utility Billing Production Agreement Third Millennium Associates, Inc. and the Village of Carpentersville This agreement, which is of three years duration, will automatically renew after the original three-year period and annually thereafter unless either party provides to the other party written notice of cancellation at least 120 days prior to the agreement anniversary. The minimum renewal or extension will be 1 (one) year. This production agreement, which is entered into this day of 2014 by and between Third Millennium Associates, Inc. (hereinafter referred to as TMA ) and the Village of Carpentersville, (hereinafter referred to as VILLAGE ). For consideration of payment, TMA will provide to VILLAGE, Information technology services, laser imaging and mailing services for the purpose of rendering Utility billing invoices and other items as detailed on the attached Schedule A. 1. Pre-agreement Confidentiality Confidentiality and non-disclosure are defined by mutual agreement between TMA and VILLAGE per the attached agreement document dated and signed on the day of, 2014 by TMA and VILLAGE. Also refer to paragraph 10 of this agreement. 2. Pricing Structure The prices on which products and services will be provided by TMA to VILLAGE are set forth on the attached Schedule B. 3. Postage Cost Postage costs are not included in the attached listed prices and will be paid by VILLAGE directly to the USPS via C.A.P.S. (Centralized Account Processing System). The Village will be required to open and maintain a C.A.P.S. account. TMA will provide the 3602 document for your VILLAGE review, with the monthly postage required for your VILLAGE Utility bills and / or other TMA imaged mailing on behalf of VILLAGE. VILLAGE will pay the estimated monthly postage directly to the USPS, via the C.A.P.S. system. The USPS will report directly to VILLAGE all amounts charged to the VILLAGE postal account. In addition, TMA will open a first class Pre-Sort Permit on your the VILLAGE s behalf, the cost of which will be billed to the VillageVILLAGE via Invoice. 4. Payment Terms Products and services provided by TMA shall be cumulatively billed on a monthly basis. The TMA Invoice format shall detail each individual mailing and the dates of the provided service. All correctly rendered TMA monthly invoices shall be paid by VILLAGE in accordance with the Illinois Prompt Payment Act. Each payment by VILLAGE to TMA includes all applicable federal, state, and Village taxes of every kind and nature applicable to the services as well as all taxes, contributions, and premiums for unemployment insurance, old age or retirement benefits, pensions, annuities, or similar benefits and all costs, royalties, and fees arising from the use of, or the incorporation into, the services, of patented or

61 copyrighted equipment, materials, supplies, tools, appliances, devices, processes, or inventions. All claim or right to claim additional compensation by reason of the payment of any such tax, contribution, premium, costs, royalties, or fees is hereby waived and released by TMA. 5. TMA Quality Commitment TMA guarantees that it will maintain consistent standards of quality workmanship and warrants the accurate and timely processing, printing and mailing of the document as outlined in paragraph seven (7) and that its products and services will be free from defect in materials and workmanship. TMA does not warrant that the document contents are fit, legally or otherwise, for their intended purpose or use. 6. Limits of Liability TMA agrees to use all reasonable efforts to provide timely services, but will not be held liable for errors of omission resulting from inaccuracies or defects in any VILLAGE billing data file, or for errors, omissions or delays resulting from improper input and output data controls and procedures used by VILLAGE or given to TMA by VILLAGE. TMA shall not be held responsible for any loss or delay or any default caused by acts of God or any other circumstances outside TMA s control which includes but is not limited to fire, flood, or labor from usual sources of supply, government restrictions, or electrical, mechanical or computer software failure that is unavoidable or beyond reasonable control of TMA. TMA agrees to use all reasonable efforts to provide timely production services at an alternate site in the event that their production site is unusable due to the aforementioned acts of God or any circumstances outside TMA s control. TMA S maximum liability for any and all claims arising from the performance of its obligations shall not exceed the purchase price of the services provided. No elected or appointed official, or employee of VILLAGE shall be personally liable, in law or in contract, to TMA as the result of the execution of this agreement. 7. Division of Responsibilities 7A. TMA Responsibilities 7A-1. To write the software required to convert the VILLAGE Utility billing file to the required laser image format. 7A-2. To write software that will allow VILLAGE S Utility billing files to be processed through Postal software for the purpose of reducing VILLAGE S postage to the minimum allowable postage piece rate.

62 7A-3. To procure all materials required to produce and to mail the Utility bills. This includes the Utility billing invoice, the No.10 window envelope and the No.9 courtesy reply envelope. TMA will not guarantee the performance of materials not produced by TMA. 7A-4. TMA will notify VILLAGE of the availability of record count and control totals for the Utility billing file no later than four (4) hours after receipt of the file. 7A-5 TMA will laser image and mail all VILLAGE Utility bills within forty-eight (48) post office operating hours after receipt of VILLAGE control total / record count sign off. Failing to do so will cause TMA a monetary penalty. The penalty is calculated by multiplying the late billing file s dollar value, times VILLAGE S Bank daily earnings credit rate, times the number of day(s) late. 7A-6. TMA will provide our employees the training to ensure the confidentiality of VILLAGE information. 7A-7. TMA will maintain effective and timely communications with VILLAGE in all matters pertaining to the responsibilities listed herein. 7B. VILLAGE Responsibilities 7B-1. Project Initiation: VILLAGE will provide to TMA an ERP utility billing file containing all required billing elements which are internally calculated by the VILLAGE S ERP software. Provide the Utility billing file record layout with file to form written instructions, all billing business rules, exception rules and any other variations to the above. VILLAGE shall approve the record count and control total format presentation and laser imaged Utility bill format both front and back upon project completion. 7B-2. Billing File and/or Bill Format Changes: Subsequent to VILLAGE Project Initiation approval any changes to billing business rules, laser image format, ERP billing file corruption, modifications and or version up-dates will be billed to VILLAGE at the prevailing programing rates.. 7B-2a: If your file is submitted to the TMA Gateway prior to 1pm, on a regular business day, and that file stalls/fails, the file will be reviewed the same business day. TMA will then impart this information to the municipality for the next steps to be determined. 7B-2b: If your file is submitted to the TMA Gateway after 1pm, on a regular business day, and that file stalls, the file will be reviewed on the next business day. TMA will then impart this information to the municipality for the next steps to be determined. 7B-2c: If your file is approved on the TMA Gateway, on a regular business day, and our production staff attempts to run the file in production and it is determined the file is corrupt, we will review the issue and advise the municipality for the next steps to be determined. - On files approved before 1pm, on a regular business day, review the same business day.

63 - On files approved after 1pm, on a regular business day, reviewed the next business day. 7B-3. If, in the course of file review (whether prior to approval of file or after approval of file), it is determined that a file correction/or multiple corrections are needed, TMA will advise on the information that we have available, what the issue with the file is, and consult with the municipality for direction on whose responsibility it will be to correct the file. 7B- 3a: If that fix/correction is to be made by TMA, the number of programming hours (cost) will be explained, as well as the timeframe for the fix to be implemented. Staff training and responsible file submission 7B-4. To provide to TMA a three (3) hour response via the TMA Gateway verifying the record count and control totals as stated in 7A-4. 7B-5. To maintain a C.A.P.S. postal account. 7B-6. To pay all correctly rendered TMA invoices in accordance with the Illinois Prompt Payment Act. 8. Price Changes The prices listed on Schedule B shall be subject to review each year on the anniversary date of this agreement. That review shall determine if there were any increases or decreases in the cost of paper, production, transportation or any other cost component of the herein contained products and/or services. Prices may also be reviewed if the agreement quantity as stated in SCHEDULE B varies by more than ten percent. TMA must provide third-party documentation of cost increases to VILLAGE. That documentation shall consist of letters of price increase or decrease from paper mills, articles from the Wall Street Journal or any other legitimate and universally accepted source. In the absence of the above documentation, the (J.P. Morgan-Chase Chicago area consumer price index) will be used as the source of price increase or decrease. No price change imposed pursuant to this Paragraph 8 will be effective prior to the date that is 30 days after receipt of written notice thereof by VILLAGE. Notwithstanding any provision of this agreement to the contrary, VILLAGE may terminate this agreement at no cost or penalty within 30 days after receipt of written notice of any price increase imposed pursuant to this Paragraph Renegotiations and Cancellation In the event either party is in breach of any of the terms contained herein, the non-breaching party shall give written notice of said breach to the breaching party. The breaching party shall have ten (10) days to cure the breach. In the event said breach is not cured within ten (10) days of notice, the nonbreaching party may then give thirty (30) days written notice of cancellation of this Agreement. 10. Post-agreement Confidentiality

64 In the event of cancellation or expiration of this agreement, TMA shall return to VILLAGE all materials and information pertaining to the performance of this agreement. These materials shall include, but are not limited to, all electronic media, all printed material, all notes, memos or other sources of VILLAGE confidential information. In no instance, prior to, during, or after the conclusion of this agreement, shall TMA offer for sale or in any other manner disclose to any third party the VILLAGE document file or any other such VILLAGE files, whether written or in electronic media format. 11. Materials Production Prior to materials production runs, TMA will notify VILLAGE in writing of the items to be produced, production quantities planned and the estimated period of materials consumption. TMA will base its materials production quantities on projections using current semi-annualized Utility billing volume. Any materials (i.e., non imaged forms, envelopes, etc.) that have been produced specifically and exclusively for VILLAGE S use will be paid for by VILLAGE and at VILLAGE S written request will be returned by TMA to VILLAGE upon cancellation or expiration of this agreement. 12. Other Provisions This agreement constitutes the entire agreement between the parties pertaining to the subject matter hereof and supersedes all prior agreements. No amendment, supplement, modification, waiver or termination of this agreement shall be binding unless executed in writing by the party to be bound thereby. No waiver of any of the provisions of this agreement shall be deemed or shall constitute a waiver of any other provision of this agreement, whether or not similar, nor shall such waiver constitute a continuing waiver unless otherwise expressly provided. TMA shall act as an independent contractor in providing and performing the services. Nothing in, nor done pursuant to, this Agreement shall be construed to (1) create the relationship of principal and agent, employer and employee, partners, or joint venturers between VILLAGE and TMA; or (2) to create any relationship between VILLAGE and any subcontractor of the Contractor. TMA represents and certifies that, to the best of its knowledge, (1) no elected or appointed Village official, employee or agent has a personal financial interest in the business of TMA or in this Agreement, or has personally received payment or other consideration for this Agreement; (2) as of the date of this Agreement, neither TMA nor any person employed or associated with TMA has any interest that would conflict in any manner or degree with the performance of the obligations under this Agreement; and (3) neither TMA nor any person employed by or associated with TMA shall at any

65 time during the term of this Agreement obtain or acquire any interest that would conflict in any manner or degree with the performance of the obligations under this Agreement. TMA represents and certifies that TMA is not barred from contracting with a unit of state or local government as a result of (1) a delinquency in the payment of any tax administered by the Illinois Department of Revenue unless TMA is contesting, in accordance with the procedures established by the appropriate revenue act, its liability for the tax or the amount of the tax, as set forth in Section et seq. of the Illinois Municipal Code, 65 ILCS 5/ et seq.; or (2) a violation of either Section 33E-3 or Section 33E-4 of Article 33E of the Criminal Code of 1961, 720 ILCS 5/33E-1 et seq. If at any time it shall be found that TMA has, in procuring this Agreement, colluded with any other person, firm, or corporation, then TMA shall be liable to VILLAGE for all loss or damage that VILLAGE may suffer, and this Agreement shall, at VILLAGE s option, be null and void. TMA shall give all notices, pay all fees, and take all other action that may be necessary to ensure that the services are provided, performed, and completed in accordance with all required governmental permits, licenses, or other approvals and authorizations that may be required in connection with providing, performing, and completing the services, and with all applicable statutes, ordinances, rules, and regulations, including without limitation the Fair Labor Standards Act; any statutes regarding qualification to do business; any statutes prohibiting discrimination because of, or requiring affirmative action based on, race, creed, color, national origin, age, sex, or other prohibited classification, including, without limitation, the Americans with Disabilities Act of 1990, 42 U.S.C et seq., and the Illinois Human Rights Act, 775 ILCS 5/1-101 et seq. TMA shall also comply with all conditions of any federal, state, or local grant received by VILLAGE or TMA with respect to this Agreement or the services. TMA shall be solely liable for any fines or civil penalties that are imposed by any governmental or quasi-governmental agency or body that may arise, or be alleged to have arisen, out of or in connection with TMA's, or its subcontractors, performance of, or failure to perform, the services or any part thereof. Every provision of law required by law to be inserted into this Agreement shall be deemed to be inserted herein. This Agreement may not be assigned by VILLAGE or by TMA without the prior written consent of the other party. Neither VILLAGE nor TMA shall be under any obligation to exercise any of the rights granted to them in this Agreement except as it shall determine to be in its best interest from time to time. The failure of VILLAGE or TMA to exercise at any time any such rights shall not be deemed or construed as a waiver of that right, nor shall the failure void or affect VILLAGE's or TMA's right to enforce such rights or any other rights. No claim as a third party beneficiary under this Agreement by any person, firm, or corporation shall be made or be valid against VILLAGE.

66 This agreement shall be construed and interpreted according to the laws of the State of Illinois. If any provision, clause or part of this agreement, or the application thereof under certain circumstances is held illegal or unenforceable, the remainder of this agreement, or the application of such provision, clause or part under certain circumstances, shall not be affected thereby. IN WITNESS WHEREOF, the duly authorized representatives of the parties have executed the Agreement effective as of the date last written below. AUTHORIZATION THIRD MILLENNIUM ASSOCIATES, INC. Signature: Name: Title: James J. Leader C.E.O. Date: September 5, 2014 VILLAGE OF CARPENTERSVILLE Signature:

67 Name: Title: Date:

68 Schedule A Materials to be provided by TMA: M1. 8 1/2 X 11 Utility bill printed two colors on the face and one color on the back. Paper is 20lb. MOCR bond, with a cross perforation to create the remittance portion of the document. M2. No.10 window envelope printed one color on the face. Paper is 24 lb. white-wove. M3. No.9 courtesy reply envelope printed one (1) color on the face. Paper is 24 lb. white-wove. M4. With mutual agreement, VILLAGE may authorize TMA to provide certain materials for new projects or variations of the billing project. These material descriptions may be attached to, and become a part of Schedule A. Servicesservices to be provided by TMA: S1. To write VILLAGE Utility billing file conversion software that will allow the laser imaging of VILLAGE Utility bills per the charges stated in Schedule B. S2. To write the required software that will allow VILLAGE S billing file to be processed by TMA postal software. S3. To process the VILLAGE data file using TMA postal sort application software to reduce the VILLAGE S postage rate to the minimum automation rate amount allowed by the USPS. S4. To laser image VILLAGE Utility bills in quantities and frequencies as stated in schedule B of this agreement. S5. To insert, seal, tray, sleeve, band, label, palletize and prepare USPS form 3602 and deliver to the US Post office all pieces laser imaged with respect to item S4. S6. To insert additional pieces into the outgoing No.10 billing envelope as directed by VILLAGE per the conditions and charges as stated in Schedule B of this agreement. S7. With mutual written agreement, VILLAGE may authorize TMA to provide additional services and / or products for new projects or variations of this billing project. These service descriptions may be attached to, and become a part of Schedule A.

69 SCHEDULE B - Pricing The prices contained herein are based on an average annual usage of 62,000 Utility bills. Any variance in the above quantities in excess of ten (10) percent per agreement year will be cause for a price review. There will be no more than one production run per month for the above stated item. Each Utility billing unit shall consist of the components described in Schedule A. 1B. VILLAGE Utility bills will be laser imaged and mailed at a cost of 15 cents per Utility bill (excluding postage). Prices are based on a monthly billing cycle. Each month TMA will bill between 4,275 and 5,950 utility accounts in one production run. There is a one-time billing system set up charge of $1,000 in accordance with section 7B-1. This Utility bill set-up fee pays for a complete pre-production test of all systems and components. Included are all Schedule A items and printed matter proofs. Also included are the consulting services to coordinate your software, Bank and TMA software during the implementation. Extensive software tests to insure data input and output integrity. TMA, your software and VILLAGE shall develop an edit process to verify all record counts and various control totals. The above procedures will allow each party to comply with their responsibilities as stated in Paragraph seven (7). There will be a $25.00 fee per production run if you chose to laser image late notices and / or shut-off notices as an additional and separate run each month. Should VILLAGE require changes to the Regular utility bills, or require the addition of past-due or shut-off notices to be designed and implemented and a later time than initial implementation, these set-ups will be quoted at the time of work and our prevailing programming rates. 2B. There will be a minimum charge of $100 per month on items that do not total this in a single month. 3B. The TMA PDF electronic utility bill archival/adobe Acrobat retrieval system will be provided with a one-time set up charge of $0. There is a 0.0 cent fee per record archived. 4B. A separate insertion charge will be applied for any additional item inserted into the out-going billing envelope. Insertion items must physically qualify for use on our insertion equipment. The insertion charge is 2 cents per item. This charge does not include the cost of supplying the additional item(s) to be inserted. 5B. Should VILLAGE choose to provide the printed item to be inserted, there will be a $95 flat handling charge added to the insertion cost of the item being provided. The insertion cost of a VILLAGE provided insert will be 3.0 cents per item. The cartons should be properly labeled on the outside showing full product description and quantity contained therein. Each shipment must also contain a packing list with product description and quantity contained in each carton, total cartons and total weight. The item must be properly packaged, folded and oriented for use on a high speed multi-station inserter. 6B. With mutual written agreement, VILLAGE may authorize TMA to provide certain products and services for new or revised projects. The TMA pricing structure for these projects may be attached to, and become a part of, Schedule B.

70 CONFIDENTIALITY AGREEMENT BETWEEN VILLAGE OF CARPENTERSVILLE AND THIRD MILLENNIUM ASSOCIATES, INC. This agreement made and entered into this day of, 2014, by and between Third Millennium Associates, Inc. (hereinafter referred to as TMA ) and the Village of Carpentersville, (hereinafter referred to as VILLAGE ). Whereas VILLAGE desires to keep in confidence all information pertaining to the VILLAGE billing files and past due information and whereas TMA desires to keep in confidence all technical and systems information. Now, therefore, in consideration of the mutual covenants and agreements of each party to the other as stated herein, it is mutually agreed among the parties as follows: 1. SYSTEM DESIGN VILLAGE will make available to TMA for the purpose of evaluation and system development certain confidential information. This information shall include but not be limited to name and address files, billing amounts and certain past due information. 2. CONFIDENTIAL DOCUMENTS VILLAGE shall give to TMA confidential information and TMA shall make copies for internal purposes only. All written information presented to TMA shall be and remain confidential. 3. CONFIDENTIAL ORAL DISCLOSURES VILLAGE shall inform TMA through its representatives that a particular oral disclosure shall be deemed confidential information. 4. TMA NON-DISCLOSURE TMA and its designated personnel will hold in confidence all confidential information disclosed for the purpose of evaluating its interest in establishing a business relationship with VILLAGE. Upon establishing a desire to enter into a business relationship, all confidential information shall continue to remain confidential. If no business relationship should exist, all information shall be returned to VILLAGE by TMA and TMA shall purge all files related to VILLAGE.

71 CONFIDENTIALITY AGREEMENT page 2 of 2 5. VILLAGE NON-DISCLOSURE TMA shall make available to VILLAGE orally and / or in writing, details regarding the design and functionality of TMA S software and systems. These shall be held in strict confidence by VILLAGE and shall not in any way be shared with or disclosed to a third party, except as may be required by law or court order. In no instance, during or at any time after the conclusion of this agreement, shall TMA offer for sale or in any other manner disclose to any third party the VILLAGE Utility billing files or past due file or any other such VILLAGE files, whether written or in electronic format. Village of Carpentersville DATE THIRD MILLENNIUM ASSOCIATES, INC. September 5, 2014 DATE

72 Village of Carpentersville 1200 L. W. Besinger Drive Carpentersville, Illinois /04/14 Agenda Item No. VIII.F. Village President Ed Ritter Village Clerk Theresa M. Wilde Village Manager J. Mark Rooney _JMR Concur Village Trustees Don Burroway Paul Humpfer Kevin Rehberg Pat Schulz Virginia Stephens Kay Teeter BOARD REPORT TO: Mark Rooney, Village Manager FROM: Hitesh Desai, Finance Director DATE: October 30, 2014 SUBJECT: Continuing Disclosure policy and initiative BACKGROUND Village staff is recommending adoption of Continuing Disclosure policy and Securities and Exchange Commission (SEC) Municipalities Continuing Disclosures Cooperation (MCDC) initiative. ANALYSIS The Village Board has already passed an ordinance authorizing the sale of bonds for an amount not exceeding a total of $10,000,000. In light of the current bond issue, Village of Carpentersville Financial Advisor suggested to have SEC Municipalities Continuing Disclosures Cooperation (MCDC) initiative questionnaire filled out for Series 2010A and 2010B Bonds and submitted to the SEC. He also recommended adoption of Village Continuing Disclosures Policy by the Village Board. The MCDC initiative is intended to potentially address violation of the federal securities laws by municipal issuers and underwriters. Under the MCDC initiative, SEC will recommend favorable settlement terms to the issuers if they self-report to the SEC possible violation involving materially inaccurate statements relating to prior compliance with the continuing disclosure obligations specified in Rule 15c2-12 under the Securities Exchange Act of FISCAL IMPACT The Village Financial Advisor doesn t expect any monetary penalties as a part of favorable settlement. Village Staff will continue to monitor any developments in this matter. 1 Page

73 11/04/14 Agenda Item No. VIII.F. DEPARTMENT RECOMMENDATION Village staff recommends that the attached policy and questionnaires be adopted. 2 P age

74 Village of Carpentersville, Kane County, Illinois MUNICIPAL SECURITIES CONTINUING DISCLOSURE POLICIES AND PROCEDURES November 4, 2014

75 Table of Contents INTRODUCTION... 1 Purpose... 1 Background Rule 15c2 12 and 10b NEW ISSUES... 2 Primary Offering Disclosure... 2 CONTINUING DISCLOSURE AGENT... 2 Designation of Disclosure Personnel... 2 Responsibilities of Agent... 3 Familiarity with EMMA Submission Process... 3 Training... 3 Coordination Effort... 3 FILINGS AND NOTICE REQUIREMENTS... 3 General... 3 Consistency of Disclosure... 4 Continuing Disclosure... 4 Annual Information Filing... 4 Audited Financial Statements... 5 Rule 15c2 12 Event Notice... 5 Notices of Failure... 6 Voluntary Disclosure... 6 Preparation... 6 Record Retention... 6 MISCELLANEOUS... 7 Liability... 7 Indemnification... 7

76 INTRODUCTION Purpose State and local governments, like the Village of Carpentersville, Kane County, Illinois (the Village ) subject themselves to the requirements of federal securities laws when they issue municipal debt obligations (e.g. bonds, notes, certificates, etc) via the public bond market. This Municipal Securities Disclosure Policy and Procedures (the Policy ) provides a policy framework and establishes procedures for the Village s compliance with primary and continuing disclosure requirements under federal securities laws for bonds, notes, and other obligations (collectively, Obligations ) issued by the Village. This Policy was developed to aid the Village in meeting its disclosure responsibilities under Securities and Exchange Commission (the SEC ) regulations and associated contractual undertakings relating to disclosure. SEC regulations and enforcement activities regarding disclosure practices (both primary and secondary market) continues to evolve, driven in part, by investors and regulators concerns with the absence of ongoing information of many municipal credits. Large issuers that tend to be in the market more often, provide ongoing information, both in official statements and in periodic financial reports, but small issuers can go years without issuing additional debt, and thus updating information to the market. The SEC has undertaken initiatives to improve continuing disclosure compliance by State and local governments through better enforcement and fines. The benefits of timely and complete disclosure include: Providing transparency and enhancing credibility with investors, financial analysts and the general bond market. Ensuring access to public debt markets. Protecting and enhancing the Village s credit rating. Fostering liquidity for securities. Avoiding penalties and fines. Background Rule 15c2-12 and 10b-5 The framework of the current system of securities regulation was put in place by the Securities Act of 1933 (the 33 Act ) and the Securities and Exchange Act of 1934 (the 34 Act, and together with the 33 Act, the Securities Acts ), which included broad anti-fraud provisions (requiring sellers to tell investors the whole truth) and created the SEC. Although municipal debt was initially exempt from many Securities Acts provisions, amendments passed in 1975 expanded their applicability to include a government or political subdivision, agency or instrumentality of a government, making clear that State and local government issuers are not exempt from the antifraud provisions of Section 17(a) of the 33 Act, Section 10(b) of the 34 Act, and SEC Rule 10b-5 (issued under Section 10(a) of the 34 Act). The SEC has subsequently amended from time to time, Rule 15c2-12 (the Rule ), prohibiting underwriters from offering bonds unless the issuer provides an official statement (effective 1989) and contractually promises to provide specified disclosures prescribed in the Rule (effective 1994), including annual financial information, audited financial statements (when and if available), and event notices. To facilitate compliance with the Rule, each State Issuer must enter into a continuing disclosure agreement 1

77 with the original purchaser/underwriter in connection with each new issuance of obligations, thereby contractually promising to provide the market with these disclosures. Simultaneous with the 1994 amendment to the Rule, the SEC issued an interpretive release repeating its basic assertion of issuer liability under Rule 10b-5 that disclosure documents used by municipal issuers, such as official statements, are subject to the prohibition against false or misleading statements of materials facts, including the omission of material facts necessary to make the statements made, in light of the circumstances in which they were made, not misleading. An omitted fact is material if there is a substantial likelihood that, under all the circumstances, the omitted fact would have assumed actual significance in the deliberations of the reasonable investor. There must be substantial likelihood that the disclosure of the omitted fact would have been viewed by the reasonable investor as having significantly altered the total mix of information made available. The focus of materiality is on the importance of the information to investors making investment decisions. Examples of information that might be material include: issuer financial statements, unfunded pension liabilities, anticipated loss of significant revenue sources, and anticipated or pending litigation in which there is a potential adverse judgment that could materially affect the issuer s financial position or operations. No specific listing of material information can be made, as the identification of material information will vary over time, from issuer to issuer, and with the nature of the municipal debt at issue. Primary Offering Disclosure NEW ISSUES When the Village issues Obligations it is directly or indirectly responsible for preparing a preliminary official statement ( POS ) and a final official statement ( OS ). Essentially, these official statements consist of two basic components: (i) Information related to the specific description of the Obligations being offered, transaction details, including but not limited to: authority and security, tax status, redemption features, continuing disclosure, litigation, underwriting/purchaser, legal matters, etc.; and, (ii) Information concerning the Village, including, but not limited to: description of the Village, sociodemographic and key economic data, financial summaries, future financing plans, default history, retirement funding status and other information deemed appropriate. The POS and OS are intended to provide requisite disclosure to the original purchasers of the Obligations. Description within the POS and OS for any Continuing Disclosure Undertaking should indicate the Village s intent to combine the presentation of Annual Financial Information within the Audited Financial Statement, eliminating the need for two separate filings, unless the Audited Financial Statement is unavailable within the filing timeframe, for purposes of continuing disclosure. Designation of Disclosure Personnel CONTINUING DISCLOSURE AGENT The Village shall designate a responsible party to monitor and maintain its ongoing continuing disclosure undertakings, as the Village s primary disclosure agent ( Agent ). In addition to the Agent, the Village shall appoint an alternate or assistant ( Designee ) to the Agent. If a third party (dissemination agent) is selected to assist the Agent, the Village is still responsible for complying with its continuing disclosure undertakings. 2

78 Responsibilities of Agent The Agent shall review and modify, as necessary, the continuing disclosure sections of the POS and OS for new issues and such sections of the OS for existing Obligations, along with their continuing disclosure agreements. The Agent shall maintain a current list of Obligations outstanding during such fiscal year setting forth the Obligation description, initial par amount, date of issuance, rating (if any), year of final maturity and CUSIP number for each such issue. Within the timeframe mandated the Annual Information Filings and the Audited Financial Statements, as required are to be submitted to the Municipal Securities Rulemaking Board (the MSRB ) using the Electronic Municipal Market Access system (the EMMA ). If such information is not available within the prescribed timeframe, the Agent shall provide notice to EMMA of the delay, and if available and relevant, drafts of such information. Additional notices of events may be required, which should be reflected on the list and submitted to EMMA, see FILING AND NOTICE REQUIREMENTS, herein. The Agent shall report all filings when made to the Village. Familiarity with EMMA Submission Process The Agent shall register with EMMA and review the on-line process of filing with EMMA located at in order to submit the required information. A tutorial is available on the website along with a practice submission. The MSRB market Information Department may also be contacted at , and FAQs on MSRB s Continuing Disclosure Submission Process is available from the MSRB at The Agent shall enroll the Village in EMMA s reminder system to ensure timely performance of their responsibilities and obligations. Training To ensure adequate resources to comply with the Rule, the Agent shall develop a training process aimed at providing additional assistance in preparing required information. Training shall be conducted, as necessary, and at least annually review the EMMA submission process and any changes for full compliance. Coordination Effort To avoid duplication of efforts, the Agent shall discuss/coordinate the preparation and submission of the required information with any Obligation trustees/paying agents to ensure compliance with the Rule and the Continuing Disclosure Undertakings. General FILINGS AND NOTICE REQUIREMENTS Pursuant to the Rule, under most circumstances, the Village will be required to provide financial and operating information on an annual basis with the MSRB via EMMA, for its Obligations. The Village has issued, or may issue, Obligations which are covered by the Rule and it must comply with any required continuing disclosure filings in a timely manner applicable to each issue of Obligations. 3

79 Continuing disclosure information is intended to reflect the financial or operating condition of an issuer as it changes over time, as well as specific events occurring after issuance, that can have an impact on both the ability to pay amounts owed and the market value of the Obligation if bought or sold prior to maturity. Each publically-issued Obligation has its own continuing disclosure requirements, and not all types of continuing disclosure will apply to each. Consistency of Disclosure Whenever possible, each new Obligation s continuing disclosure should be consistent amongst other Obligations requiring continuing disclosure agreements. If prior continuing disclosure agreements are not consistent in their requirements, the Village shall prepare its continuing disclosure information to cover all such requirements, into a consolidated document, to be posted annually to each Obligation. Continuing Disclosure Each new municipal debt issuance, per SEC Rule 15c2-12(b)(5)(i), requires a written agreement between the issuer and the original purchaser/underwriter for the benefit of holders of municipal securities. The Rule requires that an underwriter, prior to purchasing or selling an issue of obligations in connection with an offering, determine that the issuer, has provided the following information to the MSRB using EMMA, if any: By a specified date, annual financial and operating information for each Obligated Person for whom financial information or operating data is presented in the official statement (an Annual Information Filing ); By a specified date, if available, audited annual financial statements for each Obligated Person ( Audited Financial Statements ) and, if not available by the date required, unaudited financial statements with Audited Financial Statements within 10 business days of their availability; In a timely manner within 10 business days of occurrence, notice of the occurrence of one or more of the listed events described in the Rule (a Rule 15c2-12 Event Notice ); and In a timely manner, notice of a failure of any Obligated Person required to make the Annual Information Filing and/or file the Audited Financial Statements on or before the date(s) specified in the Continuing Disclosure Undertaking ( Notice of Failure ). The foregoing list of required disclosures is subject to change in the event of additional amendments to the Rule and corresponding additions to future continuing disclosure agreements. THE Village SHOULD ESTABLISH MATERIALITY BASIS AND/OR ITEMS THEY CONSIDER MATERIAL FOR CONTINUING DISCLOSURE AGREEMENTS OR ADDDENDUM THERETO. Annual Information Filing The Agent shall be knowledgeable and familiar with the provisions of each Continuing Disclosure Undertaking as to the type, format and content of the financial and operating information to be included in each Annual Information Filing, if any, to be made thereunder and the timing requirements for the 4

80 filing thereof. Such information may be combined and contained within the Audited Financial Statements, however, a Notice of intent to combine such information should be submitted by the Village to EMMA. Continuing Disclosure Undertakings (also may be described within each Obligation s official statement), generally, describe the submission timeframe following (or, within 210 days following) the close of the Village s fiscal year. Audited Financial Statements Audited Annual Financial Statements of the Village are also required to be filed no later than the submission dates established under each Continuing Disclosure Undertaking. The Agent shall be knowledgeable and familiar with the specific timing requirements for the filing of Audited Financial Statements and, if not available by the date(s) required, a notice shall be submitted along with unaudited financial statements, if any, as discussed in the terms of each Continuing Disclosure Undertaking. Rule 15c2-12 Event Notice Events to be reported within 10 business days of occurrence, certain of which may not be applicable to the Bonds include: Principal and interest payment delinquencies Non-payment related defaults, if material Unscheduled draws on debt service reserves, or on credit enhancements reflecting financial difficulties Substitution of credit or liquidity providers, or their failure to perform Adverse tax opinions, the issuance by the Internal Revenue Service of proposed or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701-TEB) or other material notices or determinations with respect to the tax status of the security, or other material events affecting the tax status of the security Modifications to the rights of security holders, if material Bond calls, if material, and tender offers Defeasances Release, substitution or sale of property securing repayment of the securities, if material Rating changes Bankruptcy, insolvency, receivership or similar event of the Village Consummation of a merger, consolidation, or acquisition involving the Village or the sale of all or substantially all of the assets of the Village, other than in the ordinary course of business, the entry into a definitive agreement to undertake such an action or the termination of a definitive agreement relating to any such actions, other than pursuant to its terms, if material Appointment of a successor or additional trustee or the change of name of a trustee, if material The failure to provide the Annual Information within the specified time Any change in the accounting principles applied in the preparation of the annual financial statements or in the fiscal year The above list of required disclosures is subject to change in the event of additional amendments to the Rule and corresponding additions to future continuing disclosure agreements. 5

81 Notices of Failure The Agent shall be knowledgeable and familiar with the specific requirements for the filing of a Notice of Failure, in particular, to make Annual Information Filings and/or to file Audited Financial Statements by the date(s) required under the terms of each Continuing Disclosure Undertaking. Voluntary Disclosure Although the Rule prescribes certain annual information and event-based disclosures that must be filed, issuers may determine that additional information would be of interest to investors. To this end, issuers may choose to voluntarily disclose other information to the MSRB that goes beyond the requirements of the Rule. This information may include, but is not limited to, items such as monthly financial reports, updates on issues that could affect an issuer s budgetary, financial, or economic position, annual/biennial budgets, and changes in rating outlooks. Preparation For non-event disclosures, approximately 90 days before the submission date for required filings established under each Continuing Disclosure Undertaking, the Agent shall initiate the process of preparing the financial and operating information required to be submitted thereunder. The Agent shall assemble the information available at that time and determine the scope of additional information to be required and also contact the auditors to establish a schedule for completion and submission for the Audited Financial Statements. Unless previously submitted, not less than 30 days before the submission date, the Agent shall prepare a draft submission of required financial and operating information, highlighting any information still unavailable. On or before the submission date established under each Continuing Disclosure Undertaking, the Agent shall make the Annual Information Filing, if any, together with the Audited Financial Statements. If the Audited Financial Statements are not then available, unaudited financial information shall be filed with the MSRB using EMMA and the Audited Financial Statements shall be filed within 10 business days of their receipt and acceptance. Event filings are to be submitted within 10 days of their occurrence. The Village and Agent shall establish guidelines for materiality, where applicable, of certain events for reporting purposes, they shall establish criteria, if any, for the submission of any voluntary disclosures, and the timeframe for such submissions. The Agent shall set calendar reminders in the Issuer Finance Department s recordkeeping systems. Record Retention The Agent shall maintain records of the MSRB filings on EMMA, including, but not limited to, EMMA posting receipts showing the dates and nature or contents of all filings for each outstanding Obligation of the Village during the fiscal year. Records are to be kept for the life of the bonds and at least up to five (5) years from the date the bonds are retired, in physical or electronic format, after the Obligation mature, regardless if said Obligation was refunded in advance of maturity. 6

82 MISCELLANEOUS Liability The requirements imposed by SEC regulations can create risks for officials who oversee the disclosure process. While the prudent selection and use of experts can minimize liability and provide certain safeguards, the Village has a level of responsibility for accurate and complete disclosure that cannot be completely delegated. Having a good understanding of the principals of disclosure will enhance officials ability to make the right decisions when dealing with their own facts and circumstances. The Village will endeavor to use best practices and uniform procedures, and attorneys, consultants or other experts, as necessary, to ensure primary and secondary disclosure is timely completed in full compliance with SEC regulations. Indemnification Unless their actions were intentional, the Village agrees to indemnify the Agent and others against any claims that may arise from result from the Village s continuing disclosure efforts. 7

83

84

85

86

87

88