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HomeMy WebLinkAbout1997-10-082. 3. 4. 5. 6. 10. 11. 12. F I N ~'\ L 7:0O P.M. OCTOBER 8, 1997 ROOM 241 . COUX'TY OFF[CE BUll.DIN(; Call to Order. Pledge of Allegiance. Moment of Silence. Other Matters Not Listed on fire Agenda from the PUBLIC. Consent Agenda (on next sheet ~. Public Hearing on the proposed issuance of school bonds of Albemarle County in the estimated maximum principal amount of $20,455,000. The purpose of the proposed bonds is to finance capital projects for public schools. Public Hearing on an ordinance to amend and reordain Chapter 2, Administrat/on. Article IV. Airport Commission. of the Code of the County of Albemarle. in Section 2-30. Compensation and term of office of members. This amendment will allow members of the Airport Commission ro serve three terms, SP-97-38, Randolph R. & Catherine C. Lang (Sign #59). Public Hearing on a request to establish an antique & gift shop on approx 2.0 acs. Znd ICA & EC. Located on N side of Rt 250 W (Rockfish Gap Turnpike) ar Nelson County line. TM69.P7A. White Hall Dist. This property is not located in a designated growth area., SP-97-039. Woolen Mills Warehouse (Sign #81&82'~. Public Hearing on a request to allow for fill to be located in the 100 year flood plain of Moore's Creek [Section 30.3.3.2 of Zoning Ordinance] associated w tconstmction of 2 warehouses totaling 10,000 sq f~ on approx 6.7 acs. Znd LI. Located on SE sd of Franklin St, b/t Ch'ville City Limit & Moore's Creek. TM77.P40. Scottsville Dist. (This property is recommended for Industrial Service in Neighborhood 4. ~ Approval of Minutes: November 1, 1995. Other Matters not Listed on the Agenda from the BOARD. Adjottrn C 0 N S E N T AGENDA FOR APPROVAL: 5.1 Appropriation: Federal and State Drug Seized Assets, $46.985.91 (Form #97025 ~. 5.2 Appropriation: Crime Analysis Unit Grant 98-B9169, $36,808 Form #97027 }. 5.3 Appropriation: Drug Court Services Grant. $33.531 Form #97028 I. 5.4 Appropriation: HUD Section 8 Housing Assistance, $1,515,935 Form #97029). 5.5 Refinancing Resolution for Mallside Forest Apartments. FOR INFORMATION: 5.6 Copy of minutes of the Planning Commission for September 16, 1997 5.7 Memorandum dated September 24. 1997. to the Members of the James River Heritage Partnership, from Charles T. Peters. Jr., City of Richmond. Department of Community Development, providing a copy of the most recent draft of their nomination for American Heritage Rivers designation for the Janxes River. COUNTY OF ALBEMARLE MEMORANDUM TO: FROM: DATE: RE: Robert W. Tucker, Jr., County Execntive V. Wayne Cilimberg, Director of Planning and Commtmity Development Ella W. Carey, CMC, Clerk ,~t)~'~ October 10, 1997 Board Actions of October 8; 1997 At its meeting on October 8, 1997, the Board of Supervisors took the following actions: Agenda Item No. 1. Call to Order. The meeting was called to order at 7:01 p!m., by the Chairman. (All Board members were present.) Agenda Item No. 4. Other Matters Not Listed on the Agenda from the PUBLIC. Mr. Bob Watson presented a ResolutiOn adopted by the Blue Ridge Home Builders AssociatiOn in support of a meals tax. Mr. Bob Rannigan, representing Charlottesville Fathering Initiative, said the organization is in the process of promoting and nurturing healthy fathering in the community. As part of their work, they are in the beginning of starting a dialogue to have somebody in the community work ina full-time position to promote fathering and be an advocate for fathers using existing programs and services. He provided Board members with a copy of an RFP they submitted to the Virginia Fatherhood Campaign. Agenda Item No. 5. Consent Agenda. Item No. 5.1. Appropriation: Federal and State Drug Seized Assets, $46,985.91 (Form #97025). Approved. Item No. 5.2. Appropriation: Crime Analysis Unit Grant 98-B9169, $36,808 (Form #97027). Approved. Mrs. Thomas asked if this grant is paying for a portion of the Criminal Justice Planner in the Planning District Commission. She does not want there to be a duplication of services. Mr. Tucker said he would look into it. Memo To: Robert W. Tud<er, lr- V. Wayne Cilimberg Date: October 10, 1997 Page 2 Item No. 5.3. Appropriation: Drng Court Services Grant, $33,531 (Form #97028). Approved. Item No; 5.4. Appropriation: HUD Section 8 Housing Assistance, $1,515,935 (Form #97029). Approved. Item No. 5.5. Refinancing Resolution for Mallside Forest Apartments. Adopted. Agenda Item No. 6. Public Hearing on the proposed issuance of school bonds of Albemarle County in the estimated maximum principal amount, of $20,455,000~ The purpose of the proposed bonds is to finance capital proiects for public schools. Adopted the Resolution Authorizing the Issuance of not to EXCeed $20,455,000 General Obligation School Bonds of the County of Albemarle, Virginia, Series 1997 A, to be sold to the Virginia Public School Authority and Providing for the Form and Details Thereof. Agenda Item No. 7. Public Hearing on an ordinance to amend and reordain Chapter 2, Administration, Article IV, Airport Commission, of the Code of the County of Albemarle, in Section 2-30, Compensation and term of office of members. This amendment will allow members of the Airport Commission to serve three terms. Adopted the Ordinance to amend and reordain Chapter 2, Administration, At-fide IV, Airport Commission, of the Code of tire County of Albemarle, in Section 2-30, Compensation and term of office of members. Agenda Item No. 8. SP-97-38. Randolph R. SC Catherine C. Lang (Sign #59). Public Hearing on a request to establish an antique SC gift shop on approx 2.0 acs. Znd RA Sc EC. Located on N side of Rt 250 W (Roclcfish Gap Turnpike) at Nelson County line. TM69,P7A. White Hall Dist. (This property is not located in a designated growth area.) (Advertised in the DaLly Progress on September 24 and October 1, 1997.) Approved SP-97-38, subject to the five conditions recommended by the Planning Commission, with condition #3 amended, as follows: Site plan or site plan waiver to address the parldng layout, consolidation of the entrances and landscaping; 2. Engineering Department approval of entrance improvements; Architectural Review Board approval of sign; Health Department approval of use of existing septic system; and Memo To: Robert W. Tud<er, Jr. V. Wayne Cilimberg Date: October 10, 1997 Page 3 5. Exterior lighting to be shielded. Agenda Item No. 9. SP-97-039. Woolen Mills Warehouse (Sign #81&82). Public Hearing on a request to allow for Fill to be located in the 100 year flood plain of Moore's Creek [Section 30.3.3.2 of Zoning Ordinance] associated w/construction of 2 warehouses totaling 10,000 sq ft on approx 6.7 acs. Znd LI. Located on SE sd of Franklin St, b/t Ch'ville City Limit & Moore's Creel<. TM77,P40. Scottsville Dist. {This property is recommended for Industrial Service in Neighborhood 4.) Approved SP-97-39. subject to the following conditions reconunended by the Planning Commission: 1. Albemarle County Engineering approval of Erosion and Sediment Control Plan; Water quality measttres shall be provided to achieve water quality equivalent to predevelopment conditions, subject to the approval of the Water Resources Manager; and 3. No soil shall be removed from the Moore's Creek flood plain to compensate for any £fll. Agenda Item No. 11. Other Matters not Listed on the Agenda from the BOARD. Mrs. Thomas mentioned an invitation Board members received to attend the Tributary Strategy of the Piedmont Region of the James River. Mr. Tucker said he asked Mr. Hirschman to attend on behalf of the County. Mrs. Thomas mentioned information the Board received regarding the recent Request for Proposals by the Rivanna Solid Waste Authority for transporting Construction and Demolition Debris ICDD) from the Ivy Landfill to a landf'fll outside of the County. She asked that this item be included on an agenda for discussion in the near future. Mr. Tucker suggested the item be discussed at the November 5th meeting. Mr. Bowerman said VOTE YES has scheduied a press conference for Tuesday, October 14. 1997, I0:00 a.m., on the font steps of the County Office Building, to ldck off the meals tax campaign. Mrs. Thomas said on Sm{day, October 12, 1997, at 1:30 p.m., the Charlottesville Mnuicipal Band will be giving a program for the Thomas Jefferson Planning District Commission. She noted that, at the ceremony, Albemarle Cotmty will receive a citation for being an original member of the Planning District Commission. Memo To: Robert W. Tud~er, Jr. V. Wayne Cilimberg Date: October 10, 1997 Page 4 Agenda Item No. 12. Executive Session: Legal Matters. At 7:37 p.m., Mr. Bowerman moved that the Board go into Executive Session pursuant to Section 2.1-344(A) of the Code of Virginia trader Subsection (7) to consult with legal counsel and staff regarding specific legal matters relating to reversion. Agenda Item No. 13. Certify Executive Session. At 8:00 p.m., the Board reconvened into open session. Motion was offered by Mr. Bowerman, that the Board certify by a recorded vote that to the best of each Board member's knowledge only public business matters lawfully exempted from the open meeting require- ments of the Virginia Freedom of Information Act and identified in the motion, authorizing the executive session were heard, discussed or considered in the executive session. Agenda Item No. 14. Adjourn. The Board adjourned to October 13, 1997, 4:00 p.m., for a tour of the Monticello High School. /ewc Attachments (6) cc: Richard E. Huff, II Roxanne White Kevin C. Castner Larry Davis Amelia McCulley Bill Mawyer Bruce Woodzell Richard Wood Jan Sprinkle Yadira Amarante File The undersigned Clerk of the Board of Supervisors of Albemarle County, Virginia (the "County"), certifies as follows: l. A regular meeting of the Board of Supervisors of Albemarle County, Virginia, was held on October 8, 1997, at the time and place established by such Board for its regular meetings, at which the following members were present and absent: PRESENT: Mr. David P. Bowerman, Mrs. Charlotte Y. Humphris, Mr. Forrest R. Marshall, Jr., Mr. Charles S. Martin, Mr. Walter F. Perkins and Mrs. Sally H. Thomas. ABSENT: None 2. A resolution entitled "Resolution Authorizing the Issuance of Not to Exceed $20,455,000 General Obligation School Bonds of the County of Albemarle, Virginia, Series !997 A, to be Sold ro the Virginia Public School Authority and Provid'mg for the Form and Details Thereof' was adopted by a majority of all members of the Board by a roll call vote. the ayes and nays being recorded in the minutes of the meefmg as shown below: MEMBER VOTE Mr. Bow~rman Aye Mrs. Hu~phris Aye Mr. Marshall Aye Mr. Martin Aye Mr. Perkins Aye Mrs. Thomas Aye 3. Attached hereto is a tree, correct and complete copy of such resolution as adopted at such meeting. 4, The foregoing resolution has not been repealed, revoked, rescinded or amended and is m full force and effect on the date hereof. WITNESS my signature and the seal of the Board of Supervtsors of Albemarle County, Virginia, this sen day of October, 1997. Cl / o d of S ;p iso 4 of Albemarle (SEAL) County, Virginia RESOLUTION AUTHORIZING THE ISSUANCE OF NOT TO EXCEED $20,455,000 GENERAL OBLIGATION SCHOOL BONDS OF THE COUNTY OF ALBEMARLE, VIRGINIA, SERIES 1997 A, TO BE SOLD TO THE VIRGINIA PUBLIC SCHOOL AUTHORITY AND PROVIDING FOR THE FORM AND DETAILS THEREOF. WHEREAS, the Board of Supervisors (the "Board") of the County of Albemarle, Virginia (the "County"), has determined that it is necessary and expedient to borrow an amount not to exceed $20,455,000 and to ~ssue its general obligation school bonds for the purpose of financing certain capital projects for school purposes; and WltEREAS, the County hel&a public hearing, duly noticed, on October 8, 1997, on the issuance of the Bonds (as hereinafter defined) in accordance w/th the requirements of Section 15.1-227.8.A, Code of Virginia 1950, as amended (the "Virginia Code"); and WHEREAS, the School Board of the County has, by resolution, requested the Board to authorize the issuance of the Bonds and, consented to the issuance of the Bonds; NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF SUPERVISORS OF THE CO[2N'TY OF ALBEMARLE, VIRGINIA: l. Authorization of Bonds and Use of Proceeds. The Board hereby determines that it is advisable to contract a debt and issue and sell its general obligation school bonds in an aggregate principal amount not to exceed $20,455,000 (the "Bonds") for the purpose of financing certain capital projects for school purposes. The Board hereby authorizes the issuance and sale of the Bonds in the form and upon the terms established pursuant to this Resolution. 2. Sale of the Bonds. It is determined to be in the best interest of the County To accept the offer of the Virginia Public School Authority (the "VPSA") to purchase from the County, and to sell to the VPSA, the Bonds at par.upon the terms established pursuant to this Resolution. The Chairman of the Board, the County Executive or such officer or officers of the County as either may designate are hereby authorized and directed to enter into a Bond Sale Agreement dated as of October 15, 1997, with the VPSA providing for the sale of the Bonds to the VPSA in substantially the form submitted [to the Board at this meeting, which form is hereby approved (the "Bond Sale Agreement").. 3. Details_ of the Bonds. The Bo~ds shall be dated the date of issuance and deliveE~ of the Bonds; shall be designated "Genre'al Obligation School Bonds, Series 1997 A;" shall bear interest from the date of delivery thereof payable semi-annually on each January 15 and July 15 beginning July 15, 1998 (each an "Interest P,a3~ment Date"), at the rates established in accordance with Section _4, of this Resolution; and shall ~inature on July 15 in the years (each a "Principal Payment Date ') and in the amounts set forth on Schedule I attached hereto (the "Principal Installments"), subject to the provisions of Section 4 of this Resolution. 4. Interest Rates and Principal Installments. The County Executive is hereby authorized and directed to accept the interest rates on the Bonds established by the VPSA, provided that each interest rate shall be ten one-hundredths of one percent (0.10%) over the interest rate to be paid by the VPSA for the corresponding principal payment date of the bonds to be issued by the VPSA (the "VPSA Bonds'), a portion of the proceeds of which will be used to purchase the Bonds, and provided further that the tree interest cost of the Bonds does not exceed eight percent (8%) per annum. The Interest Payment Dates and the Principal Installments are subject to change at the request of the VPSA. The County Executive is hereby authorized and directed to accept changes in the Interest Payment Dates and the Principal Installments at the request of the VPSA, provided that the aggregate principal amount of the Bonds shall not exceed the amount author/zed by this Resolution. The execution and delivery of the Bonds as described in Section 8 hereof shall conclusively evidence such interest rates established by the VPSA and Interest Payment Dates and the Principal Installments requested by the VPSA as having'been so accepted as authorized by this ResolutiOn. 5. Form of the Bonds. The Bonds shall be initially in the form of a single, temporary typewritten bond substantially in the form attached hereto as Exhibit A. 6. Pavmenti Paving Agent and Bond Registrar. The following provisions shall apply to the Bonds: (a) For as long as the VPSA is the registered owner of the Bonds, all payments of principal of and premium, if any, and interest on the Bonds shall be made in immediately available funds m the VPSA at, or before 11:00 a.m. on the applicable Interest Payment Date, Principal Payment Date or date fixed for prepayment or redemption, or if such date is not a business day for Virginia banks or for the Commonwealth of Virginia, then at or before l 1:00 a.m. on the business day next preceding such Interest Payment Date, Principal Payment Date or date fixed for prepayment or redemption. (b) All overdue payments of principal and, to the extem permitted by law, interest shall bear interest at the applicable interest rate or rates on the Bonds. (c) Crestar Bank, Richmond, Virginia, is designated as Bond Registrar and Paying Agent for the Bonds. 7. Prepayment or Redemption. The Principal Installments of the Bonds held by the VPSA coming due on or before July 15, 2008, and the definitive Bonds for which the Bonds held by the VPSA may be exchanged that mature on or before July 15, 2008, are not subject m prepayment or redemption prior to their stated maturities. The Principal Installments of the Bonds held by the VI)SA coming due after July 15, 2008, and the definitive bonds for which the Bonds held by the VPSA may be exchanged that mature after July 15, 2008, are subject m prepayment or redemption at the option of the County prior to their stated maturities in whole or in part, on any date on or after July 15, 2008, upon payment of the prepayment or redemption prices (expressed as percentages of Principal Installments m be prepaid or the principal amount of the Bonds to be redeemed) set forth below plus accrued interest to the date set for prepayment or redemption: Dates Prices July 15, 2008, through July 14, 2009 July 15, 2009, through July 14, 2010 July 15, 2010, and thereafter 102% 101 lO0 Provided, however, that the Bonds shall not be subject to prepayment or redemption prior to their stated maturities as described above without first obtaining the written consent of the registered owner of the Bonds. Notice of any such prepayment or redemption shall be given by the Bond Registrar to the registered owner by registered mail not more than ninety (90) and not less than sixty (60) days before the date fixed for prepayment or redemption. 8. Execution of the Bonds. The Chairman or Vice Chairman and the Clerk or any Deputy Clerk of the Board are authorized and directed to execute and deliver the Bonds and to affix the seal of the County thereto. 9. Pledge of Full Faith and Credit. For the prompt payment of the principal of and premium, if any, and the interest on the Bonds as the same shall become due, the full faith and credit of the County are hereby irrevocably pledged, and in each year while any of the Bonds shall be outstanding there shall be levied and collected in accordance with law an annual ad valorem tax upon all taxable property in the County subject to local taxation sufficient in amount to provide for the payment of the principal of and premium, if any, and the interest on the Bonds as such principal, premium, if any, and interest shall become due, which tax shall be without limitation as to rate or amount and in addition to all other taxes authorized to be levied in the County ro the extent other funds of the County are not lawfully available and appropriated for such purpose. 10. Use of Proceeds Certificate and Certificate as to Arbitrage. The Chairman of the Board, the County Executive and such officer or officers of the County as either may designate are hereby authorized and directed to execute a Certificate as to Arbitrage and a Use of Proceeds Certificate each setting forth the expected use and investment of the proceeds of the Bonds and containing such covenants as may be necessary, in order to show compliance with the provisions of the Internal Revenue Code of 1986, as amended (the "Code"), and applicable regulations relating to the exclusion from gross income of interest on the Bonds and on the VPSA Bonds. The Board covenants on behalf of the County that (i) the proceeds from the issuance and sale of the Bonds will be invested and expended as set forth in suer Cm'tificate as to Arbitrage and such Use of Proceeds Certificate and that the County shall comply with the other !covenants and representations contained therein and (ii) the County shall comply with the promsions of the Code so that interest on the Bonds and on the VPSA Bonds will remain excludable from gross income for Federal income tax purposes. 11. State Non-Arbitrage Program; Proceeds Agreement. The Board hereby determines that it is in the best interests of the County to authorize and direct the County Director of Finance to participate in the State Non-Arbitrage Program in connection with the Bonds. The Chairman of the Board, the County Executive and such officer or officers of the County as either may designate are hereby authorized and directed to execute and deliver a Proceeds Agreement with respect to the deposit and investment of proceeds of the Bonds by and among the County, the other participants in the sale of the VPSA Bonds, the VPSA, the investment manager and the depository, substantially in the form submitted to the Board at this meeting, which form is hereby approved. I2. Continuing Disclosure Agreement. The Chairman of the Board. the County Executive and such officer or officers of the County as either may designate are hereby authorized and directed to execute a Continuing Disclosure Agreement, as set forth in Appendix F to the Bond Sale Agreement, setting forth the reports and notices to be filed by the County and containing such covenants as may be necessary, in order to show compliance with the provisions of the Securities and Exchange Commission Rule 15c2-12. 13. Filing of Resolution. The appropriate officers or agents of the County are hereby authorized and directed to cause a certified copy of this Resolution to be filed with the Circuit Court of the County. 14. Further Actions. The members of the Board and all officers, employees and agents of the County are hereby authorized to take such action as they or any one of them may consider necessary or desirable in connection with the issuance and sale of the Bonds and any such action previously taken is hereby ratified and confirmed. 15. Effective Date. This Resolution shall take effect immediately. The undersigned Clerk of the Board of Supervisors of the County of Albemarle, Virginia, hereby certifies that the foregoing constitutes a true and correct extract l~om the minutes of a meeting of the Board of Supervisors held on October 8, 1997, and of the whole thereof so far as applicable to the matters referred to in such extract. I hereby further certify that such meeting was a regularly scheduled meeting and that, during the consideration of the foregoing resolution, a quorum was present. WITNESS MY HAND and the seal of the Board of Supervisors of the County of Albemarle, Virginia, this 8th day of October, 1997. (SEAL) Cl~rk,'~Bo~a~d ~)f'S~pervisov~ Albemarle, Virginia of the County of 4 EXHIBIT A (FORM OF TEMPORARY BOND) NO. TR-I $ UNITED STATES OF AMERICA COMMONWEALTH OF VIRGINIA COUNTY OF ALBEMARLE General Obligation School Bond Series 1997 A The COUNTY OF ALBEMARLE, VIRGINIA (the "County"), for value rece,ved, hereby acknowledges itself indebted and promises ro pay to the VIRGINIA PUBLIC SCHOOL AUTHORITY the principal amount of DOLLARS ($ ), in annual installments in the amounts set forth on Schedule I attached hereto payable on July 15, 1998, and annually on July 15 thereafter to and including July 15, 2017 (each a "Principal Payment Date")~ together with interest from the date of this Bond on the unpaid installments, payable serm- annually on January 15 and July 15 of each year, conmnencing on July 15, 1998 (each an "Interest Payment Date"; together with any Principal Payment Date, a "Payment Date"), at the rates per annum set forth on Schedule I attached hereto, subject to prepayment or redemption as hereinafter provided. Both principal of and interest on this Bond are payable in lawful money of the United States of America. For as long as the virginia Public School Authority is the registered owner of this Bond, Crestar Bank, RIchmond, Virginia, as bond registrar (the "Bond Registrar"), shall make all payments of principal, premium, if any, and interest on this Bond, without the presentation or surrender hereof, to the Virginia Public School Authority, in immediately available funds ar or before 11:00 a.m. on the applicable Payment Date or date fixed for prepayment or redemption. If a Payment Date or date fixed for prepayment or redemption is not a business day for banks in the Commonwealth of Virginia or for the Commonwealth of Virginia, then the payment of principal, premium, if any, or interest on this Bond shall be made in immediately available funds ar or before 11:00 a.m. on the business day next preceding the scheduled Payment Date or date fixed for prepaymem or redemption. Upon receipt by the registered owner of this Bond of said payments of principal, premium, if any, and interest, written acknowledgment of the receipt thereof shall be given promptly to the Bond Registrar, and the County shall be fully discharged of its obligation on this Bond to the extent of the payment so made. Upon final payment, this Bond shall be surrendered to the Bond Registrar for cancellation. A-1 The full faith and credit of the County are irrevocably pledged for the payment of the principal of and the premium, if any, and interest on this Bond. The resolution adopted by the Board of Supervisors authorizing the issuance of the Bonds provides, and Section 15.1-227.25 (Section 15.2-2624, effective December 1, 1997) of the Code of Virginia 1950, as amended, requires, that there shall be levied and collected an annual tax upon all taxable property in the County subject to local taxation sufficient to provide for the payment of the principal of and premmm, if any, and interest on this Bond as the same shall become due, which tax shall be without limitation as to rate or amount and shall be in addition to all other taxes authorized to be levied in the County to the extent other funds of the County are not lawfully available and appropriated for such purpose. This Bond is duly authorized and issued in compliance with and pursuant to the Constitution and laws of the Commonwealth of Virginia, including the Public Finance Act of 199l, Chapter 5.1, Title 15.1 (Chapter 26, Title 15.2, effective December 1, 1997), Code of Virginia 1950, as amended, and resolutions duly adopted by the Board of County Supervisors of the County and the School Board of the County to provide funds for capital projects for school purposes. This Bond may be exchanged without cost, on twenty (20) days written notice from the Virginia Public School Authority, at the office of the Bond Registrar on one or more occasions for two or more temporary bonds or definitive bonds in fully registered form in denominations of $5,000 and whole multiples thereof, and; in any case, having an equal aggregate pnncipal amount, having maturities and bearing interest at rates corresponding to the maturities of and the interest rates on the installments of principal of this Bond then unpaid, this Bond is registered in the name of the Virginia Public School Authority on the books of the County kept by the Bond Registrar, and the transfer of this Bond may be effected by the registered owner of this Bond only upon due execution of an assignment by such registered owner. Upon receipt of such assignment and the surrender of this Bond, the Bond Registrar shall exchange this Bond for defmitive Bonds as hereinabove provided, such definitive Bonds to be registered on such registration books in the name of the assignee or assignees named in such assignment. The principal installments of this Bond coming due on or before July 15, 2008, and the definitive Bonds for which this Bond may be exchanged that mature on or before July 15, 2008, are not subject ro prepayment or redemption prior to their stated maturities. The principal installments of this Bond coming due after July 15, 2008, and the defmitive Bonds for which this Bond may be exchanged that mature after July 15, 2008, are subject to prepayment or redemption at the option of the County prior to their stated maturities in whole or in part, on any date on or after July 15, 2008, upon payment of the prepayment or redemption prices (expressed as percentages of principal installments to be prepaid or the prinmpal amount of the Bonds to be redeemed) set forth below plus accrued interest to the date set for prepayment or redemption: Dates Prices July 15, 2008 through July 14, 2009 July 15, 2009 through July 14, 2010 102% 101 A-2 July 15, 2010 and thereafter 100 Provided, however, that the Bonds shall not be subject to prepayment or redemption prior to their stated maturities as described above without the prior written consent of the registered owner of the Bonds. Notice of any such prepayment or redemption shall be given by the Bond Registrar to the registered owner by registered mail not more than ninety (90) and not less than sixty (60) days before the date fixed for prepayment or redemption. All acts, conditions and things required by the Constitution and laws of the Cormnonwealth of Virginia to happen~ exist or be performed precedent to and in the issuance of this Bond have happened, exist and have been performed in due time, form and manner as so required, and this Bond. together with all other indebtedness of the County, is within every debt and other limit prescribed by the Constitution and laws of the Commonwealth of Virginia. IN WITNESS WHEREOF, the Board of Supervisors of the County of Albemarle has caused this Bond to be issued in the name of the County of Albemarle, Virginia, to be signed by its Chairman or Vice-Chairman, its seal to be affixed hereto and attested by the signature of its Clerk or any of its Deputy Clerks, and this Bond to be dated November ,1997. COUNTY OF ALBEMARLE, VIRGINIA ATTEST: Clerk, Board of Supervisors of the County of Albemarle, Virgima Chairman, Board of Supervisors of the County of Albemarle, Virginia A-3 ASSIGNMENT FOR VALUE RECEIVED, the undersigned sells, assigns and transfers unto (PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE, OF ASSIGNEE) PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE: the within Bond and irrevocably constitutes and appoints attorney to exchange said Bond for definitive bonds in lieu of which this Bond is issued and to register the transfer of such definitive bonds on the books kept for registration thereof, with full power of substitution in the premises. Date: Signature Guaranteed: (NOTICE: Signature(s) must be guaranteed by an "eligible guarantor institution" meeting the requirements of the Bond Registrar which requirements will include Membership or participation in STAMP or such other "signature guarantee program" as may be determined by the Bond Registrar in addition to, or in substitution for, STAMP, all in accordance with the Securities Exchange Act of 1934, as amended. Registered Owner (NOTICE: The signature above must correspond with the name of the Registered Owner as it appears on the front of this Bond in every particular, without alteration or change.) A-4 Non-Subsidized Local School Bond Principal Rate Interest Total 7/15/98 $t,025,000 4.600% 1/15/99 0 7/15/99 1,025,000 4.600% 1/15/00 0 7/15/00 1,025,000 4.700% 1/15/01 0 7/15/01 1,025,000 4.700% 1/15~02 0 7/15/02 1.025.000 4.700% 1/15/03 0 7/15/03 1,025,000 4.700% '~/15/04 0 7/15/04 1.025,000 4.700% 1/15/05 0 7/15/05 1,025,000 4.750% 1/15/06 0 7/15/06 1,025,000 5.350% 1/15/07 0 7/15/07 1.025.000 5.850% 1/15/08 0 7/15/08 1.025.000 5.850% 1/15/09 0 7/15/09 1.020.000 5.000% 1/15/10 0 7/15/I 0 1,020,000 5.100% 1/15/11 0 7/15/11 1 020,000 5.100% 1/15/12 0 7/15/12 1.020,000 5.150% 1/15/13 0 7/15/13 1,020,000 5.200% 1/15/14 0 7/15/14 1.020.000 5.250% 1/15/15 0 7/15/15 1.020,000 5.300% 1/15/16 0 7/15/16 1.020,000 5.300% 1/15/17 0 7/15/17 1.020.000 5.300% 1/15/18 0 7/15/18 Totals $20.455.000 Schedule Fiscal Total S675,602.15 493,907.50 493,907.50 47G,332.50 476 332.50 446,245.OO 446,245.00 422,157.50 422.157.50 398070.00 398.070.00 373,982.50 373,982.50 349,895.00 349,895.00 325,551.25 325,551,25 298,132.50 298,132.50 268,151.25 268,151.25 238,170.00 238 170.00 212 670.00 212 870.00 186 660.00 186 660.00 160 650.00 160 650.00 134 385.00 134 385.00 107,865.00 107,885.00 81,090.00 81,090.00 54,060.00 54.060.00 27,030.00 27.030.00 0,00 $1,700,602.15 493,907.50 2,194,509.65 1,518,907.50 470,332.50 1,989,240.00 1,495,332.50 446,245.00 1.941.577.50 1,471,245.00 422,157.50 1.893.402.50 1,447,157.50 398.070.00 1.845.227.50 1.423,070.00 373,982.50 1,797,052.50 1,398,982.50 349,895.00 1,748,877.50 1,374.895.00 325.551.25 1,700,446.25 1,350~551.25 298.132.50 1,648,683.75 1.323.132.50 268,151.25 1,591,283.75 1,293,151.25 238.170.00 1.531 321.25 1,258,170.00 212.670.00 1.470.840.00 1,232,670.00 186.660.00 1.419,330.00 1,206,660.00 160.650.00 1,387,310.00 1,180,650.00 134,385.00 1.315,035.00 1,154,385.00 107,865.00 1.262.250.00 1.127.865.00 81,090,00 1.208.955.00 1,101,090.00 54.060,00 1.155.150.20 1,074,060.00 27,030.00 1,101.090.00 1,047.030.00 0.00 1,047.030.00 $10,773.612.15 $31.228.612.15 Dated Date 11/20/97 Effective Rate 5.55376123% MOTION: Sally Thomas. SECOND: Charles Martin. October 8. 1997 Regular Meeting Res. No. RESOLUTION APPROVING THE ISSUANCE BY THE HARRISONBURG REDEVELOPMENTAND HOUSINGAUTHORITY OF MULTIFAMILY HOUSING REVENUE REFUNDING BONDS TO REFINANCE THE MALLSIDE FOREST APARTMENTS PROJECT LOCATED IN ALBEMARLE COUNTY_ VIRGINIA WHEREAS, pursuant to the Virginia HousingAuthorities Law. Chapter I, Tide 36, Code of Virginia of 1950. as amended ~the "Act"} and a Trust Indenture dated as of April 1, 1997 between the Harrisonburg Redevelopment and Housing Authority ~'the "Authoritv"l and Crestar Bank. as trustee, the Authority previouslyissued its $8.500.000 Multifan~ily Housing Revenue Bonds [Mallside Forest Apartments Project} Series 1997 (the "Prior Bonds"), the proceeds of which were used to make a loan to Fore Mallside Forest. L.P.. a Virginia limited partnership (the "Owner"~. to finance the acquisition. construction and equipping of a 160-unit apartment development {the "Proiect") to be located on an approximately 11.583 acre parcel of land off Putt-Putt Lane behind the Albemarle Square Shopping Center located near the intersection of Rio Road (Virginia Route 631 ) and US Route 29 in Albemarle County, Virginia {the "Cotmt?): and WHEREAS. the Board of Supervisors of the County (the "Board") invited and encouraged the Authority to issue the Prior Bonds for the benefit of the County and the Owner, and found that the issuance of the Prior Bonds provided needed housing units in the County; and WHEREAS, the Owner has requested that the Authority issue its refunding bonds in an amotmt not to exceed $8,500,000 (the "Refunding Bonds") and make a loan of the proceeds thereof to the Owner for the purpose of refunding the Prior Bonds and refinancing the Project; and WHEREAS, the Refunding Bonds will be secured by fully modified mortgage- bad<ed securities which will be guaranteed as to timely payment of principal and interest by the Government National Mortgage Association; and WHEREAS, pursuant to the proposed plan of refinancing the average maturity of the Refunding Bonds will exceed the average maturity of the Prior Bonds, but the Project tenant composition, the nature of units at the Project, the Project rent structure and the amotmt of the Owner's investment in the Project, as stated by the O~vner. will not change from that required for the Prior Bonds; and WHEREAS, with respect to such proposed plan of refinandng, the Authority has caused a notice of public hearing to be published in newspapers of general circulation in the City of Harrisonburg, Virginia and the County, and has, on September 24, 1997, held a public hearing, all in accordance with the provisions of § 147(f) (2) of the Internal Revenue Code of 1986, as amended, and the regulations, rulings and proclamations promulgated or proposed thereunder (collectively, the "Code") and § 15.1-1378.1. Code of Virginia, 1950, as amended (the "Virginia Code"), and other applicable laws of the Commonwealth of Virginia; and WHEREAS, the Board has been requested to approve the issuance of the Refunding Bonds to comply with Section 147(f)(2) of the Code; and WHEREAS, the Owner has provided to the Board a Fiscal Impact Statement pursuant to Section 15.1-1378.2 of the Virginia Code. NOW, THEREFORE, BE IT RESOLVED by the Albemarle Board of County Supervisors: 1. The Board approves the issuance of the Refunding Bonds by the Authority for the benefit of the Owner to the extent required by Section 147(f)(2) of the Code to permit the Authority to assist in the financing of the Project. 2. The approval of the issuance of the Refunding Bonds, as required by Section 147(f)(2) of the Code, does not constitute an endorsement of the Refunding Bonds or the creditworthiness of the Owner, and, as required by Section 36-29 of the Act, the Refunding Bonds (and such Refunding Bonds shall so state on their face) shall not be a debt of the City, the County, the Commonwealth or any political subdivision thereof (other than the Authority) and neither the City, the County, nor the Commonwealth or any political subdivision thereof (other than the Authority) shall be liable thereon, nor in any event shall the Refunding Bonds be payable out of any funds or properties other than those of the Authority specifically pledged thereto. The Refunding Bonds 2 shall not constitute an indebtedmess within the meaning of any constitutional or statutory debt limitation or restriction. 3. This Resolution shall take effect immediately upon its adoption. Votes: Ayes: Mrs. Charlotte Y, Humphris, Mr. David P. Bowerman, Mr. Forrest R. Marshall, Jr., Mr. Charles S. Martin, Mr. Waiter F. Perkins and Mrs. Sally H. Thomas. Nays: None. Absent: None. Absent from Meeting: None. For Information: Director of Finance CERTIFIED COPY 3 Douglas Kingma Vice Presideni Edvrard Drake Michael Himes Ralph Sachs Assoel~ V.p. Judy Ward Pasi Michael Oaffney Douglas Adamson Bryan Bicke~ Curtis Carlisle Alan Kindler Donald l~oblnaon Ralph Sachs Johu Scott Joyce Scufiham Daniel Showalter Ginger Slavic Richard Spigoae Oinger Slavic BRnBA I,ife Diredo~ Daley Craig Randolph Rinehart Randolph Wade Prestoa Stallings Michael Oaffuey Suzanne Orove Raudolph Riuehart Michael Himes Douglas IGugma Joyce Scuffbam HBAV Region VI V.P. Ginger Slavic Rowena Morrel BRHBA MEALS TAX RESOLUTION BLUE RIDGE HUME BUILDERS ~ ASSOCIATION Whereas, it is the mission of the Blue Ridge Home Builders Association to promote a stable economic and political environment within which the localities may prosper by having affordable, attractive, safe, and well-planned communities, and Whereas, the Albemarle County Board of Supervisors has indicated that it must find new sources of revenue to meet a projected deficit of approximately $3 million in fiscal year 1998-1999, and Whereas, the Blue Ridge Home Builders Association has met with the County Executive to evaluate these new fiscal demands and has ascertained that new revenues will be sought by the Board of Supervisors in 1998, and whereas, the two funding sources available to Albemarle County which arc capable of generating sufficient revenue are 1) a property tax increase of $.07 or more per $100 of assessed value of the property, or 2) the implementation of a new 4% tax on prepared foods, and Whereas, it is estimated thai 50% or more of the meals tax will be paid for by nonresi- dents of Albemarle County, and Whereas, a sizable increase in the real property tax rate would impact affordable housing, and Whereas, based on I996 business receipts Albemarle County would have collected $2.5 million from a 4% meals t~x, and Whereas, these additional revenues will maintain the level of sermces and quality of life enjoyed by the citizens of Albemarle County, and Therefore be it resolved that the Blue Ridge Home Builders Association supports the adoption of a meals tax to minimize any increase in the real property tax rate and sup- ports the fact that the Albemarle County Board of Supervisors will place the referendum on the ballot in November 1997 to allow the citizens of Albemarle County to vote on how to fund the projected budget shortfall. Passed by consent of a quorum of the Blue Ridge Home Builders Association Board of D/rectors on September 23, 1997. / Doug Kin~ma - BRHBA President 2330 Commonwealth Dr. #100, Charlottesville, Va. 22901 804/973-8652 804/978-4927 fax brhba@brhba.org http:/Avww, brhba.org ing Charlottesville Fathering inmati e Do we need a Community Father Educator? The Charlottesville Fathering Initiative is in the-process of developing a com. mu. tory-funded position for the purpose of promoting., healmy fathering ~n Charlottesville/Albemarle. This propOSed position addr.e..~. the possib~ that local fathering and the consequent health of our c. hildren might be strengthened by a community-wide foc~Js on fathering, which would be ac.tlr.ely sou~t by a Community Father Educator The V~rginia Depar~.e. nt of Health recently pub?shed Fatherhood and Family Health, a collection of research docu~ng t~e strong relationship between nurturing fathers and children's physical, sOcial and emo~onal health. They report father absence contributes to children's dise.a.se vulnerability, record high teen b!rths, substance abuse, violence, sUicide, edUCational problems, ~ower socioeconomm status and incarceration,' all problems in our community. Conversely, the presence of nurturing fathers contributes to healthy development in children as well as improved overall quality of 'life and health for dad.~ The presence of afather who is dedicated asa husband and parent teaches lessons necessary to healthy development. Wi~ this valuable man. in' children's lives, they are more stable and resilient, it's common sense to work for as many fathers in place as possible in our community. The question is, what are we currently doing to ensure a father in every home? Locally the absence Of fathers from children's lives is paralleled by a lack of clear father-focused policies, procedures and activities in community organizations, programs and services. It is the belief of the Charlottesville Fathering Initiative that the problem of father absence is one bearing on and borne by the entire population of our area, and that correcting this problem is both possible and worth pUrsuing. Our proposal is for a community funded Nb dedicated to expanding CharlottesVille's existing programs and resources to include a full time position which is dedicated to a loud clear expectation that fathers stay connected to their children and their children's mothers. The scope of this position is outlined in the pro.p, osed ~'!ntegrating Fathers Pr~ram "which has been submitted for partial funding to the Va. Dept. of H~.aith. Local support and input is needed to make the concept of a Community Father Educator a reality. Please contact the Charlottesville Fathering Initiative, 971-9809. ~ Fath~rho(~d and Family HeaIth, Virginia Department of Hear[h, 1995 ~ The Hemt of ~ Father, Ker~ Canfield, ~995 p Table of Contents Integrating Fathers through a Communitg Father Educator Page 1. Goals ~ stated b. demograph~ Z Proposed Strategies k target dates c use of existing groups, pemormel ct budget 3. Qualifications b. spomoi i~g as=ncy staff 4. Monument Towards Self Sufficiency 5. Evaluation a. available base data b. measmh~g~ c at the end of the grant period 1. title 2. specific duties 3.qualifications 1 1 2 3 3 ~,4 5 5 6 6 6 7 7 7 8 8 8 s,9 9 9 9 10 1 Integrating Fathers through a Community Father Educator 1. Goals of the proposed prograrru a. C~arlottes~,ille Fathe~in~ initiative is proposing a father education effort in our community which is called Integrating Fathers (IF). This programs goals are: 1) .employ a professional Communi~ Father Educator who will improve local fathering by working towards: 2) contact and education of appropriate local organizations and businesses to raise their consciousness about the correlation between fatherhood and family health and the need for community response to this important parenting dynamic. 3)recruiiment of these groups to join forces.with other community institutions in developing father-focused plans, policies, programs, procedures or activities which utilize their existing structures and personnel to highlight and improve father-child relations. 4)conmmni~y SupPort o.f community-generated and sustained education, activities and programs designed to help men become fathers at an appropriate time in their erosional and social development, and to accept the responsibility of rearing children in a stable family unit once they have become fathem 1~ The demographic groups targeted by IF will include the entire of th populace e Charlottesville Albemarle area Ttie need for this broad a target population is documented by the high pereen.tage of fathers either physically or emotionally absent from children's lives across all race and socioeconomic lines.' In response to this widespread absence, it will be our ' ~ttherless AmericaL D. Blankenhorn,1995, pps. 18-20 (Bl.b Specific Requirements, cant'd) 2 goal, by seeldng to fully en~age the community's outreach resources (social, religious, educational, private) to influence every segment of the community towards healthier fatherin& regardless of race, age, socioeconomic, or marital status, or educational level. c Need: While there ~s no social need greater tha~ the connection of fathers to their children, Charlottesville lacks services for fathers as an identifiable group. A community awareness of this need was documented in a 1995 survey by Children, Youth and Fai~-~ly Services in Charlottesville, pinpointing the problematic absence of fathers, father education and father programs throughout our community in wide array of settiitgs. Despite this finding and efforts by groups like the Chaflottesxa~lle Area Youth Commission to address it, there remains a disturbing silence and lack of structured activity in the area of fathering; No single professional devotes his or her job and expertise to father-child relations in this The argument is often made that there are many services for parents in the Charlottesville area. Unfortunately, despite the p[.~ence and quality of parenting education, training and emphases, men often don't attend or utilize these resources. Energy must be directed towards both enlightening men about the importance of their fathering; and connecting them to existing programs which teach the skills of nurturing parents. Without the influence of a dedicated and energetic individual consistently educating and recruiting, the critical need for father involvement conthitles to disappear behind other urgent community needs (i.e. teen pregnancy, violence; Substance abuse, divorce, child abuse). While these issues are undeniably critical, the role of absent fathers in their etiology can no longer be overlooked by cammunit~ leaders. Father absence ls supported by the VDOI-I as a confributin~ factor to all these social ills. It's time community leaders provide an reeans for expanding the use of existing resources to father-child relations. (Goals lc cont'd) 3 A Cc~c, munity Father Educator is just such a means. Community organizations, businesses and programs are valuable resources in de. livering the message of healthy fatherin~ Their involvement carries with it the promise of a widespread response. Marshaling these forces together will require a cohesive, sustained effort that includes at least one person working to unify the community.~ Our Organization: Charlottesville Fathering Initiative has been operating in this community for four years as a group dedicated to promot/nghealthy fathering:~ CFIis volunteer, non-profit organization which has sponsored, co-sponsored and attended an ongoing and increasing list of activities for fathers. The existence of the program, the community support received, and the growth of the organization are indicators of both its success and a need for more emphasis on fathers. CFI's membership, familiar with relevant access points to the communib/, has established relationships with many potential resources. (See letters of recoi~-a'nendation, addendum) 2. Proposed Strate~es: a. Describe the basic strategies: 1) Charlottesville Fathering Initiative's will collaborate with three local hospitals and all Otherinterested entities to do.~/o.~7 a Co~-~iiimnity Father EducatOr position. This collaboration is intended to broaden financial and community support, as well as to help establish father education in the medical commUnity. "' 2) £st~b~/2an IF board comprised of:Charlottesville Fathering Initiative and representatives from the par~..'~ipating hospitals. 3) Acz~/e/fz~ for and hire a supervisor'of CFE'fdr weekly supervisory meetings. 4) ~'t~er~'$or t~j~o~ to the IF Board at monthly meeting~ 5) Z-~)-e and supervise a Com~i~unity F~her E~or whose jobis to 3Getting Men Involved. James Levine, 1993, pps. 8-10 (2a, Proposed Strategies, cont'd) 4 focus and partner community resources in '~nealthy father-child relationship" advocacy. The CFE will strongly pursue and cultivate a community commitment to fathers' (not just parents') ed. ucation, pre- counseling for marriage and ~vorce, family enrichment, job skills and special needs with all potentially helpful existing organizations and their programs. CFE will: 6) Meet wee/c/y with a supervisor and monthly with the IF board; ~ Dev~opm~dkee~ng struck-ute to track and evaluate community contacts. 8) ~nvass andmeet with community members; 9) E_du~ate the community about the impact fathers have on children's development; 10) Pursue integration of father-focus into existing programs and services; 11) A~fthe development of ne~,.~zzzcdzzz'~.ffbudgets and positions by integrating father-focus into existing programs. 12) 3~//rdt and negotiate collaborative efforts between community organizations and programs, including agreements and commitments. :13) Follo~'up with community representatives about their commitments, 'collaborations and outcomes. 14) En~z~umo~ record keeping which distills individual programs' influence, results, suggestions. 15) /(xmpz~z~zz~ of meetings, plans, collaborations, commitments, program summaries; . 16) t-Ze~C~dew/op ongoing community financ{arsupport fo_r the continuation of IF. 17) Z~z~bY~-h office and phone services. (2, Proposed Strategies, cont'd) b. timeline/target dates for strategy #: 1) Begun August 1997 2) Begun August 1997 3) Upon approval of grant, approximately (Jct.1, 1997 4) Upon approval of grant, approximately Oct.1, 1997 5) Upon approval of grant, approximately Oct.1, 1997 6) Upon approval of grant, approximately Oct.1, 1997 7) Upon approval of grant, approximately Oct.1, 1997 8) Upon approval of grant, approximately Oct.l, 1997 though much of this information and these relationships already in place 9) Upon approval of grant, approximately Oct.1, 1997 10) Upon approval of grant, approximately Oct.1, 1997 11) Upon approval of grant, approximately Oct1, 1997 12) Upon approval of grant, approximately Oct/, 1997 13) Monthlyas commitments are mada 14) As each program commits. 15) Ongoing as the program develops 16) Throughout the year as contacts are mada 17) Upon approval of grant, approximately Oct.1,1997 5 are c Use of existing groups, pe~onnel: ~ IF wiIl be guided by the strategy of using only t-he existing personnel. Of existing groups to promote healthy fathering. This program is dedicatect'~o.the inclusion of fathers in community programs, policies, etc. which are. ~already in place. The personnel already at work in jobs which support children and fa.rallies will be coached towards recruiting and including fathers in efforts to help mammize their father roles. (2, Proposed Strategies, cont'd) d. Budget (for each strategy) 1) Local medical community collaborative contributiorc other local contributions 2) Volunteer board in kind contribution of five people giving three hours per month for 12 months @ $15.00/hr 3) Supervisor weekly hours for 52 weeks @ $45J30/hr 4) Supervisor-board reports (12) @ $45~0 5) Community Father Educator salary 6) see # 3. 7) record keeping software 8)see #5 9) see # 5 10) see #5 11) see #5 12) see #5 13) see #5 14) see #5 15) computer, printer, paper, 16) see #5 17) Office and Phone, fa,% email, mail for 12 months rent $500, phone $30~ email $25;' mail $12/month +$4Z500 +180.00 -2340.00 -540.00 -35 00.00 - 20frO0 -$2.800.00 . -$6800.00 zero balance Charlottesvill6 Fathering Initiative 3. QUAI,IFiCATIONS: a. Previous experience of CFI: has been ackive for four years in this community and has been responsible for educatin& raising the consciousness of, and networking groups and individuals interested in fathering information, skills or services. CFI has (3,a Qualifications, cont'd) 7 been successfully recognized by the comtliunity as a resource for fathering issues. Three lo.cal hospitals have indicated a willingness., to pursue father friendly programs collaboratively, with CFI as a coordinating resource. This predisposition towards working with CFI lends assurance to the probable positive outcomes of the IF program. b. Qualifications of staff: CFIts memberhip and board members are typically social service/health care professionals, as well as a fathers in various stages of fathering. The Father Educator will be a perscm who is experienced and knowledgeable in human development; fathering issues and local public and private relevant resources. Preference will be given to candidates with counseling education and experience, considered valuable in working with both groups and im lividuals concerning fathering issues, since there is often hidden resistance to this topic4 4. MOVEMENT TOWARDS SELF-SUFFICIENCY: a. increased participant personal respons~ility This program will be initiated as the first phase of a permanent Community Father Educatorposition. With a commitment to continuing this position comes assurance of an ongoing development and marketing of educational programs relating to fathering skills. Research tells us. that fathers who are.emotionally connected to their children develop a greater sense of responsibility and self-suffidency? Father education and skill developmentWill,,convey to fathers the importance of their emotional ties to their children, b~h for the children and themselves. This emotional connection and ph)isical interaction with children also has been seen to generate an increased sense of commitment 4Getting Men involved, James Levine, 1993. p27 Fatherless America. D. Blankenhom,1995, pps. 215-217 (4 a, Movement Towards Self-Sufficiency, cont'd) 8 and responsibility in fathers? b. program functional and financial self-sufficienc..v As IF takes root in the Charlottesville community, hnd our cib'zens begin to understand the correlation between nurturing fathers and healthy youth, we anticipate a response of support from the community. This support is expected to translate into functional self-sufficiency for evolving IFprograms, since they will emerge as part of CUrrent, self- sustaining community structures. These already thriving systems will act as catalysts and supportive environments for continuation ofthe programs. The irritial funding of IF is based primarily on support from the Charlottesville community. As the value af father education becomes more widely understood and the implications for COmmunity health are more clearly defined financial self-sufficiency is expected to arise as financial support increases to replace the initial VCF funding; S. EVALUATION: a. available base data: The success .and 'growth of IF will be evaluated through data collected bythe CFE Who will: . 1) research andrecord existence of cUrrent father-specific activities, organizations, Programs in the:Charlottesville area; 2) research and record the number o.f collaborative father activities, organ!zations and programs in the Charlottesville area; 3) research and record the number of m'en in the Charlottesville area involved in father education programs and classes. b. How measure progress? 1) record ali new activities, organizations and programs "6~d p219 COUNTY OF ALBEMARLE TO: FROM: DATE: RE: MEMORANDUM Melvin A, Breeden. Director of Finance~~' Ella W. Carey, Clerk, CMC October 10. t997 Board Actions of October 8. 1997 At its meeting on October 8, 1997, the Board of Supervisors took the following actions: Item No. 5.1. Appropriation: Federal and State Drug Seized Assets. $46,985.91 Form #97025;. Approved. Item No. 5.2. Appropriation: Crime Analysis Unit Grant 98-B9169, $36,808 (Form #9702D. Approved. Item No. 5.3 Appropriation: Drug Court Services Grant. $33.531 (Form #97028 ,. Approved. Item No. 5.4. Appropriation: HUD Section 8 Housing Assistance, $1,515,935 (Form #97029,. Approved. item No. 5.5. Refinancing Resolution for Mallside Forest Apartments. Adopted. Agenda Item No. 6. Public Hearing on the proposed issuance of school bonds of Albemarle Cotmry in the estimated maximum principal amount of $20.455,000. The purpose of the proposed bonds is to finance capital projects for public schools. Adopted. Agenda Item No. 7. Public Hearing on an ordinance to amend and reordain Chapter 2. Administration. Article IV, Airport Commission. of the Code of the County of Albemarle, in Section 2- 30, Compensation and term of office of members. This amendment will a/low members of the Airport Commission to serve three terms. Adopted. ewc Attachments (6) CC: Roxarme White Richard E. Huff. II Robert Waiters }ohn Miller Ginny McDonald APPROPRIATION REQUEST FISCAL YEAR 97/98 NI3MBER 97025 TYPE OF APPROPRIATION ADDITIONAL TRANSFER NEW X ADVERTISEMENT REQUIRED ? YES NO X FUND GRAAVf PURPOSE OF APPROPRIATION: EXPENDITURE OF DRUG SEIZED ASSETS. EXPENDITURE COST CTR/CATEGORY DESCRIPTION AI~OUNT ************************************************************************ 1123539000580902 FEDERAL DRO~ SEIZED ASSETS $42,126.48 1123639000580905 STATE DRUG SEIZED ASSETS 4,859.43 TOTAL $46,985.91 REVENUE DESCRIPTION AMOUNT 2123515000150101 INTEREST $1,000.00 2123533000330205 FEDERAL REVENUE 533.40 2123551000510100 FUND BALJLNCE 40,593.08 2123624000240403 STATE REVENUE 83.47 2123651000510100 FUND BALANCE 4,775.96 TOTAL S46:985.91 ************************************************************************ REQUESTING COST CENTER: POLICE APPROVALS: DIRECTOR OF FINANCE BOARD OF SUPERVISOR SIGNATURE / DATE APPROPRIATION REQUEST FISCAL YEAR 97/98 NUMBER 97027 TYPE OF APPROPRIATION ADDITIONAL TRANSFER NEW X ADVERTISEMENT REQUIRED ? YES NO X FUND GRANT PURPOSE OF APPROPRIATION: CRIMINAL JUSTICE CRIME ANALYSIS GRANT (98-B9169). EXPENDITURE COST CTR/CATEGORY DESCRIPTION AMOUNT 1152029411110000 1152029411210000 1152029411221000 1152029411232000 1152029411241000 1152029411550400 1152029411800700 WAGES FICA VRS DENTAL INSURANCE LIFE INSUP-ANCE TRAVEL- EDUCAT I ON ADP EQUIPMENT $29,430.00 2,252.00 3,417.00 53.00 103.00 1,000.00 553.00 TOTAL $36,808.00 REVENUE DESCRIPTION AMOUNT 2152019000190207 CITY OF CHARLOTTESVILLE S3,067.33 2152019000190219 LTVA 3,067.33 2152033000330405 CRIME ANALYSIS GRANT 27,606.00 2152051000512004 GENERAL FUND TRANSFER 3,067.34 TOTAL S36,808.00 ************************************************************************ REQUESTING COST CENTER: POLICE APPROVALS: DIRECTOR OF FINANCE BOARD OF SUPERVISOR SIGNATURE DATE APPROPRIATION REQUEST FISCAL YEAR 97/98 NUMBER 97028 TYPE OF APPROPRIATION ADDITIONAL TRAiNSFER NEW X ADVERTISEMENT REQUIRED ? YES NO X FUND GR3~NT PURPOSE OF APPROPRIATION: FUNDING FOR DRUG COURT SERVICES. EXPENDITURE COST CTR/CATEGORY DESCRIPTION AMO~/NT 1123729405566120 OFFENDER AiD AND RESTORATION S33,531.00 TOTAL $33,531.00 RE~NUE DESCRIPTION AMOUIqT 2123724000240414 STATE DEPT. OF CORRECTIONS $33,531.00 TOTAL $33,531.00 ************************************************************************ REQUESTING COST CENTER: COUNTY EXECUTIVE APPROVALS: DIRECTOR OF FINANCE BOARD OF SUPERVISOR SIGNATURE DATE APPROPRIATION REQUEST FISCAL YEAR 97/98 NUMBER 97029 TYPE OF Ai~PROPRIATION ADDITIONAL TRANSFER NEW X ADVERTISEMENT REQUIRED ? YES NO X FUND GRANT PURPOSE OF APPROPRIATION: FUNDING FOR HOUSING ASSISTANCE GP~ANTS. EXPENDITURE COST CTR/CATEGORY DESCRIPTION AMOUNT 1122781920300205 1122781920312800 1122781920579001 1122781921330205 1122781921312800 1122781921579001 1122781922300205 112278~922312800 1122781922579001 i~_DMINISTRA~IVE FEE S933,600.00 AI/DIT 400.00 HOUSING A DM. FEE 93,920.00 ADMINISTRATIVE FEE 201,857.00 AUDIT 200.00 HOUSING ADM. FEE 21,106.00 ADMINISTRATIVE FEE 238,270.00 AUDIT 200.00 HOUSING A DM. FEE 26,382.00 TOTAL $1,515,935.00 REVENUE DESCRIPTION AMOUNT 2122733000330015 SECTION 8-001 GRANT $t,027,920.00 2122733000330016 SECTION 8-002 GP,~ANT 223,163.00 2122733000330017 SECTION 8~003 GRAAIT 264,852.00 TOTAL $1,515,935.00 ************************************************************************ REQUESTING COST CENTER: HOUSING APPROVALS: DIRECTOR OF FINANCE BOARD OF SUPERVISOR SIGNATURE DATE -?-?? COUNTY OF ALBEMAR E D oF EXECUTIVE SUMMARY ~ri~d ~ ~: ~o,,-~ (qv ~ ~ ~, · ..- ~u~Z~9?P03:~6 RCVD AGENDA TITLE: Appropriation - Federal and State Drug Seized Assets SUBJECT/PROPOSAL/REQUEST: Request approval of Appropriation #97025 in the amount of $46,985.91 STAFF CONTACT{S): Messrs. Tucker, Breeden, Walters, Miller, Ms. White AGENDA DATE: October 6, 1997 ACTION: ITEM NUMBER: INFORMATION: CONSENT AGENDA: ACTION: X INFORMATION: ATTACHMENTS: Yes REVIEWED BY: / BACKGROUND: Periodically, the County receives revenues for assets seized in federal and state drug enforcement actions. The proceeds are utilized for additional law enforcement activities. DISCUSSION: This appropriation requests approval of the receipts and expenditures for federal and state drug seized assets for the period July 1, 1997 through June 30, 1998. This appropriation requests approval of the expenditure of the unrestricted July 1, 1997 fund balance. RECOMMENDATION: Staff recommends approval of appropriation #97025 in the amount of $46,985.91. 97.193 BOARD OF SUCERVISOR$ COUNTY OF EXECUTIVE SUMMARY AGENDA TITLE: Appropriation - Crime Analysis Unit Grant 98-B9169 SUBJECT/PROPOSAL/REQUEST: Request approval of Appropriation 97027 in the amount of $36,808.00. STAFF CONTACT(S): Messrs. Tucker, Breeden, Waiters, Miller, Ms. White AGENDA DATE: October 8, 1997 ACTION: ITEM NUMBER: INFORMATION: CONSENT AGENDA: ACTION: X INFORMATION: ATTACHMENTS: Yes-- REVIEWED BY: ~ BACKGROUND: The Department of Criminal Justice Services has approved a grant to establish a crime analysis unit providing multi- agency services. Funding is requested for a crime analyst, crime analysis software, and computer equipment. This position will collect data and assess criminal justice needs for the County of Albemarle, City of Charlottesville, and the University of Virginia. This is the second year of a three year grant. DISCUSSION: A $27,606.00 Department of Criminal Justice Service's grant and $9,202.00 local match will fund the crime analyst. The local match is funded by $3,067.33 each by the City of Charlottesville and the University of Virginia and $3,067.34 by the County of Albemarle. The County of Albemarle's match of $3,067.34 is funded from current operations. RECOMMENDATION: Staff recommends approval of appropriation 97027 in the amount of $36,808.00. 97.192 10-02-~?P03:5~ RCVD COUNTY OF ALBEMAR RD EXECUTIVE SUMMARY ~ ~ ~' ~~ AGENDA TITLE: Appropriation - Drug Court Services Grant SUBJECT/PROPOSAL/REQUEST: Request approval of Appropriation #97028 in the amount of $33,531 AGENDA DATE: ITEM NUMBER: October 8, 1997 ACTION: INFORMATION: CONSENT AGENDA: ACTION: X INFORMATION: ATTACHMENTS: Ye~,~ STAFF CONTACT(S): REVIEWED BY: Messrs. Tucker, Breeden, Walters, Mss. White, Smith ~ - BACKGROUND: The County of Albemarle has entered into a contract with th~ Virginia Department of Corrections to provide eligibility determination for all potential candidates for the Drug Court prior to the bond hearing. The County in turn has contracted with Offender Aid & Restoration (OAR) to provide these services as part of their Pre-Trial Services program. The Commonwealth Attorneys and the Courts will make recommendations for eligibility. DISCUSSION: Funding is provided by a $33,531 Department of Corrections grant. There is no local match. RECOMMENDATION: Staff recommends approval of appropriation #97028 in the amount of $33,531. 97.196 COUNTY OF ALBEMARLE: 6 Rc, 0 BOARD OF SUPERVISORS EXECUTIVE SUMMARY ~rib~ ~ ~: /~/~ ~e? AGENDA TITLE: Appropriation - HUD Section 8 Housing Assistance SUBJECT/PROPOSAL/REQUEST: Request approval of Appropriation #97029 in the amount of $1,515,935.00 STAFF CONTACT(S): Messrs. Tucker, Breeden, Waiters, Mss. White, McDonald AGENDA DATE: ITEM NUMBER: October 8, 1997 ACTION: INFORMATION: CONSENT AGENDA: ACTION: X INFORMATION: ATTACHMENTS: REVIEWED BY: BACKGROUND: The Section 8 Housing Program is an ongoing rental assistance program offered by the Federal Department of Housing and Urban Development (HUD).~ The Section 8-001 program provides housing assistance with 178 subsides. Program 8-001 is funded througn June 2002. The Section 8-002 program provides 34 housing vouchers. The Section 8-003 program provides housing assistance for 34 units. DISCUSSION: The final amount of the Federal HUD grant will be determined by the final amount of assistance rendered to residents. It is estimated that the grant 8-001 should be approximately $1,027,920.00, grant 8-002 should be approximately $233,163.00, and grant 8-003 should be approximately $264,852.00, a total of $1,515,935.00. RECOMMENDATION: Staff recommends approval of appropriation #97029 in the amount of $1,515,935.00. 97.195 COUNTY OF ALBEMARUE OF EXECUTIVE SUMMARY 10-03-9~A09:25 °CVD AGENDA TITLE: Refinancing Resolution for Mallside Forest Apartments SUBJECT/PROPOSAL/REQUEST: Resolution approving issuance of revenue refunding bonds for Mallside Apartment project AGENDA DATE: ITEM NUMBER: October 8, 1997 ACTION: INFORMATION: CONSENT AGENDA: ACTION: X INFORMATION: ATTACHMENTS: ResolutionandBa~gmunddocuments STAFF CONTACT{S): REVIEWED BY:~/~ ~ Messrs. Tucker, Davis . .~ ~J! I / BACKGROUND: On December 4, 1996, the Board of Supervisors adopted a Resolution approving the issuance by the Harrisonburg Redevelopment & Housing Authority of $8.5 million of revenue bonds to be used for the Mallside Forest Apartment Project. The multifamity apartment project will provide affordable housing to persons and families of Iow to moderate income in Albemarle County. DISCUSSION: The developer now desires to refinance the Project to take advantage of a more favorable matudty period available for refunding bonds. The Ha~sonburg Redevelopment & Housing Authority has agreed to issue refunding bonds. County approval is necessary for the developer to retain the same favorable tax status for the refunding bonds as received for the odginal financing. The developer has provided written assurance that the proposed plan of refinancing will not alter the project regarding tenant composition, the nature of the units, the rent structure, or the amount of investment. A public hearing was advertised and held in Harrisonburg on September 24, 1997. The approval of the attached Resolution is necessary for the refunding plan to proceed. RECOMMENDATION: Staff recommendations thai the Board adopt the attached Resolution. 97.198 FORE M3Lr~IDE FOREST, L P. 119 Wood tllll Drive, Suite 8 Nags Head, NC 27959 October 1, 1997 Larry W. Davis, Esq. Couray Attorney 401 Melntire Road Charlottesville, Virginia 22902-4596 Re: Mallside Forest Apartments Dear Mr. Davis: The Harrisonburg Redevelopment and Housing Authority (the "Authority") previously issued its $8,500,000 Multifamily Housing Revenue Bonds (Mallside Forest Apartments Project) Series 1997 (the "Prior Bonds") pumuant to a Trust Indenture dated as of April 1, t997 between the Authority and Crestar Bank, as trustee. The proceeds of the Prior Bonds were used to make a loan to Fore Maliside Forest, L.P., a Virginia limited partnership (the ~Owner~), to finance the acquisition, construction and equipping of a 16l)-unit apartment development (the "Project") to be located on an approximately 11.583 acre parcel of land off Pug-Putt Lane behind the Albemarle Square Shopping Center located near the intersection of Rio Road (Virginia Route 631) and US Route 29 in Albemarle County (the 'County"), Virginia. The Board of Supervisers of the County (the ~Board~) invited and encouraged the Authority to issue the Prior Bonds for the benefit of the County and the Owner, and found that the issuance of the Prior Bonds provided needed housing units in the County. The Owner has requested that the Authority issue its refunding bonds in an amount no~ re exceed $8,500,000 (the ~Refunding Bonds") and make a loan of the proceeds thereof m the Owner for the purpose of refunding the Prior Bends and refinancing the Project. This is being done to allow the Refunding Bonds to be guaranteed as to timely paymem of principal and interest by the Government National Mortgage Association, unlike the Prior Bonds. Since the avarage maturity of the Refunding Bends will be longer than the average maturity of the Prior Bonds, the Authority has caused a notice of public hearing to be published in newspapers of general circulation in the City of Harrisonburg, Virginia and the Count),', and has, on September 24, 1997, held a public hearing, all in accordance with the provisions of § 147(0(2) of the Internal Revenue Code of 1986, as amended, and the regulations, rulings and proclamations promulgated or proposed thereunder (collectively, the "Code") with rcspec[ to the proposed plan of refinancing. In addition, the Board will need m approve the issuance of the Refunding Bonds re comply with Section 147(0(2) of the Code and has been requested to do so at its October 8, 1997 regular meeting. Larry W. Davis, Esq. October 1, t997 Page 2 The proposed plan of refinancing wilt not, however, alter the Peoject tenant composition. the nature of units at the Project, the Pro'jeet rent structure and the amount of the Owner's investment in the Project. Feel free to eatt me ~t 919-441-9252 or Pat Brown. legal counsel to the Owner, ar 202- 828-2444 with your questions or comments. Very truly yours, FORE MALLSIDE FOREST. L.P. a Virginia limited partnership By: Fore Mallside Forest LLC, a Delaware limited liability company, its general panner Hunter C. Bourne, III, Managing Member MOTION: SECOND: October 8, 1997 Regular Meeting Res. No. RESOLUTION APPROVING THE ISSUANCE BY THE HARRISONBURG REDEVELOPMENT AND HOUSING AUTHORITY OF MULTIFAMILY HOUSING REVENUE REFUNDING BONDS TO REFINANCE THE MALl_SIDE FOREST APARTMENTS PROJECT LOCATED IN ALBEMARLE COUNTY, VIRGINIA WHEREAS, pursuant to the Virginia Housing Authorities Law, Chapter 1, Title 36, Code of Virginia of 1950, as amended (the "Act") and a Trust Indenture dated as of April 1, 1997 between the Hardsonburg Redevelopment and Housing Authority (the "Authority") and Crestar Bank, as trustee, the Authority previously issued its $8,500,000 Multifamily Housing Revenue Bonds (Mallside Forest Apartments Projec0 Series 1997 (the "Prior Bonds"), the proceeds of which were used to make a loan to Fore Mallside Forest, L.P., a Virginia limited partnership (the "Owner"), to finance the acquisition, construction and equipping of a 160-unit apartment development (the "Project") to be located on an approximately 11.583 acre parcei of land off Putt-Putt Lane behind the Albemarle Square Shopping Center located near the intersection of Rio Road (Virginia Route 631) and US Route 29 in Albemarle County, Virginia (the "County"); and WHEREAS, the Board of Supervisors of the County (the "Board") invited and encouraged the Authority to issue the Prior Bonds for the benefit of the County and the Owner, and found that the issuance of the Prior Bonds provided needed housing units in the County; and WHEREAS, the Owner has requested that the Authority issue its refunding bonds in an amount not to exceed $8,500,000 (the "Refunding Bonds") and make a loan of the proceeds thereof to the Owner for the purpos.e of refunding the Prior Bonds and refinancing the Project; and WHEREAS, the Refunding Bonds will be secured by fully modified mortgage-backed securities which will be guaranteed as to timely payment of principal and interest by the Government National Mortgage Association; and WHEREAS, pursuant to the proposed plan of ref'mancing the average maturity of the Refunding Bonds will exceed the average matadty of the Prior Bonds, but the Project tenant composition, the nature of units at the Project, the Project rent structure and the amount of the Owner's investment in the Project, as stated by the Owner, will not change from that required for the Prior Bonds; and 03/93084.t WHEREAS, with respogt to such proposed plan of refinancing, the Authority has caused a notice of public hearing to be published in newspapers of general circulation in the City of Harrisonburg, Virginia and the County, and has, on September 24, 1997, held a public hearing, all in accordance with the provisions of § 147(0(2) of the Internal Revenue Code of 1986, as amended, and the regulations, rulings and proclamations promulgated or proposed thereunder (collectively, the "Code") and § 15.1-1378.1, Code of Virginia, t950, as amended (the "Virginia Code"), and other applicable laws of the Commonwealth of Virginia; and WHEREAS, the Board has been requested m approve the issuance of the Refunding Bonds to comply with Section 147(0(2) of the Code; and WHEREAS, the Owner has provided to the Board a Fiscal Impact Statement pursuant to Section 15.1-1378.2 of the Virginia Code. NOW, THEREFORE, BE IT RESOLVED by the Albemarle Board of County Supervisors: 1. The Board approves the issuance of the Refunding Bonds by the Authority for the benefit of the Owner to the extent required by Section 147(0(2) of the Code to permit the Authority to assist in the financing of the Project. 2. The approval of the issuance of the Refunding Bonds, as required by Section 147(0(2) of the Code, does not constitute an endorsement of the Refunding Bonds or the creditworthiness of the Owner, and, as required by Section 36-29 of the Act, the Refunding Bonds (and such Refunding Bonds shall so state on their face) shall not be a debt of the City, the County, the Commonwealth or any political subdivision thereof (other than the Authority) and neither the City, the County, nor the Commonwealth or any political subdivision thereof (other than the Authority) shall be 1/able thereon, nor in any event shall the Refunding Bonds be payable out of any funds or properties other than those of the Authority specifically pledged thereto. The Refunding Bonds shall not constitute an indebtedness within the meaning of any constitutional or statutory debt limitation or restriction. 3. This Resolution shall take effect immediately upon its adoption. 03/g3084.1 2 Votes: Ayes: Nays: Absent: _Absent from Me,ting: For Information: Director of Finance CERTIFIF~D COPY Clerk to the Board 3 CERTIFICATE OF PUBLIC HEARING Tho undersigned Executive Dh~ctor of the H0xrisonbutg Redevelopment and Housing Authority (the "Authc~ry") h~eby certifies as follows: i. A meeting of the Authority was duly cedted and held on September 24. i997, ar 4:30 o'clock p,m, in the Authority's offices, 286 Kelley S~rce:, Hamisonburg, Virginia. Thc meeting was open to the public, and pea'~ns of ~ff~ng views were given the opt~rtunity to be heazd, At such mee~g/~1 of thc Dkectors of the Authority were present or absent throughout as follows: PRESENT: Alan O. M/lien C~a/rm~ Gloria H. Moore, Vic~ Chah-m~u Michael O. W~g, Com~ssionzr Io~ Q. A~s, ~ssion~ ~ehael S, Way, Ce~sioner ABSENT: None 2. The C~alrrnan announced the commencement of a publ~c he.lng requested by Fore Property Company and t~at a notice of the hearing was published once a week for two consecutive weeks, the fn'st publication b~ing not move than 28 days nor less than i4 days prior to the hearing in the Daily N~w~-geeord. a newspaper having general circulation in the City of Hcrrisonburg, Virginia (the "Notice"). A coW of the Notice and a certificate of publication of the Notice have been filed with the record, z of the Authority and mm an:ached hereto as Exhibit A, 3, The persons identified in Exhibit B appees'ed and addressed the Authority and a reasonably detailed summary, of the statemenm made at the public hearing is included in Exhibit B. Tho fi~caI impact statement required by Section i5.1-1378.2 of the Code of Virginia of I950, as amended, is amachett hereto as t~2r&ibit C. 4. Att~hed hereto as ExhiNt D ~s a true, correct and complete copy of a resoludon (the "Resolution") adopted a: such m=¢ting of tho Authori;y by the unanimous vote of Commissioners present at such meeting reladr~g to ma~tcrs rcfcrre, d ;o in the Resolution. The Resolution has not be~n rcpealext, revoke, d, r.scinde, d or zmcnded Md is in full force and eff~t on thc d.~c hereof. v~TrNEss my h~d and the s~aI of t,h~ AtithoriW ~i$ 29th day of September, 1997. ~cufiv¢ Director, Ha_rrlsonburg v~lopm~nt and Housing Authority (SF. AL) PROPOSED ~SSUAb,'C,~ OF ~EFUND~N~ ~OND$ ~ Y ~E HAR~:SONBURG I NA~RI~ONBUR~ R~D~LQPM~T AND k±cze~ & Si~e :ppe~rtd i~ thg DAILY NEWS-KS. CORD September }7. i997 ~ Sg.7O )~,t i=c~,. ~e' Cc,.~t L.t~Y:.2.O. .... Rockiflgham PubJis)iing C~. NCTiC~ OF ~UBLIC .NEARING ON PROPOSED ISSUANCE OF R~VENU~ BONDS BY THE AND HOUS~NO AUTHORITY ~?~r~d i~ ~h~ DALLY ~eptember lO. !997 EPC~, I B I T g FISCAL I]v[PACT STATE, LEaNT The mutd*fzrn~y housin$ proj~: is iocamd in Albem~le County, Scpt~m~r 17. I997 I,~ 150000 R_ESOL~-fION NO. ,~o~ EN~L'C~,IXA'-T 1LESOLLq'70N OF F~RP~iSOb'BL~G E EDE'v-ELOPMY2~*T AND HOUfLN'G AUTitORtTY ALt~ORLZE~'G T~K ISSLL4~\'CE OF ,¥1I,'-LTIY,~M2i, Y HOUSZYG P,.~qD~NG BO~'DS (~GtLT.S~)E FOREST AP.4_RTM~-NT$ PROIECT) SER~S 1997 V~IF_~S, tho i-Iard~onbur_z R~¢¥elopmsn: ~nd Ho:sing Au~ho~' (the "Au~or~") ~ a polkicat subdivision of nbc Commcnw~h of V~rgin~z <th~ "Commonw~i~h"), duly ¢~m~ pur~m~.n~ m ~e Virg~n~e I-IousL'~K Au~o~d~ Law, Ch~pm~ i. Tkl¢ 36. Code cf Vb~_,~/z of 1~50. a~ m~:ndod (~ "Act"); and V,,~A.S, put, nan: ~o thc Act ~d a Tr~t Ind,'nm~ dated ~ of Apf2 "~Or Bon~), ~: proc~ of w~ch w~ us~ to m~e a to~ :o Fora M~idc Forcg L.P., appro~mty ii.Jg3 ac~ p~l of l~d off ~-~= ~e ~d the ~bem~ Sho~mg Cenc~r toc~ n~ ~ ~on of ~o Ro~d ~ ~u~ 63 I) ~ US Roum 29 ~ ~bcm~: Counu, Vk~ ~d ~cupi~ ~ pmx (g 1~ ~%) by perm~ of !ow or moP, mm income m order for ~ ~j~t to q~ ~ a 'qu~ ~cn~ VvT-m~.W_.kS, ~ Owner ~ r:qu¢.~.od that ~: A~ckori:y/~au¢ i:~ refund/rog bon~ (thc "P~p. diug Bond~") and ~ a lo~u of rim proceeds thereof ~o r.h~ Owner for t,h~ purposa of m~dng fu.nd~ avgI~ble :o r~fnnd the Prior Bond~; m~d VvT-ln:~y_~, tho AumOriB~ hm previously found ~d d~t~n~ ~ ~ ~quhifion. con~c~on, ~d ~mg of ~e ~: by ~c ~ncr w~ pmvid~ zd~ficn~ houshng o~o~ for ci~s of lo~ or m~mto income, ~ ~ of ~nefit ~ r~siden~ of ~ ~d ~$, thc Boazd of Supcrvi~m of tho Count/of Albemarle invit-~l ~d e~oumg~ · ~ Au~od~ ~o issue ~e ~ ~ for ~e ~ of ~bem~le CounU ~d ~ Own:r, ~d found :~ ~c iss~c~ of ~ ~r Bon~ pm~ n~ honing umw, ~ pcrcenmg~ cf w~ch w~ b~ provided m p:~o~ of Iow or m~cmm ~me; ~d ~er ~ pu~os~s ofube Au~o~ ~d ~n~fi: ~ ~z/d:n~ of~ Co~ouw~uh by ~fs~g conswaction of houa~ at ~n~s w~ch pe~ns ~d f~es of Iow ~nd moderate mcom~ ~ ~ord; ~d WHZEREAS, pursuant to the proposed plan of ref'mancing the average maturity of the Refunding Bonds will be longer than the average maturity of the Prior Bonds; and WFI~REAS, with respect to such proposed plan of refinancing, the Authority has caused a notice of public hearing to be published in newspapers of general circulation in the City of Harrisonburg, Virginia and Albemarle County, Virginia, and has this date held a public hearing, all in accordance with the provisions of ~ 147(0(2) of the Internal Revenue Code of i986, as amended, and the regulations, rulings and proclamations promulgated or proposed thereunder (collectively, the "Code"), and § 15.I-1378, Code of Virg/nia, 1950, as amended, and other appl/cable laws of the Commonwealth. NOW, THY__RE~ORE, BE IT RF~OLVED BY THE HARRISONBURG REDEVELOPM~ENT AND HOUSING AUTHORITY: 1. The Authority hereby agrees to use its best efforts to assist the Owner in every reasonable way to refinance the acquisition, construction and equipping of the Project and, in particular, to undertake the issuance of the Refunding Bonds in an amount not to exceed $8,500,000 upon the terms and conditions to be mutually agreed upon between the Authority and the Owner, and to loan the proceeds of such Refunding Bonds (the "Loan") to the Owner for the purpose of refunding the Prior Bonds and refinancing the Project. The Loan will be made to the Owner pursuant to a loan agreement. The Refunding Bonds will be issued and secured pursuant to an indenture of trust or similar document wlfch will provide for the precise principal amount of the Refunding Bonds, the maturity schedule therefor, the interest mm or rates the Refunding Bonds will bear and the denomination, form and other terms of the Refunding Bonds, and w'fll secure the Refunding Bonds by an assignment of all the Authority's rights to the Loan, together with the proceeds thereof, and the security therefor. The Refunding Bonds will be limited obligations of the Authority payable solely from the revenues pledged thereto pursuant to the indenture. 2. The Authority hereby appoints Ferris, Baker Watts, Inc., Baltimore Maryland, as underwriter (the "Underwriter~) with respect to the issuance and sale of the Refunding Bonds. 3. The Authority hereby authorizes the use and distribution of a preliminary official statement by the Underwriter prior to the adoption by the Authority of a f'mal bond resolution with respect to the Refunding Bonds, in such form as shall be approved by the Executive Director with the advice of Issuer's Counsel (hereinafter def'med). 4. It having been represented to the Authority by the Owner that it is necessary to proceed immediately with the refinancing of the Project, the Authority hereby agrees that the Owner may proceed with plans for such refinancing, enter into contracts for such refinancing of the Project and take such other steps as it deems appropriate in connection therewith, provided that nothing herein shall be deemed to authorize the Owner to obligate the Authority in any manner whatsoever, including the payment of money or the performance of any acts in connection with the Project. The Authority agrees that the Owner may be reimbursed from the proceeds made available from the issmmce of the Refunding Bonds for ali costs incurred by it after the effective date of this inducement resolution in connection with the refinancing of the acquisition, construction and equipping of the Project only to the extent permitted under Section 103 of the Code. 5. The Authority hereby agrees to the Owner's designation of the fu'm of Kutak Rock, Washington, D.C., as Bond Counsel ("Bond Counsel") and hereby appoints such fu'm to supervise the proceedLngs and approve the issuance of the Refunding Bonds. The Authority acknowledges that such finn wLll also act as counsel to the Owner in connection with the issuance of the Refunding Bonds and the refinancing of the Project. 6. The Authority hereby appoints Litten & Sipe, Harrisonburg, Virginia as counsel to the Authority ("Issuer's Counsel") with respect m the issuance of the Refunding Bonds. 7. All costs and expenses in connection with the refinancing of the acquisition, construction and equipping of the Project, including fees and expenses of Bond Counsel, Issuer's Counsel and the Authority, shall be pa/d at the dkrection of the Owner from the proceeds made available from the issuance of the Refunding Bonds or from other funds of the Owner. If for any reason the Refunding Bonds are not issued, it is understood that all such fees and expenses shall be paid by the Owner and that the Authority shall have no responsibility therefor. 8. In adopting tiffs inducement resolution authorizing the issuance of the Refunding Bonds, the Authority intends to take "official action" toward the issuance of the Refunding Bonds within the meaning of the regulations issued by the Internal Revenue Service pursuant to Sect/on 103 of the Internal Revenue Code of 1986, as amended. 9. The Authority shall perform such other acts and adopt such further proceedings as may berequired to implement its undertakings as herein set forth. Prior to the issuance and delivery of the Refunding Bonds, there shall be submitted to the Authority for its approval a Bond Resolution approving (a) the issuance of the Refunding Bonds, and Co) such other documents as may be necessary in the opinion of Bond Counsel to complete the transaction. 10. Conditioned upon the passage of a resolution by the Board of Supervisors of the County of Albemarle approving the issuance of the Refunding Bonds, the Authority hereby recommends that the City. Council of the City of Harrisonburg, Virghzia approve the issuance of the Refunding Bonds and directs the Chairman of the Authority to transmit the Fiscal Impact Statement and a copy of this Resolution to the City Council of the City of Harr/sonburg. 11. The proper representative of the Authority is hereby authorized and directed to transmit this recommendation to the members of the City Council of the City of Harrisonburg at its next regular or special meeting at which an approval resolution can be properly placed on the Council's agenda for consideration. 12. This Resolution shall take effect immediately upon its adoption. 13. The Authority hereby agrees, if requested, to accept the recommendation of the Owner with respect to the appointment of an agent or underwriter for the sale of Refunding Bonds pursuant to terms to be mutually agreed upon. ADOPTED: September 24, 1997. o3/~22~.2 by ~h~ Aurora's co~si~ p~en: ~ vo~g z~ a m~ ~y c~ ~d h~td on ~vok~, ~scNd~, or ~end~, but t$ tI.~:U~ONt?,L~ ~'FF~V'~T..O~M:;~'% At. rD ELKS WEEK the Charter for Charlottesville Lodge No. 389, Benevolent and Protected Order of Elks, yeas granted on October 19, 1897. The 21 charter members held their first meetings in the Masonic Temple ~vith M~ lames B. Wood. Past Grand Master of Masons in Virginia, installed as the First Exalted Ruler; and WHEREAS, the officers and member~ of the Charlottesville Elks, ~vill celebrate their Centennial Birthday on October 19, 1997; and WHEREAS, seeking new members with their motto "Quali~y, Not Quanti~y'; by 1905, Lodge No. 389 became one of the most prosperous of the national order; and WHEREAS, for the past one hundred years, the Charlottesville Elks has been a pillar of strength and a good friend to this community; and the Charlottesville Elks are knonm for bringing joy to this community's youth, elderly, disabled veterans, handicapped and needy by providing scholarships for youths, food for the needy and care for our disabled; and it is fitting that ~ve congratulate, applaud and salute the Charlottesville Elks, on their Centennial Birthdayfor the outstanding service they have provided the community for the past one hundred years: NOW, THEREFORE, L Charlotte Y. Humphris, Chairman, on behalf of the Albemarle Board of County Supervisors, do herel~ proclaim MONDAY, OCTOBER 13, 1997 THROUGH SUNDAY, OCTOBER 19. 1997 as ELKS WEEK and ~ncourage our citizens to join in their celebration. Signed and sealed this 8th day of October, 1997, ALBEMARLE BOARD OF COUNTY SUPER VISORS EXALTED RULER CHARLOTTESVILLE LODGE NO. 389 389 Elk Drive PO. Box 528 Charlottesville, Virginia 22902 804-296-6015 Nmxy D. Cooke, Jr. August t 1, 1997 ~ OARD OF SUPERVISORS r~ C~, ,tVL Oa-]J-. I.~ :50 ?'~ n SECRETARY Montie 1L Smith Mrs. Charlotte Humpt~es oha~aaa~ Board o£8upexvisors 401 MchrtQre Road Charlottesville, V'~g~ia 2~0024596 Dear Ivlm Humphfies: The Elks Lod~ will celebrate their 100th Anniversary 17 - 19 Oetobar 1997. We are looking fe~ard to Sis milestone in the history of our Lodge. A booklet for ~ special occasion is being prepared and will contain let~er~ o£cot~atulafions Bom several m~rnbem of our community. If you are interested in par~e~pa~g or someone you know is interested we would be pleased to use as many as we receive. We would be honored if you would declere 13 - 19 October 1997 Elks Week. Thank you for y(~ur cons/demtion and feel free to contact me at anfdme. Sincerely, Exalted Rnler 27 Septeanber 1997 Mar. Jason Haster Of[ice of the Governer State Captial Richmond, Va. 23219 Dear Mr. Hester. This is the informaQon you ~tuested about Charlottesville Elks Lodge No. 389. History- The Chatter for Charlottesville Lodge No. 389, Benevolmat and Protectexl Ordar of Elks, was granted October 19, 1897. The 21 charter members held thffrr fttst mectings in the Masonic Temple with James B, Wood, Past Grand Master of Masons in V'aginta, flmir first elected Exalted Ruler. 8ecking new members with their motto" Quality, Not Quantity '% by 1905 Lodge No. 389 was one of the most prosperous of the national order. In 1906, the Elks built their own home at 411 East High Street. A la-agio day, March 30, 1960, the Elks Lodge was gutted by fire and only the stmdy brick walls remained standing. This building was rebuilt and used until Dec. 1976. The building is now used by the City of Charlottesville. The present Lodge was built at 389 Elk Drive on land owned by the Lodge with its fi~t meeting there in Dec. 1976. The Elks are strictly an American Fraternity, a Farr~y Organization which practices Charity, Justice, Brotherly Love and Fidelity. Elks are known for their Civic and charitable work Elk Programs: 1. A National Veterans Serviec Commiasion lo eere for our Veterans in VA medical canters and veterans hospitals, 2. A National Free Throw Contes[ the Elks "Hoop Shoot" has over 3,000,001) boys and girls (8-13) to participate each year. 3. The Elks National Foundation, a perpetual fired, f~om which only interest and earnings mtpported the Elks philanthropic work last yeer vdth a disbursement of $11.3 million. 4. The Elk's National Foundation annually awards more than $2.1 miRion in scholarships to a total of 508 students. 5. The Elks Drag Awareness Program for school ohildran. 6. Little League baseball, ecoufing~ swiming and soccer for the youth. 7. The Vkginis Elks Association has a summer youih camp as its major project. 8. A National Elks Home in Bedfor{ Va. 9. Elks honor our flag by setting asida one day each year for a Flag Day Program. 10. Elks responded to the Red River Relief Pun& I hope this will be of help to you. Sincerely, Hah3, D, Cooke, Jr. Exalted Ruler The Officers and Members of Charlottesville Lodge and Protective Order of Elks, celebrate their centennial Birthday October 19, 1997 and The Charlottesville Lodge Number 389 was instituted October 19, 1897. Mr. James B. Wood was installed as the First Exalted Ruler and 26 members were chartered on that date; and For the past 100 years, the Charlottesville Lodge Number 389 has been a pillar of strength and a good friend to this community; and The Charlottesx~ille Elks are known for bringing joy to this community's youth, elderly, disabled veterans, handicapped and needy by providing scholarships for youths, food for the needy, and care for our disabled veterans; and It is fitting that we congratulate, applaud and salute the Charlottesville Lodge Number 389, Benevolent and Protective Order of Elks, on their Centennial Birthday for the outstand'mg service they have provided the community for the past 100 years. NOW THEREFORE: TEEN PREGNANCY PREVENTION MONTH WHEREAS, WHEREAS, the consequences of pregnancies to teens (bet~veen the ages of I 0 and 19) and teen parenthood tend to lead to a greater chance of the mother's dropping out of school, obtaining a poorer job and becoming dependent on ~velfare; and of poorer health and school performance of the child; and of increasing public expenditures to provide welfare services; and there has been a decline in the annual number of pregnancies since 1988 among younger teens (10 to 19) in Albemarle County; and of the 132 pZegnancies to girls, aged ten to nineteen, in Albemarle County in 1995 suggests that the teen pregnancy rate has not changed in the last four yeavs; and WHEREAS, of the total number of teens ~vho gave birth in Albemarle Counfy, one in four already had at least one birth; and WHEREAS, in the 1992 Virginia Youth Risk Survey half of all ninth and tenth graders reportdd already having had sexual intercourse, and among eleventh and t~velfth graders the number increased to nearly three-fourths of the surveyed students; and WHEREAS, teens sexual aciivify leads not only to un,ranted pregnancies but increasingly to sexually transmitted diseases including AIDS; and WHEREAS, a community needs assessment conducted by The Council On Adolescent Pregnanfy Prevention indicated that although clinical family planning services for teens in our community are excellent, they are under-utilized; and WHERF~S, there is an urgent need to increase knordedge and aveareness of issues related to teen pregnancy among young people, parents, youth leaders and others; NOW, THEREFORE, L Charlotte Y. Humphris, Chairman, on behalf of the Albemarle Board of County Supervisors, do hereby recognize OCTOBER, 1997, as TEEN PREGNANCY PREVENTION MONTH and call its importance to the attention of all our citizens. ALBEMARLE BOARD OF COUNTY SUPER VISORS City of Richmond Department of Community Development BOARD OF SUPERVISORS G9-29-9770,~: 4~ RC~/D 900 East Broad Street. Richmond: ¥irginia 23219 804 · 780-6310 September 24 1997 MEMORANDUM TO: FROM: Members of the James River Heritage Partnership Charles T. Peters, J¢. ~ Please find enclosed the most recent draft of our nomination for American Heritage Rivers designation for the James. City of Richmond staff has worked hard to try and inborporate all of the substantive changes you have brought to our attention, and in so doing to accurately reflect the conditions and ongoing activities specific to your locality and/or agency. (Due to space limitations, a few suggestions have either not been included, or have been re-worded.) Please join us as the entire Partnership meets once again in the large ground floor conference at the Valentine Museum, t015 East Clay Street on Thursday, October 2, t997 at 2:00 p,m. A mad is enclosed for your convenience. Aside from finalizing the draft, we will discuss strategies for ge~ng all other elements of the nomination package ready for the December 10, 1997 deadline. If you have any questions or concerned prior to next Thursdays meeting, please contact Daniel Moore at (804) 780-7550. 9~24~97 DRAFT Nomination of the Historic James River in Virginia for American Heritage River Designation I. Introduction No other American nver embodies the goals of the American Heritage Rivers Program as perfectly as the James River in Virginia. From its headwaters at Iron Gate in Botetourt County to its terminus with the Ct~esapeake Bay at Hampton Roads, the James is unquestionably America's most historic River. it served as a cradle of Nafive American culture, and as the crucial foundation to eady Colonial settlement, Rich in natural resoumes of forests, fish, wildlife, and birds, the James River provides valuable habitat for plant and animal life. as well as unparalleled recreational opportunities for residents and visitors alike, In addition to its unique historical significance, the James River watershed (covering 25% of the state) provides countless opportunities for dver-relatad industries, including: hedtage and recreational tourism, research and development technologies, national defense, shipbuilding, commemial fishing, light manufacturing, chemical products, agriculture, forest products, and more recently, Virginia's growing, wine industry. The James is recognized throughout the COuntry as a recreational resource with national fishing competitions and the best urban whitewater rafting in the country. Today, new patterns of cooperation and revitalization are evolving on the James. as River communities develop innovative partnerships to foster this vital natural resource The process of nomination for Amedcan Hedtage Rivers designation has energized the James River Heritage Partnership, a unique collaboration of local governments, corporations, and non- profit agencies convened to develop active programs highlighting the economic, cultural and natural resources of this special River. Members of the Partnership have begun the process of identifying long-term plans with the potential to greatly enhance ex~sting activities. We are confident that our collective resolve will result in a higher level of responsible stewardship of the invaluable resource that is the James River. Designation as an American Heritage River will add federal support to the public/privata partnerships alYeady in place, and with this support we will soon present the nation with exciting, innovative models of organization, cooperation, and development. In return, the James RiVer Heritage Partnership will demonstrate the success of these programs early and often. In seeking designation as the pre-eminent American Hedtage River, members of the James River Heritage Partnership anticipate a cooperative, multi-dimensional federal role to ass/st us in our efforts to wisely deyelop and manage our river resources. Specifically, we ask for: · ~ady designation to build on our well-established momentum · technical assistance-for planning and research, training opportunities, resource identification, and marketing of the James River to the state and across the nation · improved access to federal resources to enhance our Plan · the restoration of non-appropriated funding and access to these funds · advocacy for projects and programs in support of our Plan · federal assistance that respects local values, authority and prerogatives · assistance in federalpermitting processes for local and regional ~ industrial prospects and streamlining of permitling processes · recognition of important natural and historic resources in the River Basin · communication links (inclusive of Intemet access among James River communities and communities affiliated with the nine other rivers designated II. Community Support This nomination is supported by 20 Counties nine Cities and two Towns which lie along the James River. by our tribal partners, and by a wide range of conservation an(J business organizations. A complete list of the supporting organizations, with Letters of Support, appears under Exhibit A at the end of this document lie Notable Resoumes of the James A. -Historic Resources - Background The historic James River stood at the heart of our nation's earliest Colonial development. It was the James River that introduced Europeans and Africans to the very old. highly developed, and diverse world of Native Americans. Native American tribes had hunted, fished, and lived along the James for more than t 1.000 years before the arrival of the Jamestown settlers. With 30 tribes on the lower James organized into the Powhatan Confederacy, Native Americans were evolving into village societies, reaping the natural abundance of the James River Basin through farming, hunting, and fishing. In 1607 three small ships, commissioned by the Virginia Company to find a passage to the South Seas and establish a trading center, arrived and settled on an island they named Jamestown. Christopher Newport and John Smith explored the River to the Fall Zone. claiming and naming it for King James. The new settlers quickly realized the opportunities available to them within the vast resources of the River. The first forts and farms, plantations, churches, and villages, even the first hospital in the English-speaking colonies were built along its shores. Colonial commerce began in the grist mills and iron furnaces powered by its flow. The James was the first commercial waterway in Colonial Amedca. a lifeline connecting settlements with one another and the outside wodd. Products from nature and farms -- timber, sassafras, tobacco, ~ron ore. corn milled flour -- went downstream to ocean going vessels in exchange for salt, seeds, and manufactured goods from England. Tobacco plants imported from the West Indies assured the cotony's economic v~ability. Navigation through and above the rock-strewn fall zone was both difficult and dangerous, albeit increasingly necessary as settlers moved upstream. Flat boats called bateaux were designed to be poled up and down the James carrying hogsheads of tobacco an(: grain. For the first 50 fears of Colonial settlement, two disparate societies - one European. one Native American - occupied the land along the River. Relations were sometimes amicable, sometimes competitive, but eventually, suspicion and hostility gave way to violent conflict. Briefly Powhatan's daughter Pocahontas helped bridge the cultures, until she died in England, far from her husband's tobacco farm at Varina on the James. In the course of these escalating conflicts, a greatly diminished Powhata~ Confederacy was displaced from the James. forced to settle other nearby rivers. The James played a crucial role in the developing nation's ware. The Westham Foundry ~n Richmond. which made munitions for the Revolutionary War, derived power from the River. British ships attacked river towns and burned Richmond in the Revolutionary War, and blockaded the James River in the ~A,~ar of 1812. The first naval battle in the world between two ironclad ships -- the Monitor and the Merrimac - occurred at the moutY of the James in 1862. as Confederates protected Richmond during the Civil War. In the final months of the war, General Grant directed the Siege of Petersburg at City Point in Hopewell. Munitions were manufactured along the River. at Tredegar IronWorks in Richmond during the Civil War. and at Dupont in Hopewell during World War 1. In war and in peace, the James has played a key role in American history. The James River and Kanawha Canal, promoted by George Washington, became the first operating canal in the nation in 1785. The seven-mila canal around the Fall Zone was the first phase of an extensive 197 mile system: an ingenious navigable waterway intended to connect the 2 Atlantic Ocean with the Ohio River. Completed in 1851. but heavily damaged dudng the Civil War. the canal was abandoned by decree of the Virginia General Assembly in 1880. Subsequently, the Richmondand Allegheny Railroad purchased the Canal and laid track along most of the original towpath. Three sections of the Canal remain intact today, two in or near downtown Richmond and the third in Lynchburg. There were many other historic trade and industrial sites established in the 19th century along the James. such as theiron, paper, and flour mills at Richmond. Tredegar Iron Works was the single most important industrial plant along the James dudng the 18,40's and 1850's. In the first half of the 19th century, the flour mills of Richmond shipped flour to South America and Carrfornia. The combined output of the two largest mills was 1600 barrels a day, making that city the world's largest producer of flour in the years leading up to the Civil War. Although the earliest efforts to purify water for consumption began on the James like most American Rivers. it suffered greatly from pollution problems from human and industrial use in the 19th and 20th centuries. Both the Commonwealth and James River localities have long been concerned with the quality of the River environment. Recognizing the health and economic implications of declining water quality in the James River, the Hampton Roads Sanitation District was established in 1938 to provide a high level of westewater treatment throughout the Hampton Roads region, to ensure the health of area rivers and that the seafood and sport fish harvested from them are safe for human consumption. Since the inceptio~ of that innovative program, other River communities - as well as businesses along the James ~- have spent hundreds of millions of dollars on projects to improve water quality and River resources. Today, after years of continuing improvements and management, the River is a major source of high quality water for community and industrial uses. Thanks to this improved water quality, the James is experiencing a renaissance in wildlife restoration, historic preservation, conservation, and recreation, as local governments, civic groups and businesses work together. Public/private pertnerahips, are revitalizing the Riverfront. and the River's scenic, recreational and natural values are being emphasized, thdustdal and riparian owners are dedicating shore land for wildlife habitat. Recreation opportunities are increasing, with parks and state boat landings for fishing; boating, and swimming. Historic Resources - Existing The_exper/lance of traveling down the lower James on a cruise - or beside it on the historic and scenic byways -- evokes the essence of America's history. Historic Jamestown has been restored by the Jamestawn-York~own Foundation. the National Park Service, and the Association for the Preservation of Virginia Antiquities. The Citie of Henricus -- the second permanent settlement of English-speaKing persons in North America -- is being r~created through the cooperative efforts of Chesta~eld and Elendco Counties, and the City of Richmond. and each November the first ThanksgMng is celebrated at Berkeley Plantation on the James in Chades City County. Other vital reminders of the plantation culture established along the lower James remain: Tuckahoe, Shirley, Berkeley, Westover, Sherwood Forest, Evelynton, Carter's Grove. Chippokes, Weston Manor,-Appomattox Manor, Brandon and Upper Brandon. Flowerdew Hundred, Bacon's Castle and Endview Plantation are a/t open to the public. Extensive archeological digs and associated museums at several plantations and the reconstruction work at Colonial Williamsburg help visitors understand the River hedtage of both the Native Americans and the early European settlers Colonial Wiitiamsburg has devoted considerable attention in recent years to highlighting the role of African-Americans in Colonial life in its interpretive programs. The Virgin. ia History'in~tiative. a private/public effort to develop historical ~'esources and tourism in Virginia, is providing a statewide structure which parallels and complements efforts of the ' Partnership to highlight .the many histo~'ic resuurce~ of the James River region. Local initiatives include ten plantations, working together through the Virginia Plantations Network to promote toudsm. Numerous school programs developed in association with museums such as the Mariners' Museum. the Virginia War Museum and the Living Museum ali in Newport News. the Children's Museum in Portsmouth. the U.S. Army Transportation Museum at Fort Eustis on the James. the Air and Space Museum in Hampton and the Valentine Museum and Virginia Science Museum both in Richmond are also working to deepen understanding of the River's role in our history. Case Study: James River Bateau Festival In 1986 a number of river enthusiasts initiated a race of several handmade authentic bateaux between Lynchburg and Maidens Landing, a distance of over 130 miles. This has now become an eight-day annual traveling festival which has created new awareness of the beauty of the River and the significance of the small River communities. Currently nine communities and over twenty bateaux with costumed crews participate in this unique celebration of living history. Shoreside actiVities include foot races, live music performances, exhibits of canal history, River maps, colonial crafts, a horseshoe tournament, authentic encampments folk dancing and bateau rides. The communities prepare meals and provide services which bring revenue to the localities. Tile festival provides a common vision for the River and its values~ and has received national attention. B. Natural Resources The Allegheny Mountains in westam Virginia give rise to the mighty James, It is here. at the confluence of the Jackson and Cowpas[ura Rivers that the River is born. The River changes dramatically in its scenic 340 mile course through the heart of the Virginia. Strengthened by its many tributaries, it flows from the Alieghenies. across the Valley of Virginia, through rolling piedmont hills, and - dropping 100 feet in a series of spectacular rapids - flows through the seven mile Fall Zone at Richmond. Below Richmond, [he River widens and deepens, bearing ocean- going ships, edging cities, towns and histodc plantations 100 miles to the Chesapeake Bay and the Atlantic. The Virginia Department of Game and Inland Fisheries manages several Wildlife Management Areas (WMAs) in the James River Basin. including Hog Island in Surry County, Kittewan ~n Charles City County, Ragged Island in Isle of Wight County, and the James River WMA in Nelson County. The federal government has declared the James River Face in Amherst County a National Wilderness Area. Portions of the George Washington and Thomas Jefferson National Forests lie in the upper reaches of the watershed. Twq National Wildlife Refuges (NWR) on the lower James are significant, Prasquiie NWR in Chesterfield County. is an important site for migrating waterfowl in fall and sprir'~. The James River NWR encompasses 4.000-acras in Pdnce George County; it hosts the largest summer roost of bald eagles on the East Coast. Harrison Lake National Fish Hatchery in Chades City County is crucial for the Chesapeake Bay Program's fisheries restoration initiative, raising American shad for restocking in the Bay tributaries, including the James. Case Study: Fisheries Restoration Oysters: ;The Lower James River provides the nursery for the seect oyster beds of the Chesapeake Bay. Their decline in recent years has led [o efforts to create oyster beds in tributaries of the James and along its mainstream. This is a cooperative project with the Virginia Institute of Marine Science (VIMS), the Virginia Marine Resources Commission. and riparian landowners. VIMS has also started an oystar hatchery and has conducted other research projects to improve the viability of Chesapeake Bay oysters, which are Known internationally and significantly enhance Virginia's economy. Fish Passages: The City of Richmond the Virginia Department of Game and inland Fisheries. CSX Incorporated, and the James River Association have been working to fund and provide fish passages on the five dams in Richmond. Four dams are now passable by striped bass. shad and River herring. Averticalslot fish passage is being built on the fifth dam. This will open 140 miles of the River and about 170 miles of tributaries to provide over 11.000 acres of spawning grounds for the first time since 1803. The estimated value of the restored fisheries is $5-7 million per year This project alone will meet the 5-year goal set in 1993 by the Chesapeake Bay Program to open 305 miles of Bay Watershed for fish passage C. Scenic Resources The beauty of the James River is much the same as in the days of Powhatan and John Smith in many areas, largely because of responsible land management and repeated flooding. Communities, such as Scottsville and City Point Jn Hopewell with their 18th century homes and cities are now rediscovering the scenic values of the River. Several roads along the River have been designated as Virginia Scenic Byways. including Route 5 from v~r~lliamsburg to Richmond. Route 6 from Richmond to Nelson County. Route 343 from Eagle Rock to Buchanan. Route 71"1 from Chesterfield County to Powhatan County, and Route t30 from Holcomb Rock to Glasgow. The Virginia Department of Transportation operates ferries crossing the River between Jamestown and Surry County which are popular with tourists and residents. The National Park Service designed and maintains the Blue Ridge Parkway, which includes a restored lock and a segment of the James River and Kanawha Canal in the dramatic mountain gap, and the Colonial National Parkway, connecting Jamestown, Williamsburg, and Yorktown. the Historic Tdangie of Virginia between the lower James and the lower York Rivers. Case Study: Preserving Scenic Values Virginians have been working to preserve the aesthetic characteristics of the River corridor. Three sections have been designated as Scenic or Historic Rivers by the Virginia General Assembly, as the result of local and regional efforts to recognize their special qualities as state resources. Fourteen miles of the upper James and nine miles of the Fails have been designated Scenic PJvers, and twenty-five miles of the lower James has been designated an Histodc River. As a result, regional citizen boards are appointed to advise state and local governments on issues affecting these stretches of the River. D. Economic Resources Hampton Roads at the mouth of the James is one of the greatest natural ports on the East Coast and is home to the Norfo~< Naval Base, the Norfolk Shipyard, and the largest private employer in Virginia, Newport New Shipbuilding and Dry-dock. It is the site of exports and imports of millions of tons of raw materials and finished products each year. It is connected to all parts of Virginia and bordering states by the upstream Richmond Deepwater and Intermediate Terminals. and by extensive rail and truck transportation networks. With a 1996 total of 9.7 million tons. the ports of Hampton Roads are ranked number two in the nation in regards to general cargo volume. The Chesapeake Bay provides additional shipping opportunities to points north. Several major industries are located along the James, depending on its waters for processing and cooling as well as for shipping. 'These industries include shipbuilding, ports, chemical companies. pulp and paper mills, and e}ectdc utilities. An active sand and gravel mining industry along the River moves its materials by barge. Virginia has long fostered extensive River resource-related industries, including agriculture, forest products, commercial fishing, and more recently, viticulture. The James River watershed, which covers 25% of the state, provides significant opportunities for these endeavors. Several thousand acres of land along the James remain in croplands and forests. The James ~rver estuary provides seed oyster beds for the Bay, as well as spawning reaches for striped bass. shad and River herring, and is essential to Virginia's commercial fishing industry. Tourism is the second largest industry in Virginia, generating over $10.5 billion per year. The James plays a significant role by attrac~g millions of visitors to Hampton Roads, Jamestown, Williamsburg, Richmond. Lynchburg, and other historic and natural areas. There are opportunities for experiencing Indian village life and colonial Iife. re-enacting Civil War battles, taking River cruises, and journeying on bateaux like these which led Virginia to its first era of economic prosperity. Fishing, hiking, sailing, boating and birdwatching attract tourists to the banks of the James. particularly as ecotourism grows as an industry. Businesses such'as bed and breakfast inns. restaurants, antique shops, canoe liveries, marinas and curriers have sprung up along the River to support tourism. The Virginia Civil War Trails program, begun with federal ISTEA funding matched by localities along the Appomattox and James Rivers, has become a statewide heritage tourism initiative. Case Studies: Urban Waterfront Development Hampton Roads: The Elizabeth River, which joins the James River at its mouth to form the world's largest natural harbor at Hampton Roads, is considered to be one of the most environmentally stressed dyers within the Chesapeake Bay Watershed. In the mid-1970's its waterfront in Norfolk and Portsmouth was marked by decaying industrial structures, Piers and vessels. Through intensive efforts of these two cities, major renewal projects, featuring waterfront parks and marinas, an International League baseball park, museums, shops, and frequent arts and culturel festivals have been developed. Public/private funds expended to date for these renewal projects are estimated to be far in excess of $250 million and are projected to generate substantial additional revenues for both Norfolk and Portsmouth. The combined Harborfest/Seawall Festival occurs each June and bdngs hundreds of thousands to the downtown waterfronts of the two cities. Following a four-year consensus building effort, the pdvate non-profit Elizabeth River Project. ir~ cooperation with the Cities of Chesapeake, Norfoik, Portsmouth and Virginia Beach. state and federal agencies and private groups, is now implementing an 18-point Action Plan to ctean and restore the water quality and aouatic life of the River. which will have a positive impact on the James Newport News: Located on the mouth of the James River. the City of Newport News is undergoing a dramatic downtown transformation. The Downtown PartnerehiF was formed in 1994 as a collaborative coalition among the City of Newport News. Newport News Shipbuilding, the United States Navy and the Commonwealth of Virginia. A total of $6 millicn in project funding has come from the Commonwealth. the Cities, and Newport News Shipbuilding. An additional $2 million in state and local funds will soon be allocated to the project as well The Partnership's primary goal is to improve public safety through physical improvements to the downtown area. Beneficiaries of the revitalization efforts include City residents who live downtown. Navy personnel, and visitors to the City. Phase One of the revitalization efforts, funded equally by the City of Newport News, the Shipyard and the Commonwealth concentrated on the acquisition and demolition of unsafe structures between the Shipyard and Navy tacJJJtles. Partnership projects in this area include reconstructed streets and utilities, as well as extensive streatscape/tandscape improvements throngnout the area, Richmond: Extensive and innovative waterfront revitalization and development is underway in Richmond. merging health and safety objectives related to water quality and economic objectives to create a viable recreation/tourist attraction downtown. 'The need for improved combined river controls, as well as the need to protect and manage the River for its recreational and aesthetic values, resuY~ed in the design cfa project which puts the sewer facilities under a restoration of the downtown reaches of the historical James River and Kanawha Canal and HaxaJl Canal, coupled with canal walks around which will be organized a comprehensive program for business, retell. entertainment, residential, and recreational development. The project is unique with its partnership among private sector investors, the City of Richmond. and conservation and histodc interests, The City of Richmond has provided $46 rnilllon for Phase I of the project, with the potential for $500 million from private investments over the life of the project. Development of the 32 acre project is anticipated to create 3,2 million square feet of space for commercial, residential, and mixed use facilities, resulting in a net gain of over 5.000 new jobs, With the Richmond Riverfront Development Corporation ( including the five riparian corporate owners involved in the project and the City of Richmond) heading this effort, mechanisms are in place to maintain the integrity of the values of the River and the adiacent shore line investments. Lynchburg: Lynch's Landing Inc. is a major public/private partnership among the City of Lynchburg, the Virginia Canal and Navigation Society, private businesses and local historic preservation and outdoor.recreational groups. In collaboration with the Lynchburg City Council, Lynch's Landing, Inc. is overseeing the redevelopment of Lynchburg's urban riverfront and canal system at a cast of __ Redevelopment efforts include numerous innovative multi-fecetad initiatives intended to bring about both physical and programmatic improvemerfta to the City's riverrront. Prominent in the restored rtverfront will be a public festival site to support festivals ranging from the Bateaux festival to the Virginia State Fair (a new extension of the pdmary Fair held every September in Richmond). A "Bluff Wa[k" will also be developed along the cliffs above the festival site. Other aspects of Lynchburg's restored riverfront include the development of a Riverain Natural area on Percivai~s Island, a significant expansion of the existing "Hike and Bike" trail system (to include access to Percival's Island and Amherst County on the south side of the James), as well as the restoration of the Kanawha Canal. An architectural engineering firm that specializes in histodc redevelopment projects has been retained to ensure the preservation and restoration of historically significant structures dudng the revitalization efforts. As with Richmond's canal restoration: the City of LynChburg will derive significant economies of scale from this initiative by incorporating stormwater sewer system upgrades into the restoration project. On the southern banks of the James, opposite the City's restored downtown area, Amherst County ~s developing plans for a major public park that will provide significant public recreational and educational opportunities as well as much improved public access to the river. Case Study: Richmond- a National Brownfields Pilot Urban communities along the James River are looking for opportunities to work with the Environmental Protection Agency's Brownfields Program, (as well as with its counterpart m Virginia, the Voluntary Remediation Program) to facilitate the redevelopment of abandoned or underutilized river~ront properties. The City of Richmond was selected by the Environmental Protection Agency (EPA) as one of 64 National Brownfields Assessment Pilots in September. 1994, with funding of $200,000. As a Brownfieids Pilot community, the City of Richmond. through its Office of Econorrflc Development, has integrated plans for private business reinvestment in the inner-city with ongoing strategies from other City agencies for crime prevention affordable housing, education and public health and safety, The Pilot Program has identified Five Brownfield sites for further study, re~/lewed and conducted site assessments at three sites, and entered into negotiations with b,usmess users at two sites. E. Recreational Resources The James River is exceptional in its support of a wide vadety of recreational opportunities. Events of national significance include repeated national Bassmasters tournaments and the Bateau Festival. There is one state park and another under development, as well as extensive local parks at Lynchburg, Richmond, Newport News. Hampton and Norfolk. with state boat landings and pdvate marinas sporadically located along the !ength of the River. The River offers the fuji range of opportunities for water odentad recreation, including camping, boating, swimming, fishing, hunting, hiking, oird watching, and environmental education activities. Several sections of the River--Batcocy Falls. Eagle Rock, Snowdon, Lynchburg, Scottsville--offer whitewater boating and are listed in a number of national and regional guidebooks. Over seven miles of rapids cut through the heart of the City of Richmond to provide the best urban whitewater rafting in the nation. The rapids in this 100-foot drop, rated at Class ti-Class IV (and up to Class VI 7 at high water levels), offer a unique recreational experience for canoers, kayakers, and rafters. whether novice or professional. Whitawater racing is popular, and in June 1998 the American Open Canoe competition will be held in the City. These rapids run through James River Park. a collection of eight shoreline parks along the Fall Zone which offer the best smallmouth bass fishing in the state as well as swimming and tubing. Park educational programs enhance wildlife viewing, rock climbing, and scuba diving. Summer visitation from the central Virginia region exceeds 4.000 people a day. The National Park Service provides ample opportunities for recreational and historic experiences at the Colonial National Histodc Park. which stretches from Jamestown through Williamsburg to Yorktown. and at the Richmond National Battlefield Park. which includes several Civil War battlefields in four localities throughout the Richmond metropolitan area, and at Hopewelrs City Point Unit of the Petersburg National Battlefield Park. which includes AppomattoxManor and the site of Abraham Lincoln's death dream. Regional greenway systems have been proposed in the Richmond and Williamsburg regions to provide alternative transportation opportunities as well as recreational and aesthetic benefits; some greanways have already been developed by private developers for residents. Case Study: James River Month. Local and Regional Partnerships The.James River Task Force was established in June 1994 by representatives of the Counties of Henrico. Hanover, Chesterfield and the City of Richmond to study the development of the River as a regional tourist attraction, creating a "Historic Riven/cay." Preservation of the major scan~c and historic resources, communication of plans, guides to future development to ensure lasting quality of the River. and cultivation of the River as a "Highway of History" tourist attraction are among the goals of the Task Force. One strategy was to get more people involved in River recreation and education. In 1995 the Task Force established James River Days; a series of activities were sponsored by local, state, federal and private groups including whitewater races, fishing tournaments, claan-up activities and educational classes on fishing techniques, historical and conservation exhibits and re- enactments. The success of this weekend led to the programming of activities throughout the month of June for the langth of the River. Activities include tours of historic sites, sightseeing cruises, and a boat parade, with the Virginia DePartment of Game and Inland Fisheries declaring one day a free fishing day. Educational offerings include guided bird walks, fishing clinics, history classes, and canoe and kayak displays and demonstrat~ona. Clean-up activities, corporate- sponsored raft races, and an innertube float also bring thousands Of people to the River. The 1997 celebration expanded to include community concerts, photography competitions, and a community art show. There is now a permanent structure for developing and marketing recreation programming opportunities as well 'as plans to protect and manage the values and resources of the River. In 1997 _the Virginia General Assembly declared June to be James River Month. Case Study - The Nature Center at Maymont The Maymont FoundatiOn has undertaken a Capital Campaign to raise over $15 million by 1999 for a new 26.000 square foot Nature Center at Maymont, central Virginia's premiere natural education and recreational resource. The focal point of the Nature Center will be a James River Fall Zone Habitat, planned as a series of terraced aquariums over 100 feet long that will simulate various segments of the ,lames River, including the Piedmont, the Coastal Plain and the Fall Zone of the James in Richmond. Development. of the Nature Center prompted creation of an Advisory Committee made up of officials from the Virginia Department of Game and Inland Fisheries. the James River Park System, the Teachers on the Bay, and the Three Lakes Nature Center and Aquarium. 8 IV. Local and Regional Partnership Agreements The keystone of the success of the James River Heritage Partnership is the existing regional public/private partnerships which can be broadened and copied up and down the James River around the stats, and across the nation. To protect, enhance, and promote any River effectively, multiple interests must be actively engaged, both private and public. We have demonstrated repeatedly a number of innovative ways to create coalitions, as shown throughout this nomination Two initiatives present particularly creative and diverse examples of functioning partnerships on the James. Case Study: Harrison Lake Fish Hatchery The Virginia Department of Conservation and Recreation and the U.S. Fish and Wildlife Service develobed a program with a challenge grant to enhance recreational and educational opportunities at the 270+ acre Harrison Lake National Fish Hatchery near the confluence of Herring Creek, and the James. This effort has become a prototype for others dealing with the Fish and Wildlife Service. It produced the construction of over $100,000 worth of improvements on the lake including handicapped accessible trails and fishing piers, completion of several resource inventories, development of a Conceptual Master Plan for recreation and interpretation, signage standards, interpretive displays, lakeside picture areas and a variety of hatchery program recommendations. The plan calls for develepment of a major educational faciJJty. A unique public/private partnership wes established, bdnging together the Virginia Departments of Conservation and Recreation. Historic Resources. Economic Develepment. Game and Inland Fisheries, and the Department of Transportation and Virginia Commonwealth University. Private sector partne?, fDcJuded architectural firms, the Chesapeake Bay Foundation, the James River Association, the Virginia Native American Cultural Center, and the James River Plantations. Case Study: Watershed Planning The nineteen Soil and Water Conservation Districts in the James River Watershed. along with the local governments, conservation groups, businesses, and other stakeholders are working together voluntarily to develep the Chesapeake Bay Tributary Strategies, a process to address water quality issues for the James River as part of Virginia's commitment to the Chesapeake Bay Agreement. The James River Watershed Council has been formed to provide public education and to promote cooperation among the various stakeholders throughout this process. A weekly citizen monitoring program, sponsored by the Alliance for the Chesapeake Bay, has been providing important information on the River since '1985, The James River Association has produced the Lower James River Corridor Study, an inventory of the natural and historic resources along the River between Hopewell and Newport News, an(~ the James River Watershed Management Plan, a compendium of successful techniques available to planners, developers, and landowners to accommodate growth in a resource~seneitive manner, The resource maps are being updated and digitized, as well as expanded to cover the entire James River 'Watershed and the individual localities between Richmond and Hampton Roads. The Geographical Information System (GtS) Maps, which are being produced by the Virginia Institute of Marine Science witfl funding and support from the Soil and Water Conservation Districts and the James River Association. wJJl be used to encourage watershed planning throughout the basin. V. Planning for Strategies that Lead to Action Through the collaborative efforts undedaken to prepare this nomination, members of the James River Hedtage Partnership have coma to realize not only the scope of their common interests and concerns abOUt the histedc James River, but the wide range of shared resources available to improve stewarctship of the River and better the Jives of citizens along its leng~. A number of current programs and activities already in place along the River underscore local initiatives to utilize fully all the River has to offer while safeguarding it for future generations, some of which are detailed here in the case studies. Other efforts include the following: The Waters of Southeastern Virginia: Building on a 1986 study from the Hampton Road Planning District Commission that recommended extensive development of public access for water-oriented recreation on regional waterways, individual localities in the area have increased boating and shoreline access to the James and several of its tributaries. Reseamh ~s underway on developing prototype waterway/vessel management plans to establish mechanisms for resolving water use conflicts. The Virginia Waterfront: The Virginia Waterfront Advisory Committee is leading a private/public partnership to market tourist attractions from Williamsburg to Virginia Beach. In 1997 the Virginia Waterfront International Arts Festival was presented and a comprehensive guidebook. "The Virginia Waterfront." has been produced and distributed-widely, ~thanks to funding from the City of Norfolk. Celebration 2007: The Jamestown-Yorktewn Foundation is planning a statewide celebration of the 400th anniversary of the founding of Jamestown. and it is building an extensive private- public partnership. Legislation enacted by the Virginia General Assembly in 1996 makes the Jamestown-Yorktown Foundation the official state agency charged with planning and coordinating Virginia's role in commemorative activities. Public ferry at Jamestown: State plans to replace the ferries operated by the Department of Transportation between Jamestown and Surrey County with a future bddge were opposed by a grassroots in~ative led by the James River Crossing Coalition. As a result, the state has committed itself to improving the ferry operation and has removed tolls. Virginia Living Museum: This museum in Newport News presents a 60-foot living cross-section :)fthe James. two aviaries, a freshwater wet,and, and area wildlife, including bald eagles. The Mariners' Museum: This Newport News museum, n operation since 1930, celebrates the history of shipping on the James and in Hampton Roads through histodc interpretation, a 550- acre park and lake, a research library and archives, as well as an extensive main collection. Mainland Farm: This was the first English farm in Colonial America. In June. 1997, a public/private partnership involving James City County and the Williamsburg Land Conservancy approved a nation-wide $2.2 million acquisition effort to preserve the farm. The farm is scheduled to be used for special events and exhibitions in conjunction with the 400th anniversary celebration of the founding of Jamestown. Bald Eagle Habitat: The tidal stretch of the James River provides a nurturing summer habitat for the largest population of bald eagles east of the Mississippi River. Over 4,000 acres of land have been preserved as the James River National Wildlife Refuge. Hopewell (City Point): An active tourism effort is underway, based in a new visitors center, to promote Appomattox Manor and the Civil War site of General Grant's final campaign, Weston Manor, as well as the city's other histodc and natural resources. Henricus .Park: The Henricus Foundatier,. Chesterfield and Henrico Counties, and the City of Richmond are reconstructing the Citie of Henricus in conjunction with the first wild,ifa refuge to be operated by a Virginia county (Chesterfield). A recently-dedicated Visitor's Center. funded with $636.000 from Cheaterfield and Hendco Counties will be followed soon by reconstructions of Mount Malady, the first hospital and other buildings, a museum and an amphitheater. Dutch Gap Conservation Area: This Conservation Area ~s adjacent to the reconstruction activities planned for the C/tie of Henricus. This 800-acre conservation area is the only county-owned nature preserve in Virg/nia. Port of Richmond Master Plan Improvements: Master Plan improvements scheduled include increases irt cargo capacity and operational efficiency to .boost continuing improvements in the eoonomJc vitality of the Port. Moreover, the Plan calls for higher compliance standards in regards to the Chesapeake Bay Act, the Clean Air Act, Environmental Protection Agency Stermwater Drainage Regulations and Occupational Safety &.Health Administration Industrial Standards. Flood Protection Systems in Richmond, Scottsville: Installation of flood wall systems rn Richmond and Scottsville, constructed with federat, state and local monies has stimulated riverfront development activities in both Communities. James River State Parks: Chippokes State Park in Surry County presents a working 19th century farm on the James, where camping facilities, interpretive signage, and stabilization efforts are underway - at a cost of $950,000 - to increase recreational opportunities south af the James. Chippokes is the site of the annuaJ Pork, Pie and Peanut Festival each July. The $7 million James River State Park is presently being developed in Buckingham County, as a result of a Virginia State Park Referendum passed in 1992. Amherst County/Lynchburg State Park: Using property donated to Amherst County by the state, the County and the City of Lynchburg will develop a major new park and boat ramp along the northern bank of the James across from downtown Lynchburg. Game and Inland Fisheries: A number of boat landings have been established and additional landings are planned and a catch-and-release program has been widely publicized. Organizational Process: Promising Beginnings The nomination process began in early February, 1997 focusing on the James River stretching from Jamestown to Richmond, w;£i~ meetings of rePresentatives of the James River Association. the James River Task Force, and the Falls of the James Advisory Board. A June 4 meeting of officials from localities along the James determined that the application should reflect the interests and concerns of the 30 very diverse localities along the James, from its headwaters at Iron Gate in Botetourt County to its mouth at the Chesapeake Bay. During the nomination process, Resolutions of Support from all 30 governments involved were adopted. These voluntary agreements are unprecedented in recent Virginia history. Even before finalizing the nomination, we committed Collectively to proceed with long-range plans for the River, seeing advantages transcending any application or award. To date, the James River Heritage Partnership has been organized, with elected officers and formal Resolutions of Support from all participating jurisdictions. To support the planning efforts formalized here. and anticipating the need for support staff, the Heritage Partnership has begun to solicit funds from its Participants along the River. Thus, the James River Plan has ~)een initiated, and formal designation of the James River as an American Hedtage River in January wiJl ride on considerable momentum. Since the mere desire for designation has accomplished so much. we feel certain that actual designation can and will produce incredible success. The Plan A collective plan 0'f action for River communities along the James with regard to river-related activities ~s the basis of a developing River-wide Plan. Designation of the James as an American Heritage River would unite all our River communities through the identification of Common goals. and prey dethe means by which to realize them. Members of the Partnership agree that individual local programs should be transformed into a broader agenda encompassing and thereby benefiting the larger constituency of all River communities Therefore, in development of a formal Plan of Action. the Partnership will. upon designation of the James as an Amedcan Heritage River. begin Compiling comprehensive plans from all 30 of our river communities, in order to identify common values and innovative and successful approaches to existing river-related challenges. For the Plan to succeed, participating River jurisdictions must determine which elements of the Plan meet realistic thresholds of local politica support and actively pursue development and implementation of those goals. First we must articulate a vision that builds on the diversity of the James River communities and issues common to ail For example, the plan should address: Community Development/Economic Revitalization: urban waterfronts have become magnets for exciting mixed~uss devetooment; they can share lessens learned and build on successes to date. · Tourism Deveiopmen~ this F~iver is an unrivaled histodc and recreational attraction for tourists, needing marketing and development. American Heritage Rivers designation will foster marketing efforts intended to increase revenues of the state's second-ranking industry. · Cu/tura//f-listoric Resources: communities have arisen and will thrive because of the River. Our deep history of interaction with the River must be understood to better realize its future. · Education and Public Outreach: there are many existing educational and interpretation projects, in schools, museums parks, and other organizations, which -need to be enhanced and publicized, shadng information and strategies. · Natural and Recreational Resources: working together, rural and urban river constituencies have created model strategies for natural resource stewardship with the potential to maintain land and water resources for the icng-term. From the completed list. we shall define goals that address shared issues and common values. When our member communities reach consensus on the strategies to accomplish the goals, we shall turn our attention to identifying tools that each individual jurisdiction may use in fulfilling their p¢ior'~es for the James River. This Plan will identify the appropriate organization to be charged with administering the post-planning process. We look forward to working with the Heritage Rivers "River Navigator" to explore all possible assistance and options available at the federal level. Commitment to Action At this point, the James River Hedtage Partners have already agreed to: · Expand the geographic scope of James River Month recreational act/v/ties to include the entire River by 1998 o Work collectively to increase public access to the River without putting private property rights at risk, using the Peainsula Civil War Trails Plan as a model to develop an interactive system of interpretive recreational trails along the James · Assist the Commonwealth of Vi~inia in restoring the shad and herring runs through Richmond and increasing the shellfish population in Hampton Roads Work with the Commonwealth and stockholders throughout the watershed to develop James River Tributary Strategies by 1998 to meet commitments made in the Chesapeake Bay Agreement · Support Iocalirf/tiatives to provide parks, trails, and scenic byways along the River · Continue the enhancement of wildlife habitats in appropriate locations along the River · Capitalize on the natural assets of the James River to develop a comprehensive Tourism and Recreation Marketing Plan for state-wide and na#onal distribution Develop Heritage Tourism marketing strategies for local/ties and fac/7/ties upstream of historic Jamestown to coincide with and complement the Celebration 2007 Plan · Support the findings of the Virginia Department of Historic Resources Preservation Plan and the accompanying Marketing Plan · Support the redeve/opmect of the James River and Kanawha Canal and recreational access to the Richmond waterfront · Produce an Annual Report on the James R/Vet to distribute to all localities and orcJanizations related, to the River · Cooperate with the Commonwealth to implement the recommendations of the 1996 Virgio/a Outdoors Plan After the first year of designation as an American Heritage River, work to expand the Partnership to include other localities within the James River Watershed not currently signatories to this nomination VI. What Federal Support through the American Heritage Rivers Program Can Mean The nomination process has revealed many exciting and diverse projects and plans relating to the James River which generate informational resources not often shared or coordinated. Some are well underway, with others just beginning. New and/or better designed and coordinated projects could well develop, and better information, support and/or connections with other efforts and resources will foster that process. Designation will greatly enhance our collective efforts to forge a permanent, effective Partnership. Federal support resulting from Amedcan Heritage Rivers designation could do much to reinfome and help coordinate River-related activities by: · providing connections to governmental resources and information · developing new avenues of accessibility beyond those we have already discovered Connections already in existence between local communities, the state, and private groups could be reinforced to provide tho models for new. more inclusive collaborative connections. Informational resources could be gathered and shared, bringing about change and development much more efficiently and effectively. A Web site could be developed which would present and link these resources of information people, and funding. The universal accessibil~bj of Web materials could serve to support and connect the river-related activities of all Partnership communities. In this way, federal support could help us publicize efforts such as the Brownfieids project in Richmond. one of the first partnerships in the country between a city and the EPA to transform and develop abandoned or underutilized industrial sites with environmental problems. Already we have established a number of viable partnerships for a variety of River-related projects and planrYJng. Adding a supportive federal partner could only strengthen and add to those partnerships important elements of structure, coordination, anti connections to resources we do not presently have. VII. Measurable Results American Her~ge River designation would provide momentum, advocacy, and public~ for a number of the aforementioned River projects such as restorations of the shad fishery and the cana[ in Richmond and the James River Month - local and regional Partnership events. Indeed. the James River ~eritage Partnership, a totally new cooperative initiative in Virginia, owes its existence to the organizing necessary to generate this nomination. However there are other results which we hope to see from this designation and partnership. These will include the products of the James River Hedtage Partnership commitments listed above. In addition, we expect to produce the following possibilities, as weJI as others we will develop through Partnership initiatives: · a dynamic Web site which presents and organizes informational resources both nationally and internationally · more and better partnerships which engage more elements of the pdvate sector · more effective educational efforts to involve people, especially children, with the River · improvement in all River resources / · a cooperative marketing initiative and i;~eritage Tourism package ~3 · a productive system of cooperative partnerships among the 30 PaKicipating localities and tribes, businesses, and non-profit organizations Conclusion Members of the James River Heritage Partnership believe that our River -- the River that runs directly through the heart of America's early history - the River that continues to provide boundless resources an(~ opportunities for the hundreds of thousands of people who live along its banks - ~s exactly the kind of natural treasure that President Clinton had in mind when, in the course of his 1997 State of the Union speech, he set forth his vision for new, innovative programs dedicated to the support of responsible, locally-initiated river-related activities Designation as an American Heritage River will briag the James once again to the forefront of national awareness when the Partnership, working with its federal and state partners, develops and presents models of cooperation to all Americans eager to learn wise and responsible ways to plan for the future of [he James and other great Rivers. To become better stewards of the James River. to better harness the resources of the River in a goalsSUStainableof the JamesmannerRiverWhileHeritagePUrsuingpartnershlp.l°ng-term development strategies, these are the collective EXHIBIT A COMMUNFr~ SUPPORT The following localities [20 Counties, nine Cities and two Towns), non-profit organizations, Regional Planning District Commissions and private corporations are Jn full support of the James River Heritage Partnership and its efforts to gain designation for the James as an American Heritage River; The 30 localities along the length of the River and Tribal Governments: Albermade County Amherst County Appomattox County Bedford County Botetourt County Buckingham County Campbell County Char/es City County Chesterfield County Cumberland County Fluvanna County Gooch/and County Henrico County Isle of Wight County James City County /Velson County Powhatan County Prince George County Rockbrldge County Surry County The Chickahominy Indian Tribe The Monacan Indian Tribe Tile City of Chesapeake The City of Hampton The City of Hopewell The City of Lynchburg The City of Newport News The City of Norfolk The City of Portsmouth The City of Richmond The City of Suffolk The City of Virginia Beach The City of Williamsburg The Non-Riparian Partners The Town of Scottsville The Town of Surry . The Eight Planning District Commissions (PDC): The Central Shenandoah PDC The Hampton Roads Regional PDC The Central Virginia PDC The Piedmont PDC The Crater PDC The Richmond Regional PDC The fifth PDC The Thomas Jefferson PDC · The James River Association · The James River Basin Association · The James Riv~er Task Force · Richmond Riverfront Development Corporation · ,Numerous ~parlan corporate owners · The Virginia Conservation Network . The Soil and Water Consen/ation Districts · Falls of the James Scenic River Advisory Board o The Chesapeake BayFoundation · George Washington and Thomas Jefferson National Forests · Colonial National Historical Park · Historical organizations: The Preservation Alliance of Virginia, The Association for the Preservation of Virginia Ant/quit/es, Lynchburg Historical Foundation, Historic Richmond Foundation, Historic Hopewell Foundation. the James River Plantations Network, Virginia Canals and Navigation Society · Recreational organizations: Coastal Canoeists, fishing groups, Virginia B/cycle Association, Virginia Trails AssociaEon Valentine Museum 1015 East Ciny Street Richmond, Virginia 23219 804-649-0711 Fr~m downtown, toke Franklin Street east'to Capitol Square. Turn left onto Ninth Street then toke the senend right onto Marshall ~tree~, Turn thft onto 11th Street, then ll~t again nato Clay StreeL The T/aloetine is on the left, Turn left onto 10th Strent to park in the museum lot en theis~ From 1-64 Wes'c take the Fifth Strnst exit. Turn left ohto Marshag Street and proceed tn 11th Street, Turn init onto 11th Street. then left again onto Clay Street. The Valentine is on theleft. Turn loft ento lthh Stren~ to park lethe museum lot oaths init' From 1~64 East. stay orr I-9§ South when the two merged highways saparato, and followthe next set of directien~, From 1-95 Irgurth or Smdh, toke exit 14C, Broad Sheet. Go west an Brend to 11th Strent and turn right, Pmcend anrth on lfth end toke theseenndleft onto Clay Street, The Valentine is on yenr left, Torn left onto loth S~reot to park in the museum lot orr the left. AMERICAN HERITAGE RIVERS INITIATIVE Summary of September 11, t 997 Federal Register Notice Nomination Deadline WEDNESDAY, DECEMBER t0, 1997 ~ 7:00 p.m. EST nominations may be mailed, faxed, or e-mailed Required N~mination Contents t. DESCRIPTION OF THE PROPOSED AHR AREA · may cover just adjacent land or span an entire watershed · may cross jurisdictional boundaries 2. DESCRIPTION OF THE NOTABLE RESOURCES · stress what is distinctive or unique about natural, economic, agricultural, scenic, historic, cuitura~ and/or recreational resource~- 3. DESCRIPTION OF THE PLAN OF ACTION · address-either through planned actions or past accomplishments- all three AHR objectives: a, economic revitalization b. natural resource & environmental protection c. histodc & cultural preservation · may describe both long and short*term actions · should descdbe how pdvate property rights will be respected AT A MINIMUM THE PLAN OF ACTION MUST INCLUDE: Community Vision Products and Projects (include plans for project maintenance) Resources - comm~ed and anticipated (with means of generating additiona! support from public and private sources) Expected Federal Role Schedule for Timetable Citizen Involvement Public Education Logistical Support, Operating Procedures and Policies Prior Accomplishments - Relationship to existing plans and projects Challenges to community action Measures of Performance 4. LISTING OF NOMINATION/PLAN OFACTION SUPPORTERS · show evidence of opportunities for public comment · stress community diversity ~ supporters should include "farmers, ranchers, landowners businesses and/ndustdes, educational and arts organizations, youth groups, community leaders, developers and community development organizations, historical societies, environmental groups and other nonprofit organizations~' as well as elected officials, state, tribal and local governments THE PLAN OF ACTION AND THE LIST OF SUPPORTERS ARE CONSIDERED EQUALLY TO BE THE TWO MOST IMPORTANT CRITERIA FOR DESIGNATION WE SHOULD STRESS INNOVATIVE PROGRAMS IN: historic preservation, wildlife management, fisheries restoration, recreation, community revitalization, agricultural practices, public health and drinking water source protection, and flood plain and watershed management Term of De$ignatio~ LIMITED TO FIVE YEARS (the period of =focused, active assistance"- Federal agencies ma}, provide services as rmeded after the 5 yrs.) . :can Heritage K~vers~t-ec[eral Register Notice http::/www.epa.gowrivers/fedreg2.htmt=packag AM_Et ICAN I4 ,KITAC- COUNCIL ON ENVIRONMENTAL QUALITY American Heritage Rivers Initiative DESCRIPTION OF AMERICAN HERITAGE RIVERS INITIATIVE AND INFORMATION ON HOW COMMUNITIES NOMINATE THEIR RIVERS CONTENTS: The major sections of this document include: Summary Deadline Availability of Nomination Packets and Supplementary Information Background Summa~' of Comments Received from the Federal Register Notices of May 19 and June 20 Overall Program Design Benefits of Designation Benefits to Applicants who Submit Complete Nomination Packages Improved Services Available to All Communities Clarifications Appendices SUMMARY In the State of the Union Address on February 4. 1997. President Clinton announced an initiative supporting community efforts to restore and protect America's rivers, spur economic revitalization and preserve historic and cultural heritage. President Clinton has since issued an Executive Order directing agencies to establish and implement the initiative. '[his notice summarizes the developed to implement the President's directive. The federal govemmem plays two critical roles in supporting river-related projects. First, it offers federal agency services to organizations and governments conducting community-based work. Second. it creates a 09/11 '97 19:t - -' :':can Heritage Rivers Federal Register Notice http://www.epa.gov/rivers/fedreg2.html/Ppackag national information and communications network to encourage communities to provide useful information to communities, including sharing success stories. The American Heritage Rivers initiative is voluntary and locally: driven; communities choose to participate and can terminate their participation at any time. In implementing the American Heritage Rivers initiative, federal deparhuents and agencies shall aSr'with due regard for the protectious of private property provided by the Fifth Amendment to the United States Constitution. The American Heritage Rivers initiative will create no new regulatory requirements or rules for property owners or sta~, tribal, or local governments. The American Heritage Ri~ ers initiative will Use existing federal resources to assist communities. To enhance federal' assistance to community-based projects, the federal government will solicit nominations from communities wishing to designate their rivers as American Heritage Rivers. The nomination process is described in this notice. The President will designate 10 American Heritage Rivers in early 1998. The communities surrounding designated rivers will receive a number of benefits, including special recognition; focused support fi, om existing federal programs; a person (the "River Navigator") to serve as a liaison between the community and the federal government; improved delivery of assistance from agencies throughout the federal govemment;'and a "good neighbor policy." The federal government will work to integrate and streamline its approach to prOviding existing federal se~ices in designated American Heritage River communities in partnership with local leadership. These parmerships will give the federal government an.opportunity to study and improve how it provides assistance to communities across the nation. Additionally, the federal government will provide a new information center on the World Wide Web for community-based projects in economic revitalization, river restoration, and historic and cultural preservation. These Web pages will include information about services that can assist community projects and provide opportunities for dialogue between communities. The federal government will also provide this information to people without access to the Interact. The American Heritage Rivers initiative was developed by an lnreragency task force convened by the White House. The President's Executive Order creates a new cormnittee that will be responsible for the implementation of the American Heritage Rivers initiative. The committee will be composed of the following members or their designees at the Assistant Secretary level or equivalent: ~,can etentage R~vers l-eclera! Register http://www.epa.gov/riversifedreg2.html=packzg · The Secretary of Defense; · The Attorney GexleNt: · The Secretm:y of the Interior; · The Secretary of Agriculture; · The Secretary. of Commerce: · The Secretory of Housing and Urban Development: · The Secretary of Transportmion; · The Secretary of Energy; · The Administrator of the Environmental Protection Agency; · The Chair of the Advisory Council on Historic Preservation; · The Chairperson of the National Endowrnent for the Arts: · The;Chairperson of the Nationai Endowment for the Humanities. Each of these departments and agencies oversees programs and services, authorized by Congress, that can benefit citizens in riverfront communities. By engaging these departments and agencies in the creation of the American Heritage Rivers initiative, the Administrauon has tried to ensure that the initiative is founded on their various missions, and the economic revitalization, river restoration. and historic and cultural preservation concerns they are mandated to address and is directed at improving the coordination and delivery of related services. The American Heritage Rivers initiative embodies the Administmtioffs effort to reinvent govemmenx ~n accordance with the National Performance Review. The National Per~brmance Review, directed by Vice President Gore. seeks to Create a government that works better and costs less through focusing on customer service, developing partnerships and delegating power to the front lines. AVAILABILITY OF NOMINATION PACKETS AND SUPPLEMENTARY INFORMATION Deadline: Nominations must be received by 7:00 p.m.. EST. on December 10. I997. No nomination packets will be accepted after this rime. Availability of Nomination Packets: Nominations packets are available by request: I. To call for nomination packets: 1-888-40R1VER and leave a message ro request a nomination packet. 2. To request nomination packets by ~iL write to: Karen Hobbs, Agency Representati~ e. Executive Office of the President, Old Executive Office Building, Room 360, Washington. D.C. 20503. 3. To request nomination packets by Internet. access the American Heritage Rivers homepage at 09,'11:'97 - .a, ,,*mag* trivets reaerai t~eglsrer mot~ce http://www.epa, gov/rivers/fedreg2.html~'~'packag http://www, epa. gov/rivers. Address: Nomination packets will be accepted in three ways: 1. To mail nomination packets: Executive Office of the President, Old Executive Office Building, Room 360, Washington, D.C. 20503~ 2. To fax nomination packets: 202-456-6546. 3. To e-mail nomination packets, see instructions on the American Heritage Rivers home page, http://www, epa.gov/rivers. All applicants will receive a postcard notification that their nomination packet has been received. For Further Information: You can request additional information about American Heritage Rivers in the following ways: 1. To receive an information packet or ask a specific question: Call 1-888-40RIVER and leave a message with your name, address and daytime telephone number. Please be as specific as possible in your information request. Federal field staffhave been identified in each state to answer questions. You can obtain a list of the federal field staff by calling 1-88840RIVER, or by accessing the American Heritage Rivers home page at: http://www, epa.gov~vers. A list of the agency staff in Washington, D.C. is also available via these two methods. The latest information is available on the American Heritage Rivers home page at http://www, epa.gov/rivers. Supplementary Information: This notice is available on the American Heritage Rivers home page at: http://www.epa.gov/rivers. BACKGROUND Why this Initiative? Rivers are an integral part of our Nation's history. They often define the distinctive character of communities, providing avenues for trade, opportunities for commerce, agr/cu}tare and forestry, routes for exploration and discovery, inspiration for ideas and culture, meam of recreation, and habitat for Wildlife. Communities across America are working to revitalize their waterfronts and to enhance the historic, cultural, 09/11/97 19: I 1:4e .-:can ~entage t~vers veaeral te. egmter Noti:e '~ htrP://www.epa.g°v/rivers/fedreg2'htmI=packa recreational, agriculturai, economic, public health, and environmental values 0t?iheir;rb:e~s. At the same time, many people have called for better, smarter, and more coordinated ways ro yvork with the federal govemmem. President Cli'nron instructed the Cabinet to work with communities in the design of this initiative to support community-led efforts that spu~ economic revitalization, protect natural resources and the environment, and preserve our historic and cultural heritage. The American Heritage Rivers initiative is consistent with the existing authorities articulated by Congress in the National Environmental Policy Act (NEPA~ Of 1969. as well as other authorities granted to agencies (the National Historic Preservation Act, the Housing and Community Development Act. the Clean Water Act and the Intermodal Surface Transportation Efficiency Act. to name a fewl. NEPA. for example, instructs federal agencies to seek to create and maintain conditions under which man and nature can exist in productive harmony, while preserving important historic, cultural, and natural aspects of our national heritage. The American Heritage Rivers initiative seeks to coordinate these existing authorities in a more efficient and complementary manner. How Was the Initiative Was Developed? President Clinton announced the initiative during the State of the Union Address on February 4, 1997. An interagency task force was formed to develop the initiative and was charged to report to the President within 90 days. The task force was chaired by the Council on Environmental Quality, and participating agenmes included the Departments of Agriculture, Commerce. Defense, Energy. Housing and Urban Development: Justice, Interior. Transportation. the Environmental Protection Agency, the Advisory Council on Historic Preservation, the National Endowment for the Arts. the National Endowment for the Humanities. and the Smithsonian Institution. On February 10. 1997, a home pageon the World Wide Web was established to share ongoing information with the public and to encourage their input on all components of the initiative (http://www. epa. gov/rivers) The home page is updated on a regular basis. In addition, a hotline was established for citizen comments and questions (1-888-40RIVER). During April and May, meetings were held across the country to solicit input on the criteria and selection process andto identify the particular federal resources sought most by communities. Staff members from the U.S. Congress authorizing and appropriating committees, along with a varied group of stakeholders, were invited to the two Washington. D.C. meetings. Meetings have also been held in Albuquerque, New Mexico; Boston. Massachusetts: Philadelphia. Pennsylvania: Atlanta. Georgia; Chicago, 09/I 1.'97 19:1 I:-: _ ~a~ n~ntage mtvers reaerm ~eg~ster Nonce hllp://www.epa.gov/rivers/fedreg2.huui#pac 'ka~ IlI/nois;. San Francisco, California; Los Angeles, California; Scan/e, Washington; Ashevitle, North Carolina; and Denver, Colorado. In addition, members of the interage~cy task force were invited to meetings in E1 Paso (organized by Congressman Sitvestre Reyes~ and Laredo~ Texas (convened by Mayor Saul lq. Ramirez~ Jr. and Webb County Judge Mercurio Martinez, Jr.) Participants in these meetings offered many excellent suggestions on the overall initiative design and the needs of communities across the country engaged in river revitalization efforts. As a result, a draft notice of the initiative was published in the Federal Register on May 19. The Federal Register notice specifically asked for comments on the proposed overall design of the initiative, the qualifying.and selection criteria, and the nomination and selection process. It also solicited advice regarding the specific types of federal assistance communities would find most helpful. The comment period was originally scheduled to end June 9, 1997, but was extended until August 20, 1997 at the request of individuals and organizations and to encourage additional public comment. Following the Federal Register notice, members of the intemgency task force were invited to attend a number of meetings, including those in Minneapolis, Miunesom (organized by St. Paul Mayor Norm Coleman and attended by some 20 mayors along the Upper Mississippi River); the Fox River, Wisconsin (at the request of Congressman Jay Johnson); and the cities of Dubuque, Iowa; Jefferson City, Missouri: and Austin, Texas (at the invitation of representatives from the agriculture community); Denver, Colorado (at the invitation of the Upper Arkansas Watershed Council); West Virginia (at the request of the Hardy County Commissioners); and Frederick, Maryland (at the request of the Frederick County Board of Commissioners). SUMMARY OF COMMENTS RECEIVED FROM THE COMMENT PERIOD (May 19 to August 20, 1997) The Federal Register notice comment period ran from May 19 to August 20, 1997, for a total of 90 days. The Administration is appreciative to all those who took the time m express their views and ideas on the initiative. More than 1,700 cormmems were received. Many respondents wrote in favor of the initiative, citing increased coordination of federal services, the attention to environmental, economic and cultural/historic values in the design of the initiative, the integrated method to river restoration and revi~al}zation, and the community-driven approach. Many appreciated the fact that no new regulations would be imposed as a result of the initiative. 09J 11/97 19: I 1:4- ncr rage t~tvers reaeral ~.eglster Notice ... 'naP://wwwv.epa.g°v/rivers/fedreg2'html~'packag Many of the respondent~ ~0~{k iff'OPPosition tO the initiative. Many were opposed to federal involvement of any kited in restoring and revitalizing rivers and often expressed concern about property rights and the role of the United Nations along designated rivers. Efforts were made ro address all comments received. Special effort was made to clarify and refine the following areas: · ' overall initiative design; · qualifying and selection criteria; · tl~e role of the federal government: · Consressmnal, States, and local role/n the initiative: · benefits to non-designated rivers: · the role of the "River Navigator"; · effect of the initiative on proper~y rights: · nomination and selection, including specific river nominations. A summary, of the comments received, and how each was addressed, appears in Appendix 2 of this Notice. OVERALL PROGRAM DESIGN Tt~e American Heritage Rivers initiative will be driven by the needs and desires of communities that wish to participate, The federal government will focus the delivery of resources to support community-led efforts that spur economic revitalization, protect natural resources and the environment, and preserve our historic and cultural heritage. The initiative will aiso propoint and recognize outstanding models of community-based development, conservation, and other efforts, and will, through an information clearinghouse, share the lessons learned in these communities with all who are interested. How do Communities Nominate a River and Who May Apply? The nomination process begins in the local community. People representing ali the different interests who live and work in the area should come together to develop the nomination. After meeting to share information, identify common goals for their river, and set strategies to achieve those goals, they should ask one of their members to submit a nomination on their behalf. The nomination package must include a completed American Heritage Rivers Cover Sheet (printed at the end of this notice ~n appendix 1) and responses to' items 1-4, listed below. Responses to items 3 and 4 constitute the primary basis for evaluating nominations. Items 1 and 2 will be used to put responses to items 3 and 4 in context, but will not be used Io assess the merits of the nomination. The President will d?ignate rivers that receive the highest evaluation from items 3 ind 4 and have substantively answered items t and 09/11/97 t9:11:4- ,,.o~, tc~ta_~ ~x~v~l~ r ~t~crai t~eglsrer .~once htm://www.eva.gov/rivers/fedreu2.hanl#vacka!~_~~_ 2. The President will also seek rivem representing the geographical and resource diversity of the nation (for a complete discussion of additional factors used ha the selection process, please see "How Will Rivers Be Selected for Designation?". below). These four items reflect changes made to the initiative as a result of public commem. In the May 19 and June 20 Federal Register notices, five criteria were listed: 1) broad communi .fy support; 2) notable resource qualities; 3) local and regional partnership agreements; 4) strategies that lead to action: and 5) measurable results. In this final notice, two criteria from the earlier notices, I) broad community support and 3) local and regional partnership agreements, have been combined into one item: "illustrate support for the nomination and plan of action." The second criterion from earlier notices, notable resource qualities, is no longer a criterion because it is primarily descriptive and thus, more difficult to objectively judge. However, it remains a key factor in selection. The two criteria from the earlier notices, 4) strategies that lead to action and 5) measurable results, have been combined into one item: "describe the community's plan of action," which includes measures of performance as one of the components of the plan of action. The four items to be addressed in the nomination packet are: 1 Describe the proposed American Herilage River area. Define the proposed area and describe its natural qualifies and current uses, for example, economic activities, population patterns, and topography. The sxze may vary from a short stretch to the whole length of the river. It can cover land immediately adjacent m the river, such as the waterfront and stream side areas, or span the entire watershed, It may cross jurisdictional boundaries. The scope of the area, however, should be sufficient to achieve the community's goals. 2. Describe the notable resource qualities in the area, Explain how the natural, economic, agricultural, scemc, historic, cultural, and/or recreational resources are distinctive or unique. 3. Describe the community's plan of action. Demonstrate that the community has in hand, or is developing, a clearly defined plan 0faction to achieve its vision for the river area. Applicants are expected to address all three American.Heritage Rivers objectives - economic revitalization, natural resource and environmental protection, and historic and cultural preservation - either through planned actions or past accomplishments. Any actions planned on the 09/11/97 t9:I 1:4- ............ ~ ~x~.~ r ~uc~m ~ter ~ouce http://www.epa.gov/rivers/fedreg2.htmt#packag Letters fxom federal agencies will not be accepted. Nominations must be limited to 15 pages of 1 O-point text or larger~ using one-inch margins. Letters of endorsement shc~Id include names, addresses, and phone numbers of the supporters and will not count toward the 15-page limit. Letters of endorsement should also indicate the level of support to be given to the American Heritage River plan of action by the individual or organization writing the letter. Letters of endorsement must be included in the nomination packet; letters of endorsement sent separately will not be considered. Due to constraints on the review and selection process, additional materials, such as videos, photographs, and plans, will not be accepted; however, photographs may be e3nbedded in the text if the total length does not exceed t 5 pages. As part of a nomination packet, communities must identify projects they wish to undertake. Communities seeking designation do not have to agree on every aspect of the river's use; they must only agree to support the plan of action for the river they identify in the'tr nomination package. Of course, any projects identified in the nomination packet must still undergo applicable state and local review processes. The most successful applicants will show evidence of broad community support and a clearly defined plan of action. A single nomination for the same river, fiver stretch or river confluence will indicate, in part, this broad community support. One nomination per river, river stretch or river confluence is recommended. Multiple nominations will be ranked and scored separately. The scope of the nomination does not have to include contiguous segments of the river. While it is desirable to apply for designation of contiguous river segments, nominations for two or more noncontiguous sequents will be accepted and considered. It is conceivable that two communities will choose to nominate noncontiguous segments of the same river. Although this is acceptable, actions proposed should not adversely affect neighboring communities or have a negative impact on such things as cultural or natural resources, the environment, river access, water quantity or quality, agriculture, navigation, or flood plain management. After a designation is made, some communities may wish to add stretches of river as part of the'~r designated fiver. The same process used by the community to seek designation should be used to augment the designated river area The cormmuniry should notify the American Heritage Rivem Interagency Committee (hereafter referred to as the Committee) of this augmentation (see "Coordinated Delivery of Federal Services" below). The Committee will then make such recommendations to the President on behalf of the community. 09/I 1/97 19:1 1:47 --. ....... , ,~, ,,agc r.~vers r e~erm i~e.olster ,~otlcc http://www.epa.gov/rivers/£edfe_*2.html#pack~: Foreign governments and their international organizations are ineligible to nominate rivers. Foreign governments and their :,atemational organizations will have no authority granted to them as a result of an American Heritage P~ivers designation. Nominations are welcomed from community-led efforts that are well underway, as well as from new efforts that are not yet being ~mplemented. How Will Rivers Be Selected for Designation? A panel of experts in river revitalization will review nominations and recommend rivers to the president for designation. The panel will be composed ora number of interests, such as representatives of natural, cultural and historic resources concerns; scenic, environmental and recreation interests;, rom-ism, transportation, and 'economic development interests; and industries such as agriculture. hydropower, manufacturing, mimng, forest management and others. The Chair of the Council on Environmental Quality shall develop procedures for selecting the members of the panel and directing its activities. In preparation for review by the panel, agency staff will score individual nominations based on community responses to items 1-4 explained in detail above and summarized as follows: 1. Description of the proposed American Heritage River area, 2. Description of the notable resource qualities in the area. 3. Description ofthecommunity'splanofaction. 4. Illustration of who supports the nomination and plan of action. Responses to items 3 and 4 constitute the prima~ basis for evaluating nominations and will be given equal weight in · ' the scoring process. Items 1 and 2 will be used to put responses to items 3 and4 in context, but will not be used to assess the merits of the nomination. From among those nominations that are considered to be qualified, the reviewing panel will also seek to recommend rivers for designation that represent a range and variety of kinds of rivers, including those that: · as a group and individually, represent the natural. historic, cultural, social, economic and agricultural diversity of American rivers. · showcase a variety of stream sizes and an assortmem of urban, rural,, and mixed settings from around the country. The Committee may recommend both 09/I 1/97 19:1 I:-'- .............. = ....... o, ~ .... ~:~,g~ ~ou~.= ntxp:llwww.¢pa, gov/nvers/teflreg2.atmlspacka! relatively pristine and degraded rivers. · highlight a variety, ofinno?afiveprograms in such areas as historic preservatlon, wildlife management, fisheries restoration, recreation, community revitalization, agricultural practices, public health and drinking water source protection, and flood plain and watershed management. · includes community partnerships in an early stage of development, as well as those that are more well established. · stands to benefit from requested federal assistance. Number of Designations The President will designate ten rivers in early 1998. Additional designations in subsequent years will be guided by experience gained from the designated rivers and the level of community support for the initiative. Terms of Designation American kleritage Rivers designation is intended to enhance the partnership between a community along a designated river and the federal government. Although the term of focused, active assistance will be limited to five years, it may be impossible to achieve measurable results from a community's plan of action in that time. Federal agencies may connnue to provide appropriate services as pan of their ongoing activities after this time. The community, with the support of the federal government, will work together to implement the plan of action. Designation will generally be considered indefinite or until and unless termination of designation is sought. The Committee will develop a process by which any community that nominates and has its river designated may have this designation terminated at its request. Upon a determination by the Chair oftha CEQ that a community has failed to implement its plan, the Chair may recommend to the President that a designation be revoked. .- The Chair shall notify the communi~ at least 30 days prior to making such a recommendation to the President. Based on that recommendation, the President may revoke the designation. The federal government may also find it necessary to terminate designation because a community has failed to pursue its plan of action. The procedures for such an action will accompany the designation of American Heritage Rivers. Regardless of whether the community or the federal government has requested termination of designation, the other party shall be entitled to know the rationale for the other party's action. BENEFITS OF DESIGNATION 09/11/97 19:1I:4- Presidential Recognition Designated American Heritage Rivers will be selected by the President of the United States as rivers which deserve special re. cognition due to their distinctive qualities and commumty support. Coordinated Delivery of Federal Services Programs exast in numerous federal agencies to support river restoration, historic and cultural resource preservation, and community and economic revitalization, especially the agencies that have participated in the development of American Heritage Rivers. Ail assistance from the federal government under the auspices of the American Heritage Rivers initiative will come at the request of the community.. However, once a river is designated, a preliminary team of federal agency representatives will be available to help the communitv determine the role for federal assistance. A River Navigator. formerly referred to as a "caseworker" in public meetings and earlier documents (see "River Navigator" below, for a full descripnon of this position) will be made available for each community. The Committee may also assist in resolving policy obstacles that arise as the man3' federal services that exist are being made available. Examples of the federal assistance a community might receive include: information and maps to help communities identify and evaluate historic, environmental and economic resources; capaci .ty building, planning and community outreach assistanceto ensure a well-defined action strategy and a broad base of support; training in the use of soil and water quality information as a basis for decision-making and against which to measure progress: training and assistance with environmental monitoring to help communities develop a report card on river conditions and trends; research assistance to identify events and trends in local history; interpretive assistance to develop a framework for communicating the importance of the community's river heritage; technical and financial assistance to implement restoration and pollution prevention activities; and economic modeling to help communities assess benefits and costs of proposed projects. Within 90 days of designation, the community and the federal agency team should agree on a framework document to identify their proposed roles. The community and the federal team should agree upon one sponsoring federal agency to lead the coordination of federal resources. Methods for simplifying and expediting individual program services will be investigated, and, recommendations made. as appropriate, for improving the scope and substance of federal tools. 09"11/97 19: I I :: .................. = ....... ~ ~ ~,~**=, ~xc~t>tc~ ~*uttce llrtp://www.epa.gov/rivers/fedreg2.html#packa~ The federal teams will function,in partnership with each commmaity, state, local tribal g6/¢emments, nomgox~emmental organizations, and others, as appropriate. The Committee will oversee the federal responsibilities under the initiative. Based on the lessons learned from each designated river, the Committee will look for opportunities to reduce bureaucracy, streamline services, and remove policy obstacles. Finally, federal employees providing assistance to des,ignated American Heritage Rivers will participate in an evaluation of the successes and problems associated with the initiative and make recommendations for improving delivery and accessibility of services and programs. River Navigator The community surrounding each designated river will have the oppommity to help select a River NaVigator who will assist the community in implementing its plan of action. The River Navigator will serve as a liaison between the community and the appropriate federal, state, tribal and local governments and private sector interests (as identified by the commumty); provide information services; offer technical advice; and perform other duties as the community may request, consistent with the goals of thc ,~merican Heritage Rivers initiative. The community, rather than the River Navigator, will be responsible for implementation of the community's plans. The River Navigator will have no authority to adjudicate and may not engage in the following: lobbying; leadership of the community partnership or any of its endeavors, or sponsoring organizations;-or serve as an officer or voting member of the partnership or any sponsoring organi?-tion. In order to ensure clear communication, the federal government will request that the community identify a single person point of contact as its representative to work closely with the River Navigator. Of course, alt members of the community may speak with the River Navigator and other appropriate federal officials assisting American Heritage Rivers. The River Navigator will be selected by the sponsoring federal agency with input from the community (see "Coordinated Delivery of Federal Services" above), and wilt be filled for a period no longer than five years beginning no later than 120 days after the date of designation. Because each community will have different needs, the sponsoring federal agency will identify several candidates for the River Navigator position from existing staff and provide an opportunity for the community to interview these candidates and provide input to the selection process. The River Navigator will have maximum latitude to work with the community, while also having direct access to pr'mcipal staff 09/11/97 19:11:48 .............. , ,-*s~- ~'- v ch ~ r *u~ m r,~gl~ter l'~ot~ce http://www.epa.gov/rivers/fedreg2.html#packag of the sponsormg agency, including ~he agency representative on the Council (see "Coordinated Delivery of Federal Services" above) as well as other agencies. The framework document, drafted by the federal agencies and the communiw within 90 days of designation, should include a position description for the River Navigator tailored to the unique needs of the community. The federal agencies and the community should develop performance measures for the River Navigator once she or he is identified. These performance measures must reflect the role of the River Navigator as defined in this Federal Register notice. The River Navigator position will be fully federally funded. unless the community volunteers non-federal funds to support the position. There is no requirement that a community accept a federal employee as their River Navigator. If the community chooses not to take advantage of the benefit of having a River Navigator. the federal government will provide a point of contact on the C~uncil to call upon as needed. "Good Neighbor" Policy Regarding those sites designated as American Heritage Rivers, the federal government intends to act as a "good neighbor" in planning and making decisions that affect the social and economic well-being of local communities as well as the integrity of their natural and cultural resources. The assistance provided by federal agencies is intended to enhance and complement local community goals. In coordinating with state, tribal and local governments, federal agencies will strive to minimize inconsistency, and to reduce or eliminate conflicting policies and programs operating on and around designated rivers. Through early coordination and public involvement, federal agenmes will be in a better position to accommodate the local community plans for designated rivers when planning proposed federal actions. The Good Neighbor Policy will add no new layers of review or approval to federal actions -- it will simply facilitate those coordination policies and review processes already in place. and encourage the consolidation and streamlining of existing review processes, where possible. Federal agencies will be encouraged to work in partnership to assist positively communities. Local federal facilities will be encoui'aged.to provide public access, physical spa~e, technical assistance, and other support for which the> have authority and resoumes. Private Sector Opportunities The Administration will look for opportunities to help communities access resources from the private sector to enhance economic opportunities that will revitalize communities, improve living standard& provide incentives, 09/I 1/97 19:11:.18 create jobs and similarly ach/eve environmental goals. ENEFITS TO APPLiers S mT COMPLETE NOMINATION PACKAGES Communities that invest their time to complete the American Heritage Rivers nomination package have already taken important steps to revitalize their communities and improve their rivers. In recognition of these efforts, those who submit complete nomination packages will receive: · An invitation to a national or regional symposium on parrnering with federal, state, tribal and local governments to share information and learn about the tools and resources available froma variety of sources, including community orgal~i?ations. These symposia will also provide community members an opportunity to give ~mportant feedback to federal program managers. · Relevant site-specific data and computer software, including environmental information, geological maps, community planning software and economic modeling tools. This information will be tailored to meet the community's needs as identified in their nomination. IMPROVED SERVICES AVAILABLE TO ALL COMMUNITIES All communities will benefit from improved federal services. American Heritage Rivers S~'vices conSolidates existing information from many organizations in one, easy-to-use World Wide Web site. Those who do not have Internet access can call 148840RIVER to request information. Services, tools and products related to these three primary objectives of American Heritage Rivers are referenced in the web site. Users may choose from categories such as: · Information Centers, PublicationS, Maps and Databases · Calendars, Discussion Groups, and Contacts · Hands On Assistance and Talent Banks · Laws and Regulations e Financial Assistance · Community Outreach Tools, Curricula, and Professiorml Training · Data Collection and Evaluation Techniques · Planning and Managemeut Tools · Research and Development Each entry describes the services and provides contacts for further information, including Interact links (where possible). 16oflc) 09/11/97 19:1 I:4'8 American Heritage Rivers Services also provides information organized geographically. Using familiar prompts, such as a fiver or city name. users can locate information on flood events, population change, road networks, the condition of the water resources, and the partnerships already at work in their area. They can construct customized maps and download them. use economic and environmental assessment models, find information on relevant educational programs, link their own information, or enter a dialogue with others. CLARIFICATIONS What is the Role of the Federal Agencies? The role of the federat agencies in this initiative is to listen m community concerns and needs; to work with communities engaged in conservation and developmem activities; to overcome obstacles in the delivery of federal services to identified local priorities; and to play a coordination role in helping communities and government agencies learn from each other and compile the best practices, standards, and models for emulation throughout the country.. The greater coordination of federal agencies involved in the American Heritage Rivers initiative may result in mom efficient review of federal actions taken in conjunction with implementation of the community's plan of action. While federal agencies will not endorse individual nominations for designation as an American Heritage River. they will be able to answer questions about the nomination process and continue to work with local government and nongovernmental organizations, some of which may be pursuing designation. Ail activities proposed under the American Heritage Rivers initiative must comply with and be consistent with any applicable federal, state, tribal and local laws. be voluntary, and be helpful to local governments. There is nothing in the American Heritage Rivers initiative that will alter any obligation of the federal government to comply with NEPA or any other statutory or regulatory requirements. Nothing herein shall create or alter any rights, duties, obligmions, causes of action or defenses, implied or otherwise, of any person or entity. American Heritage Rivers is a commitment by the federal government to try to provide those programs and resources, identified by the community and paid for by taxpayers, in the most efficient and effective manner possible. Protection for Private Property and Other Rights The Administration is committed m ensuffmg that private property, water, and other fights are fully respected and ,: ~ 09/ll/97 .-~m~ tcau n~ t~ag< rqver$ reaeral Register Notice http://www.epa.gov/rivers/fedreg2.hmal#package protected under the American Heritage Rivers initiative. · The American Heritage Rivers initiative will work in coordination with laws and regulations that seek to reduce pollution, improve water quality, protect drinking water, manage floodplains, promote economic development, facilitate interstate commerce, promote agriculture, protect wetlands and endangered species, preserve important historic and archaeological sites, and address other concerns. · The American Heritage Rivers initiative will not conflict with matters of state and local government jurisdiction, such as water rights, land use planning and water quality standards, nor will it change interstate water compacts, Indian tribal'treaty tights, flood damage reduction, or other existing rights. By achieving greater coordination between programs and local needs, American Heritage Rivers will work to build mutual understanding and better solutions to existing and future problems. It will provide a forum in which federal officials, community organizations, and other stakeholders can examine how the range of regulations are implemented locally. · Employees of the federal government, including the River Navigator, may not as a result of the American Heritage Rivers initiative infringe on the existing authority o£1ocal govemmems to plan or control land use, or provide or transfer authority over such land use; nor may the initiative affect any existing limitations on or create any new authorities for the participation of federal employees, including River Navigators, in local zoning or land management · decisions involving private property. The initiative will not supersede, abrogate, or otherwise impair the authority of each state to allocate quantities of water within its jurisdiction; and any proposal relating to water rights in a community's plan must comport with ail applicable laws and interstate compacts. Nothing in this initiative is meant to preclude any holder of a state water right from exercising that right in a manner consistent with state law. · In implementing the American Heritage Rivers initiative, federal departments and agencies shall act with due regard for the protections of private property provided by the Fifth Amendment to the United States Constitution. What is the Role of State, Tribal, and Local Governments? State, tribal, and local goverrmaents play critical roles in the American Heritage Rivers initiative. The initiative is designed to complement the work already taldng place at the state, tribal and local levels. Local agencies in particular bring a unique and valuable perspective. The American Heritage Rivers initiative can serve as a catalyst to bring 18 of 19 09/I 1/97 19:1 t :48 these stakeholders together, including neighboring localities and states that share rivers. Through partnerships, the American Heritage Rivers initiative will bring federal, state, tribal and local resources together to improve the ten designated rivers and provide more efficient services to communities. The greater efficiency achieved through greater coordination of federal services will translate into easier access to federal services by state, tribal, and local governments. Projects identified through the nomination process for American Heritage Rivers will undergo appropriate state and local review processes. The identification of projects in the nominanon process should not circumvent local, regional. and/or state planning forums, especially those involving public review process, Indeed, as appropriate, such processes should complement public outreach efforts and can serve as public forums on proposed projects to be undertaken as part of designation as an American Heritage River. Designation should not impact existing timetables for projects already identified by the community. In many cases, designation could accelerate completion of common objectives. Many of the federal agencies already have close working relationships with state, tribal, and local governments. These relationships will continue and state, tribal, and local governments will be asked to be part of the American Heritage Rivers interagency teams assembled to work with each community. Evidence of state, tribal, and local government support will be a key element in selecting American Heritage Rivers, It is likely that state, tribal, and local governments will submit nominations on behalf of communities who wish to participate. APPENDICES · Appendix 1- Nomination Form · Appendix 2- Summa _~ ofComments.Rece ved and How they .Were Used ~ Emait your.suggestions URL: http ://www.epa.gov/rivers/fedreg2.ht mi Revised September 1 I. 1997 19of lo 09/11/97 19:t designated river area should not adversely impact neighboring communities. The community, may describe both long-term plans and short-term actions. [t should also describe how private property rights will be respected. At a minimum, the plan of action should address: · Commumty vision · Products and projects, including project maintenance · Resources, both committed and anticipated, including means of generating additional support from both private and public sources · Expected federal role · Schedule or timeline · Citizen involvemenl · Public education · Logistical support, operating procedures and policies · Prior accomplishments, if relevant, and relationship to existing plans and projects in the area · Challenges to community action · Measures of performance. Hlustrate who supports the nomination and plan of action. Demonstrate that a range of citizens and organizations support the nomination and plan of action. Provide evidence that members of the community have had an opportunity to comment on and discuss the nomination and plan of action. · Supporters should reflect the diversity of the community. As appropriate, they should include farmers, ranchers, landowners, businesses and industries, educational and arts organizations, youth groups, community leaders, developers and community development organizations, historical societies, environmental groups and other nonprofit organizations, elected officials, and state, tribal, and local govermnenrs. Supporters should include minority and low income individuals and groups. Those who rely on the resources but live outside the area should also be included in discussions about the plan of action, but may not submit a nomination. · Describe the nature and scope of the supporters' roles. Demonstrate that they come from all affected jurisdictions. · As appropriate, describe how past and continuing partnerships/agreements support the nomination proposal. If relevant, describe partnerships;agreemems forged and commitments made specifically to support the American Heritage Rivers nomination proposal. · Letters of endorsement and support are highly recommended, especially those from elected officials and appropriate state, tribal and local govemmems. 09. tl 97 I9'[' z- htrp://www.epa.gov/rivers/receiv e ~::- AMERICAN Appendix 2 Summary of Comments Received and How they Were Used A Coment analysis of the commems was performed to provide an acchmte picture of expressed public opinion on the initiative. The comments were incorporated into the final design of the initiative. A 100 percent analysis was carried out on the 1,727 letters, e-mail messages, phone messages. faxes, petitions and form letters received through August 20. Each letter was read and coded by a team trained in contem analysis procedures. Each substantive comment was divided into subject categories and captured verbatim in the database. Individuals made up the largest response category (58.5 percent). Others who commented identified then(selves as Ihrmers and ranchers (4.2 percent); environmental organizations (3.9 percent), and elected officials (12. I percent, including Members of Congress). Respondents commented on a wide range of subjects. In particular they focused on the following (not in rank order): · overall initiative design; · qualifying and selection criteria; · need for the initiative; · the role of the federal governmem; · Congressional, states', and local role in the initiative: · benefits to non-designated rivers; · the role of the "River Navigator"; · effect of the initiative on property rights: · public involvement in the design of the initiative: · nomination and selection, including specific river nominations. e Overall Initiative Design Many comments were favorable, citing increased federal coordination, the attention to a range of values in the design of the initiative, the integrated approach to river restoration 09/11/97 19:22Z ~. ~,~ r~maage ~.~vers recterm r~eg~ster 24otme Appendix B htrp://wv~v.epa.gov/rivers:receive.5z and revitalization, and the community-driven approach. Ma~iy commeuts were appreciative of the non-regulatory approach of the initiative. Several comments addressed initiative funding. Some requested that the initiative be funded adequately to ensure success; others stated that the initiative would be too costly regardless. Many respondents wanted to know more about the cost of the initiative and many were concerned that support for existlng piograms 'would be withdrawn in order to pay for the initiative. Still others stated that "no new money" was a good catalyst and freed up communities to come up with more creative solutions. In response, this Federal Register notice clarifies that the American Heritage Rivers initiative is about improved government responsiveness, efficiency, and effectiveness. The programs that are part of the initiative are already authorized by Congress; the initiative will ensure these programs are better coordinated and targeted. With a full understanding of the community's needs and coordinated assistance, the appropriate federal program will mom quickly be available to a given community (reducing costly delays and wasteful duplication of efforts). · Need for the Initiative Some respondents expressed concern that the initiative would create another bureaucratic layer and merely duplicate existing federal, state, and local programs. Among those who stated that the initiative was useful and needed, the pnnmpal reasons given were river revitalization and ~mprovement of federal programs by focusing on community-based solutions. This Federal Register notice clarifies that the initiative is needed in order to support locally-led efforts aimed at natural resource and environmental protection, economic revitalization, and historic and cultural preservation in an efficient and effective mariner. See additional discussion under "Why this initiativeo'' · Qualifying and Selection Criteria On the subject of qualifying criteria, a number of respondents were concerned that only certain types of rivers would be designated - those with prior successes, those rivers in relatively pristine condition, or only rivers in the East. A number of respottdents stated that highly degraded rivers and efibrts at an early stage of development were most deserving of designation. This Federal Register notice clarifies that a diversity of rivers will be selected. See additional discussion under "How will rivers be selected for designation?" · Role of Federal Government Respondents raised many questions on what new roles, if 09/11/97 19:__::z any, federal agencies would play in their communities. The role of federal agencies in this initiative is to listen to community concerns find need~; Work with communities engage~ in conservation and development activities: overcome obstacles in the delivery of federal services and responses to identified local priorities; and play a coordination role in helping communities and government agencies learn from each other and Compile the best practices, standards, and models for emulation throughout the country. See additional discussion under "x,Vl~at is the role of the federal agencies?" · Congressional_ State. and Local Roles Respondents raised questions about the involvement of Congress and the states in both the design of the initiative and its implementation. Because Congress authorizes and appropriates funds for the agencies involved in American Heritage Rivers, efforts have been made to inform Members of Congress of the initiative's progress from the begiunmg. Representatives from the participating agencies invited staff from the authorizations and appropriations committees to two meetings held in Washington, D,C.. In addition, the agencies held briefings for House and Senate staff and met or talked with over 130 Congressional Offices. The states have provided input into the initiative, through the National Governors Association and through individual agencies. Individual elected officials, as wetl as the National Conference of Mayors. commented as well. This Federal Register notice clarifies that state and local support will be critical to successful designation and that the initiative will not conflict with matters of State, tribal and local government jurisdiction. Many respondents from all parts of the country called for more involvement by the states in implementing such an initiative, so that the states' priorities are not overlooked. This Federal Register notice clarifies that state, tribal, and local govemmems all play critical roles in implementing this initiative. See additional discussion on the role of states in implementing the initiative under "What is the role of the states and local government?" and "What is the Role of the Federal Agencies?" · Benefits to Non-Designated Rivers Respondents were curious about what benefits will go to non-designated rivers. The initiative provides benefits to all people working to revitalize their rivers. See additional discussion under "Benefits to Applicants Who Submit Complete Nomination ?ackets" and "Improved Services Available to All Communities." · Role of the "River Navigator" 09/11 97 10:22 ici lta~ r~lv~l~ r~clcrill ~Xeglsrer iNOtlCe AppetlCllX B http://www, epa.gov/rivers/receive.hrr Some respondents stated that ~e River Navigator would be of greta help to the community, others focused on the possibility that this individual would hold too much power, would add a layer of bureaucracy, and/or would not represent the community's wishes. These issues have been clarified in this Federal Register notice. The River Navigator will not be given any new authority over local zoning or local land use decisions. When American Heritage Rivers are selected, members of the relevant COmmunities will have the opportunity to help shape the specific duties of their River Navigator and have a role in choosing one Navigator from several candidates. Although the Administration believes that River Navigators will be extremely helpful, no community will be required to accept a River Navigator. See additional discussion under "Benefits of Designation." subsection "River Navigator." · Private Property Concerns Many wrote in with concerns about private property fights. While existing laws and programs will continue to apply, the American Heritage Rivers initiative, in and of itself, will have no effect on private property rights. However, several new directives concerning protection of property fights were included in the Federal Register notice. See additional discussion under "What is the Rote of the Federal Agencies?" and "Protection for Private Property_ and Other Rights." · Nomination and Selection Process Many respondents questioned how rivers would be nominated. The term "fiver community" was COnfusing to many people. They sought clarification on which groups composed a "fiver community" and the extent of community support needed for a nomination. Of particular concern was that a group of people who lived outside the "river community" could successfully nominate a fiver without the support of the people who relied on the fiver for their livelihood and/or recreation. Only those people who live or work in the proposed area may nominate their river. However, those feprTesenting all interests should be involved in the process. See discussion under "Summary_ of American Heritage Rivers Initiative" and "How do communities nominate a river and who may apply?" Respondents showed considerable interest in particular rivers being designated. As of September 12, 1997, no nominations have been solicited or accepted and no fivers have been selected. Nomination packets are now available. The nomination period will be open from September 11 to December 10. The President will announce the selected rivers in early 1998. See more detailed discussion under "How do communities nominate a river and who may 09/11/97 19:22:37 ........ ,~g~taae v.~.ers reueral ~.egls~er Notice App~naix B ,: '~'-" apply?" and "How will rivers be selected?" · Public involvement in the d~§ig-n of the initiative Respondents sought information on when and how the public has played a role in designing the initiative. Extensive public involvement has been a cornerstone of the initiative from the beginning. See discussion under "How the Initiative was developed." URL: htt p ://www.epa.gov/rive rs/reeeive, htm 1 Revised September 11, 1997 09/I 1/97 I9:22:? O~r, ~.ce of the Press Secretary Pa~e I THE WHITE HOUSE Office of the Pres~ Secretary For Immediate Release September 11, 1997 EXECUTIVE ORDER FEDERAL SUPPORT OF COMMLrNITY EFFORTS ALONG AMERICAN HERITAGE RIVERS By the authority vested in me as President by the Constitution and the laws of the United States of America. including the National Environmental Policy Act of 1969 (Public Law 91-190), and in order ro protect and restore rivers and their adjacent communities, it is hereby ordered as follows: Section I t Policies. (a) The American. Heritage Rivers initiative has three objectives: natural resource and environmental protection, economic revitalization, and historic and cultural preservation. (b) Executive agencies ("agencies"), to the extent permitted by law and consistent with their missions and resources, shall coordinate Federal plans, functions, programs, and resources to preserve, protect, and restore rivers and their associated resources important to our history, culture, and natural heritage, (c) Agencies shall develop plans to bring increased efficiencies to existing and authorized pro,ams with goals that are supportive of protection and restoration of communities along rivers. (d) In accordance with Executive Order 12630, agencies shall act with due regard for the protection of private property provided for by the Fifth Amendment to the United States Constitution. No new regulatory authority is created as a result of the American Heritage Rivers initiative. This initiative will not interfere with matters of State, Iocal, and tribal government jurisdiction. (e) In furtherance of these policies, the President will designate rivers that meet certain criteria as "American Heritage Rivers." (f) It is the policy of the Federal Government that communities shall nominate rivers as American Heritage Rivers and the Federal role will be solely to support community-based efforts to Off,.ce of the Press Secretary,' preserve, protect, and restore these rivers and their communities. · P~e2~ (g) Agencies should, to the extent practicable, help identify resources in the private and nonprofit sectors to aid revitalization efforts. (h) Agencies are encouraged, to the extent permitted by law, to develop partnerships with State. local, and tribal governments and community and nongovernmental organizations, Agencies will be responsive to the diverse needs of different kinds of communities fi'om the core of our cities to remote rural areas and shall seek to ensure that the role played bythe Federal Government is complementary to the plans and work being carded out by State, local, and tribal governments. To the extent possible, Federal resources will be strategically directed to complemem resources being spent by these governments. (i) Agencies shall establish a method for field offices to assess the success of the American Heritage River initiative and provide a means to recommend changes that will improve the delivery and accessibility of Federal services and programs. Agencies are directed, where appropriate, to reduce and make more flexible procedural ~'equirements and paperwork related to providing assistance to communities along designated rivers. (j) Agencies shall commit to a policy under which they will seek to ensure that their actions have a positive effect on the natural, historic, eeonomac, and cultural resources of American Heritage River communities. The policy will require agencies to consult with American Heritage River communities early in the planning stages of Federal actions, take Jato account the communities' ggals and objectives and ensure that actions are compatible with the overall character of these communities. Agencies shall seek to ensure that their help for one community does not adversely affect neighboring communities. Additionally, agencies are encouraged to develop formal and informal partnerships to assist communities. Local Federal facilities, to the extent permitted by law and consistent with the agencies' missions and resources, should provide public access, physical space, technical assistance, and other support for American Heritage River communities. (k) In addition to providing support to designated rivers, agencies will work together to provide information and services to all communities seeking support. Sec. 2. Process for Nominating an American Heritage River. (a) Nomination. Communities, in coordination with their State, local, or tribal governments, can nominate their river, river stretch, or river confluence for designafien as an American Heritage River. When several communities are involved in the nomination of the same river, nominations will detail the coordination among the interested communities and the role each will play in the process. Individual's living outside the community may not nominate a river. (b) Selection Criteria. Nominations will be judged based on the following: (1) the characteristics of the natural, economic, agricultural, scenic, historic, cultural, or recreational resources of the river that render it distinctive or unique; (2) the effectiveness with which the community has defined its plan of action and the extent to which the plan addresses, either through planned actions or past accomplishments, all three American Heritage Rivers objectives, which are set forth in section t(a) of this order; of the Press Secreu~,' (S) the strengd~ and ~versity of community support for the nomination as evidenced by letters fi-om elected officials; landowners; private citizens; businesses: and especially State, local, and tribal governments. Broad community suppor~ is essential to receiving the American Heritage River designation; and (4) willingness and capability of the community to forge partnerships and agreements to implement their plan to meet their goals and objectives. (c) Recommendation Process. The Chair of the Council on Environmental Quality ("CEQ") shall develop a fair and objective procedure to obtain the views of a diverse group of experts for the purpose of making recommendations to the President as to which rivers shall be designated. These experts shall reflect a variety of viewpoints, suer as those representing natural, cultural, and historic resources: scenic, environmental, and recreation interests; tourism, transportation, and economic development interests; and industries such as agriculture, hydropower, manufacturing, mamng, and forest management. The Chair of the CEQ will ensure that the rivers recommended represent a variety of stream sizes, diverse geographical locations, and a wide range of settings from urban to rural and ensure that relatively pristine, successful revitalization efforts are considered as well as degraded rivers in need of restoration. (d) Designation. (1_) The President will designate certain rivers as American Heritage Rivers. Based on the receipt ora sufficient number of qualified nominations, ten rivers wilt be designated in the first phase of the initiative. (2) The Interagency Committee provided for in section 3 of this order shall develop a process by which any community that nominates and has its river designated may have this designation terminated at its request. (3) Upon a determination by The Chair of the CEQ that a community has failed to implement its plan. the Chair may recommend to the President that a designation be revoked. The Chair shall notify the community at least 30 days prior to making such a recommendation to the President. Based on that recommendation, the President may revoke the designation. Sec. 3. Establishment of an Interagency Committee. There is hereby established the American Heritage Rivers Int.eragency Committee ("Committee"). The Committee shall have two co-chairs. The Chair oftha CEQ shall be a permanent co-chair. The other co-chair will rotate among the heads of the agencies listed below_ (a) The Committee shall be composed of the following members or their designees at the Assistant Secretary level or equivalent; (1) The Secretary of Defense; (2) The Attorney General; (3) The Secretary of the Interior; (4) The Secretary of Agriculture: (5) The Secretary of Commerce: (6) The Secretary of Housing and Urban Development: Pa~.c 3 Ol:l~ce of the Press Secretar?' (7) The Secretary of Transportanon; (8) The Secretary of Energy; (9) The Administrator of the Environmental Protection Agency; (10) The Chair of the Advisory Council on Historic Preservation; (1 I) The Chairperson of the National Endowment for the Arts; and (12) The Chairperson of the National Endowment for the Humam'ties. The Chair of the CEQ may invite to participate in meetings of the Committee, representanves of other agencies, as appropriate. (b) The Committee shall: (1) establish formal guidelines for designation as an American Heritage River; (2) periodically review the actions of agencies ha support of the American Heritage Rivers: (3) report to the President on the progress, accomplishments, and effectiveness of the American Heritage Rivers initiative: and (4) perform other duties as ctirected by the Chair of the CEQ. Sec. 4. Responsibilities of the Federal Agencies. Consistent with Title I of the National Environmental Policy Act of 1969, agencies shall: (h) identify their existing programs and plans that give them the authority to offer assistance to communities involved in river conservation and communizy health and revitalization; (b) to the extent practicable and permitted by law and regulation, refocus programs, grants, and technical assistance to provide support for communities adjacent to .American Heritage Rivers; (c) identify all technical tools, including those developed for purposes other than river conservation, that can he applied to river protection, restoration_ and community revitalization; (d) provide access to existing scientific data and information to the extent permitted by law and consistent with the agencies mission and resources; (e) cooperate with State~ local~ and tribal governments and communities with respect to their activities that take place ir~ or affect the area around, an American Heritage River; (f) commit to a policy, as set forth in section 10) of this order, in making decisions affecting the quality of an American Heritage River; (g) provide, once a river is designated an American Heritage River and atthe community's request, a single representative called a "River Navigator~ with whom communities can communicate goals and needs and who will facilitate community-agency interchange; (h) allow public access to the river, for agencies with facilities along American Heritage Rivers, to the extent practicable and consistent with their mission; and (i) cooperate, as appropriate, with communities on projects that protect or preserve stretches of Office of thc Press Secremr)/ Pa~e 5 the fiver that are on Federal property or adjacent to a Federal facility. Sec. 5. Responsibilities of the Committee and the C6uncil on Environmental Quality. The CEQ shall serve as Executive agem for the Committee, and the CEQ and the Committee shall ensure the implementation of the policies and purposes of this initiative. Sec. 6. Definition. For the purposes oft}tis order, Executive agency means any agency on the Comnmtee and such other agency as may be designated by the President. Sec. 7. Judicial Review. This order does not create any right or benefit, substantive or procedural, enforceable by any parry against the United States. its agencies or instrumentalities. its officers or employees, or any other person. WILLIAM J. CLINTON THE WHITE HOUSE, September 11, 1997. To comment on this serWce. send feedback to the [/Veb Development ]ream. .O~. m.e of the Press Secretary Pase 1 THE WHITE HOUSE Office of the Press Secretary For Immediate'Release September 11, 1997 REMARKS BY THE PRESIDENT IN ANNOUNCING AMERICAN HERITAGE RIVERS INITIATIVE Room 450 Old Executive Office Building 11:52 A.M. EDT THE PRESIDENT: Thank you. lose. I think we should send him around the country to organize other young people, don't you? (Laughter.) Thank you, Mr. Carleno: to the members of the administration who are here. and the senators and members oftha House and all the rest of you. We did not intend to regale you today with the natural splendor and riverfront aura of Room 450 -- (laughter) -- of the Old Executive Office Building. I zau't really take responsibility for the weather. I wanted to welcome you to Mount Vernon. The Vice President suggested I blame it on climate change. (Laughter.) But we haven't had time to have the requisite number &studies done. (Laughter.) So we're here to make the best of it. Before I start and make remarks about this subject, I do want to say that something has occurred in the United States Senate this morning about which I am personally very pleased and for which I am grateful. I have been working, as everyone knows, since the day I became President to allow all our people to participate in the opportunities that this country offers and will offer in the new century. I think clearly the most important way to do that is to guarantee a world-class education to every young person. Just this morning an overwhelming bipartisan majority in the Senate, 88 senators, voted to move forward with the plan that I have advocated to establish national standards ofleamingin reading and mathematics~ and to test our children in the 4th and 8th grades by They have voted to make sure that these examinations would be written by truly independent. nonpartisan board, and the measure that they have embraced will help parents to ensure that their children will master the basics of reading and math and to help measure the performance of the schools and teachers involved. This is another example of what can happen when people of goodwill of both parties get together and look to the future and not the past. And thank you, Senators. and I think this is very, very good news. (Applause.) And what we're here today to talk about is also very good news and profoundly important. If you think about the stories of Pittsburgh and Chicago -~ I don't know how many of you have oft. he Press Secreta~,' been to Pittsburgh to see the rivers there and see the changes in the community that are truly astonishing, and all the other little communities outlying Pittsburgh and Southwest Pennsylvania. As you know -- I think all of you know, Hillary is from Chicago, so I spent a lot of time in Chicago and I've spent a lot of nights and days looking at the Chicago River. Pa~e 2 And [ think it's very important to remember that many of our greatest cities became what they are because they were built on rivers. And now if we want them to be even greater as we move into a totally new era and where their economies are changing, we have to make sure that the rivers that mn through them are good, clean rivers that offer the potential for young people like Jose to do something they can be proud off to have a place that they can be proud to be a pan off and to preserve a heritage for their own children and grandchildren. Rivers have always been the lifeblood of our nations. They nourish our cities, they feed our soils. they allow us to expand our termory in commerce, they permit us -- millions upon millions of us -- to fish. You heard the Vice President putting in his little gig about the Tennessee rivers -- (laughter) -- you know, those of us who come fromthe states with a lot of rural land -- all of us grew up IMng with the rivers and all of us have these vivid memories of the rivers. When I graduated from law school, I went home to the hills in north Arkansas to live before Hillary and married, and I bought a home -- I rented two different places out in the country on two different rivers. I spent a lot of the happiest days of my life along the BUffalo River in the Ozark Mountains in north Arkansas, which was the very first river set aside by Congress in the National Wild and Scenic Rivers Act. You can't get there from here. (Laughter.) But if you do, it's worth the effort. (Laughter.) I~ineteen years ago, when I first ran for governor of my home state. I called my great uncle at -- who just passed away at the age of 91 - and who had oniy an elementary school education, but a very high IQ and a great wit. And we were having a heated election of the United States Senate that year. and I asked my uncle, I said, who do you want to win this Senate race? He said. I don't care, and I wouldnk care who was going to be governor if you weren't my kinfolks. (Laughter.) And I said. well. ifI get elected, what do you want me to do? Then he got dead serious. He said, I want you to make sure that the rivers are clean and pure so the fish will be in them and I can mn my feet in them in the springtime. (Laughter.) That was his platform for my campaign. (Laughter.) And there were many people of his generation of modest means who knew that if all else fails they could still go to the river in the springtime. And so this is a big part of what we are. When I leave this office and I go home, I hope to continue a project I've been working on for many years - I worked on as governor - to help both restore and enhance the development of our capital city at home along the Arkansas River. And the river has to be clean and pure and fully developed in its natural potential in order for us ever to make the most of that. So this is a big deal to millions of people. And I suppose that it may be to free of controversy to arouse great interest today here, but we're all trying to change that, just like the Senate did this morning on the education issue. When I saw the two gentleman before me speaking and then I was looking out here at all the mayors and all the representatives of the local community, about every third sentence they'd be nodding their heads, yes. what they're saying is absolutely right. And that's a very, very good thing. Today we are going to rededicate our country to restoring our river heritage and to reaffirm one Office of the Press Secretary Pa~e 3 of our oldest values, the importance of safeguarding our national treasures for all generations to come. You know, we didn't get to go to Mt. Vernon, but I think it's important to say a few words about the Potomac, since that is our river here. George Washington considered it one of the finest rivers in the world. But, regrettably, for most of this century the Potomac suffered in ways that President Washington would have been perfectly appalled by. By the 1960s, when I canae to school here, the river was so polluted that students on the boating teams at Georgetown actually had to get typhoid shots togo out on the water. But today, thanks to the ongoing - I was not on crew- team, that was my excuse. (Laughter.) That's a true story. But today, thanks to the ongoing clean-up efforts in communities all up and down this river, the Potomac once again is a genuine, legitimate source of national pride. Ali across the country we're seeing this kind of river renaissance. You heard about Chicago and Pittsburgh. We could have talked about Evanston, Wyoming; Cherokee, Iowa; Chattanooga, Tennessee -- communities coming together to restore their rivers, to make them both attractive and natural and pure and commercially viable. Today we take an important step to support and celebrate these efforts When, in a few moments, I will sign an executive order to launch the new American Heritage Rivers Initiative. Through this voluntary program which I first proposed in the State of the Union address, we will lend our hand of assistance to community-led waterfront projects that protect natural resources, promote economic revitalization, and preserve our cultural heritage. For 90 days, starting today, communities that have developed plans to restore and reconnect with their rivers may submit nominations to participate in this innovative initiative. Shortly thereafter, a panel of experts will help me select 10 finalist-rivers fi.om among the nominations, each of which will earn a designation as an AmeriCan Heritage River. These rivers, most likely a mix of rural, suburban, and urban rivers, will receive targeted and coordinated assistance to help bring the community plans to life. Here is how the initiative might work for an urban river linked by junkyards and abandoned buildings. If the riverboat community comes forward with a good revitali?ation plan and wins American Heritage River designation, we'll first work with the community to select a skilled~ full-time liaison, which we call a river navigator -- maybe we should have called it a river rat. (Laughter.) The river navigator will then help the community line up federal and private resources for everything fi.om improving water quality to cleaning up brownfields to designating a riverfront plaza and finding loans for local entrepreneurs. Every step of the way, the initiative will be driven by the needs and desh-es of the communities that choose to participate. There will be no federal mandates, no regulations, no restrictions on property holders' rights. All communities interested in this collaborative concep~ will be able to learn fi.om the success oftha program participants by tapping in to a very impressive American Heritage Rivers website. The reason I'm so pleased by the American Heritage Rivers Initiative is that it neatly combines there of the concepts that are closest to my heart, as the Vice President said: First, the notion of environmental stewardship. Second, the idea of offering citizen support for a reinvented government the actually works better and costs less. And. finally, once again, that economic Offic~ of thc Press Secret,, prosperity and environmental protection go hand in hand: We must continue to embrace these three ideas. We h'/USt believe in them, we must live by them. The American Heritage Rivers Initiative is a great first step. Let the nominations begin. (Laughter.) Thank you very muck (Applause.) Executive Order American Heritage Rivers Paper To comment on this sera,ice. send feedback to the Web Development Team. Office of the Press Secretary Restoring and Preserving America's Communities With the American Heritage Rivers In/fiative September 11, 1997 Tonight, ] announce that this year I will designate 10 American Heritage Rivers. to help communities alongside them revitalize their wate~ronts and clean up pollution. -- President Clinton, State of the Union Address, February 4, 1997 Following up on his pledge in the State of the Union Address, President Clinton signed an executive order establishing the American Heritage Rivers Initiative, a new program to help communities restore and revitalize waters and waterfronts. The President will announce that communities may now begin nominating rivers for tNs designation. More than ever before, Americans are looking toward our rivers as a source for improving community life. The American Heritage Rivers Initiative will integrate the economic, environmental and Nstoric preservation programs and services of federal agencies to benefit communities engaged in efforts to protect their rivers. The American Heritage Rivers Initiative Will: 1. Designate ten rivers as American Heritage Rivers by early 1998 Any river community working to improve or protect a river w'fll be eligible to nominate a river or river stretch for Presidential designation. Private citizens, landowners, non-profit organizations, government agencies, Indian tribes and elected officials are examples of the types of groups that will work with other members of their community to nominate a fiver. Applications will be due in December. Nominations will be reviewed by a blue ribbon panel of government officials and independent experts. The panel will make recommendations to the President, who will announce the first river designations in early 1998. 2. Support the local community's goals for that fiver or river stretch The American Heritage Rivers program will support outstanding community-based efforts designed to ensure the vitality of the river in community life for future generations. It is a locally-driven program: communities know best what they need; and it is the federal government's role to support those efforts. Participation is voluntary, and must be initiated by the community. Designation will not impose any new regulations or other new requirements. 3. Help cut red tape and provide focused federal support to designated rivers Each designated river community will have a vision of how it wants to improve their waters and waterfront. It could include a new waterfront park, more opportunities for fishing and boating, better water quality, or the transformation of abandoned industrial buildings into art galleries and offices. of'the Press Secrcta~., The federal government's rote is to help realize that vision. There are dozens of existing federal programs that could be part of a river community's menu for success. Once a community is chosen, a full time.contact, called a "River Navigator." will be available to help match community needs with available resources from existing programs. Grants and loans could be made available. Federal agencies will also make e~isting field staff and resources available to each American Heritage River. These experts will work with the River Navigator and the community to attack pollution problems, build greenway and pedestrian paths, protect watersheds, rebuild historic docks, identify native trees and plants, and seek out other economic opportunities. A "Good Neighbor" policy will ensure that assistance provided by government agencies fulfils community goals and does not add more paperwork or procedure. This coordinated and focused effort will reduce government red tape and the potential overlap of government services. 4 Develop additional information for the use ofall river communities Through the American Heritage Rivers website, valuable information about our nation's rivers will become easily available to everyone. Information organized geographically on flood events, population change, road network, condition of water resources and partnerships already at work in the area will be available. Customized maps and environmental and educational assessment models will also be made available. The address of the web site is http://www.epa, gov/OWOW/horita~e/rivers.html Pa~e 2 To comment on this sen,ice. send feedback to the Web Development Team. White House message about American Heritage Rivers AMEP-,ICAN H'F. KI IVEI S Pa~e 1 OBJECTIVE Objective of American Heritage Rivers Imtiat~ve. President Clinton is creating American Heritage Rivers to protect and restore America's great rivers. The President's objective is to. enhance our citizens' enjoyment of the historic, cultural, recreational_ economic and environmental value of our rivers and to protect the health of our communities. Rivers .have always been an integral part of our nation's history, providing oppo, mnities for commerce, romes for exploration, inspiration for ideas and culture, means ofrecreation, and sources of drinking water. Across America many communities are working to protect their rivers and revitalize their waterfronts. The federal government will offer support to these communities by providing them with better tools and encouraging local efforts that deserve recognition. CHARGE TO CABINET President Clinton is charging Ns Cabinet to work with communities to design an initiative that will support community efforts on behalf of their rivers. The Cabinet will make program recommendations to the President within 90 days for his approval. SUMMARY OF CORE ELEMENTS "American Heritage Rivers."President Clinton will offer special recognition to outstanding stretches of America's rivers by selecting them to be "American Heritage Rivers." Communities will nominate sites to be considered for this status. Federal agencies will refocus resources to provide particular assistance ro these areas. The President will select ten American Heritage Rivers the first year. Matching Community Involvement with Federal Support. The American Heritage Rivers effort will be a partnership between the federal government and the people who enjoy the many values ora river_ The partnerships will be created fi-om the community up, through local, state, tribal, and federal governments rather than from the top down. Many of these actions will apply nationwide, as well as for American Heritage Rivem SELECTION OF "AMERICAN HERITAGE RIVERS" American Heritage Rivers. President Clinton will select ten outstanding stretches of river as American Heritage Rivers in the first year. The Administration will incorporate into future efforts the lessons learned from these communities. wrote House message about American Heritage Rivers Page 2 ]gz~llanced Government Tools. ~resktem Clinton is directing his Cabinet to refocus programs, grants, and technical assistance to provide special support to American Heritage Rivers. Each community supporting an American Heritage River will be given resources to catalyze their community's work on behalf of a restored. revitalized river. Better Decisions, President Clinton is directing federal agencies to adopt a "good neighbor" policy in making decisions, taking into consideration the effects upon American Heritage Rivers of actions by federal agencies. Community Representative. President Clinton is directing agencies to provide a community representative to help implement the community's vision and provide a comact for federal resources in each American Heritage River community. Nominations. Communities will be able to nominate outstanding stretches of river for consideration as an American Heritage River. Nominations will include information on the importance of the stretch of river to the nation's culture and history; to past and future economic development; and to public health and environmental quality. In addition, the Administration will seek a community plan for revitalization_ broad support for the plan and a commitment of non-federal resources. TOOLS FOR ALL RIVER COMMUNITIES The Cabinet will prepare recommendations for improving federal help to all river communities, including but not limited to American Heritage Rivers. Examples of such efforts include: Access_to Federal Programs and National Expertise. Communities work with the federal government in numerous ways that affect rivers. The Administration will make it easier to access available federal resources to support community restoration, protection and revitalization efforts, and will create a clearinghouse for this information. This effort will also make national expertise available to communities and actively promote successful ideas about how we can work together to preserve our heritage Comprehensive Information for Communities. For the first time, communities will have access to all the data available to the federal government about the health of their rivers and the challenges to continued protection. The Administration will make this information easily accessible using the Intemet and other methods. A Talent Bank Across Communities. Many communities are already engaged in work to preserve their rivers and revitalize their communities. The Administration will create a "talent bank" of experienced local people who are willing to share knowledge and techniques about community river restoration efforts. A Call to Action. The President is calling on private companies, nonprofit organizations, and state, local, and tribal governments to come together to restore, protect, and revitalize rivers that mn through their communities. FULFILLING TIlE PRESIDENTS CHARGE · Directive to Cabinet. The President is directing the Cabinet (including agencies responsible for natural resource management, economic development, environmental protection, and historic preservation) to develop the American Heritage Rivers effort by leaders, businesses, government at all levels, historians and non-governmental organizations. Within 90 days the Cabinet will report the President the design of a program to meet his objectives. Whi~e House message about American Heritage Rivem Pa~e 3 · American Heritage River Selections. As part of the design of the overall program, the Cabtfiet will recommend specific basic program procedures, including the process for nominating and selecting sites for American Heritage River recognition, and the considerations that will affect the selection. · Budget Impact. This effort is not to rely on net increases in federal spending or regulations, but rather newly-targeted budget resources and more effective regulation. end of White House Material CERTIFICATE OF ACCEPTANCE OF TERMS The undersigned County Executive of Albemarle County, Virg/nia (the "County"), certifies as follows: 1. Pursuant to a resolution (the "Resolution") of the Board of Supervisors of the County, adopted on October 8, 1997, he has accepted the terms Of the County's General Obligation School Bonds, Series 1997 A (the "Bonds"). as set forth in this certificate. 2. The Bonds shall be in the aggregate principal amount of $20,455,000 and principal shall be payable on the dates and in the amounts and the Bonds shall bear interest at rates all as set forth on Exhibit A. 3. The principal amounts and interest rotes accepted with respect to the Bonds are within the limitations of Section 3 and 4 of the Resolution. 4. A copy of this certificate has been filed with the office of the Clerk of the County on the date hereof. Dated November ,1997. COUNTY OF ALBEMARL ,b r : EXECUTIVE SUMMARY BOARD OF $ IPBRVI$OR$ _AGENDA TITLE: Virginia Public School Authority Bond Resolution SUBJECT/PROPOSAL/REQUEST: Request board approval of a Resolution authorizing the issuance of $20,455,000 in VPSA Bonds AGENDA DATE: October 8, 1997 ACTION: X ITEM NUMBER: INFORMATION, CONSENT AGENDA: ACTION: INFORMATION: ATTACHMENTS: Yes STAFF CONTACTfS} ///~ ~ ~: REVIEWED BY: -~"~A/// Messrs. Tucker, Huff, Breeden, Ms. White , ~ ~'" / BACKGROUND: The FY 1997/98 Capital Improvement Budget was approved with the intent to issue approximately $20,455,000 in bonds through the Virginia Public School Authority. DISCUSSION: Resolutions authorizing the application to VPSA were approved by the School Board on August 25, 1997 and by the Board of Supervisors on September 3, 1997. Attached for your information is a projected payment schedule based on the estimated effective interest rate of 5.55%. In order to proceed with this process, a public hearing is scheduled for 7:00 p.m. on October 8, 1997. In addition, the attached Resolution will require your approval on the same date. Also, for your information, I have encJosed a schedule of events necessary to complete the bond issue. RECOMMENDATION: Staff recommends approval of the resolution to proceed with this project and to meet the bond issuance guidelines. 97.197 7/15/98 1/15/99 7/15/99 1/15/00 7/15/00 1/15/01 7/15/01 1115/'02 7/15/02 1/15/03 7/15/03 1/'15/04 7/15/04 1/15/05 7/15/05 1/15/06 7/15/06 1/15/07 7/15/07 1/15/08 7/15~08 1/15/09 7/15/09 1/15/10 7/15/10 1/15/11 7/15/11 1/15/12 7/15/12 1/15/13 7/15/13 1115/14- 7/15/14 1/15/15 7/15/15 1/15/16 7/15/18 1/15/17 7/15/17 1/15/18 7/15/18 Totals Albemarle County Non-Subsidized Local School Bond Principal Rate Interest Total $1.025,000 4.600% 0 1.025.000 4.600% 0 1.025.000 4.700% 0 1,025,000 4.700% 0 1.025.000 4.700% 0 1,025,000 4.700% 0 1,025,000 '- 4.700% 0 1.025.000 4.750% 0 1,025:300 5.350% 0 1.025.000 5.850% 0 1,025,000 5.850% 0 1,020,000 5.000% 0 1.02b.000 5.100% 0 1.020.000 5.100% 0 1,020,000 5.150% 0 1.020,000 5.200% 0 1.020.000 5.250% 0 1.020.000 5.300% 0 1.020,000 5.300% 0 1.020.000 5.300% 0 $20,455,000 $675,602.15 493907.50 493 907.50 470 332.50 470 332.50 446 245.00 446 245.00 422 157.50 422 157.50 398 070.00 398 070.00 373 982.50 373 982.50 349 895.00 349 895.00 325 551.25 325 551.25 298 132.50 298 132.50 268 151.25 268 151.25 238.170.00 238.170.00 212.670.00 212,670.00 186 560.00 186 860.00 160 850.00 160 850.00 134 385.00 134 385.00 107 865.00 107 865.00 81,090.00 81,090.00 54.060.00 54,060.00 27.030.00 27,030.00 0.00 $1,700,602.15 493.907.50 1,518,907.50 470,332.50 1.495,332.50 446.245.00 1,471,245.00 422,157.50 1,447,157.50 398,070.00 1,423,070.00 373,982.50 1,398,982.50 349.895.00 1,374.895.00 325.551.25 1,350,551.25 298.132.50 1,323.132.50 268151.25 1,293,151.25 238.170.00 1,258,170.00 212.670.00 1.232.670.00 186.660.00 1,206,660.00 160.650.00 1,180,650.00 134,385.00 1,154,385.00 107,865.00 1,127,865.00 81,090.00 1,101,090.00 54.060.00 1.074.060.00 27,030.00 1.047,030.00 0.00 $10,773.612.15 $31.228.612.15 Fiscal Total 2.194,509.65 1,989,240.00 1,941,577.50 1.893.402.50 1,845,227.50 1,797,052.50 1,748,877.50 1 700.446.25 1.648.683.75 1,591,283.75 1.531.321.25 1.470~40.00 1,419.330.00 1.367.310.00 1.315.035.00 1.262.250.00 1.208.955.00 1,155.150.00 1,101.090.00 1.047.030.00 Dated Date 11/20/97 Effective Rate 5.55376123% Albemarle C0unty, Virginia General Obligation School Bonds. Series 1997A Schedule of Events Board of Supervisors Meeting Dates: Second and Third Wednesdays of each month at 7:00 p.m. and First Wednesday at 9:00 a.m. ·: Events Date School Board adopts resolution approving the filing of an application with August 25 VPSA Board of Supervisors adopts resolution approving the filing of an September 3 application with VPSA Application filed with VPSA together with County School Board September 3 resolution and County Boar.d of Supervisors resolution H&W circulates drafi Bond Resolution Providing for the Issuance of the September 15 Bonds and form of notice County publishes notice of public hearing on Bond issue~ September 24 and October 1 VI?SA mails estimated repayment schedule and Bond Sale Agreement September 30 Comments due on draft Bond Resotutmn- September 30 H&W sends out Bond Resolution in final form (for inclusion in Board of September 30 Supervisors' package), along with circuit court clerk's receipt~ Board holds public hearing, adopts Bond Resolution October 8 County Attorney files Bond Resolution with circuit court clerk4 No later than October 20 County returns Bond Sale Agreement to VPSA5 No later than October t5 H&W circulates draft closing certiftcates for review by County and VPSA6 October 17 Comments due on draft closing certificates October 29 VPSA Bond Sale7 October 29 H&W sends out closing certificates to County for executions 1 November 7 County obtains si~maatures on closing certificates I November 10-13 executed closing certificates to H&W~ I November 13 County retLLrns Pm-closing and filing of SNAP application by County~° ] November 17-t8 Closingu I November 20 l.Second publication must follow fLrst publication oy a~ least one full week and public hearing must follow second publication by at least six days but not more than 21 days. 2.The Bond Resolution provides for the details of the Bond issue. The Public Finance Act of 1991 allows delegation of final terms of bunds. This resolution delegates final terms to County officials. 3.SencFmg documents out on this date should ensure that the County has them in time for inclusion in Board packages. Final form of Bond R.esointiun will reflect changes suggested or required by the County or VPSA. 4.Required by Vkginia Code § 15.1-227.9. Code provides for a 30-day waiting period after signing before closing. See Virginia Code § 15.1-227.28. 5.VPSA will send the County this contract, which provides for the sale of the County's Bonds to VPSA. The Bond Resolution will authorize its execution and delivery to VPSA. 6.There will be ten or eleven different certificates for signature by various County and School Board officials. These certificates wilt document compliance with federal tax laws. Virginia laws and VPSA requirements. 7.VPSA sells its bonds to provide fu~nds to purchase your Bonds. VPSA charges the County interest,at rares which are greater by 1/10th of I% in each year than the rates V'PSA gets on its bonds, 8.The final versions of these certificates will reflect changes suggested or required by the County or VPSA. 9.These need to be returned in advance of closing so they can be reviewed and any necessary corrections made in advance of closing. IO.Represenratives of VPSA and its bond counsel will independently review documents related to the County's Bonds for compliance with federal tax laws. Virginia laws and VPSA reqmrements. 11.The County's Bonds are delivered to VPSA, and proceeds are made available for County use. VIRGINIA PUBLIC SCHOOL AUTHORITY BOND SALE AGREEMENT dated as of October 15, 1997 Name of Jurisdiction (the "Local Unit"): Albemarle Count? Sale Date: Not earlier than October 27, nor later than November 15, 1997 Closing Date: On or about November 20, 1997 Principal Amount (Not to Exceed): $20,455,000 Amortization Period: Up to Twenty (20) Years 1. The Virginia Public School Authority ("VPSA") hereby offers to purchase your general obligation school bonds in an amount not ro exceed the Principal Amount set forth above from the proceeds of the VPSA's bonds, the sale of which is scheduled to take place on the Sale Date. You represent that on or before October 15, 1997, your local governing body will have duly authorized the issuance of your bonds by adopting a resolution in the form attached hereto as Appendix B (the "local resolution") and that your bonds will be in the form set forth in the local resolution: Any changes that you or your counsel wish to make to the form of the local resolution and/or your bonds must be approved by the VPSA prior to adoption of the local resolution by your local governing body· You hereby covenant that you will comply with and carry out all of the provisions of the Continuing Disclosure Agreement in the form attached hereto as Appendix F, which agreement is hereby incorporated by reference herein and expressly made a part hereof for al/purposes. The VPSA has defined a Material Obligated Person ("MOP") for proposes of the Continuing Disclosure Agreement as any Local Issuer the phncipal amount of whose local school bonds pledged under VPSA's 1997 Resolution compromise more than 10% of the total principal amount of the pool of all such local school bonds. Because the 1997 Fall issue will be the VPSA's first under the 1997 Resolution, VPSA anticipates that the threshold for MOP may be around $20 million (assuming a $200 million issue). If interest rates rise before the sale, the threshold wilt decline if the VPSA delays refunding some of its potential refunding candidates. MOP status will be determined by adding to the principal amount of your local school bonds to be sold to the VPSA, the principal amount of your local school bonds that correlate to series and maturities of VPSA bonds refunded in this sale and measuring the total against 10% of the face value of VPSA's bond issue. If you are a MOP, the VPSA may require that you file ali The local resolutzon has been drafted for the zssuance of bonds by a County. Bond counsel will need to make appropriate changes in the local resolution for the issuance of bonds by a City or Town~ the information described in the second following paragraph prior to VPSA mailing its Preliminary Official Statement, currently scheduled on or about October 20, 1997. Whether you are or are not initially a MOP, the VPSA will advise you by September 1 of each year as to whether you were a Material Obligated Person ("MOP") as of the end of the preceding fiscal year and will also advise you of your status as a MOP as of any other date upon your written request. You hereby covenant that (i) if you are a MOP and (ii) the VPSA is issuing additional obligations, that you will (a) make such additional filings, if any, as in your judgement are necessary, with Nationally Recognized Municipal Securities Information Repositories ("NRMSIRs") and the Municipal Securities Rulemaking Board ("MSRB") to make the information on file with NRMSIRs and the MSRB tree, correct and complete and (b) deliver to the VPSA upon the date of delivery of its obligations, a certificate that the information on file, taken together, is tree and correct, and did not as of the date of filing, and does not as of the date of delivery of, the VPSA obligations, contain any untrue statement of a material fact or omit to stare a material fact which should be included therein for the purpose for which the filings are to be used, or which is necessary in order to make the statements contained therein, in light of the circumstances under which they were made, not misleading. VPSA's commiunent to purchase your bonds is contingent upon (i) VPSA's receipt on the Closing Date of (a) your bonds which shall include and otherwise meet the Standard Terms and Conditions contained in Appendix A hereto, (b) certified copies of the local resolution and the school board resolution (see Appendix E attached hereto), (c) an executed agreement, among VPSA, you and the other local units simultaneously selling their bonds ro VPSA, Central Fidelity National Bank and Mentor Inveshment Advisors, LLC, the depository and the investment manager, respectively, for the State Non-Arbitrage Program ("SNAP"), providing for the custody, investment and disbursement of the proceeds of your bonds and the other general obligation school bonds, and the payment by you and the other local units of the allocable, associated costs of compliance with the Internal Revenue Code of 1986, as amended, and any costs incurred in connection with your participation in SNAP (the "Proceeds Agreement"), (d) an executed copy of the Use of Proceeds Certificate in the form attached hereto as Appendix C, (e) an approving legal opinion from your bond counsel in form satisfactory to VPSA as to the validity of the bonds and the exclusion from gross income for federal and Virginia income tax purposes of the interest on your bonds, the conformity of the terms and provisions of your bonds to the requirements of this Bond Sale Agreement including the appendices attached hereto, and the due authorization, execution and delivery of this Bond Sale Agreement, Continuing Disclosure Agreement and the Proceeds Agreement, and the validity of the Continuing Disclosure Agreement and the Proceeds Agreement, (f) a transcript of the other customary closing documents not listed above, (g) the proceeds of VPSA's bonds and (ii) your compliance with the terms of this agreement. Two complete transcripts (one original) of the documents listed above shall be provided by your counsel to the VPSA on the Closing Date or, with VPSA's permission, as soon as practicable thereafter but in no event more th~n ten (10) business days after the Closing Date. g:~SHARED~I3EBT~VP SA\ISS UEXSer97X97-bsa September 10. 1997 5. This Bond Sale Agreement shall take effect on October 15, 1997. Vk~nia Public School Authority By: Authorized VPSA Representative Albemarle County By:. Nal-fle~ Title: (For information only; not part of the Bond Sale Agreement.) Please have the presiding' officer, or other specifically designated agent, of your governing body execute 2 copies of this Bond Sale Agreement and return them, along with the tax questionnaire attached hereto as Appendix D, no later than close of business on October 15, 1997 to Richard A. Davis, Debt Manager, Virginia Public School Authority, [by mail] P. O. Box 1879, Richmond, Virginia 23218-1879 or [by hand or courier service] James Monroe Building- 3rd Floor, 101 N. 14th Street, Richmond, Virginia 23219. If your governing body or bond counsel requires more than one ofig/nally signed Bond Sale Agreement, please send the appropriate number: all but one will be returned at closing. gSSHARE D'~DEBT~VPSAkISSUE~Ser97~97-bsa September 10, 1997 CONTINWING i~i~CLOS~ AGREEMENT [This Continuing Disclosure Agreement will impose obligations on the Local Issuer if and only if the Local Issuer is or has become and remains a "Material Obligated Person", as defined below] This Continuing Disclosure Agreement (the "Disclosure Agreement") is executed and delivered by the undersigned local issuer (the "Local Issuer") in connection with the issuance by the Virginia Public School Authority (the "Authority") of $ aggregate principal mount of its School Financing Bonds (1997 Resolution) 1997 Series i (the "1997 Series 1 Bonds") pursuant ro the provisions of a bond resolution (the "1997 Resolution") adopted on September 29, 1997. The 1997 Series 1 Bonds and all other parity bonds hereafter issued under the 1997 Resolution are collectively called the "Bonds". A portion of the proceeds of the 1997 Series 1 Bonds are being used by the Authority to purchase certain general obligation school bonds ("Local School Bonds~') of the Local Issuer pursuant to a bond sale agreement between the Authority and the Local Issuer (the "Bond Sale Agreement"). Pursuant to paragraph 3 of the Bond Sale Agreement, the Local Issuer hereby covenants and agrees as follows: SECTION 1. Purpose of the Disclosure A~eement. This Disclosure Agreement is being executed and delivered by the Local Issuer for the benefit of the holders of the 1997 Series 1 Bonds and in order to assist the Participating Underwriters (defined below) in complying with the Rule (defined below). The Local Issuer acknowledges that it is undertaking primary responsibility for any reports, notices or disclosures that may be required under this Agreement. SECTION 2. Definitions. In addition to the definitions set forth in the 1997 Resolution, which apply to any capitalized term used in this Disclosure Agreement unless otherwise defined in this Section, the following capitalized terms shall have the following meanings: "Annual Report" shall mean any Annual Report provided by the Local Issuer pursuant to, and as described in, Sections 3 and 4 of this Disclosure Agreement. "bond sale agreement" shall mean the Bond Sale Agreement and any other comparable written commitment of the Local Issuer to sell local school bonds to the Authority. "Dissemination Agent" shall mean the Local Issuer, acting in its capacity as Dissemination Agent hereunder, or any successor Dissemination Agent designated in writing by such Local Issuer and which has filed with such Local Issuer a written acceptance of such designation. "Filing Date" shall have the meaning given to such term in Section 3(a) hereof. "Fiscal Year" shall mean the twelve-month period at the end of which financial position and results of operations are determined. Currently. the Local Issuer's Fiscal Year begins July i and continues through June 30 of the next calendar year. "holder" shall mean, for purposes bi' this Disclosure Agreement, any person who is a record owner or beneficial owner ora 1997 Series 1 Bond. "Listed Events" shall mean any of the events listed in subsection 5(b)(5)(i)(C) of the Rule. "local school bonds" shall mean any of the Local School Bonds and any other bonds of the Local Issuer pledged as security for Bonds issued under the Authority's 1997 Resolution. "Material Obligated Person" (or 'WfOP") shall mean the Local Issuer if it has local school bonds outstanding kn an aggregate principal amount that exceeds I0% of the aggregate principal amount of all outstanding Bonds of the Authority. "National Repository" shall mean any Nationally Recognized Municipal Securities Information Repository for purposes of the Rule. "Participating Underwriter" shall mean any of the original underwriters of the Authority's 1997 Series 1 Bonds required to comply with the Rule m connection with the offering of such Bonds. '~Repository" shall mean each National Repository and each State Repository. "Rule" shall mean Rule [5c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as the same may be amended from time to t/me. "State Repository" shall mean any public or private depository or entity designated by the State as a state depository for the purpose of the Rule. As of the date of this Agreement,. there is no State Repository. SECTION 3. Provision of Annual Reports. (a) The Local Issuer shall, or shall cause the Dissemination Agent to, provide ro each Repository an Annual Report which is consistent with the requirements of Section 4 of this Disclosure Agreement. Such Annual Report shall be filed on a date (the "Filing Date") that is not later than 12 months after the end of any Fiscal Year (commencing with its Fiscal Year ending June 30, t997) as of the end of which such Local Issuer was a MOP, unless as of the Filing Date the Local Issuer is no longer a MOP.~ Not later than ten (10) days prior ro the Filing Date, the Local Issuer shall provide the Annual Report to the Dissemination Agent (if appt/cable) and shall provide copies to the Authority. In each case, the Annual Report (i) may be submitted ~ The Authority will covenant in the Bond Sale Agreemanr to advise the Local Issuer within 60 days of the end of each Fiscal Year if such Local Issuer was a Material Obligated Person as of the end of such Fiscal Year. Upon whtten request, the Authority will aisc advise the Local Issuer as to its status as a MOP as of any other date. 2 as a single document or as separate dod'urflbn/~ e6mpfising a package, (ii) may cross-reference other information as provided ha Section 4 of this Disclosure Agreement and (iii) shall include the Local Issuer's audited financial statements prepared in accordance with applicable State law or, if audited financial statements are not available, such unaudited f'mancial statements as may be required by the Rule. In any event, audited financial statements of such Local Issuer must be submitted, if and when available, together with or separately fi.om the Annual Report. (b) If the Local Issuer ~s unable to provide an Annual Report to the Repositories by the date required in subsection (a), the Local Issuer shall send a notice ro the Municipal Securities Rulemaking Board and any State Repository m substantially the form attached hereto as Exhibit A. SECTION 4. Content of Annual Reports. Except as otherwise agreed, any Annual Report required to be filed hereunder shall contain or incorporate by reference, ar a minimum, annual financial information relating to the Local Issuer, including operating data, (i) updating such information relating to the Local Issuer as shall have been Included or cross-referenced in the final Official Statement of the Authority describing the Authority's 1997 Series 1 Bonds or (ii) if there is no such information described in clause (i), updating such information relating to the Local Issuer as shall have been included or cross-referenced in any comparable disclosure document of the Local Issuer relating to its tax-supported obligations or (iii) if there is no such/nformation described in clause (i) or (ii) above, initially setting forth and then updating the information referred to in Exhibit B as it relates ro the Local Issuer, all with a view toward ass/sting Participating Underwriters in complying with the Rule. Any or all of such information may be incorporated by reference fi.om other documents, includ'mg official statements of securities issues with respect to which the Local Issuer is an "obligated person" (within the meaning of the Rule), which have been filed with each of the Repositories or the Securities and Exchange Commission. If the document incorporated by reference ~s a final official statement, it must be available from the Municipal Securities Rulemaking Board. The Local Issuer shall clearly identify each such other document so incorporated by reference. SECTION 5. Reportin~ of Listed Events. Whenever the Local Issuer is a Material Obligated Person required to file Annual Reports pursuant ro Section 3(a) hereof and obtains knowledge of the occurrence of a Listed Event, and if such Local Issuer has determined that knowledge of the occurrence of a Listed Event with respect to its local school bonds would be mater/al, such Local Issuer shall promptly file a notice of such occurrence with each National Repository or the Municipal Securities Rulemaking Board and each State Repository, if any, with a copy to the Authority. SECTION 6. Termination of Reporting Obligation. The Local Issuer's obligations under this Disclosure Agreement shall terminate upon the earlier to occur of the legal defeasance or final retirement of all the Local School Bonds. SECTION 7. Dissemination A,~enr. The Local Issuer may, from time to fane, appoint or engage a Dissemination Agent to assist it m carrymg out its obligations under this Disclosure Agreement and may discharge any such Agent, with or without appointing a successor Dissemination Agent. The Local Issuer shall advise the Authority of any such appoinmaent or discharge. If at any time there is not any other designated Dissemination Agent, the Local Issuer shall be the Dissemination Agent. [The initial Dissemination Agent shall be .] SECTION 8. Amendment. Notwithstanding any other promsion of this Disclosure Agreement, the Local Issuer may emend this Disclosure Agreement, if such emendment has been approved in writing by the Authority and is supported by an opinion of independent counsel, acceptable to the Authority, with expertise in federal securities laws, to the effect that such emendment is permitted or required by the Rule. SECTION 9. Additional Information. Nothing in this Disclosure Agreement shall be deemed to prevent the Local Issuer from disseminating any other information, using the means of dissemination set forth in this Disclosure Agreement or any other means of communication, or including any other information in any Annual Report or notice of occurrence of a Listed Event, in addition to that which is required by this Disclosure Agreement. If the Local Issuer chooses to include any information in any Annual Report or notice of occurrence of a Listed Event, in addition to that which ~s specifically required by this Disclosure Agreement, such Local Issuer shall have no obligation under this Agreement to update such information or include it in any future Annual Report or notice of occurrence of a Listed Event. SECTION 10. Default. Any person referred to in Section 11 (other than the Local Issuer) may take such action as may be necessary and appropfiare, including seeking mandate or specific performance by court order, to cause the Local Issuer to file its Annual Report or to ~ve notice of a Listed Event. The Authority may, and the holders of not less than a majority in aggregate principal emount of Bonds outstanding may, take such actions as may be necessary and appropriate, including seeking mandate or specific performance by court order, to challenge the adequacy of any information provided pursuant ro this Disclosure Agreement, or to entbrce any other obligation of the Local Issuer hereunder. A default under this Disclosure Agreement shall not be deemed an event of default under the applicable resolution or bonds of the Local Issuer, and the sole remedy under this Disclosure Agreement in the event of any failure of the Local Issuer m comply herewith shall be an action to compel performance. Nothing in this provision shall be deemed to restrict the fights or remedies of any holder pursuant to the Securities Exchange Act of 1934, the rules and regulations promulgated thereunder, or other applicable laws. SECTION 11. Beneficiaries. This Disclosure Agreement shall inure solely to the benefit of the Authority, the Local Issuer, the Participating Underwriters, and holders from time to time of the Authority's Bonds, and shall create no fights in any other person or entity. 4 SECTION 12. Counterparts. This Disclosure Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. Date: November __, 1997. ALBEMARLE COUNTY, VIKGINIA By. Its NOTICE OF FAILU/LE TO FILE ANNUAL REPORT [AUDITED FINANCIAL STATEMENTS] EXHIBIT A Re: VIRGINIA PUBLIC SCHOOL AUTHORITY SCHOOL FINANCING BONDS (1997 Resolution) 1997 SERIES 1 CUSIP Numbers. Dated: November 1, 1997 Name of Local Issuer NOTICE IS HEREBY G1WEN that the [Local Issuer] has nor provided an Annual Report as required by Section 3(a) of the Continuing Disclosure Agreement, which was entered into in connection with the above-named bonds issued pursuant to that certaJx~ Series Resolution adopted on September 29, 1997, by the Board of Commissioners of the Virginia Public School Authority, the proceeds of which were used to purchase $ [School Bonds] of the [Local Issuer]. [The-Local Issuer anticipates that the Annual Report will be filed by .] The Local Issuer is a material "obligated person" within the meaning of Rule 15c2-12 under the Securities Exchange Act of 1934, as amended, with respect to the above- named bonds of the Authority. Dated: [LOCAL ISSUER] By EXHIBIT B CONTENT OF ANNUAL REPORT Description of the Local Issuer. A description of the Local Issuer including a summary of its form of government, budgetary processes and its management and officers. Debt. A description of the terms of the Local Issuer's outstanding tax-supported and other debt including a historical summary of outstanding tax-supported debt: a summary of authorized but unissued tax-supported debt; a summary of legal debt margin; a sununary of overlapping debt; and a surcanary of annual debt service on outstanding tax-supported debt as of the end of the preced/ng fiscal year. The ~mnual Report should also include (to the extent not shown in the latest audited financial sta[emen~s) a description of contingent obligations as well as pension plans admin/stered by the Local Issuer and any unfunded pension liabilities. Financial Data. Financial information respecting the Local Issuer including a description of revenues and expenditures for its major funds and a summary of its tax policy, structure and collections as of the end of the preceding fiscal year. Capital Improvement Plan. A summary of the Local Issuer's capital improvemem plan. Demographic, Economic and Supplemental Information. A summary of the Local Issuer's demographic and economic characteristics such as population, income, employment, and public school enrollment and infrastructure data as of the end of the preceding fiscal year. The Annual Report should also include a description of material litigation pending against the Local Issuer. DRAFT PROCEEDS AGREEME~ Respecting the Custody, Investment, and Disbursement of Proceeds of Local School Bonds Purchased by the Virginia Public School Authority with the Proceeds of Its $ School Financing and Refunding Bonds (1997 Resolution) Series 1997-I Dated November ,1997 Among Virginia Public School Authority Central Fidelity National Bank Mentor Investment Advisors, LLC and Accomack County Albemarle County Bedford County Campbell County Fauquier County Greene County Greensville County Hanover County Montgomery. County Prince Edward County Prince George County City of Richmond City of Roanoke Spotsylvanla County Stafford County City of Staunton York County 93002.3 TABLE OF CONTENTS Section 1. Section 2. Section 3. Section 4. Section $. Section 6. Section 7. Section 8. Section 9. Page ! Recitals .......................................... 3 Def'mitions ........................................ Disposition of VPSA Bond Proceeds ........................ 9 Establishment of Accounts ............................. 10 Disposition of Local School Bond Proceeds .................... 11 Investment of Principal Subaccount ....................... 11 Disbursements from Principal Subaccount .................... 11 Invesunem of Income Subaeeount ......................... 12 Income Subaccount ................................... 12 Section 10. Investment Losses ................................... 14 Section 11. Rebate Computations ................................. 15 Section 12. Transfers to Income Subaccount .......................... 16 Section 13. Disposition of Excess Proceeds ........................... 17 Section 14. Rebate Payments and Penalty Payments ..................... 18 Section 15. Section 16. Section 17. Section 18. Section 19. Duties of VPSA .................................... 19 Duties of CFNB .................................... 20 Duties of Local Units ................................. 20 Responsibilities of the Investment Manager ................... 21 Costs ........................................... 21 93~02.3 Section 20. Opinions of Counsel ................................. 22 Section 21. Amendment ....................................... 22 Section 22. Notices .......................................... 23 Section 23. No Third Party Beneficiaries ............................ 24 Section 24. Severability ....................................... 25 Section 25, No Personal Liability ................................. 25 Section 26. Applicable Law .................................... 25 Section 27. Counterparts ...................................... 26 Section 28. Effective Date; Term ................................. 26 Exhibit A ................................................ A-1 Exhibit B ................................................ B-1 Exhibit C ................................................ C-1 Exhibit D ................................................ D-1 PROC~BS AGI~MENT Respecting the Custody, Investment, and Disbursement of Proceeds of Local School Bonds Purchased by the Virginia Public School Authority with the Proceeds of Its $ School Financing and Refimding Bonds (1997 Resolution) Series 1997-I This PROCEEDS AGREEMENT, dated November _, 1997 (this "Agreement"), is among the Vir~nia Public School Authority, a public body corporate and a political subdivision and instrumentality of the Commonwealth of Virginia ("VPSA"), the counties and cities that are signatories to this Agreement (collectively, the "Local Units". and each a "Local Unit"), Central Fidelity National Bank, a banking institution organized under the laws of the United States of America and having its principal office in Richmond, Virginia, and Mentor Investment Advisors, LLC, a corporation organized under the laws of Virginia and having an office in Richmond, Virginia. All capitalized terms used herein shall have the meaning given to them in Section 2 hereof. The parties hereto agree and covenant as follows: Section 1. Recitals. A. On or before October 15, 1997, VPSA and each of the Local Units entered into a Bond Sale Agreement, pursuant to which VPSA agreed to purchase, and the Local Unit agreed to sell its Local School Bonds. B: On October , 1997, VPSA and Bear. Stearns & Co. Inc., Morgan Stanley Dean Witter, Davenport & Co. of Virginia. Inc., Legg Mason Wood Walker, Inc. and Wheat First Securities. Inc. (collectively, the ."Purchaser") entered into a Bond Purchase Agreement 93~2.3 (the "Bond Purchase Agreement") pursuant to which the Purchaser agreed to purchase, and VPSA agreed to sell, the Bonds. The Purchaser is obligated by the terms of the Bond Purchase Agreement to pay the purchase price for VPSA's Bonds on the Closing Date. VPSA will apply certain of the proceeds of the sale of VPSA's Bonds, together with other available money, to the refunding of certain outstanding indebtedness of the Authority and to the purchase of the Local School Bonds on November , 1997, the Local School Bonds Closing Date. VPSA will also apply certain of the proceeds of the sale of VPSA's Bonds, together with other available funds, to pay a portion of interest on the VPSA's Bonds between the July 15, 1998 interest payment date on the 1997 Local School Bonds and the August I, 1998 interest payment date on the VPSA's Bonds and to pay accrued interest and costs of issuance of the VPSA Bonds. C. The Code imposes requirements on VPSA and the Local Units selling their Local School Bonds to VPSA that must be met if interest on VPSA's Bonds and interest on the Local School Bonds arc-to be excludable from gross income for federal income tax purposes, including a requirement that in certain circumstances, certain investment income with respect ro the Local School Bonds, which income is deemed for federal income mx purposes to be invesunent income of VPSA's Bonds. be subject to payment, or in lieu thereof certain payments be made, to the United States Treasury, D. VPSA has determined that in order to fulfdl its representations respecting the maintenance of the exclusion of the interest on VPSA's Bonds from gross income for federal income mx purposes, VPSA must establish a mechanism to provide accountability for the custody, investment and disbursement of the proceeds of VPSA's Bonds and the proceeds of the Local School Bonds. 2 E. It is the purpose of this Agreement to enable VPSA (i) to fulfill the representations mentioned in the preceding subsection; (ii) subject to the constraints of the Code affecting the investment of the proceeds of tax-exempt obligations, to achieve the optimum, prac- ticable income by the professional management of the investment and reinvesrment of the pro- ceeds of the Local School Bonds; (iii) to provide for the custody, investment and disbursement of the proceeds of the Local School Bonds, and for the maintenance of appropriate records thereof: (iv) to meet the rebate requirement imposed by Section 148(f) of the Code, in parr through the payment of either the Local Unit Rebate Requirement by each of the Local Units or the Penalty if the Penalty Election has been made on behalf of a Local Unit; and (v) to provide for the allocation and payment of the costs associated with the establishment and maintenance of this Agreement. F. The purpose set forth in the preceding subsection E shall be accomplished through SNAP. The proceeds of the Local School Bonds shall be invested in accordance with the Information Statement. Section 2. Del'tuitions. In addition to the words and terms elsewhere defined in this Proceeds Agreement including the Exhibits attached hereto, the following words and terms shall have the following meanings: "Aggregate Local Units' Rebate Requirement" shall be the amotmt calculated pursuant to the Letter Agreement. "Agreement" or "Proceeds Agreement" shall mean the Proceeds Agreement, dated November .1997, among the Authority, the Local Units, CFNB and the Investment Manager. 93002.3 3 "Authorized Representative" shall mean, as applied m VPSA, CFNB, the Investment Manager and the Local Units, the person or each of the persons thereby designated, from t/me to time, m accordance with and as listed on the page of this Agreement executed by such party. "Available Construction Proceeds" shall mean, as applied to each Local Unit, the sum of (i) the amount initially deposited to the Principal Account of such Local Unit pursuant to Section 5 hereof, and (ii) the investment earnings thereon, reduced by the amount of issuance costs financed by such Local Unit's Local School Bonds. In the event that the Local Unit has made the Bifurcation Election on its signature page, "Available Construction Proceeds "shall mean the sum of the amount set forth on the signature page as the portion of the issue used for construction and the investment earnings thereon, reduced by the amount set forth on the s~gnature page as allocable to issuance expenses. "Bifurcation Election". with respect tu each issue of Local School Bonds, shall mean the election made by the Local Unit to treat a portion of its Local School Bonds used for construction as a separate ~ssue pursuant to Section 148(f)(4)(C)(v) of the Code. "Bond Sale Agreement" shall mean the Bond Sale Agreements, dated as of October 15, 1997, between VPSA and each Local Issuer. "Capital Expenditure" shall mean any cost of a type that is properly chargeable to a capital account (or would be so chargeable with a proper election) under general federal income mx principles as determined at the time the expenditure is paid with respect to the property. 93002.3 "Capital Project" shall mean all Capital Expenditures, plus related working capital expenditures to which the de minimis exception provided by Section 1.148-6(d)(3)(ii)(A) of the Treasury Regulations to the proceeds-spem-last rule applies, that carry our the governmental purpose of the Local School Bond issue. "CFNB" shall mean Central Fidelity National Bank, a banking institution organized under the laws of the United States of America and having its principal office in Richmond, Vkginia. CFNB is the Depository for Individual Portfolios and custodian of the assets of the SNAP fund. "Closing Date" shall mean November __, 1997. "Code" shall mean the Internal Revenue Code of 1986, as amended. "Computation Date" shall mean each of the Installment Computation Dates and the Final Computation Date. "Contract". shall mean the Contract respecting the Virginia State Non-Arbitrage Program, between the Treasury Board of the Commonwealth of Virginia and the Investment Manager, including the Depository Agreement appearing as Appendix A thereto. "Eighteen-Month Exception" shall mean the exception to the Rebate Reqniremenr provided by Treasury Regulation Section I. 148-7(d). "Final Computation Date" shall mean the date the last bond that is part of the issue of VPSA's Bonds is discharged. "Gross Proceeds" shall have the meaning given to such term in the Letter Agreement. 93oo2.3 5 "Income Subaccotmt" shall mean (i) the Income Subaccount established pursuant to Section 4 of this Proceeds Agreement for each Local Unit and (ii) both Income Subaccounts established pursuant to Section 4(B) of this Proceeds Agreement for the Local Unit(s) described thereto. "Income Subaccount Set Aside" shall have the meaning given to such term by Section 9(b) of this Agreement. "Individual Portfolio" shall have the meaning given to such term in the Information Statement. "Information Statement" shall mean the current Information Statement describing SNAP, as the same may be supplemented and amended. "Installment Computation Dates" shall mean November .2002, and each fifth (Sth) anniversary date thereafter. "Investment Manager" shall mean Mentor Investment Advisors, LLC, a corporation organized under the laws of Virginia and having an office in Richmond, Virginia, m its capacity as the investment manager of SNAP. "Investment Report" shall have the meaning given to such term in Part A of the Letter Agreement. "Letter Agreement" shall mean the Letter Agreement, dated the date hereof, attached to this Agreement as Exhibit C. "Local School Bonds" shall mean general obligation school bonds of a Local Unit having the terms and provisions required by the Bond Sale Agreement. 93~2.3 6 "Local School Bonds Closing Date" shall mean the Closing Date, except as otherwise provided on the page of this Agreement executed by a Local Unit. "Local Unit" or ~Local Units" shall have the meaning accorded to such term by the first paragraph of this Agreement. "Local Unit Rebate Computation", with respect to each issue of Local School Bonds, shall mean a Rebate Computation for each Local Unit made on each Computation Date pursuant to Section 11 of this Proceeds Agreement. "Local Unit's Rebate Requirement", with respect to each issue of Local School Bonds, shall mean the amount payable to the United States Treasury calculated pursuant to the Letter Agreement. "Penalty" shall mean the mount that must be paid to the United States Treasury pursuant to the Penalty Election. "Penalty Election", with respect to each issue of Local School Bonds, shall mean the election made by the Local Unit to pay a penalty in lieu of rebate pursuant to Section 148(f)(4)(C)(vii) of the Code. "Principal Subaccount" shall mean (i) the Principal Subaccotmt established pursuant to Section 4 of this Proceeds Agreement for each Local Unit and (ii) both Principal Subaccounts established pursuant to Section 4(B) of this Proceeds Agreement for the Local Unit(s) described therein. "Purchaser" shall mean, collectively, Bear, Stearns & Co. Inc., Morgan Stanley Dean Witter, Davenport & Co. of Virginia, Inc., Legg Mason Wood Walker, Inc. and Wheat First Securities, Inc. 93002.3 7 "Rebate Calculation Agent" shall have the meaning given to such term in the Letter Agreement. "Rebate Computation" shall mean the computation, as of a Computation Date, of the Local Unit Rebate Requirement m such Computation Date. The amount so computed may be a positive or a negative number. "Rebate Exceptions" shall mean the Spending Exceptions and the Small-Issuer Exception, collectively. "Rebate Report" shall mean the Local Unit Rebate Computations. "Rebate Requirement" shall mean the rebate requirement imposed by Sections 148(I)(2) and (3) of the Code. "Six-Month Exception" shall mean the exception to the Rebate Requirement provided by Section 148(f)(4)(B) of the Code. "Spending Exceptions" shall mean the Six-Month Exception, the Eighteen-Month Exception and the Two-Year Exception, collectively. "Small-Issuer Exception" shall mean the exception to the Rebate Requirement provided by Section 148(f)(4)(D) of the Code. "SNAP" shall mean the State Non-Arbitrage Program established pursuant to Article 7.1, Chapter 14, Title 2.1, Code of Virginia, as amended. "SNAP Documents" shall mean the Information Statement and the Contract. "Two-Year Exception" shall mean the exception to the Rebate Requirement provided by Section 148(0(4)(C) of the Code. 8 "VPSA" shall mean the Virginia Public School Authority, a public body corporate and a political subdivision and instr~mentality of the Commonwealth of Virginia. 'VPSA's Bond Yield" shall mean the Yield on VPSA's Bonds as set forth in the Letter Agreement. As provided in Treasury Regulation Section 1.148-4(a), the yield on each issue of Local School Bonds of a Local Unit the interest on which is excluded from gross income shall equal the VPSA's Bond Yield. "VPSA's Bonds" shall mean the $ aggregate principal amount of VPSA's School Financing and Refunding Bonds (1997 Resolution) Series 199%I. "Withdrawal Date" shall mean the date as of which an interim Rebate Calculation is made pursuant to Section 9 of this Proceeds Agreement. "Yield" shall have the meaning accorded to such term by the Letter Agreement. Section 3. Disposition of VPSA Bond Proceeds. A. Prior to the Closing Date, each Local Unit will complete and submit, to the Investment Manager, the program registration form and the SNAP account registration form annexed to the Information Statement. B. On the Closing Date, VPSA will transfer to CFNB for deposit in SNAP, in immediately available funds, an amount equal to the aggregate purchase price of all of the Local School Bonds ($ ). C. Each Local Unit hereby agrees to adhere strictly to the prescribed and recommended procedures described in the Information Statemem. Each Local Unit hereby further agrees that it will not deviate from or request an exception m such procedures without first obtaining the prior written approval of VPSA. In the event of a conflict between the 93oo~.3 9 provisions of this Agreement and the Information Statement, the prowsions of this Agreement shall control. Section 4. Establishment of Accounts. A. Except as provided in Section 4(B) below, the Inves~mem Manager will establish on its books for each Local Unit one (1) account and two (2) subaccounts therein as follows: VPSA-(Name of Local Unit) Proceeds Account - Series 1997-I Issue Principal Subaccount Incom~ Subaccount B. The Investmem Manager shall establish on its books for County and County, within the one (1) Proceeds Account for each such County, two (2) subaccounts therein, and two subaccounts within each such subaccount, as follows: VPSA- County Proceeds Account - Series 1997-I Issue Non-Subsidy Subaccount Subsidy Subaccount Principal Subaccount Principal Subaccount Income Subaccount Income Subaccount The amounts in the Principal Subaccounts and Income Subaccounts of these Local Unit(s) shall be combined for purposes of this Agreement. Requisitions from County or County shall specify the Subaccount from which moneys are being requisitioned. If a Local Unit has elected to treat a portion of its Local School Bonds issue used for construction as a separate issue as set forth on its signature page, the Investment Manager shall maintain such records as necessary to determine the portion of the Principal Subaccount and Income Subaccount of such Local Unit allocable m the construction issue and the non~ construction issue. 93~2.3 10 Section 5. Disposition of Local School Bond Proceeds. The Investment Manager shall, immediately upon the receipt of the aggregate proceeds of the Local School Bonds, allocate such proceeds on the Closing Date to the Local Units, dollar for dollar, in accordance with the respective principal amounts of their Local School Bonds set forth in Exhibit A to this Agreement. There is no accrued interest on the Local School Bonds. The proceeds of VPSA's Bonds allocated to each Local Unit shall be credited to the Principal Subaccount of the Local Unit in the amounts set forth in Exhibit A with respect to the Subsidy Local School Bonds and/or the Non-Subsidy Local School Bonds. as the case may be. Section 6. Investment of Principal Subaeeount. The Investment Manager shall invest and reinvest moneys to the credit of the Principal Subaccount of each Local Unit for the benefit of such Local Unit in accordance with the provisions of the Information Statement and Section 18 of this Agreement. The Investment Manager shall credk to the Local Unit's Income Subaccounr all income and profits from the investment and reinvestmenr of moneys to the credit of its respective Principal Subaccounr. Section 7. Disbursements from Principal Subaccount. Beginning on the Closing Date, each Local Unit may at any time withdraw all or any portion of the proceeds of its Local School Bonds credited to its Principal Subaccount (including mounts transferred to the credit of the Principal Subaccount from the Income Subaccount pursuant to Section 9), in accordance with the Information Statement and, in the case of a reimbursement to the Local Unit, by filing with the Investment Manager a requisition or requisitions therefor in the form of Exhibit B to this Agreement signed by an Authorized Representative of the Local Unit. Notwithstanding anything to the contrary in the Information 930o2.3 11 Statement, the Investment Manager agrees that, in the case of a reimbursement to the Local Unit, it shall not disburse any money from the Principal Subaccotmt unless and until it has received such requisition from the Local Unit. Section 8. Investment of Income Subaccotmt. The Investment Manager shall invest and reinvest moneys to the credit of the Income Subaccount of each Local Unit for the benefit of such Local Unit in accordance with the provisions of the Information Statement and Section 18 of this Agreement. The Investment Manager shall credit to the Local Unit's Income Subaccount all income and profits from the investment and reinvestment of moneys to the credit thereof. Section 9. Income Subaccount. A. The Investment Manager will notify a Local Unit and VPSA when the balance to the credit of the Principal Subaccount of such Local Unit shall have been reduced to zero ($0). Such Local Unit may then withdraw from its Income Subaccotmt an amount not in excess of the amount then to the credit of its Income Subaccotmt if the Local Unit qualifies for any one of the Rebate Exceptions or if such withdrawal is necessary to qualify for one of the Spending Exceptions. 1. In order to qualify for the Small-Issuer Exception. the Local Unit must deliver to VPSA and the Investment Manager no later than the end of calendar year 1997 (a) a letter from, or opinion of. nationally recognized bond counsel that the Local School Bonds of such Local Unit purchased by VPSA with the proceeds of the VPSA's Bonds will be treated as meeting the requrrements of Code Sections 148(f)(2) and (3), pursuant to Code Section 148(f)(4)(D); and (b) the Local Unit's covenant that it shall provide for 93002.3 12 the payment or reimburse VPSA for its payment of the Local Unit's Rebate Requirement in the event that the Local School Bonds of such Local Unit fail to meet ail of the requirements of the Small Issuer Exception. 2. In order to determine if a Local Unit qualifies for either the Six-Month Exception or the Eighteen-Month Exception, the Investment Manager shall advise each Local Unit and VPSA of the amount that has been disbursed from the Principal Subaccount and the Income Subaccounr of such Local Unit (a) six (6) months from the Closing Date, (b) twelve (12) months from the Closing Date, and (c) eighteen (18) months from the Closing Date. To facilitate such determination, each Local Unit shall set forth on the signature page for such Local Unit the mount of investment proceeds that such Local Unit reasonably expects as of the Closing Date to earn. 3 In order to determine if a Local Unit qualifies for the Two-Year Exception, the Investment Manager shall advise each Local Unit and VPSA, of the amoun[ of Available Construction Proceeds that has been disbursed from the Principal Subaccount and the Income Subaccount of such Local Unit (a) six (6) months from the Closing Date, (b) twelve (12) months from the Closing Date, (c) eighteen (18) months from the Closing Date, and (d) twenty-four (24) months from the Closing Date. To facilitate such determination, each Local Unit shall set forth on the signature page for such Local Unit the amount of invesunent proceeds that such Local Unit reasonably expects as of the Closing Date m earn and the elections that it requests VPSA to make on its behalf. Furthermore, such Local Unit shall set forth in a certificate delivered to VPSA on the 93~2.3 13 Closing Date such facts and circumstances as necessary to show that it reasonably expects to qualify for the Two-Year Exception. Except to the extent that a Penalty Election has been made on behalf of a Local Unit, if the Local Unit fails to qualify for one of the Spending Exceptions, or is otherwise subject to the Rebate Requirement, then prior to a withdrawal from its Income Subaccount and upon receipt of such notification, the Local Unit shall promptly request, pursuant to the terms of the Information Statement, an interim Rebate Computation with respect to such Local Unit or an estimate of such Local Unit's Rebate Requirement for purposes of determining what amount, if any, to the credit of the Income Subaccount ma.v be subject to rebate. Any estimate of the Local Unit's Rebate Requirement made by the Investment Manager shall also be provided to VPSA in writing. Notwithstanding anything to the cont~, in the Information Statement, no disbursement will be made from the Income Subaccount until the aforementioned calculation shall have been made. The amount to the credit of the Income Subaccount that may be subject to rebate is the Income Subaccount Set Aside. On the Withdrawal Date, the Investment Manager shall (i) reserve, in the Income Subaecount, the amount of the Income Subaccount Set Aside until the next Rebate Computation required by Section 11 shall have been made and (ii) credit the remaining balance to the credit of the Income Subaccount to the credit of the Local Unit's Principal Subaccount. Section 10. Investment Losses. The Investment Manager shall charge any loss realized from the investment or reinvesunent of moneys to the credit of the Income Subaccount and the Principal Subaccount of a Local Unit as follows: 93oo2.3 14 1. losses on moneys to the credit of the Principal Subaccount shall be charged thereto: and 2. losses on moneys to the credit of the Income Subaccount shall be charged first to the Principal Subaccount and then to the Income Subaccount. Section 11. Rebate Computations. On or before each Computation Date, VPSA will prepare, or cause m be prepared, in accordance with the provisions of the Letter Agreement the Local Unit Rebate Computations. The Local Unit Rebate Computation for each Local Unit shall be made on the basis of the Investment Reports maintained by the Investment Manager for each Proceeds Account. As set forth in the Letter Agreement, the Local Unit Rebate Requirement shall be calculated separately for each Local Unit. If it is determined, however, that the Local Unit Rebate Requirement is 'required to be calculated in the aggregate, the Local Unit Rebate Requirement for each Local Unit shall be equal to the percentage of the Aggregate Local Unit Rebate Requirement determined by multiplying the Aggregate Local Unit Rebate Requirement by a fraction, the numerator of which is the positive Local Unit Rebate Requirement calculated separately and the denominator of which is the sum of all of the positive Local Unit Rebate Requirements calculated separately. If any provision of this Agreement shall become inconsistent with any regulation or regulations promulgated under Section 148(f) of the Code subsequent ro the date hereof, VPSA hereby agrees and covenants to prepare, or cause ro be prepared, as soon as practicable, a Local Unit Rebate Computation for each Local Unit, in compliance with such regulation or 93oo2.3 15 regulations, and VPSA, the Investment Manager and each of the Local Units hereby further agree and covenant immediately to make any and all transfers and payments required by Sections 12 and 14 of this Agreement from any moneys on deposit in the Income Subaccount and any other moneys of the Local Unit legally available for such purpose. Section 12. Transfers to Income Subaccount. Upon receipt of the Rebate Report from VPSA, if the amount on deposit in the Local Unit's Income Subaccount (including the Income Subaccount Set Aside) is less than the Local Unit Rebate Requirement of such Local Unit, the Investment Manager shall promptly charge the Principal Subaccount of such Local Unit to the extent the amount on deposit to the credit of the Income Subaccount is less than the Local Unit Rebate Requirement and credit its Income Subaccount with an amount such that the balance to the credit of the Income Subaccounr is equal to the Local Unit Rebate Requirement (talcing into account prior amounts credited to the Income Subaccount including invesunent income thereon). To the extent that the amount on deposit in the Principal Subaccount is insufficient to provide for a deposit ro the Income Subaccount such that the balance in the Income Subaccount is equal to the Local Unit Rebate Reqmrement for the Local Unit, the Invesunenr Manager shall advise VPSA and such Local Unit of the amount of the deficiency, and, to the extent permitted by law, the Local Unit agrees to transfer promptly to CFNB, from any funds that are or may be made legally available for such purpose, the amount required. To the exren[ that the amount on deposit in the Income Subaccount exceeds the Local Unit Rebate Requirement for the Local Unit, the excess over the Local Unit Rebate Requirement shall be transferred to the Principal Subaccount of the Local Unit. 16 Section 13. Disposition of Excess Proceeds. A. When a Local Unit shall certify to VPSA and the Investment Manager that there are balances m the credit of the Local Unit's Principal Subaccount or Income Subaccount that will not be used for Capital Projects prior to November _. 2000, such amount shall be retained in the Proceeds Account and, to the extent such amount is not required to be deposited to the Income Subaccount pursuant to Section 12, VPSA will, except as provided in the last sentence of this Section 13A, direct CFNB to apply such amount to redeem such Local Unit's Local School Bonds on the earliest possible date that such Bonds may be called without a penalty or premium or to pay a portion of the annual principal due on such Local Unit's Local School Bonds (a) in the years before such Bonds are callable, (b) in years when such Local School Bonds are callable but only in an amount in excess of the unexpended Local School Bond proceeds, or (c) in years when such Bonds are callable but a call premium or penalty is required. The portion of the annual principal payment due on the Local Unit's Local School Bonds that may be paid from the unexpended Local School Bond proceeds is an amount equal to the annual principal payment due multiplied by a fraction, the numerator of which is equal to the tmexpended Local School Bond proceeds of such Local Unit and the denominator of which is equal to the face amount of such Local Unit's Local School Bonds. VPSA will notify the Local Unit of the amount of such credit. Notwithstanding the foregoing, when a Local Unit shall certify to VPSA and the Investment Manager that it has made an election under Section 148(f)(4)(C)(viii) or (ix) of the Code to terminate the Penalty Election, and that, pursuant to Code Section 148(f)(4)(C)(viii)(I~ of such termination election, such Local Unit indicates the amount of Available Construction Proceeds to be applied to the redemption of its Local School 93002.3 17 Bonds and the date of such redemption, VPSA will direct the Inveslment Manager and CFNB m apply such mount toward the redemption of such Local Unit's Local School Bonds on the date indicated. B. In the event, that there are any balances rernaiuing on deposit in either the Principal Subaccount or Income Subaccount of any Local Unit on November __, 2000, such mounts will be invested by the Investment Manager in an Individual Portfolio at a Yield not in excess of the VPSA's Bond Yield or in mx-exempt obligations. Section 14. Rebate Payments and Penalty Payments. A. The Local Unit Rebate Requirement of each Local Unit shall be paid to the United States Treasury at the direction of VPSA on behalf of and for the accounts of the Local Unit and VPSA in accordance with the Letter Agreemem. B. The payment of the Local Unit Rebate Requirement of each Local Unit shall be in partial satisfaction-with respect to the VPSA's Bonds. and total satisfaction with respect to the proceeds of the Local School Bonds on deposit in the Proceeds Account, of the requirements of Section 148(f) of the Code except to the extent that such issue of Local School Bonds may be treated as a composite issue under Treasury Regulation §1.150-1(c) with another issue of obligations. C. Notwithstanding anything to the comrary herein, if VPSA has made the Penalty Election on behalf of a Local Unit and if such Local Unit fails to qualify for one of the Spending Exceptions, then, prior m any further disbursements from the Principal Subaccount or Income Subaccount, the Local Unit shall promptly request, pursuant m the terms of the 93002.3 18 Iaformation Statement, a computation of the amount of the Penalty that must be paid to the United States Treasury pursuant to the Penalty Election. If the amount on deposit in the Local Unit's Income Subaccount and Principal Subaccount is less than the amount of the Penalty due by such Local Unit, the Investment Manager shall advise VPSA and such Local Unit of the amount of the deficiency, and to the extent permitted by law, the Local Unit agrees to transfer promptly to CFNB, from any funds that are or may be made legally available for such purpose, the amount required. The Penalty of each Local Unit shall be paid ro the United States Treasury at the direction of VPSA on behalf of and for the accounts of the Local Units no later than ninety (90) days after the end of the spending period to which the Penalty relates. Section 15. Duties of VPSA. VPSA shall carry out its duties and responsibilities under this Agreement and may retain agents, independent contractors and others that it deems qualified to carry out any or all of such duties and responsibilities. VPSA shall carry out, or cause to be carried out, all of its responsibilities under the Letter Agreement. VPSA shall retain a copy of all Rebate Computations for at least six (6) years after the retirement of the last of VPSA's Bonds. VPSA agrees that, except as provided in this Agreement, any rebate liability that VPSA may have on account of the invesunenr and reinvestment of the Gross Proceeds of VPSA's bonds, including, by way of example and not of limitation, any rebate liability as a result of the invesunenr of money credited to funds and accounts created under its bond 19 resolutions or as a result of the advance refunding of its bonds, shall be the sole responsibility of VI)SA and not any Local Unit. Section 16. Duties of CFNB. CFNB shall carry out its duties and responsibilities under the SNAP Documents and this Agreement. Section 17, Duties of Local Units. A. The Local Units will cooperate with VPSA, the Investment Manager and CFNB in order to ensure that the purposes of this Agreement are fulfilled. To that end, each Local Unit covenants and agrees that it will take any and all action and refrain from taking any and all action, as recommended by its bond counsel, to maintain the exclusion from gross income for federal income tax purposes of interest on its Local School Bonds to the same extent such interest was so excludable on the Closing Date. B. If a Local Unit is required to restrict the Yield on its investments, in order to comply with such covenant or m maintain the exclusion from gross income for federal income mx purposes of the interest on VPSA's Bonds, it shall timely notify the Investment Manager to restrict such Yield to the VPSA's Bond Yield. Each Local Unit agrees not to charge its general fund or otherwise set aside or earmark funds with which to pay debt service on its Local School Bonds (other than as a budget item) prior to the date of payment thereof to VPSA. C. Each Local Unit agrees m provide for the payment of its Local Unit Rebate Requirement and/or Penalty and acknowledges that the payment of its Local Unit Rebate Requirement and/or Penalty is necessary to maintain the exclusion from gross income for federal income mx purposes of interest on its Local School Bonds as well as the VPSA's Bonds. Each 93oo2.3 20 Local Unit agrees m complete and to provide to VPSA such forms as VPSA may request for filing m connection with the payment of the Local Unit Rebate Requirement and/or Penalty. D. Each Local Unit hereby covenants and represents that neither the Local Unit nor any related party, as defined in Section 1.150-1 (b) of the Treasury Regulations, to such Local Unit, pursuant to any arrangement, formal or informal, will purchase the VPSA's Bonds in an amount related to the amount of Local School Bonds tO be acquired from such Local Unit by vPs^. Section 18. Responsibilitie~ of the Investment Manager. The Investment Manager shall be the agent of, and serve ar the expense of, the Local Units, to manage and direct the temporary investment and reinvestment of all moneys to the credit of the Proceeds Accounts pending their disbursement to the Local Units and to make such computations as required by this Agreement. In general, the duties of the Investment Manager shall include those described in the SNAP Documents. In particular, the Investment Manager will direct the investment and remvesunent of moneys to the credit of the Subaccounts of each Local Unit in accordance with the Information Statement, the Contract and this Agreement. Section 19, Costs. Costs of SNAP are payable as provided in the Information Statemem. The difference in the interest ra~es between VPSA's Bonds and the Local School Bonds shall be collected and retained by VPSA as partial payment of the administrative costs incurred by VPSA in connection with issuing, carrying, and repaying VPSA's Bonds, and the underwriting 93002.3 2 1 discount, if any, and the cost of purchasing, car~ing, and selling or redeeming the Local School Bonds. VPSA will not charge any other fee to the Local Units for its services or seek reimbursement for its fees and expenses, including counsel fees, incurred in connection with the discharge of its duties and responsibilities under this Agreement. Section 20. Opinions of Counsel. On the Closing Date, VPSA and each Local Unit shall furnish an opinion of counsel addressed, in the case of counsel to VPSA, to all the Local Units. and in the case of counsel to the Local Units, to VPSA, to the effect that the obligations of its client under this Agreement are valid, binding and enforceable against such client in accordance with its terms. Section 21. Amendment. This Agreement may be amended only with the consent of all the affected parties: provided, however, that this Agreemem shall be amended whenever, in the judgment of VPSA, based on an opinion of its counsel, such amendment is required in order to insure that interest on VPSA's Bonds shall remain excludable from gross income for federal income tax purposes to the same extent it was, in the opinion of such counsel, so excludable on the Closing Date. VPSA shall offer to amend this Agreement whenever it shall in good faith determine, based on an opinion of its counsel, that any one or more of the restrictions or requirements imposed by this Agreement upon the Local Units, or any of them, may be removed or modified without adversely affecting the exclusion of interest on VPSA's Bonds from gross income for federal income tax purposes. Section 22. Notices. Whenever notice is to be given pursuant to the provisions of this Agreement, such notice shall be deemed to have been satisfactorily given on the same day if hand delivered or telecopied during regular business hours or three (3) days after the date of postmark if mailed, first class mail, postage prepaid, as if to VPSA, to by hand by mail by telecopier in any case follows: Virginia Public School Authority c/o State Treasurer 3rd Floor. James Monroe Building 101 North 14th Street Richmond, Virginia 23219 Post Office Box 1879 Richmond, Virginia 23218-1879 (804) 225-3187 Attention: Director, Debt Management Division if m CFNB, to by hand by telecop~er in any case Central Fidelity National Bank 1021 East Cary Street Richmond, Virginia 23219 Post Office Box 27602 Richmond. Virginia 23261 (804) 697-7173 Attention: Anthony J. Conte Vice President 93002.3 if to the Investment Manager, to by hand by marl by telecopier in any case Mentor Investment Advisors. LLC 901 East Byrd Street Riverfront Plaza, 6th Floor Richmond, Virginia 23219 901 East Byrd Street Riverfront Plaza, 6th Floor Richmond, Virginia 23219 (8~)3~5~ Attention: A1 Samper Senior Vice President if to a Local Unit, to the address or telecopier number indicated on the page of this Agreement executed by such Local Unit. Any such address or number may be changed by written notice given to all the other parties to this Agreement and the Investment Manager. except that a Local Unit need give such notice only to VPSA. CFNB and the Investment Manager. Section 23. No Third Party Beneficiaries. Except as herein otherwise expressly provided, nothing in this Agreement expressed or implied is intended or shall be construed to confer upon any person, firm or corporation other than the parties hereto any right, remedy or claim, legal or equitable, under or by reason of this Agreement or any provision hereof, this Agreement and all its provisions being intended to be and being for the sole and exclusive benefit of the parties hereto. 93002.3 24 Section 24. Severability. In case any one or more of the provisions of this Agreement shall for any reason be held to be illegal or invalid, such illegality or invalidity shall not affect any other provision of this Agreement and this Agreemem shall be construed and enforced as if such illegal or invalid provision had not been contained herein. In case any covenant, stipulation, obligation or agreement contained in this Agreement shall for any reason be held to be in violation of law, then such covenant, stipulation, obligation or agreement shall be deemed to be the covenant, stipulation, obligation or agreement of the affected party to the full extent permitted by law. Section 25. No Personal Liability. All covenants, stipulations, obligations and agreements of VPSA contained in this Agreement shall be deemed to be covenants, stipulations, obligations and agreements of VPSA m the full extent authorized by the laws and pemfitted by the Constitution of Virginia. No covenant, stipulation, obligation or agreement contained herein shall be deemed to be a covenant, stipulation, obligation or agreement of any present or future member, employee or agent of VPSA or any Local Unit in his individual capacity. No member, officer, employee or agent of VPSA or any Local Unit shall incur any personal liability in acting or proceeding or in not acting or not proceeding, in good faith, reasonably and in accordance with the terms of this Agreement and the applicable laws of the Commonwealth of Virginia. Section :26. Applicable Law. This Agreement is executed with the intent that the laws of the Commonwealth of Virginia shall govern its construction. 93002.3 25 Section 27. Counterparts. This Agreement may be executed in one or more counterparts. Section 28. Effective Date; Term. This Agreement shall take effect on the Closing Date and shall expire on the date on which VPSA shall make the final rebate payment required by Part D of the Letter Agreement. Virginia Public School Authority By:. Name: Title: Richard A. Davis Assistant Secretary and Assistant Treasurer Central Fidelity National Bank By: Name: Anthony J. Conte Title: Vice President Mentor Investment Advisors, LLC By:. Name: A1 Samper Title: Senior Vice President 93002.3 26 NAME OF ISSUER: Page 1 of 2 A. Address for notices, by hand, by mail and by telecopier, if any, as referred to in Section 22 above: B. Authorized Representative(s): Name Title Specimen Signature C. Local School Bonds Closing Date (if not November __, 1997, enter Date of Issue of Local School Bonds): D. Is the Small Issuer Exception ($5,000,000) applicable to this Issuer? (If yes, an opinion of Bond Counsel and Issuer's covenant is required as per Section 9 herein). Yes No E. Eighteen Month Exception Estimated Investment Earnings for purposes of the Eighteen- Month Exception: $ If any proceeds are used to refund prior debt, please indicate: (a) proceeds used to refund prior debt: $ (b) issuance expense allocable to the refunding portion of the issue: $ 93002.3 Name of Issuer: Page 2 of 2 F. Elections with respect to Two-Year Exception: 1. Election to use actual facts in lieu of reasonable expectations for purposes of the Two- Year Exception: Yes No [, issue: .Estimated Investment Earnings: $ If any proceeds are used to refund prior debt, please indicate: (a) proceeds used to refund prior debt: $ (b) issuance expenses allocable to the refunding portion of the issue: $ Bifurcation Election m treat the portion of the issue used for construction as a separate Yes No If yes, state the portion of the issue used for construction and non-construction, respectively; (the sum of the following amounts must equal the issue price of $ reduced by any portion used for refunding purposes): (a) portion of the issue used for construction: (b) issuance expenses allocable to the construction portion of the issue: $ (c) portion of the issue used for non-construction: $ (d) issuance expenses allocable to the non-construction portion of the tssue: Penalty Election to pay One and One-Half Percent Penalty in lieu of rebate: Yes No City of 93002.3 By:. Name: Tide: NAME OF ISSUER: Page 1 of 2 A. Address for notices, by hand, by mail and by telecopier, ff any, as referred to in Section 22 above: B. Authorized Representative(s): Name Title Specimen Signature C. Local School Bonds Closing Date (if not November __, 1997, enter Date of Issue of Local School Bonds): D. Is the Small Issuer Exception ($5,000,000) app/icable to this Issuer? (If yes, an opinion of Bond Counsel and Issuer's covenant is required as per Section 9 herein). Yes No E. Eighteen Month Exception Estimated Investment Earnings for purposes of the Eighteen- Month Exception: $ If any proceeds are used to refund prior debt, please indicate: (a) proceeds used to refund ptior debt: $ (b) issuance expense allocable to the refunding portion of the issue: $ 93002.3 Name of Issuer: Page 2 of 2 F. Elections with respect to Two-Year Exception: 1. Election to use actual facts in lieu of reasonable expectations for purposes of the Two- Year Exception: Yes No issue: Estimated Investment Earnings: $ If any proceeds are used to refund prior debt, please indicate: (a) proceeds used to refund prior debt: $ (b) issuance expenses-allocable to the refunding portion of the issue: $ Bifurcation Election to treat the portion of the issue used for construction as a separate Yes No If yes, state the pomon of the issue used for construction and non-construction, respectively; (the sm of the following mounts must equal the issue price of $ reduced by any portion used for refunding purposes): (a) portion of the issue used for cons~uction: $ (b) issuance expenses allocable to the consu'uction portion of the issue: $ (c) portion of the issue used for non-construction: $ (d) issuance expenses allocable to the non-consu'uction portion of the issue: $ Penalty Election to pay One and One-Half Percent Penalty in lieu of rebate: Yes No County By: Name: Title: Exhibit A Page 1 of 2 LOCAL SCHOOL BONDS NON-SUBSIDY Local Unit Accomack County Albemarle County Bedford County Fauquier County Greene County Hanover County MontgomeI~ County Prince George County Sporsylvania County Stafford County City of Staunton York County Principal Amount of Bonds $ 8,305,000 20,455,000 4,700,000 3.500,000 1,700,000 3,220,000 4,200,000 14,540,000 8,940,000 8,450,000 2,000,000 15.000,000 $ 95,010.000 93002.3 A-1 Exhibit A Page 2 of 2 LOCAL SCHOOL BONDS - SUBSIDY Local Unit Accomack County Campbell County Greensville County Hanover County Montgomery County Prince Edward County Prince George County City of Richmond City of Roanoke Spotsylvania County City of Staunton Principal Amount of Bonds $10,000,000 3,525,100 6,270,000 3,725,000 5,000,000 5,000,000 5,000,000 5,000,000 5,000,000 10,000,000 5,000,000 93002.3 A-2 Exhibit B [No requisition is required in conjunction with a check payable to a vendor in respect of an invoice due and payable.] FORM OF REQUISmON FOR REIMBURSEMENT BY PRE-AUTttORIZED WIRE [To be used for REIMBURSEMENT to a Local Unit from Local School Bond proceeds for an invoice or obligation that has been paid and is eligible for payment from Local School Bond proceeds.] Mentor Investment Advisors, LLC 901 East Byrd Street Riverfront Plaza, 6th Floor Richmond, Virginia 23219 VIRGINIA PUBLIC SCltOOL AUTItORITY [Name of Local Unit] BONDPROCEEDS ACCOUNT - SERIES 1997-1 ISSUE Requisition from the Principal Subaccount Requisition No. __ ("item number") This requisition for payment from the Principal Subaccount of the Proceeds Account is submitted in accordance with the provisions of the Proceeds Agreement dated November , 1997, among the Virginia Public School Authority ("VPSA"), the undersigned (the "Local Unit") and the other units of local government signatory thereto, Mentor Investment Advisors, LLC, as Investment Manager and Central Fidelity National Bank. You are hereby notified that you are authorized and directed by the Local Unit ro pay the following obligation from the Principal Subaccount: 1. The item number of such payment: __ 2. The amount[s] to be paid: $ o30o2.3 B-1 3. Purpose by general classification for which such obligation was incurred: 4. The date(s) the expenditure(s) was/were made: To reimburse the Local Unit for costs of the Local Unit through , 19 as follows: School paid by the 5. A copy of each supporting [invoice, work order, statement] for which reimbursement is to be made is attached hereto. 6. The obligation[s] in the stated amount[s] have been paid, and each item thereof is a proper charge against the proceeds of the Local Unit's Proceeds Account and has not been the subject of a previous withdrawal from the Proceeds Account. 7. All of which is hereby certified. Dated [Name of Local Unit] By: Authorized Local Unit Representative 93002.3 B-2 Virginia Public School Authority 101 North 14th Street Richmond, Virginia 23219 Exhibit C LETTER AGREFaMENT November __, 1997 Re: Custody, Investment, and Disbursement of Proceeds of Local School Bonds Purchased by the Virginia Public School Authority with the Proceeds of Its $ School Financing and Refunding Bonds (1997 Resolution) Series 1997-1 This LETTER AGREEMENT, dated the date shown above (this "Letter Agreemem"), is between the Authority and the Investment Manager. All capitalized terms used herein shall have the meaning given to them in Part E of this Letter Agreement or in Section 2 of the Proceeds Agreement m which this Letter Agreement is attached as Exhibit C. With respect to the VPSA's Bonds. the Code requires that an amount equal to the VPSA's Rebate Requirement be paid to the United States Treasury. With respect to each issue of Local School Bonds, the Code requires that an amount equal to the Local Unit's Rebate Requirement be paid to the United States Treasury. Accordingly, VPSA hereby directs the Invesunent Manager, as provided below, to assist VPSA and each Local Unit to comply with the VPSA's Rebate Requirement and the respective Local Unit's Rebate Requirement. To enable VPSA and the Local Units to fulfill their respective obligations under the Proceeds Agreemem and to make such payments, and to enable the Inve~m~ent Manager to fulfill its obligations under this Letter Agreement, the Investment Manager will prepare, on or before January __, 1999 each January thereafter, the Investment Reports for VPSA as of the preceding December 1 and each Local Unit as of the preceding December 1. On the basis of such Investment Reports, VPSA shall cause the Rebate Calculation Agent to prepare the Local Unit Rebate Computation setting forth the Local Unit Rebate Requirement as of each Computation Date for each Local Unit with respect to its issue of Local School Bonds as described in paragraph 3 of Part B hereto. In addition, the Investment Manager will, based on the Rebate Report. transfer, within thirty (30) days after the Computation Date of each Local 93002.3 C-1 Unit, from its Principal Subaccount, if necessary, to its Income Subaccount, the amount required so that the amount to the credit of the Income Subaccount of each Local Unit shall equal its Local. Unit Rebate Requirement. A. Invesunent Report With respect to all Nonpurpose Investments acquired during the term of this Letter Agreement with Gross Proceeds of each issue of Local School Bonds, the Investment Manager shall maintain separate Investment Repons for each issue of Local School Bonds. The Investment Report for each Local Unit shall consist of the investments made with respect to its Proceeds Account. B. Rebate Computation on Local School Bonds VPSA shall compute each Local Unit's Rebate Requirement with respect to its issue of Local School Bonds in accordance with the procedure described below: 1. As of each Computation Date, VPSA shall cause the Rebate Calculation Agent to determine the Future Value of all nonpurpose payments made with respect to the Nonpurpose Investments purchased with or allocated to the Gross Proceeds of the Local School Bonds, as well as any rebate payments made, to such Computation Date in accordance with the requirements of the Treasury Regulations. Unless VPSA shall otherwise direct, transaction costs incurred in acquirmg, carrying, selling or redeeming such obligations, shall be accounted for as provided in the Information Statement. 2. As of each Computation Date, VPSA shall cause the Rebate Calculation Agent to determine the Future Value of all nonpurpose receipts received with respect to the Nonpurpose Invesunents purchased with or allocated to the Gross Proceeds of the Local School Bonds, as well as any rebate payments recovered, to such Computation Date in accordance with the reqmrements of the Treasury Regulations. 3. As of each Computation Date, VPSA shall subtract the amount computed pursuant to paragraph 1 from the amount computed pursuant to paragraph 2. Such amount shall be the "Local Unit Rebate Requirement" as of the Computation Date. 4. Each of the Local Units has covenanted in Section 17 of the Proceeds Agreement not to charge its general fund or otherwise set aside or earmark funds with which to pay debt service on its Local School Bonds (other than as a budget item) prior to the date of payment thereof to VPSA. 5. The Local Unit Rebate Requirement may be treated as being met and no rebate computation shall be required with respect to the proceeds of the VPSA's Bonds applied to purchase such Local Unit's Local School Bonds if the VPSA receives the opinions and covenants 93002.3 C-2 or certification described in Section 9A of the Proceeds Agreement that a Local Unit meets the requirements of the (a) Six-Month Exception, (b) Eighteen-Month Exception, (c) Small Issuer Exception, or (d) Two-Year Exception, subject to the provisions described below. (a) Six-Month Exception. Notwithstanding the fact that all of the Gross Proceeds of the Local School Bonds are spent within six (6) months of the date of issue and no other Gross Proceeds of the Local School Bonds are anticipated for the remainder of the renn of the issue, if Gross Proceeds of the Local School Bonds become available after the end of the initial six-month period, the Local Unit Rebate Requirement shall be computed with respect ro such Gross Proceeds in accordance with the procedure described above. (b) Eie_Jateen-Month Exception. Notwithstanding the fact that all of the Gross Proceeds of the Local School Bonds are spent within eighteen (18) months of the date of issue and no other ~ross Proceeds of the Local School Bonds are anticipated for the remainder of the term of the issue, if Gross Proceeds of the Local School Bonds become available after the end of the initial eighteen-month period, the Local Unit Rebate Requirement shall be computed with respect to such Gross Proceeds in accordance with the procedure described above. (c) Small Issuer Exception. If a Local Unit delivers to VPSA no later than the end of calendar year 1997 (i) the opinion of nationally recognized bond counsel that the Local School Bonds of such Local Unit purchased by VPSA with the proceeds of the VPSA's Bonds will be treated as meeting the requirements of Code Sections 148 (f)(2) and (3) pursuant ~o Code Section 148 (f)(4)(D) and (ii) the Local Unit's covenant that it shall provide for the payment of or reimburse VPSA for its payment of the Local Unit Rebate Requirement in the event that the Local School Bonds of such Local Unit fail to meet all the requirements of the Small Issuer Exception. then no rebate computation shall be made with respect to the proceeds of VPSA's Bonds applied to purchase such Local School Bonds. Although the Local School Bonds of a Local Unit may qualify for the Small Issuer Exception. custody, investment and disbursement of the proceeds of the VPSA's Bonds applied ro the purchase of the Local Unit's Local School Bonds shall continue under the Proceeds Agreement, and the Invesunem Manager shall continue to provide an Investment Report for such Local Unit. 6. In addition to the foregoing, no rebate computation shall be required with respect to the proceeds of the VPSA's Bonds applied to purchase a Local Unit's Local School Bonds if a Penalty Election has been made on behalf of the Local Unit with respect to such Local School Bonds. 930o2.3 C-3 C. A~re~ate Rebate Computation on Local School Bonds In the evem that the Treasury Regulations require that the Local Units' Rebate Requirements be calculated in the aggregate, VPSA shall compute the Aggregate Local Units' Rebate Requirement m accordance with the procedure set forth below. 1. As of each Computation Date, VPSA shall cause the Rebate Calculation Agent m determine the Future Value of all nonpurpose payments made with respect to the Nonpurpose Investments purchased with or allocated m the Gross Proceeds of all of the Local School Bonds in the aggregate (except those qualifying for one of the Rebate Exceptions or those that have made the Penalty Election), as well as any rebate payments made, m such Computation Date in accordance with the requirements of the Treasury Regulations. 2. As of each Computation Date, VPSA shall cause the Rebate Calculation Agent m determine the Future Value of all nonpurpose receipts received with respect to the Nonpurpose Investments purchased with or allocated to the Gross Proceeds of all of the Local School Bonds in the aggregate (except those qualifying for one of the Rebate Exceptions or those that have made the Penalty Election), as well as any rebate receipts recovered, m such Computation Date in accordance with the requirements of the Treasury Regulations. 3 As of each Computation Date, VPSA shall subtract the mount computed pursuant to paragraph 1 from the amount computed pursuant to paragraph 2. Such amount shall be the "Aggregate Local Units' Rebate Requirement" as of the Computation Date. D. Rebate Payment 1. Upon the calculation of the Local Unit Rebate Requzrement for each Local Unit, VPSA shall notify the Investment Manager thereof. The Investment Manager shall promptly charge the Principal Subaccount of a Local Unit m the extent the amount on deposit to the credit of its Income Subaccount is less than its Local Unit Rebate Requirement and credit its Income Subaccount with an amount such that the balance to the credit of the Income Subaccount is equal m such Local Unit Rebate Requirement (taking into account prior mounts credited m the Income Subaccount including investment income thereon). To the extent that the amount on deposit in the Principal Subaccount is insufficient m provide for a deposit m the Income Subaccount such that the balance in the Income Subaccount is equal to the Local Unit Rebate Requirement for the Local Unit, the Investment Manager shall advise VPSA and such Local Unit of the amount of the deficiency so that the Local Unit may promptly transfer to CFNB the amount required pursuant to Section 12 of the Proceeds Agreement. 2. In addition to the computation of the Local Units' Rebate Requirement, VPSA shall calculate its Rebate Requirement with respect to Nonpurpose Investments that were acquired with the Gross Proceeds of the VPSA's Bonds in accordance with the procedures set forth in the Rebate Certificate attached as an Exhibit to the Tax Certificate executed by VPSA in connection with the Issuance of the VPSA's Bonds. C4 3. The Local Unit Rebate Requirement for each Local Unit, if a positive number, shall be paid at the direction of VPSA to the United States in installments. Each payment shall be made not later than sixty (60) days after each Computation Date. Each payment must be in an amount not less than the total of ninety percent (90%) of the Local Unit Rebate Requirement for each Local Unit as of each Installment Computation Date. All of the Local Unit Rebate Requirement must he paid to the United States within sixty (60) days after the Final Computation Date. Payment shall be made to the Internal Revenue Service Center, Philadelphia, Pennsylvania 19255 and be accompanied by Form 8038-T. VPSA shall make such payment as required. Investment Reports and records of the determinations made hereunder shall be retained by the Investment Manager and by VPSA, respectively, until six (6) years after the retirement of the last of VPSA's Bonds. E. Definitions In addition to the words and terms defined in the Proceeds Agreement to which this Letter Agreement is attached as Exhibit C. the following words and terms shall have the following meanings: "Available Construction Proceeds" shall have the meaning given to such term in Section 2 of the Proceeds Agreement. "Bond Resolution" shall mean the resolution of the Authority adopted on September 29, 1997. "Closing Date" shall have the meaning given to such term in the Proceeds Agreement. "Code" shall have the meaning given to such term in the Proceeds Agreement. "Computation Date" shall have the meaning given to such term in the Proceeds Agreement. "Eighteen-Month Exception" shall mean the exception, provided by Section 1.148-7(d) of the Treasury Regulations, to the rebate requirement imposed by Section 148(f)(2) of the Code. "Fair Market Price" shall mean the purchase price and disposition price of a Nonpurpose Investment. Any Nonpurpose Investment purchased must be purchased at the Fair Market Price. An investment that is not of a type traded on an established market, within the meaning of Section 1273 of the Code, is rebuttably presumed to be acquired or disposed of at a price that is not equal to its fair market value. Accordingly, a premium may nor be paid to adjust the yield on an investment, a lower interest rate than is usually paid may not adjust the yield on an investment and no transaction may result in a smaller profit or larger loss than would have resulted if the transaction had been at arm's-length and had the yield with respect to the Bonds not been relevant m either party. Pursuant m Treasury Regulation Section 1.148-5(d), the 93002.3 C-5 following are safe harbors for establishing the Fair Market Price of certificates of deposit and guaranteed investment contracts: (i) Certificate of Deposit. A certificate of deposit with a fixed interest rate, fixed payment schedule and a substantial penalty for early withdrawal will be deemed purchased for fair market value ff the yield on the certificate of deposit is not less than (i) the yield on reasonably comparable direct obligations of the United States and (ii) the highest yield published or posted by the provider to be currently available from the provider on reasonably comparable certificates offeredto thepublic. See Section 1.148- 5(d)(6)(ii) of the Treasury Regulations. (ii) Investment A~reement. Investments pursuant m a guaranteed investment agreement will be regarded as being made at fair market price if (i) the Issuer makes a bona fide solicitation for a specified guaranteed investment contract; (ii) the Issuer receives at least three bona fide bids on the investment contract from providers that have no material financial interest in the Bonds (including as underwriter); (iii) the winning bidder provides a certificate that (A) lists all recipients, amounts and purposes of each brokerage fee, placement fee, commission or other similar payment to third parties paid by or on behalf of the winning bidder in connection with the guaranteed investment contract, liB) states that the yield on the guaranteed investment contract is not less than the yield available from the provider on reasonably comparable guaranteed investment contracts offered to other persons from sources of funds other than gross proceeds of tax-exempt bonds, and (C) in those agreemems wherein the Issuer deposits amounts, states that the Issuer's reasonably expected draw-down schedule (other than for amounts deposited in debt service funds or reasonably required reserve or replacement funds) was a significant factor in the determination of the terms of the guaranteed invesanent contract; (iv) the Issuer purchases the highest yielding guaranteed investment contract for which a qualifying bid was made (determined net of broker's fees); and (v) the terms of the guaranteed investment contract, including the collateral security requirements, are reasonable have the same meaning as set forth in the Treasury Regulations. "Final Computation Date" shall have the meaning given to such term in the Proceeds Agreement. "Furore Value" of a payment or receipt at the end of any period is determined using the economic accrual method and equals the value of that payment or receipt when it is paid or received (or treated as paid or received), plus interest assumed to be earned and compounded over the period at a rate equal to the Yield on the VPSA's Bonds, using the same compounding interval and financial conventions used m compute that yield. "Gross Proceeds" shall have the meaning ascribed to such term in Section 148 of the Code and shall mean: 93002.3 C-6 (a) amounts actually received or constructively received by VPSA from the sale of the VPSA's Bonds and the amounts actually or constructively received by the Local Units from the sale of the Local School Bonds, other than any interest accruing on the VPSA's Bonds from the dated date to the issue date of such bonds: (b) amounts treated as Transferred Proceeds (as defined in Treasury Regulations Section 1.148-9) of the VPSA's Bonds or the Local School Bonds, if any; (c) amounts that are reasonably expected to be or are in fact used to pay debt service on the Bonds including amounts in the sinking fund portion of the 1997 Income Fund under the Bond Resolution and the 1997 Sinking Fund under the Bond Resolution; (d) securities or obligations pledged by the VPSA or Local Unit as security for paymem of debt service with respect to the VPSA's Bonds or the Local School Bonds; (e) amounts received with respect to any invesunems acqutred with Gross Proceeds for the purpose of carrying out the governmental purpose for which the VPSA's Bonds or the Local School Bonds were issued, including the Local School Bonds, except that such amounts shall nor include amounts, if any, that are properly allocable to qualified administrative costs recoverable under Treasury Regulation Section 1A48-5(e) or to the higher yield permitted under Treasury Regulation Section 1.148-2(d) or Section 143(g) of the Code; (f) amounts treated as "replacement proceeds" of the VPSA's Bonds or the Local School Bonds within the meaning of section 1.148-1(c) of the Treasury Regulations; (g) any funds that are part of a reserve or replacement fund for the VPSA Bonds or Local School Bonds; and (h) amounts received as a result of investing any Gross Proceeds. Gross Proceeds shall include amounts that are on deposit in the Income Subaccount to the extent that such amounts are derived from Gross Proceeds of the VPSA's Bonds or the Local School Bonds. The determination of whether an amount is included witlfin this definition shall be made without regard to whether the amount is credited to any fund or account established under the Bond Resolution. or whether the amount is subject to the pledge of the Bond Resolution. 930o2.3 C-7 For purposes of subsection (d) above, an mount is pledged to pay principal or interest with respect to VPSA's Bonds or Local School Bonds if there is a reasonable assurance that the mount will be available for such purposes in the event that the VPSA or Local Unit encounters financial difficulties. An mount can be indirectly pledged to pay principal or interest with respect to VPSA's Bonds or Local School Bonds if it is pledged to a guarantor of either or both such bonds. An amount may be ~negatively" pledged to pay principal or interest with respect to VPSA's Bonds or Local School Bonds if it is held under an agreement m maintain the amount at a particular level for the direct or indirect benefit of the holders of the bonds or a guarantor of the bonds. An amount is not negatively pledged however if (i) VPSA or the Local Units may grant fights in the amount that are superior m the rights of the holders of the bonds or a guarantor of the bonds, or (ii) the amount does not exceed reasonable needs for which it is maintained, the required level is tested no more frequently than every 6 months, and the amoum may be spent without any substantial restriction other than a requirement m replenish the amount by the next testing date. If a decismn is made m apply any insurance or condemnation proceeds to the redemption of VPSA's Bonds or Local School Bonds instead of using such proceeds for repair or replacement, any such proceeds become Gross Proceeds on the date of such a decision. The definition of Gross Proceeds has been set out in full for the sake of completeness. With respect to each Local School Bond, all of the Gross Proceeds are on deposit in such Local Unit's Proceeds Account except to the extent that the Local School Bonds may be part of a composite issue under Treasury Regulation § 1.150-1(c), or the Local Unit may have retained Transferred Proceeds. With respect m the VPSA's Bonds, all of its Gross Proceeds are the total of the amounts on deposit in the Proceeds Accounts of the Local Units, except as provided above, and the amounts on deposit in the sinking fund portion of its 1997 Income Fund under the Bond Resolution and the 1997 Sinking Fund under the Bond Resolution. "Income Suhaccount Set Aside" shall have the meaning g~ven to such term in the Proceeds Agreement. "Installment Computation Dates" shall have the meaning given ro such term in the Proceeds Agreement. "Investment Report" shall mean the record of investment activity maintained by the Investment Manager with respect to the investment property and the Local Units, as described in the Letter of Instructions to the Investment Manager from the Treasury Board of the Commonwealth of Virginia dated May 4, 1994. "Local Unit's Rebate Requirement" shall mean the sum of (i) the excess of (A) the aggregate amount earned on all Nonpurpose Investments acquired with the Gross Proceeds of the Local School Bonds over (B) the amount that would have been earned if the Nonpurpose Investments had a Yield equal to the VPSA's Bond plus (ii) any income attributable to the excess described in clause (i). C-8 "Nonpurpose Investments" shall mean any security, obligations, annuity conu'act or any other investment-type property (as such term is defined in Section 1.148-1 (b) of the Treasury Regulations) that is not acquired to carry out the governmental purpose of the VPSA's Bonds or the Local School Bonds. Nonpurpose Investments sh~ll not include Tax-Exempt Investments. Any Nonpurpose Investments shall be purchased by the Investment Manager only if the purchase price of the Nonpurpose Investment is the Fair Market Price. "Rebate Calculation Agent" shall mean that accounting firm with a favorable national reputation in the field of the calculation of mounts subject to rebate to the United States under Section 148(f) of the Code and the Temporary Regulations that has been appointed under Section 9.2 of the Contract or by VPSA. "Six-Month Exception" shall mean the exception, provided by Section 148(f)(4)(B) of the Code, to the rebate requirem.ent imposed by Section 148(f)(2) of the Code. "Small Issuer Exception" shall mean the exception, provided by Section 148(f)(4)(D) of the Code, to the rebate requirement imposed by Section 148(f)(2) of the Code. "Tax-Exempt Investments" shall include: (i) obligations the interest on which is excludable from gross income for federal income tax purposes, and not treated as an item of tax preference under Section 57(a)(5)(C) of the Code, (ii) stock in a regulated investment company to the extent that at least 95 % of the income to the holder of the Interest is excludable from gross income under Section 103 of the Code, and (iii) certificates of indebtedness issued by the United States Treasury pursuant to Demand Deposit State and Local Government Series program described in 31 CFR part 344 CSLGs"). "Treasury Regulations" shall mean the Treasury Regulations Sections 1.148-0 through 1.148-11, 1.1490o)-1, 1.149(dM. 1.149(e)-1, 1.149(g)-1, Section 1.150-1 and Section 1.150-2, as amended from time to time hereafter, and other regulations promulgated under Section 148 of the Code. "Two-Year Exception" shall mean the exception, provided by Section 148(f)(4)(C) of the Code, to the rebate requirement imposed by Section 148¢)(2) of the Code. "VPSA's Rebate Requirement" shall mean the sum of (i) the excess of (A) the aggregate amount earned on all Nonpurpose Investments acquired with the Gross Proceeds of VPSA's Bonds over (B) the amount that would have been earned if the Nonpurpose Investments had a C-9 Yield equal to VPSA's Bond Yield plus (ii) any income attributable to the excess described in clause (i). "Yield", for purposes of this Letter Agreement, shall be calculated pursuant ro the Treasury Regulations by means of an actuarial method of yield calculation whereby "yield" means that discount rare which, when used in computing the present value of all the unconditionally payable payments of principal and interest and all the payments for a qualified guarantee paid and to be paid with respect to the bond, produces an amount equal to the issue price of the bond. For purposes of this Letter Agreement, the Yield on VPSA's Bonds is The Yield on mvesunents must be computed by the use of the same frequency interval of compounding interest as is used in computing the Yield on the VPSA's Bonds and the Local School Bonds. C-10 F. Amendments In order to comply with the covenants by VPSA and each of the Local Units regard'rog compliance with the reqmrements of the Code and the exclusion from federal income taxation of the interest paid and to be paid on the Local School Bonds and VPSA's Bonds, the procedures described in this Letter Agreement may be modified as necessary, based on the advice of counsel, ro comply with rulings, regulations, legislation or judicial decisions as may be applicable to such bonds. Very truly yours, VIRGINIA PUBLIC SCHOOL AUTHORITY By: Name: Title: Richard A. Davis Assistant Secretary and Assismm Treasurer Accepted: Mentor Investment Advisors, LLC By: Name: A1 Samper Title: Senior Vice President 93002.3 C-1 1 Exhibit D AUTHORIZED REPRESENTATIVES The following are the Authorized Representatives of Virginia Public School Authority, Central Fidelity National Bank and Mentor Investment Advisors, LLC VIRGINIA PUBLIC SCHOOL AUTHORITY: Name. Richard A. Davis Gary Ometer Title Assistant Secretary and Assistant Treasurer Assistant Secretary and Assistant Treasurer Specimen Signature Name Antho~vJ. Conte CENTRAL FIDELITY NATIONAL BANK: Title Specimen Signature Vice President Nalne A1 Samper MENTOR INVESTMENT ADVISORS, LLC: Title Specimen Signature Senior Vice President 93002.3 D~I FAX TRANSMITTAL TO Dana Hubbard FROM Ella Carey CO Daily Progress CO Albemarle County DEPT Classified PHONE ~ 296-5843 FAX # 978-7223 FAX ~ 296-5800 ~CLASS,MonAd,AlbemarleCounty PUBLIC NOTICE Albemarle County Board of Supervisors October 8, 1997 ...On Wednesday, the 8th day of October, 1997, the Board of County Supervisors of Albemarle County, Virginia, will hold a public hearing on the proposed issuance of school bonds of Albemarle County in the estimated maximum principal amount of $20,455,000. The purpose of the proposed bonds is to finance capital projects for public schools. ...The public hearing will be conducted an 7:00 p.m., zn Meetinc Room ~241, Second Floor, County Office Building, 401 McIntlre Road, Char- lottesville, Virginia. Interested persons may appear aE such time and place and present their views. ...Information concernIng the issuance may be obtained by contacting the Clerk to the Board, Fourth Floor, County 0ffice Building, 401 McIntire Board, Charlottesville, Virginia, between the hours of 8:00 a.m. and 3:00 p.m., Monday through Friday. ...Reasonable accommodations will be provided to persons with disabilities, if requested. Please call 296-5827. Ella W. Carey, Clerk, CMC Purchase Order No. A-139~ Bill to: Albemarle County Account Number 204066 Date: ~p~mber 22, 1997 ...... D~e ~! Septem~er-~2%,and O'cto~er I, i997~ · YedneJsday. O(~tober 1 .i 997 NOTICE OF PUBLIC HEARING On Wednesday, thc 8th day of O~ober, 1997, the Board of Supervisors of Albemarle County, Virginia, will hold a public bern'lng on the proposed issuance of school bond~ of Albemarle County in the e~timmed maximum principal amount of $20,455,000. The purpos~ of the proposed bond~ is to finance capitalprojects for public s~hools. The public hearing wilt be conducted a~ 7:00 p.m. in ~he Meeting Room ~ 241, Second Floor, County Office Building, 401 McIntire Road, Charlottesville, Virginio. Interested persova may appear at such time and place and present their views. Ella W. Carey, CMC, Clerk [To 1~ published September 24 and October I, 1997] ]~IINTON & WILLIAH$ Frr~ No.: 26222,00~02! 12rfl~crDl)&: (8~.} 788474.2 August 28, t~97 VIA FAX AND U.~. MAIL TO ~ PERSONS ON ~ ATTACHED DISTRIBUTION LIST Albenmrle Count, Vlr~nh Fall 1997 VPSA Ladies and C~atl~men: In eonm~on with Albemarle County's ~chool bonds to 1~ sold to th~ Virginia ?ublie School Authority, pl~ find ~melosed a ~ Schedule of Events for your review and comment. Also enclosed is a ~a~u~ of the No{lee of Public ffearing for lmblieation in the County's 'F;fu';N'TON' & ~LL~4~$ August 28, t997 VIA FAX AND U,S. MAIL TO ~ PERSONS ON THE ATTACI-IF.D DISTRIBUTION LIST Albemarle Coumy, Vh,gtnia Fall 1997 VI~A FInanetm~ Ladies and Gentlemen: In connection with Albomarle County's school bonds to bo sold to ti~ Vir~nia Public School Authority, please find enclosed a graft Schedule of Events for your renew and comment. Also ~nclosed is a drai of the No~ice of PuNic Hearing for tmblic, ation in th~ County's local newspaper. If the ~v~s of tl~ County agr~ with our proposed Sch~lule of Ew'nt~ which calls for a public h~rinff on O~tober-8, we would recommend that thc Notice be published on September 24 arid October 1. Please l~t us know of any comments or ¢tumg~ at your earliest convenience. Thank you for your a~istanoe. V~7 m~ly youm, Christopher G. Kulp COK/lms Eaclosur~s To: TO WHOM ADDRESSED From: Ella Washington Carey, Clerk, CMC Subject: Ordinances Adopted by Board Date: October 10. 1997 (i) Attached for your use are copies of ordinances adopted by the Board of Supervisors: (2) an ordinance to Amend and Reordain the Code of the County of Albemarle, in Chapter 12, Motor Vehicles and Traffic, Article I, In General, Section 12-5.4, to darify that no parking or standing is allowed in fire lanes within the County and Article V. County Vehicle Licenses, Section 12-21.1. to amend the schedule of fines for failure to have a valid County motor vehicle sticker. (Adopted on July 9, 1997) an ordinance to Amend and Reordain Chapter 10.1 of Code of the County of Albemarle. Virginia, to require applicants for concealed handgun permits who reside in Albemarle County to submit to fingerprinting & to provide personal descriptive information to the Sheriff iff order to determine suitability for concealed handgun permit. The fingerprints and personal descriptive information would be submitted by the Sheriff to State Police & FBI for national criminal history records check. (Adopted on August 6, 1997) (3) an ordinance to amend reordain Section 2.1-4. of Chapter 2.1, Agricultural & Foresta] Districts. of the Albemarle County Code, in subsection ~e) known as the "Keswick Agricultural and Forestal District" by the add of 4 parcels, totaling 190.872 acs. TM64,Pds1011 & TMS1,Pclsl5B&15A6. Two pcls located on W side of Louisa Rd (Rt 22) & 2 pcls located at end of Clark's Tract Rd (Rt 648). Rivarma Dist, (Adopted onAugust 13, 1997) 4) an Ordinance to amend and reordain Section 2. I-4. of Chapter 2.1. Agricultural Sc Forestal Districts, of the Albemarle County Code, in subsection [g) known as the "Moorman's River Agricultural and Forestal District" bv the add 4 parcels totaling 242.38 acs. Designated RA~ TM28. Pdsl2,30,30A&30B. Located on E side of Ballard's Mill Rd (Rt 671). 1 pd located at inter of Millington Rd (Rt 665) & S pals located near inter of Wesley Chapel Rd (Rt 609L YVhite Hall Dist. (Adopted on August 1S. 1997) (5). an ordinance to amend and reordain Chapter 2, Adm/nistration, Artide IV. Airport Commission, of the Code of the County of Albemarle, in Section 2-30. Compensation and term of office of members. This amendment will allow members of the Airport Commission to serve three terms. (Adopted' on October 8. 199D fEWC Attachments (5) CC: The Honorable James L. Camblos, III Rolisa Smith Melvin A. Breeden Robert Walters Munic2pal Code Corporation File ORDINANCE NO. 97-2(2) AN ORDINANCE TO AMEND AND REORDAIN CHAPTER 2. ADMINISTRATION, ARTICLE IV. AIRPORT COMMISSION. OF THE CODE OF THE COUNTY OF ALBEMARLE, VIRGINIA. BE IT ORDAINED By the Board of Supervisors of the County of Aibemarle, Virginia. that Chapter 2, Administration. Article IV, Airport Commission. is hereby amended and reordained by amending section 2-30. Compensation and term of office of members, and section 2-33, Powers and duties, as follows: Article IV. Airport Commissions Sec. 2-30. Compensation and term of office of members, Ail members of the airport commission shall serve without compensation. Ail members will serve terms which expire on December 1 of the third year following their appointment. No member will be reappointed who has served as a member for nine (9) consecutive years immediately preceding such reappointment. (8-18-54. § i; 12-17-64; 11-21-68; 5-16-74, § 1; 9-14-83} Sec. 2-33. Powers and duties. The airport commission shall be an advisory body having the duty of keeping the governing bodies of the county and City of Charlottesville and the Chadottesville-Aibemarle Airport Authority advised on all matters pertaining to the airport. /8-18-54. § 2; 4-6-70: 5-16-74, § I) I, Ella W. Carey, do hereby certify that the foregoing writing is a true, correct copy of an Ordinance duly adopted by the Board of Supervisors of Aibemarle County, Virginia, by a vote of six to zero, at a regular meeting held on October 8, 1997. Clerk,' Board of County bup~ ' DRAFT: September 15, 1997 ORDINANCE NO. AN ORDINANCE TO AMEND AND REORDAIN CHAPTER 2, ADMINISTRATION, ARTICLE IV, AIRPORT COMMISSION, OF THE CODE OF THE COUNTY OF ALBEMARLE, VIRGINIA. BE IT ORDAINED By the Board of Supervisors of the County of Albemarle, Virginia. that Chapter 2, Administration, Article IV, Airport Commission, is hereby amended and reordained by amending section 2-30, Compensation and term of office of members, and section 2-33_ Powers and duties, as follows: Ardde IV. Airport Commissions Sec. 2-30. Compensation and term of office of members. Ail members of the airport commission shall serve without compensation. All members will serve terms which expire on December 1 of the drird year following their appointment, No member will be reappointed who has served as a member for six nine {9) consecutive years immediately preceding such reappointment. 08-18-54. § 1: 12-17-64; 11-21-68: 5-16-74, § l; 9-14-83) Sec. 2-33. Powers and duties. The airport commission shall be an advisory body having the duty of keeping the governing bodies of the county and City of Charlottesville and the Charlottesville-Albemarle ~=Airport board Auth0riw advised on all matters pertaining tO the airport. (8-18-54:. ss 2: 4-6-70; 5-16-74. § l/ I:XDEPT~ATTORNEY ORDINANCE2-3 0.WPD 09-24-907C2:06 RCVO BOARD OF SUPE1WiSORS BOARD OF SUPERVIS©R$ 09-0d-97PO4:35 RCVD COUNTY OF ALBEMARLE Dept. of P}anning & Community Development 401 Mclntire Road Charlottesville, Virginia 22902-4596 (804) 296-5823 September 4, 1997 Penni S. F. Wright Martha D. Barker 8214 Plank Road Afton, VA 22920 RE: 8P-97-38 Randolph IL & Catherine C. Lang Tax Map 69, Parcel 7A Dear Ms. Wright & Ms. Barker: The Albemarle County Planning Commission, at its meeting on September 2, 1997, unanimously recommended approval of the above-noted petition to the Board of Supervisors. Please note that this approval is subject m the following conditions: 1. Site plan or site plan waiver to address the parking layout, consolidation of the emrances, and landscaping. 2. Engineering Department approval of entrance improvements. 3. Architectural Review Board approval~ ~ t~ 4. Health Department approval of use of existing septic system. 5. Exterior lighting to be shielded. Please be advised that the Albemarle County Board of Supervisors will review this petition and receive public comment at their meeting on October 8, 1997. Any new or additional information regarding your application must be submitted to the Clerk of the Board of Supervisors at.least seven days prior m your scheduled heating date. Page 2 September 4, 1997 If you should have any questions or comments regarding the above noted action, please do not hesitate to contact me. Mary Joy Scala Senior Plarmer CCi Ella Carey Amelia McCulley Jack Kelsey Randolph & Catherine Lang A:ISP9 73&RPT 2 STAFF PERSON: PLANNING COMMISSION: BOARD OF SUPERVISORS: MARY JOY SCALA SEPTEMBER 2, 1997 OCTOBER 8, 1997 SP 97-38 RANDOLPH AND CATHERINE LANG Applicant's Proposal: The applicant proposes to establish a gift, craft and antique shop in an existing building (formerly Captain's Table restaurant). Petition: Petition to establish a gift, craft and antique shop (Section 10.2.2.36) on approximately 2.0 acres zoned RA, Rural Areas and EC, Entrance Corridor. Property, described as Tax Map 69. Parcel 7A, is located on the north side of Rockfish Gap Turnpike (Route 250 West) in the White Hall Magisterial District. This site is designated Rural Area in the Comprehensive Plan. (See maps - Attachment/1.1. Character of the Area: The site is located on a strip of land which fronts on Route 250, and rises up to Interstate 64 to the rear. The surrounding area is wooded and has extremely steep topography. The area is zoned PA. Rural Areas and is sparsely developed. There are several gift and antique shops, single family residences and a motel located along Route 250 on Alton Mountain. RECOMMENDATION: Staff has reviewed this request for compliance with Section 31.2.4.1 of the Zoning Ordinance and recommends approval. Plannina and Zoning History: March 1, 1995 - Board of Supervisors authorized County Attorney to draft contracts to provide permanent pump and haul services to the Captain's table restaurant. January 3, 1996 - Board of Supervisors authorized County Executive to execute agreements for permanent pump and haul for Randolph and Catherine Lang (formerly Captain's Table). The agreements were not executed. Comprehensive Plan: This site is designated Rural Area. The Open Space Plan shows this area recommended for protection as a mountain resource area. The property is adjacent to two designated Entrance Corridors (Route 250 West and 1-64). It is located within the South Fork Rivauna River Reservoir watershed. STAFF COMMENT: Staff will address each provision of Section 31.2.4.1 of the Zoning Ordinance. The Board of Sunervisors hereby reserves unto itself the right to issue all special use permits permitted hereunder. Special use permits for uses as provided in this ordinance may be issued upon a finding by the Board of Supervisors that such use will not be of substantial detriment to adjacent property, There is one dwelling located to the east, owned by the applicant. The existing paved parking area extends from the former restaurant to the dwelling, with four existing entrances. The proposed use will require between 5-10 parking spaces, which are available. Alterations planned to the exterior of the site are consolidation of entrances and general clean up. Building Code and Zon/ng Services has determined that the nonconforming restaurant use has expired. Therefore, the proposed use is considered an intensification in the Rural Areas District. The applicant plans to sell work by local artists, including pottery, paintings and crafts, and some antiques. Artists signiflgs are planned periodically as an incidental use. Other special events must receive specific approval from Zoning. Staffrecommends that a site plan waiver be granted by the Planning Commission, with a sketch plan to be approved administratively. The plan should address the parking layout, consolidation of the entrances, and landscaping. The Architectural Review Board will also review landscaping, signs, and any exterior lighting. Shielded lighting would be an important consideration, due to the mountain location. Proposed hours of operation would be 10 a.m. to 6 p.m. Sunday hours would be 1-6 p.m. The shop would be open 6-7 days a week. Although technically an intensification of use, this proposal actually provides an opportan/ty to improve site conditions. As such, it should be an improvement as relates to adjacent property. that the character of the district will not be changed thereby, The building is existing, with a septic system which allows only limited uses. Staff opinion is that the proposed use would be very similar in character to nearby gift shop uses and would provide a reasonable use of the existing building without changing the character of the district. and that such use will be in harmony with the purpose and intent of this ordinance, Staff has reviewed the purpose and intent of the Zoning Ordinance, relation to the environment, and relation to Comprehensive Plan as stated in Sections 1.4, 1.5 and 1.6, and has found this application to be in harmony with these sections. with the uses permitted by right in the district, The proposed gift shop makes appropriate use of an existing building, and is similar in character to nearby uses, some of which are nonconforming. The topography restricts future development in this area. 2 with additional regulations provided in Section 5.0 of this ordinance~ There are no supplementary regulations for gift, craft and antique shops. and with the nublic health, safety and general welfare. Virginia Department of Highways comments are attached. ?See VDOT letter dated August 14, 1997 - Attachment B). Staff recommends consolidation of entrances to form one or two entrances m serve the proposed shop. The dwelling entrance and parking area should be physically separated from the gift shop parking area. The other entrance(s) should be closed. Entrance improvements should be approved by the Department of Engineer'mg during staff remew of the site plan waiver. Health Department approval of the existing septic system is required for any restroom. SUMMARY: Staff opinion is that this request is in compliance with the provisions of Section 31.2.4.1 of the Zoning Ordinance. This proposal provides an opportunity to improve the conditions. No negative impacts have been identified that are not addressed by conditions of approval. RECOMMENDED ACTION: Staff recommends approval subject to the following conditions: RECOMMENDED CONDITIONS OF APPROVAL: 1. Site plan or site plan waiver to address the parking layout, consolidation of the entrances, and landscaping. 2. Engineering Department approval of entrance improvements. 3. Architectural Review Board approval. 4. Health Department approval of use of existing septic system. 5. Exterior lighting to be shielded. ATTACHMENTS: A- Maps B - VDOT letter A:\SP9738.RPT 3 l_ ALBEMARLE 53. COUNTY H & CATHERINE LANG 7O 22 WHITE HALL DISTRICT SECTION 69 DAVID R. GEHR COMMISSrONER COMMONWEALTH DEPARTMENT OF THANSPOHTATION 7ol VDOT WAY CHA~_O~ESVlLLE. 229~ ~ G. TUCKER ~ESIDENT ENGINEE~ AUgUSt 14, 1997 Public Hearing Submittals September, 1997 Mr. Ron Keeler Dept. of Planning Community Development 401 McIntire Road Charlottesville, VA. 22902 Dear Mr. Keeler: Our comments for the September Public Hearing submittals are as follows: SP-97-039 Woolen Mills Warehouse, Route Franklin Street Although this parcel is in the County, it appears all access will be through City of Charlottesville streets. SP-97-036 First Citizens Bank, Route 1721 See site plan comments dated August 7. 1997. (attached) SP-97-37 Moore's Creek Stream Restoration an Azalea Park, Route 780 This site was discussed with Dave Hirschman of Engineering and it does not appear to impact any VDOT right of way. ~P-97-38 Randolph R. & Catherine C. Lanq, Route 250 The existing entrances to site are not defined. The entrance to existing dwelling should be ~eparace from the entrances to the building proposed as the Antique Shop. There should not be more than two standard commercial enurances, separated by concrete islands, constructed to give defined points of entry and exit. The enurances and the area between the edge of pavement and the curb should be paved with allowance made for local water to drain along edge of curb. If you have any questions, please advise before you release any comments to the developer. /~.~1~ 4'(. Assistant Resident Engineer TRANSPORTATION FOR THE 21ST CENTURY September 18, 1997 COUNTY OF ALBEMARLE Dept. of Planning & Community Development 401 Mclntire Road Charlottesville, Virginia 22902-4596 (804) 296-5823 09-22-97A~:09 RC D ARD OF SUPERVISORS Katurah Roell Virginia Land Trust 195 Riverbend Drive Charlottesville, VA 22901 SP-97-39 Woolen Mills Warehouse Tax Map 77, Parcel 40 Dear Mr. Roell: The Albemarle Coun .ty Planning Commission, at its meeting on September 16, 1997, unanimously recommended approval of the above-noted petition to the Board of Supervisors. Please note that this approval is subject to the following conditions: Albemarle County Engineering approval of an Erosion and Sediment Control Plan; Water quality measures shall be provided to achieve water quality equivalent to pre- development conditions, subject to the approval of the Water Resources Manager; and, No soil shall be removed from the Moore's Creek flood plain to compensate for'any fill. Please be advised that the Albemarle County Board of Supervisors will review this petition and receive public comment at their meeting on October 8, 1997. Any new or additional information regarding your application must be submitted to the Clerk of the Board of Supervisors at least seven days prior to your scheduled hearing date. If you should have any questions or comments regarding the above noted action, please do not hesitate to contact me. Sincerely, Eric L. Morrisette Planner EM/jcf cc: Ella Carey Amelia McCulley Jack Kdsey STAFF PERSON: PLANNING COMMISSION: BOARD OF SUPERVISORS: ERIC L. MORR/SETTE SEPTEMBER 16, 1997 OCTOBER 08,1997 SP 9%039 VIRGINIA LAND TRUST AND SDP 97-086 WOOLEN MILLS WAREHOUSE PRELIMINARY SITE PLAN APPLICANT'S PROPOSAL: The applicant is proposing to construct two warehouses totaling approximately 10,000 square feet. Attachment A is a reduced copy of the site plan. PETITION: SP 9%39 Virginia Land Trust Virginia Land Trust petitions the Board of Supervisors to issue a special use permit to allow for fill to be located in the 100 year flood plain of Moore's Creek [Section 30.3.3.2. of the Zoning Ordinance] associated with warehouses to be constructed on approximately 6.7 acres zoned LI, Light IndusWy (Attachment D). The warehouses will be used for bread storage. Property, described as Tax Map 77 Parcel 40 is located on the southeast side of Franklin Street, between the Charlottesville City Limit and Moore's Creek (Attachment B). This site is located in the Scottsville Magisterial District and recommended for Industrial Service in Neighborhood 4, SDP 97-086 Woolen Mills Warehouse Preliminary Site Plan Applicant seeks Planning Commission approval of a site plan to construct two warehouses with associated parkix~g as described above. CHARACTER OF AREA: The property is located on the southeast side of Franklin Street, approximately 600 feet south of Broadway Street (Attachment C). The property is located between the Charlottesville City Limits, to the north, and Moore's Creek, to the south. The site is adjacent to the residential mobile home park located to the north in the City of Charlottesville. The Rivarma Water and Sewer Authority property, zoned LI, is adjacent to the south and southeast. Vacant adjacent industrial property, zoned LI, is located to the west and east. This site is unoccupied by any structure(s). The property entrance is directly off of Franklin Street and directly offof an access easement serving the Rivarma Water and Sewer Authority. Moore's Creek flows along the southern boundary of the site and the flood plain has been mapped by the United States Army Corps of Engineers. COMPREHENSIVE PLAN: This area is recommended for Industrial Service in Neighborhood 4. Warehouses are a listed use in Industrial Service Areas. This proposal is consistent with the Comprehensive Plan. OPEN SPACE AND CRITICAL RESOURCES PLAN: This area is classified as a Major and Locally Important Stream Valley. Because this area has been subject to prior filling and the intrusion into the stream valley is limited, staff has determined that this proposal will not result in a loss of aesthetic value. PLANNING AND ZONING HISTORY: None. REASON FOR PLANNING COMMISSION REVIEW: Filling in a flood plain associated with this proposal requires special use perrak approval by the Board o£ Supervisors [Section 30.3.3.2 of the Zoning Ordinance]. In accord wi~ Section 4.12.6.2 of the Zoning Ordinance the Commission must act on the applicant's request for a waiver to allow for grading on critical slopes and in accord with Section 32.7.4.1d the commission mu~t act on the applicant's request for a waiver ofstormwater detention. STAFF COMMENT: Staff will comment on the special use permit and site plan separately. SP 97-39 Virginia Land Trust Recommendation: Staffhas reviewed this request for compliance with the provisions of Section 31.2.4.1 of the Zoning Ordinance and recommends approval subject to conditions. Staff Analysis: The applicant is requesting to grade in the Moore's Creek 100 year flood plain to allow for a graded building site. No structures are proposed to be constructed within the flood plain. The applicant's request and justification are attached as Attachment D.~ The request is to "modify the soil in the flood plain by removing an equal amount in the flood plain to the amount that is necessary to properly grade the site around the edge of the parking lot". The applicant's justification for this request is "to better develop the usable portion of the property, we must place a small amount of fill in the flood plain to dress grade the slopes to acceptable standards". 2 The Engineering Department has reviewed this request in accordance with Section 30.3.3.2 of the Zoning Ordinance. The Engineering Department has determined that the Moore's Creek flood elevation is largely "controlled by the confluence of the Rivanna River just downstream" (Attachment E). It has also been determined than the amount of the proposed fill is minor m comparison m the total channel and overbank cross section of Moore's Creek. Although the applicant has proposed to remove an equal amount of soil to the amount proposed for fill, the Engineering Department has determined that any soil removal would be unnecessary and detrimental to the water quality of Moore's Creek. Therefore, the Engineering Department recommends approval to allow for the proposed grading within Moore's Creek, with the condition that there shall be no soil removal from the flood plain (Condition 3). The analysis of the criteria under Section 31.2.4.1 of the Zoning Ordinance is provided by Planning Staff through the review of Section 30.3 of the Zoning Ordinance [Flood Hazard Overlay District]. The intent of the Flood Hazard Overlay District [Section 30.3.1 of the Zoning Ordinance] is attached as Attachment G. It states "These provisions are intended to restrict the unwise use.., which may result in: danger m life and property; public costs for flood control measures and/or rescue and relief efforts; soil erosion, sedimentation and siltation; pollution of water resources; and general degradation natural and man-made environment" (Attachment G). The Engineering Department review has revealed no substantial detriment to life, property, and public costs for flood control. An Erosion Control Plan will be required, addressing erosion, siltation, and sedimentation (Condition 1). Pollution of water resources will be reviewed by the Water Resources Manager (Condition 2). The Planning Department has reviewed this petition and finds no major conflict. Planning Staff agrees with the Engineering Department's interpretation that the proposed fill will be insignificant, because [1] the flood elevation is controlled by the confluence of the Rivanna River just downstream and [2] the proposed fill is very small in comparison to the total channel and overbank cross-section of Moore's Creek. Planning staffadditionally finds this proposal to be consistent with the provisions of Section 30.3 of the Zoning Ordinance. Recommended Action: Staffrecommends approval to allow for grading within the flood plain of Moore's Creek, with the following conditions: Recommended Conditions of Approval: 1. Albemarle County Engineering approval of an Erosion and Sediment Control Plan; Water quality measures shall be provided subject to the approval of the Water Resources Manager; and, 3. No soil shall be removed from the Moore's Creek flood plain ro compensate for any fill. SDP 97-086 Woolen Mills Preliminary Site Plan The applicant proposes to grade and construct on critical slopes. Section 4.2.3.2 of the Zoning Ordinance restricts earth-disturbing activity on critical slopes and section 4.2.5.2 allows Planning Commission modification of this restriction upon finding that strict application of the restriction would not forward the purposes of the Zoning Ordinance. The applicant's request and justification is attached ~Attachment F). The applicant has indicated that the critical slopes exist along the edge of the flood plain and are the result of prior filling that took place years ago. This area is classified as a Major and Locally Important Stream Valley in the Open Space and Critical Resources Plan. Because this area has been subject to prior filling and the intrusion into the stream valley is limited, staff has determined that this proposal will not result in a loss of aesthetic value. The Engineering Department has addressed the provisions of Section 4.2 of the Zoning Ordinance (Attachment E). Engineering Department review has revealed no major conflict, bom an engineering perspective, with the proposed grading on critical slopes and recommends approval. Planning staff has also additionally reviewed this request and finds no major conflict with aesthetic issues. Therefore, the Planning Deparauent recommends approval to allow for grading on the critical slopes depicted on the site plan. /'he applicant also requests a waiver of [Section 32.7.4. ld of the Zoning Ordinance] the requirement for storm water detention (Attachment F). The applicant has indicated that "this site is located in the lower portion of the Moore's Creek drainage basin". The applicant justifies this request by stating that "the peak discharge from the site will occur long before the flood crest of Moore's Creek during any storm frequency period". The Engineering Depamnent has reviewed this request and notes that "sites bordering major watercourse have been granted waivers in the past based on peak discharges not coinciding with the flood crest of the watercourse, in addition to water quality measures which are substituted for the detention requirements" (Attachment E). Effective water quality measures have usually consisted of tree plantings within the floodplain and BMP facilities at the storm water discharge points on the edge of the floodplain. Therefore, the Engineering Department recommends approval with the condition that water quality measures are to be provided subject to the approval of the Water Resources Manger (Condition Ibl). Planning Staffagrees with the Engineering Department's analysis and recommends approval subject to condition lbl provided below. Recommended Action: Staffhas reviewed this request for compliance with the provisions of the Zoning Ordinance and recommends approval of the preliminary site plan, with the critical slope [Section 4.2.3.2 of the Zoning Ordinance] and storm water detention [Section 32.7.4.1d of the Zoning Ordinance] waivers, subject to the following conditions: ]gecommended Conditions of Approval: The Planning Department shall nor accept submittal of the final site plan for signature until tentative approvals for the following conditions have been obtained. The final site plan shall not be signed until the following conditions are met: ao Planning Department approval of: I. Landscape plan. Engineering Department approval to include: 1. Water quality measures are to be provided subject to the approval of the Water Resources Manager; 2. [32.6.6.d] Approval of final grading and drainage plans and computations; 3. [32.7.4.3] Approval of an Erosion and Sediment Control Plan. The plan must indicate any soil that will be removed from the flood plain; and, 4. Modification of site plan to provide radii ofa 12.5 foot minimum according m Virginia Department of Transportation entrance requirements. Fire-Rescue Division approval to include: 1. Verification that adequate fireflow is available. Required fireflow is 1,250 gpm at 20 psi. Initial flow tests by the Service Authority revealed a fireflow below 1,000 gpm. Should the fireflow be inadequate, the applicant can choose to sprinkler both buildings or reduce the needed flreflow by installing fire walls to reduce the fire area. Building Code and Zoning Services approval to include: 1. Provide one van-accessible, barrier-free parking space, with any curb cuts necessary ro provide an accessible route from the parking space to the building enmmces. Albemarle County Service Authority approval to include: 1. Show the proposed sewer lateral connection for each building. Connection(s) to the RWSA sewer line must be made at a manhole with the accompan~fing note stating the connection(s) will be made by field coring with a flexible boot installed; 2. Approval of water construction plans for the new fire hydrant; and, 3. Approval of final sewer plans indicating a minor adjustment to the existing sewer easement near the northeast comer of the southernmost building. (Contact Pete Gorham) ATTACHMENTS: A - Site Plan B - Tax Map C - Location Map D - Applicant's Special Use Permit Request and Justification E - Engineering Comments Memo August 15, 1997 F - Applicant's Waiver Requests G - Sections 30.3 and 30.3.1 of the Zoning Ordinance H - Engineering Memo From Gle~m Brooks Dated August 29, 1997 [ATTACHMENT AI / MTN. o ATTACHMENT C] SDP 97-085 WOOLEN MILLs WAREHOUSE UIL[ ~0 CODE ~I~I~"S[~VICES Albemarle Application for SPECIAL USE PERMIT FATTACHIqENT.D Date Sub:pitted Fee Receipt Number In~ke S~ff Department of Zoning 401 McIntirc Road ~: Charlottesville, Virginia 22902-4596 ~ 804 296-5875 phone ~ 804 972-4035 fax ~EW SP (see Zoning Ordinance Section 35.0 for Appropriate Fee) ($85.00) ($55.oo) IT! AMENDMENT OF A VALID SP: SP [] EXTENSION OF A VALID SP: SP# Location: PROPOSED USE: ~.,~ o~ w~ ]^ ~-'-~,-~-~- APPLICANT Name (if different from owner): Address: Phone/Fax:. .Day Time Phone: CONTACT Name [if different from above): . ~ ~.~-cA~F~ ~ I hereby disclose that the owner or owners of the subject property also have an ownership interest In the following tax map and p~roel numbers, which abut or are immediately across the street or road from the subject property: If ownership of the subject propedly is in the name of any type of legal entity or organizalion including, but not limited to, the name of a corporation, patlnerahip, or association, or in the name of a trust, or in a fictitious name, the applicant must sumit with this application a document acceptable to the County which ceRifies that the person signing below has the authority to do so. If the applicant is a contract purohaser of the subject property, ~he applicant must submit a document acceptable to the County containing the owner's wdllen consent to the application. If the applicant is the agent of the owner, the applicant must submit a document acceptable to the County that is evidence of the existence and scope of the agency. I hereby certify that the information provided on this application and accompanying information is accurate, true and correct to the best of my knowledge and belief. $,gnatu~e ~.:, ~ -,..~/Z.._.c~,~o,' ~,' I ATTACHblENT D I .... : DESCRIPTION OF REQUEST: (Please attach additiongkinformation as n~ed) ., ~ . M OFFICE USE ONLY ~KEQUESTED D'lqDEK ORDINANCE.SECTION: :Ex~s~n,~a:us~.: '' ,,la ::~PROPOSED'USE; .'!H/g~)Ry: ' ]Zl:!~.'..v.-~s;..,. .1~ ZMAs and Proffers: [] Lcttex of Authorization COUNTY OF ALBEMARLE Department of Engineering & Public Works MEMORANDUM ATTACHMENT E] TO: FROM: DATE: RE: Eric Mordsette, Planner Glenn E. Brooks, Civil Engineer ~ 15 August 1997 Woolen Mills Warehouse, special use permit and waivers Special Use Permit for Grading Within the Floodplain The special use permit application received on 6 August 1997 has been reviewed in conjunction with the revised preliminary site plan received on 11 August 1997. ~..:~.T..he floodplain is a very wide wooded wetland at this location. The floodplain shown on the FEMA Federal Insurance Rate Maps for this area was determined by engineering studies. The flood elevation is controlled by the confluence with the Rivanna River just downstream. It is evident by comparing the surveyed topography on the site plan with the FEMA floodplain that topography has changed from that used for the floodplain study which determined the flood elevation. However, since the flood elevation appears to be controlled by downstream conditions, it is a safe assumption that the changes tn topography have not changed the FEMA flood elevation of 325' as shown on the preliminary site plan. The proposed fill in the flood plain is very small in comparison to the total channel and overbank cross- section for Moores Creek. For this reason, and because flood levels are controlled by downstream conditions as discussed above, the proposed fill will not significantly affect flood levels. The special use permit application indicates that the floodplain will be modified by removing an amoum &soil equal to the amount being added for the development. However, no soil is shown to be removed on the site plan. Based on the review summarized above, the Engineering Department recommends approval of the special use permit to allow fill in the floodplain as indicated on the preliminary site plan. Please note, that any soil to be removed from the floodplain must also be shown on the site plan and erosion control plan. Waiver to Develop on Areas of Critical Slopes The request to develop areas of critical slopes, received on 11 August 1997, has been reviewed in conjunction with the revised preliminary site plan received on 11 August 1997. The slopes under consideration are along the edge of the floodplain for Moores Creek. For a delineation of the areas under discussion, please refer to the preliminary site plan provided by the applicant. The applicant has indicated that these slopes exist as the result of fill placed in the floodplain. Below, each of the concems specified in section 4.2 of the Zoning Ordinance is addressed. Pag~ 2 Memorandum: Woolen Mills Warehouse 15 August 1997 rapid and/or large-scale movement of soil and rock The critical slopes m question will be eliminated by fill placed to provide a fiat area for site development. Similar critical slopes will be constructed at the edge of the fill. excessive storm water run-off The site will not experience an increase in storm water runoffas a result of steep slopes. Drainage from impervious areas, and any newly created slopes will be controlled through the drainage system shown on the site plan. siltation of natural and man-made bodies of water Siltation will be controlled through an erosion and sediment control plan for the development. As a condition of this erosion control plan, the site will be permanently stabilized prior to completion. To better ensure that siltation is eliminated, a 3:1 slope is recommended where slopes are to be constructed at the edge of fill areas. loss of aesthetic resoume The slopes being addressed are not visible, since they are in a wooded area, below and facing away from the roadways. A site inspection revealed construction debris such as old pipes, chunks of concrete, and residential trash on the slopes. a greater travel distance of septic effluent This is not an issue, as the site will be serviced by public sewers. Base on the review presented above, the Engineering Department recommends modification of section 4.2 for development of the critical slopes as shown on the proposed preliminary site plan. ATTACHMENT Et Waiver of the Requirement for Storm Water Detention The request received on 11 August 1997 to waive the requirements for storm water detention according to section 32.7.4. Id of the Zoning Ordinance has been reviewed. Sites bordering major watercourse have been granted waivers in the past based on peak discharges not coinciding with the flood crest of the watercourse, in addition to water quality measures which are substituted for the detention reqmremenrs. The Engineering Department recommends approval of the detention waiver with the following condition: Water Quality measures are to be provided subject to the approval of the Water Resources Manager. In similar situations, these water quality measures have consisted of tree plantings within the floodplain and BMP facilities at the storm water discharge points on the edge &the floodplain. As sediment trapping facilities will be required at these locations for erosion control, it may be easiest to convert these temporary erosion control facilities to permanent water quality facilities. Page 3 Memorandum: Woolen Mills Warehouse 15 August 1997 Waiver of the Requirement for a Certified Engineers Report IATTACHM -NT El The letter from the Virginia Land Company, received on 13 August 1997 requesting a waiver of the requirement for a Certified Engineers Report has been reviewed. There is no provision in the Zoning Ordinance for waiving this requirement (ref. 4.14.8). However, if it is obvious that none of the performance standards of section 4.14 (Noise, Vibration, Glare, Air Pollution, Water Pollution, Radioactivity, and Electrical Interference) are a concern, a letter from the future building occupant describing the nature of the use will be acceptable as a Certified Engineers Report. Please note that for a trucking operation and lifts, noise is likely to be a concern. Revised Preliminary Site Plan The revised preliminary site plan received on 11 August 1997 has been reviewed. The revisions have addressed our comments. Please note to the applicant that the entrance on Franklin Street will need to be modified on the final site plan to provide radii of 12.5' min. according to VDOT entrance requirements. The final site plan will be subject to Engineering Department review of all relevant final site plan requirements and the following conditions: a. Engineering Department approval of an erosion control plan. [32. 7.4.3J b. Engineering Department approval of final grading and drainage plans and computations. [32. 6. 6] The final site plan will also be subject to any conditions set by the Planning Commission for the requested waivers and special use permit discussed above. Please contact me at your earliest convenience if you have questions or require additional information. GEB/ Copy: SDP-97-86 SP-97-39 David Hirschman File: glenn\WOOLMILL.WI B. A E/ tREY HUFFMAN & ASSOCIATho,' LTD. CML ENGINEERING - I. AND SURVEYING. - I..,4ND PL'INNING 195 RII/ERBEND DRIVE, SUITE 2 MAILING ADDRESS- P.O. BOX 6124 CHARLOTTESVILLE, VIRGINIA 22.006 [ATTACHMENT Mr. Eric Morrisette, Planner Albemarle County Dept. of Planning & Community 401McIntire Road Charlottesville, VA 22902 Development Aug. 11, 1997 RE: Woolen Mills Warehouse Preliminary Site Plan SDP97086 Dear Mr. Morrisette, With this letter my client wishes to request a waiver for the grading on the existing slopes that are in excess of 25%. We believe this request is ~n order as these slopes were created by a filling operation that took place years ago. We also wish to ask for a waiver of the requirement for storm water detention. This site is located in the lower portion of the Moores Creek drainage basin. The peak discharge from our site will occur long before the flood crest of Moores Creek during any storm frequency period. If you need further information or have any comments, please contact this office at your earliest convenience. Sincerely, Arthur F. Edwara AFE/mb 30.2.5.1 30.2.6 30.3 30.3.1 Plats or plans of lands within the noise impact area approved by any Albemarle County official shall prominentl~ display a disclosure statement that such plat or plan includes land and/or buildings within the AIA noise impact area. ACCOUSTICAL PERFORMANCE STANDARDS Land Use Category Residential Public and quasicpublic use: School Ldn <45 Library Ldn Church Ldn ~45 Hospital Ldn <45 Auditorium, concer~ hall, e~c. Ldn <45 Parks and recreation, spor:s arena Ldn <70 Office Ldn <55 Commercial Retail Ldn <55 Movie theatre Ldn <55 Hotel, motel Ldn ~55 Distribution, industry Ldn <70 Manufacturing and assembly industry Ldn <70 Maximum In~erior Noise Levels [dB (a)l Ldn ~45 CLUSTER DEVELOPMENT, BONUS FACTORS No cluster development or bonus level provisions or regulations will be perraitted unless the commission shall determine that such development will reduce or be equivalent to hazard and/or noise impacts anticipated under standard level-conventional development of the underlying zoning district. FLOOD HAZARD OVERLAY DISTRICT - FH INTENT' It is intended that the flood hazard overlay district hereby and hereafter created shall be for the purpose of providing safety and protection from flooding. More specifically, these provisions are intended ~o restrict the unwise use, developmen~ and occupancy of lands subject to inundation which may result in: danger to life and property; public costs for flood control measures and/or rescue and relief efforts; soil erosion, sedimentation and siltation; pollution of water resources; and general degradation of the natural and man-made environment. It is further intended that these provisions shall be adequate for qualification and continuation of Albemarle County on the regular program of the National Flood -180- ATTACHI'IENT Hj To: Eric Morrisette Cc: Jack Kelsey,David Hirschman From: Glenn Brooks Subject: Woolen Mills Warehouse. floodplain Date: 8/29/97 Time: 5:02PM The plan revised to show a soil removal area in the floodplain, received on 26 Aug 1997 has been reviewed. It is our opinion that a soil removal area in the floodplain will be detrimental. The fill for the site has a minimal impact to the floodplain. As mentioned in previous correspondence, the floodplain elevation here is controlled by the backwater at the confluence of Moores Creek with the Rivanna River. The need to balance cut and fill, usually so that the flood carrying capacity of a watercourse is unchanged, is not as applicable in this case. Furthermore, removing the forested buffer for a cut and fill balance would be damaging in a water quality respect. I have called Buddy Edwards and asked him to remove the "soil removal area" from the plan. The Engineering Department recommends approval of the fill in the floodplain without the need to balance earthwork volumes in the floodplain file: SDP-97-86 Glenn E. Brooks >>>==========> gbrooks@mail.co.albemade.va.us COUNTY OF ALBEMARIJE MEMORANDUM IC-03-97P0 :56 P, CVD BOARD OF SUPERVISORS TO: FROM: DATE: RE: Albemarle County Board of Supervisors Robert W. Tucker, Jr., County Executive October 3, 1997 Construction and Demolition Debris (CDD) RFP Results and Analysis Attached is a fairly lengthy report provided by the Rivanna Solid Waste Authority regarding the recent RFP results they received for transporting CDD from the Ivy Landfill to a landfill outside of Albemarle County. You will recall that RSWA authorized that a request for proposal be submitted to the private sector to determine if transporting CDD waste from the Ivy Landfill would still maintain an environmental comingency fund comparable to that when braying CDD at the Ivy Landfill. The results of the RFPs indicate that even with the lowest tip fee for transferring this waste, the environmental contingency fund would lose $4M over the next 10 years (See Chart L second page)· RSWA is now in the process of determining first, whether or not to go forward with the blasting of cell 4 for CDD; and second, if we decided to transfer the waste outside of this community, what other revenue sources could be tapped to maintain our environmental cont'mgency fund or to simply continue landfilling the CDD at the Ivy Landfill. I apologize for the length of this report, however, should you have any questions concerning the matter, please do not hesitate to contact me or Mr. Petrini directly. RWTjr/bat 97-8 Attachment RIVANNA P.O. BOX 979 SOLID WASTE AUTHORITY CHARLOI-FIESVILLE, VIRGINIA 22902-0979 (804) 977~2976 MEMORANDUM TO: FROM: BOARD OF DIRECTORS ARTHUR D. PETRINI, EXECUTIVE DIRECTOR 0- ~)' ~"~'~' SUBJECT: AFFIRMATION OF DATA USED IN GBB OPTION 7A DATE: OCTOBER 1, 1997 The original GBB report (February 1997) was used by the RSWA Board to set a direction for RSWA solid waste management activities. The result was the selection of Option 7A which involved landfilling of CDD in a new cell at the Ivy Landfill, wet stream composting, a MSW transfer station, encore reuse cehter, and other similar activities. Since the Board's decision, there have been several questions concerning the validity of one part of the GBB report. The questions concern the treatment of CDD. In response to those questions, I directed GBB to prepare a second report that revisited their original CDD information. The result-is the enclosed GBB report entitled "Economic Analysis of Construction, Demolition and Debris Waste Option", September 1997. Along with the report is Chart I, which is a summary of the 8 listed scenarios plus scenario IA Modified that I added to compare blasting and non-blasting designs for the proposed CDD Cell #4. As the chart shows, burial of CDD at Ivy creates the largest Environmental Contingency Fund (ECF). The scenarios that transfer CDD to a private landfill do not raise sufficient revenue to maintain an ECF. The scenarios listed as "Adjusted" show the tip fee increase necessary to maintain the ECF as shown in scenario IA. Several citizens have stated that a centrally located transfer station would be the best option. However, as shown in IIIB and IIIB Adjusted, there is considerable impact to the ECF or the tip fee if that option is chosen. The GBB report is prepared in two sections. The first section (Tab A) lists the assumptions for each scenario and the second section (Tabs B-E) presents the specific spreadsheets for each scenario (four sheets per scenario). There are no spreadsheets for IA Modified as this scenario was added by me. Also enclosed is a memo from Steve Chidsey dated September 30, 1997. In order to determine if the GBB assumptions were valid in their September 1997 report, a RFP was issued by RSWA for CDD disposal services. The results of the RFP affirm the GBB assumptions, particularly on the CDD tip fee at private landfills. Therefore, the September 1997 report is valid and supports the assumptions used in Option 7A ofthe original GBB report. ADP/csw Enclosures Word/shared/art/Affirmation of data used in gbb option 7a RIVANNA SOLID WASTE AUTHORITY MEMO1LC_NDUM TO: FROM: SUBJECT: DATE: ARTHUR D. PETRLN~I, EXECUTIVE DIRECTOR STEVECH1DSEY, DIRECTOROFSOLIDWASTE~.C. TRANSFER AND DISPOSAL OPTION FOR CDD SEPTEMBER 30, 1997 The Rivanna SohdWaste Authority (RSWA) received two responses to its RFP #97-08 for Construction andDemolition Waste Disposal Services. One was from the 623 Landfill in Goochland County and the. other from the USA Waste Landfill in Amelia County. The reason for the RFP issuance was to determine whether or not the tip fee charge used in the GBB scenario analysis (September 1997) for CDD management was valid. As the remainder of this memo demonstrates, the GBB data are valid and, therefore, so are the various scenarios. The 623 Landfill is a fully permitted construction, demolition and debris landfill wh/ch also has wood recovery, concrete crushing, and yard waste composting activities at its facility. The 623 Landfill charges by the cubic yard. The USA Waste landfill is a fully permitted MSW landfill. The waste is delivered from around the east coast and disposed on an eight hundred acre site (400 acres permitted). An alternate facility was offered by USA Waste at its Qualla Road Landfill in Chesterfield County. These facilities charge by the ton. Since the 623 Landfill proposal was based on a cubic yard price, the Authority took their gate rate price for a tractor trailer and assumed a standard twenty ton load. Tiffs equated to a tipping fee of $12.25 per mn. The USA Waste Landfill offered a tipping fee of $17.95 per ton. The GBB analysis used a figure of $I2.50 per ton and a location which was equi-v'alent in distance to the 623 Landfill. The 623 Landfill figure is essentially the same as the GBB figure. Therefore, the conclusions reached from the GBB analysis are valid and canbe used by the Board to determine a change in course, if desired, for CDD management. The currently approved plan is option 7A which includes burial of CDD residue in Cell 4. Chart I summarizes the economic model scenarios for CDD management that are derived from the GBB report. The options listed with an "A" involve burial of CDD at the Landfill after processing the CDD (reclaiming usable or revenue producing malerials), The options with a "B" involve transfer of CDD to a private landfill after processing the CDD. Option IIIB is processing of CDD at a centrally located transfer station with the residue transferring to a private Shared/L&M/steve/consmaction and demolition RFP mom landfill. As you can see from the chart the"'A" Options maximize the environmental contingency fund, while the "B" options essentially deplete the environmental contingency fund. Option rrr~ not only depletes the environmental contingency fund but draws from the total reserves to a level below the legal requirement of $8M as currently estimated. The last column in the chart shows what the tip fee at the Ivy Landfill would have to be for CDD in order to maintain the revenues in the Environmental Contingency Fund and total reserves as shown in option IA. With Option lA the tip fee for CDD at the Ivy Landfill will be $25.63 as of July 1, 1998. If the Board dec/des to transfer the res/dual CDD to a pr/vate landfill, then the tip lee at the Ivy Landfill would need to be at least $33.43 to maintain the same fund balance. The Authority could expect some leakage of CDD waste out of the ret~on if the tipping rate increased. One example of leakage is the contingency that is in the contract between BFI and the Authority which gives BFI the right not to deliver CDD to the Ivy location unless it is deposed of at that location. This is a decision for BFI based on the economics of CDD transfer together with a corporate policy of not using other transf~ stations when their own is available. IfBFI used their own transfer station, RSWA would lose approximately $190,000 in revenue per year. How much leakage would occur w/th conslruction compan/es who would chose to avail themselves of the 623 Landfill instead of using the Ivy Landfill is unknown. However, it Mil occur to some degree. Sharerl/L&M/stevc/construclion and demoJ/tion KFP rnem Economic Analysis of i Demolition, and Construct on, Debris Waste Options PREPARED FOR: Rivanna Solid Waste Authority PO Box 979 Charlottesville, VA 22902 PREPARED BY: SOLID WASTE MANAGEMB'qT CONSULTANTS 8550 Arlington Boulevord Fairfax, Virginia 22031-4620 (703) 573-5800 SEPTEMBER 1997 Printed on Recycled Paper © 1996, Gershman. Brickner & Brotton, Inc. TABLE OF CONTENTS TAB NO. ASSUMPTIONS ....................................................... A PROCESSING AT IVY WITH EXISTING EQUIPMENT ............... B Scenario IA Scenario IB Scenario I13 - Adjusted - Landfill Residue - Transfer Residue - Transfer Residue with Tipping Fee Adjusted PROCESSING AT IVY WITH NEW EQUIPMENT ...................... C Scenario IIA Scenario lib Scenario lib - Adjusted - Landfill Residue - Transfer Residue - Transfer Residue with Tipping Fee Adjusted CENTRAL PROCESSING WITH NEW EQUIPMENT .................. D Scenario BIB Scenario IIlB - Adjusted - Transfer Residue - Transfer Residue with Tipping Fee Adjusted CENTRAL CDD PROCESSING FACILITY ............................... E Basis of Design and Cost Estimates 'GBE) SEPTEMBER1997 WordfL&NUAr~GBB TABLE OF CONTENTS SEPT 97 Economic Model Scenarios For Wasm Management Options · For: Rivanna Solid Waste Authority · By: Gershman, Briclmer & Bratton, Inc. · Date: September 9, 1997 Common Assumptions For All Scenarios . Contract executed with private industry to transfgr and dispose of most MSW using private transfer station · MSW transfer starts July i, 1998 · AuthoriW operates a mini-transfer station for MSW at the Ivy site · CDD is accepted and weighed by Rivauna Solid Waste Authority . CDD is processed for materials recovew by Rivauna Solid Waste Authority · Ash and sludge are currently managed by Rivauna Sol.id Waste Authority for the generators, closing of CDD landfill at Ivy will force the generators to make other arrangemems; costs shovat in the transfer scenarios estimate this impact · C&D quantity is 32,000 tons in FY 1999 and increases at 1.3 percent per year · CDD tipping fee is $25 per ton in Fiscal Year 1997 and escalates at2.5 percent per year · Debris (vegetative) quantiw is 9,646 in FY 1999 and increases at 1.3 percent per year · Recovered material revenues · Reve~mes from recovered material are estimated at $50,000 for FY 1998 and are increased at the inflation rate, however they do not increase with the recovery rate due to ancertain markets and product quali~ · Market developmem activities wilt need to be initiated for the additional matermls recovered including gypsum and roofing · Compost reveunes are based on sates at $7 per cubic yard, not escalated · Financial R_esponsibility expenditure item is paid into the Environmental Contingency Fund (ECF) · The Pest Closure Fund is maintained at $8 M · Total Reserves is die sum of the Post Closure Fund and the ECF Scenario I-A CDD Processing with Existing Equipmem and CDD Landfilling at Ivy · All MSW is tranfferrc:xt te private Subtitle D landfill · CDD Processing using existing sorting screen and other equipment · Recovery increases from the current level of 10 percent GBB 1 9/9/97 - Fiscal Year 1998 - 10% - Fiscal Year 1999 - 20% - Fiscal Year 2000 - 30% · Recovered materials include: - Wood - Metal - Inert fines [dirt used on site~ - Salvaged materials · Un-recovered mater/als are managed at Ivy us/ng Authority personnel and equipment h~clude: - CDD processing residue is Iandfilled - Ash from UVA - 2000 tons per year utilized for roads and - Sludge - 3000 tons per year is mixed with soil and used for cover · Capital Required - FY 1998 - 51.5 Mthr landtiIl consmaanon - FY 2001 - $380,000 for landfill construction - FY 2002 - $385.000 for landfill constmctinn - Ceil 4 closure is ftmded at $50,000 per year starting in FY 1998 and expanded after FY 2008 · Operational Expenditures - Net loss operation thsough FY 2000 - Net positiYe cash flow FY 2000 and. beyond · Fund Stares h~FY 2008 - Enviromnental Cuntmgeney Fund - $4.7 M - Total Reserve - $12.7 M - Cell 4 Closure Fund - $550,000 Scenario I-B CDD Processing with Existing Equipment and Transfer of CDD from Ivy · All MSW is transferred to private Subtitle D landfill · CDD Processing using existing sorting screen m~d other equipment · Recove~ h~creases from thecurrentlevelofl0 percent - Fiscal Year 1998 - 10% - Fiscal Year 1999 - 20% - Fiscal Year 2000 - 30% · Recovered materials include: - Wood - Metal - Inert fines dirt used on sire) - Salvaged araterials · Un-recovered materials are transferred or managed as follows: - CDD processing residue transferred from Ivy usIng Authority personnel and GBB 2 9/9/97 equipment - Ash from LrVA - 2000 tons per year hauled direct from UVA and disposed at a private landfill, cost to IJVA esgLmatad at $] 25.000 in FY 1999 - Sludge - 3000 tons per year will be processed by thc Water and Sewer Authority requ&mag an estimated capital expense by Water and Sewer Authority of $500,000 in FY 1999 plus operations costs · Capital Required - Existing landfill closure and monitoring only · Operational Expenditures - Net loss operation through FY 2008 - Positive cash flow is projected FY 2008 and beyond · Fund Status in FY 2008 - Environmental Confmgancy Fund - $0.7 M - Total Reserve - 58.7 M · CDD Tipping Fee Adjusted to Equalize ECF and Total Reserve to Scenario J-A, see spreadsheet for Scenario J-B Adjusted for detail - $33.43 star~mg [n second half of FY 1998 Scenario II-A CDD Processing with New Eqmpmenr and Landfilling of CDD at Ivy · All MSW is transferred to phvate Subtitle D landfill · CDD Processing usmg newly purchased trommel/conveyor and other equipmem · Recovery mcreases from fl~e currant level of 10 percem - Fiscal Year 1998 ~ 10% - Fiscal Year 199c~ ~ 30°,4 - Fiscal Year 2000 - 40% -FiseaI Year 2001 ~ 50% · Recovered materials include: - Wood - Metal - Roofing shingles - Gypsmn - Inert fines dirt used on site - Salvaged materials · Utr~recovered materials are managed at Ivy using Authority persounel and equipment include: - CDD processing residue is landfilled - Ash from UVA - 2000 tons per year utilized for marls and cover - Sludge - 3000 tons per year is mixed vfith soil and used for cover · Capital Required - FY 1998 - $1.5 M for landfill construction - FY 1998 - $400.000 for processing equipmear GBB 3 9/9/97 - FY 200I - $300.000 for landfill construction - FY 2002 I S300,00© for landfill construction - Cell 4 closure is funded at $50,000 per year starting_ in FY 1998 and expended after FY 2008 · Operational Expenditures - Net loss operation ti~rongh FY 2000 - Net positive cash flow FY 200t and beyond · Fund Stares in FY 2008 - Environmental Contingency Fund $3.91Vi - Total Reserve $11.9 M - Ceil 4 Closure Fund $550,000 Scenario II~B CDD Processing with New Equipment and Transfer of CDD from Ivy · All MSW is transferred to private Subtitle D landfill · CDD Processing using newly purchased trom~melYconveyor and other equipment · Recovery increases from the current level of 10 pereem - Fiscal Year 1998 - 10% - Fiscal Year 1999 - 30% Fiscal Year 2000 - 40% - Fiscal Year 2001 - 50¢~ · Recovered materials include: - Wood - Metal - Roofing shingles - Gypsmn - Inert fines 'dirt used on sit% - Salvaged materials · Un-recovered materials are transferred or managed as follows: - CDD processmg residue transferred fi:om Ivy usIng Authority personnel and equipmem - Ash from UVA - 2000 tons per year hauled dkect from UVA and disposed ar a private landfill, cost to UVA estimated at $125,000 in FY 1999 - Sludge - 3000 tons per .ear x~tl be processed by ~he Water and Sewer Authunty requmng an esfunated capital expense by Water and Sewer Authority of 5500,000 in FY 1999 plus operations costs · Capital Reqnired - FY 1998 ~ $400.000 for processing equipment · Operat/oual Expenditures - Net loss operation tt~rough FY 2006 - Positive cash flow [nFY 2007 and beyond ·Fand Stares in FY 2008 GBB 9/9/97 7 - Enviromuental Contingency Fund - $22,357 - Total Reserve $8.0 M · CDD Tipping Fee Adjusted to Equalize ECF and Total Reserve to Scenario JI-A , see spreadsheet for Scenario II-B Adjusted for detail - $33.18 starting in second half of FY I998 Scenario [[115 Enclosed Centrally Located CDD Facility · Purchase or other acquisition of site, 5 acres required, estimated at $250,000 (1997 $) · ?ermitting of facility includin~ public hearing and input will optimistically take, least one year m complete; procurement, design and construction estimated at one year, earliest start of operations July l, [999 (FY 2O00) · Building, 25,000 ~q. ft. at a cost of approximately $1.25 M (1997 $) Processing and otCer equipment estimated at $974,000 (1997 $) Collection trucks will change routes to new site from · Un-recovered residue will require transfer and disposal at remote landfilI as per Scenario I-B and Scenario · TransfercostsforresidueislessthanScenariolJ-Bbecausethelandfillis 15 miles closer · h~ert material recovered is transported to · A savings of $18¢,000 in Ivy operations is taken in FY 2000 for moving the CDD processing Recovery increases from the current level of i0 percent - Fiscal Year 1992 - 10% - Fiscal Year 1999 - 10% - Fiscal Year 2000 - 60% Recovered materials include: - Wood - Metal - Corrugated board - Roofing shingles - Gypsum - Inert fines 2ir~ used at I'~7 site5 - Salvaged mate[ials · Ua-recovered materials are transferred or managed as follows: - CDD processlcg residue transferred ficom the Central Facility to a private landfill - Ash from UV+ - 2000 tons per year hauled direct from LWA and disposed at a private landfill, cost estimated at $125,000 in FY 1999 Sludge ~ 3000 tons per year will be processed by the Water and Sewer Authority requuSng an estintatecl capital expense of $500,000 in FY 1999 plus operations COSTS · Capital Required GBB 5 9/9/97 - FY 1999 - $5.2 Million · Operational Expenditures - Net loss operation through FY 2004 - Net Operating Budget increases positively beyond FY 2005 · Fund Status in FY 2008 - Environmental Contingency Fund has a deficit of $3.71,l - Total Reserve $4.3 M · CDD Tipping Fee Adjusted to Equalize ECF and Total Reserve ro Scenario I~A , see spreadsheet for Scenario III Adjusted for detail - $41.85 starting in second half of FY 1998 GBB 6 9/9/97 RIVANNA SO LID WASTE AUTHORITY RIVANNA CENTRAL CONSTRUCTION AND DEMOLITION PROCESSING FACILITY BASIS I OF DESIGN AND CAPITAL COST ESTIMATE i J Estimating Factors ~Cost (1997-$) Part A - BASIS OF DESIGN Ava ab e Feedstock Tons Per Year (TPY) 40,000 Tons Per Day (TPD) 153.85 I , Shift Structure · Shifts Per Day ( 1 Days Operation Per Week I 5 ' Receiving Hours Per Day i 8 Processing Hours Per Day 8 , _ I Matedal Properties I Bulk Density (Ib./cu.yd.) 350 !Average Thruput i Shift (tons) 153.85 Hourly (TPH) 19.23 i Hourly (cu.yd./H) 109.89 /Nominal System Design Thruput I Shift (tons) 177 ~ Hourly (TPH) [ 22 Hourly (cu.yd./H) 126 Part B iCAPITAL COST ESTIMATE i ll. Land Acquisition (Acres) / 5 t $250,000 12. EquipmentI, [ Roiling Stock $224,000 ! Fixed Equipment i $750,000 i ,Subtotal i $974,000 13. Equipment Installation 15% J $112,500 4. Initial Spare Parts & Supplies[~ 10% [ $97,400 5. Building (sq. ft.) ! 25,000 ! $1,250,000 16. Site Construction (per acre) I $70,000 I $350,000 17. Engineering .I 7% ~ $172,375 - !8. Start-up Funds~1 3 Mo. i $300,000 I Subtotal (Items 1- 8) I] $4,480,275 17. Contingency @ 15%~l 15% i $672,041 Total Capital Cost I / $5,152,316 RIVANNA Page I GBB 97015 9/9/97 Z RIVANNA SOLID WASTE AUTHORITY RIVANNA CENTRAL CONSTRUCTION AND DEMOLITION PROCESSING FACILITY OPERATIONS COSTS ~stimating Cost Cost Category Units Factor (1997 $) Personnel Per Ton $8.50 340.000 Maintenance % 10% 97,400 Utilities Per Ton $1.00 40,000 Supplies Per Ton $1.50 60.000 Contracted Services Assume 20,000 Fines Haul To ivy (1) 13.110 Residue Haul (2) 109.918 Residue Disposal (3) 195,853! Subtotal 876,281 Contingency at 20% % 20% 175.256 Total 1.051,537 (1) Dirt and fines recovered One way haul distance in miles Cost per mile $1.25 (2) Un-recovered material to private landfill One way haul distance in miles 551 Cost per mile $1.25 (3) Tipping fee per tractor traile- S245,00 RIVANNA Page 1 GBB 96015 9/9/97