Southeast Iowa Regional Planning Commission Executive Board M… · 22-10-2015 · Southeast Iowa...

Southeast Iowa Regional Planning Commission October 22, 2015 12:00 PM 211 N. Gear Ave., Suite 100 West Burlington, IA 52655

Meeting Type Executive Board

----- Agenda ----- CALL TO ORDER Schleisman

Agenda Approval Board Action

Consent Agenda (Director’s Report, Minutes, Financial Report, Claims, Correspondence)

Board Action

OLD BUSINESS

1. Transit Driver’s Handbook Update 2. Transit Drug and Alcohol Policy Update 3. SEIRPC Personnel Policy Update

NEW BUSINESS 1. Transit Facility Concepts

Baker Norris

Norris

Norris

Board Update Board Action

Board Action

Board Update

MATTERS FROM THE FLOOR

C

onsent Agenda

1

DIRECTOR’S REPORT To: SEIRPC Board

From: Mike Norris, Executive Director

Date: October 22, 2015

BUILDING UPDATE

Staff has begun to plan for winter operations, with annual furnace inspections, outdoor cleanup and completion of planning activities (caulking, vegetation control). Tenant relations are stable and there are no outstanding issues to report.

MISCELLANEOUS

SEIRPC is embarking on a contract with the Iowa Economic Development Authority (IEDA) to provide mapping services. SEIRPC will work within the Certified Sites process to provide consistent formats and professional map products for Iowa. This is a first for SEIRPC, but a signal of its quality staff and commitment to quality work products. The contract will bring in outside funds to SEIRPC, but also help to improve work products for regional members and entities as staff put their skills to the test in a state and national environment. The project will also help retain staff capacity while complementing other mapping and graphical work undertaken by SEIRPC.

CONSENT AGENDA

Financials are again stable after the first quarter. Ongoing contracts and strong programs bolster SEIRPC in FY2016. Work continues to generate new revenue for the next fiscal year and beyond as the programmatic landscape changes, especially with CDBG funds. A strong future emphasis on housing rehabilitation and construction for FY2017 and beyond is apparent.

AGENDA ITEMS – OLD BUSINESS

1. Transit Driver’s Handbook, Board Update: Staff have updated the driver’s handbook to reflect updated pay for travel time policy, based on prior discussion. The policy reverts to the beginning of the fiscal year and will pay all drivers to travel to staff meetings at the SEIRPC central office.

2. Transit Drug and Alcohol Policy Update, Board Action: Based on comments received at the SEIRPC FTA/DOT Triennial Review, the drug and alcohol policy should be revised. Minor changes include formatting, a linked table of contents and pre-employment testing policy.

3. SEIRPC Personnel Policy Update: SEIRPC’s personnel policy was last

updated in 2010. Since then, a legal language update was completed by the partner organization with which the policy was developed. Other changes to long term illness conversion, unpaid time off, paid time off are proposed.

AGENDA ITEMS – NEW BUSINESS

1. Transit Facility Concepts, Board Update: Staff plan to pursue the development of transit facility concepts. The draft concept alternatives will be brought back to the board of directors for discussion, and presumably selection of a preferred alternative.

of 2 August 20, 2015 - Executive Bd Minutes.pdf

Southeast Iowa Regional Planning Commission Executive Board Minutes 211 N. Gear Avenue, West Burlington, IA 52655 August 20, 2015 Members Present: Brent Schleisman, Sue Frice, Hans Trousil, Mark Huston, and Gary Folluo Staff Present: Mike Norris, Jeff Hanan, Nicole Baker, Lori Gilpin, and Debbie Laughlin Call to order at 12:03 p.m. Agenda Approval Motion by Frice to approve the August 20, 2015 agenda, second by Folluo. All Ayes, motion carried. CONSENT AGENDA APPROVAL Norris highlighted his directors report and stated that SEIRPC is reviewing its personnel policy with ECICOG (Cedar Rapids). Many changes are updating language to reflect standard practice, and some changes will affect clarification of bereavement leave, and converting a fraction of PTO to long term illness. We do not employ 50 employees or more and therefore are not subject to FMLA regulations, however, we may wish to adopt some of the language concerning unpaid leave and insurance coverage during that time. The year-end financials are in draft form. All matching dollars to be reflected in grant based cost centers have not been prepared, but SEIRPC will have another year in positive net income. Motion by Trousil to accept the consent agenda, second by Frice. All Ayes, motion carried. Old Business: None. New Business:

1. Purchase of Property:To go into Executive Session for the purpose of: To discuss the

purchase of particular real estate only where premature disclosure could be reasonably expected to increase the price the governmental body would have to pay for that property as per State Code, Chapter 21.5.1 (j). Motion by Folluo to go into Executive Session for the purpose of: To discuss the purchase of particular real estate only where premature disclosure could be reasonably expected to increase the price the governmental body would have to pay for that property as per State Code, Chapter 21.5.1 (j) at 12:11 p.m., second by Trousil. A roll call vote was taken. All ayes, motion carried.

2. Trousil made a motion to go back into Regular Session, second by Folluo. A roll call vote was taken. All ayes, motion carried. Frice made a motion to direct SEIRPC Executive Director to continue discussions regarding purchase of the 6 acres of potential property. All ayes, motion carried.

of 2 August 20, 2015 - Executive Bd Minutes.pdf

MATTERS FROM THE FLOOR: None. Motion to adjourn meeting by Folluo. Second by Trousil. All Ayes Meeting adjourned at 12:40 p.m.

Submitted by Debbie Laughlin

_________________________________ ______________________________ Mike Norris, Executive Director Mark Huston, Secretary Date: ___________________________ Date: ________________________

Financial Report

August 2015

Dear SEIRPC Board: The accompanying Balance Sheet of Southeast Iowa Regional Planning Commission, as of August 31, 2015, and the related Statements of Income and Changes in Financial Position for the one month ended August 31, 2015. A compilation is limited to presenting, in the form of financial statements, information that is the representation of management. The statements have not been audited.

Lori Gilpin Finance Director

Completed October 5, 2015

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TO: SEIRPC Board

FROM: Lori Gilpin

DATE: 10/5/2015

RE: Financial Summary for the month of August 2015

August 2015 YTD

TOTAL REVENUES : 1,827,503 2,957,742

TOTAL EXPENSES : 1,949,625 2,936,921

Excess of revenues over expenditures (122,122) 20,821

August 2015 YTD

TOTAL REVENUES : 60,296 211,506

TOTAL EXPENSES : 83,676 143,457

Excess of revenues over expenditures (23,381) 68,049

CASH BALANCE UNRESTRICTED RESTRICTED

Gen'l Government Chkng 1,031,704 -

IRP Government Chkng 432,527

Ft. Madison RLF Government Chkng 171,037

Henry County RLF Government Chkng 151,555

Henry County RTA Government Chkng 48,572

Keokuk RLF Regular Chkng 145,891

EDA RLF Government Chkng 310,462

Mediapolis HTF Government Chkng 72,984

GRHTF Government Chkng 132,550

TOTAL 1,080,276 1,417,006 2,497,282

CUSTOMER ACCOUNTS RECEIVABLE BALANCE

Current 1-45 46-90 >90 TOTAL

34,868 1,743,425 523,640 24,030 2,325,963

VENDOR ACCOUNTS PAYABLE BALANCE


1,736,342 459,142 0 (3) 2,195,481

PROFIT & LOSS ALL CLASSES

PROFIT & LOSS REGIONAL TRANSIT AUTHORITY

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ASSETS

Current Assets

Checking/Savings

103.00 · Gen'l Government Checking 1,031,703.67

104.00 · IRP Government Checking 432,526.72

105.00 · Ft. Madison RLF Gov't Chkng 171,037.34

106.00 · Henry County RLF-Gov't Chkng 151,554.93

107.00 · Henry County (RTA)-Gov't Chkng 48,572.36

109.00 · Keokuk RLF 145,890.92

110.00 · EDA RLF Government Checking 310,462.32

113.00 · Mediapolis HTF Gov't Chkng 72,983.83

115.00 · GRHTF-Gov't Checking 132,549.83

Total Checking/Savings 2,497,281.92

Accounts Receivable

120.00 · Accounts Receivable 2,325,962.56

Other Current Assets

101.00 · Petty Cash Account 302.00

130.00 · Ft. Madison RLF Receivable 23,152.93

131.00 · Henry County RLF Receivable 46,356.47

132.00 · Our Home Rehab Receivable 13,250.05

133.00 · Mediapolis HTF Receivable 45,405.47

134.00 · EDA RLF I Receivable 761,779.60

135.00 · IRP I Loan Receivable 432,412.46

136.00 · IRP II Loan Receivable 187,830.75

137.00 · Keokuk RLF Receivable 19,360.12

138.00 · GRHTF Receivable 59,192.12

139.00 · EDA RLF II Receivable 561,064.39

174.00 · Prepaid Insurance 61,634.85

Total Other Current Assets 2,211,741.21

Total Current Assets 7,034,985.69

Other Assets

220.10 · Agency Vehicle/Equipment 69,763.92

221.10 · Acc. Deprec. Agency Vehicle/Equ (14,853.37)

230.10 · Transit Vehicle 953,770.65

231.10 · Acc. Deprec.Transit Vehicle (492,643.43)

240.10 · Program Equipment 38,262.97

241.10 · Accum Deprec-Program Equipment (17,239.02)

250.10 · Building/Bldg. Improvements 1,298,269.96

251.10 · Accumulated Depr.-Bldgs (57,845.50)

252.10 · Land 103,440.00

Total Other Assets 1,880,926.18

TOTAL ASSETS 8,915,911.87

Southeast Iowa Regional Planning Commission

Balance Sheet

August 31, 2015

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Balance Sheet

August 31, 2015

LIABILITIES & EQUITY

Liabilities

Current Liabilities

300.00 · Accounts Payable 2,195,480.90

2100 · Payroll Liabilities 23,117.96

315.00 · Deferred Revenue - Comm. Trans. 73,260.00

326.12 · Deferred Revenue - RTA 25,670.53

326.79 · Speed Indicators Maintenance 3,202.78

326.80 · Custodial Fund Liability 105.55

355.00 · Accrued Vacation 14,590.65

3600 · Short Term Notes Payable 17,226.27

Total Current Liabilities 2,352,654.64

Long Term Liabilities

3700 · Long Term Notes Payable 1,053,490.89

Total Liabilities 3,406,145.53

Equity

3900 · Unreserved local net Assets 6,930.70

3901 · Non-spendable Reserve for Loans 1,421,491.74

3903 · Assigned to Revolving loan 2,017,662.48

3904 · Investment in property & equipment 1,826,015.64

3905 · GRHTF Net Assets 216,844.67

Net Income (Loss) to date 20,821.11

Total Equity 5,509,766.34

TOTAL LIABILITIES & EQUITY 8,915,911.87

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Aug-2015 Year-to-Date FY16 Budget FY15 Actual FY14 Actual FY13 Actual

Revenues:

4100 · Bus Fare Revenues

410.00 · General Public 5,276.84 10,669.57 55,000 66,758 51,127 44,262

411.00 · Local Contracts - 1,277.96 67,000 67,100 102,063 113,038

Total 4100 · Bus Fares 5,276.84 11,947.53 122,000 133,858 153,190 157,300

4500 · Federal/State Revenues

450.00 · EDA Planning Grant - 15,250.00 61,000 91,500 54,900 61,000

450.01 · Marketing Grant - - - - (2,525) -

450.04 · EDA Facility Grant - - - - - 112

450.05 · EDA RLF Grant - - - - - 634,500

451.00 · IDED COG Assistance - - - 11,765 10,294 10,294

453.00 · PDM (Pre-Disaster Mitigation) 7,500.00 13,450.00 - 11,900 5,532 34,099

455.00 · IDOT Planning - - 240,005 165,267 203,082 177,706

456.00 · State Transit Assistance (RTA) 22,508.18 48,978.88 268,126 257,780 247,848 307,254

457.00 · Federal Transit Assistance (RTA) - - 287,421 288,460 367,431 438,906

458.00 · Housing Draws 1,704,491.25 2,461,245.51 - 2,905,347 2,053,675 1,192,246

458.01 · IFA Tax Credit Revenues - - - - - 3,325

459.00 · State Medicaid 32,376.50 66,015.44 425,000 403,906 434,092 391,052

Total 4500 · Federal/State Revenues 1,766,875.93 2,604,939.83 1,281,552 4,135,924 3,374,329 3,250,494

4600 - Principle on Loans

461.00 - Principle on Loans 22,623.74 45,304.15 - 456,963 296,053 207,816

4700 · Local Revenues

470.00 · Per Capita Revenue - 170,669.00 170,669 165,603 159,407 128,211

471.00 · Cities/Counties - - - 26,424 7,250 16,750

472.00 · Other Contracts 11,468.31 54,174.81 316,525 309,495 84,440 86,521

473.00 · Grant Administration - 25,300.00 - 64,595 192,193 245,019

474.00 · CDGB Housing Administration - - - 13,775 16,075 -

475.00 · Other Contributions - - - - - 114,599

475.01 · Homeowner Contributions - - - 12,489 22,733 37,848

479.00 · RLF Administration - - 11,586 37,081 44,050 11,585

481.00 · Housing Soft Costs - - - 152,416 107,588 26,635

482.00 · Lead Abatement - - - - 9,970 38,162

484.00 · Housing Inspection Fees - - 8,000 - - -

488.00 · Vehicle Reimbursements 1,405.17 2,190.25 11,000 10,992 11,830 13,293

489.00 · Housing Administration - - 259,773 203,467 119,177 150,171

Total 4700 · Local Revenues 12,873.48 252,334.06 777,553 996,336 774,713 868,794

4900 · Miscellaneous Revenues

492.00 · Lease Income 9,381.60 18,763.20 112,579 112,729 111,889 112,039

496.00 · Interest Income (Bank) 446.38 862.25 5,035 6,760 8,721 8,889

497.00 · Miscellaneous Revenues-Other 1,875.00 7,587.50 13,000 20,402 13,973 8,939

498.00 · Matching Funds - - 88,775 - 99,844 89,318

Total 4900 · Miscellaneous Revenues 11,702.98 27,212.95 219,389 139,891 234,427 219,185

5000-52 RLF Income

507.00 · Late Payment Fees - 25.00 - 700 1,343 1,098

508.00 · Loan Closing Fees 800.00 2,412.00 1,500 16,392 12,252 14,587

509.00 · FM RLF Loan Interest Income 51.48 98.66 601 420 146 480

510.00 · Henry Co. RLF Interest Income 226.87 428.13 2,779 2,917 3,739 2,467

511.01 · EDA RLF I Interest Income 2,423.21 4,805.21 19,000 21,856 22,440 22,066

512.00 · Mediapolis HTF Interest Income 95.05 183.63 1,769 1,359 1,484 1,611

513.00 · EDA RLF II Interest Income 1,885.19 3,622.56 22,000 22,289 23,407 9,839

515.00 · IRP I Loan Interest Income 1,694.40 2,795.86 7,300 9,157 1,819 1,753

516.00 · IRP II Loan Interest Income 880.63 1,371.24 6,600 7,583 6,792 9,212

518.00 · Keokuk RLF Loan Interest Income 69.73 207.33 970 1,028 2,004 2,023

520.00 · GRHTF-Loan Interest 23.49 53.78 - 475 737 543

Total 5000-52 RLF Income 8,150.05 16,003.40 62,519 84,176 76,163 65,679

Total Income 1,827,503.02 2,957,741.92 2,463,013 5,947,149 4,908,875 4,769,268


Statement of Revenues, Expenditures and Changes in Fund Balance

For the One Month and Year Ended August 31, 2015

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Expenditures:

701.00 · Salaries 90,122.07 146,932.63 1,109,345 1,091,362 1,041,129 1,017,419

702.00 · FICA - Employer's Share 6,440.23 10,492.53 79,888 78,602 74,420 73,438

703.00 · IPERS - Employer's Share 7,785.37 12,602.86 98,550 95,173 91,656 85,618

704.00 · Unemployment - - 500 9,906 1,932 382

705.00 · Employee Benefits 14,641.18 22,404.08 185,124 176,293 191,614 166,837

706.00 · Physicals 127.00 442.00 1,500 2,038 2,019 1,565

707.00 · Uniform Expense 118.59 187.47 2,200 3,665 950 1,585

708.00 · Drug Testing 240.00 295.00 1,250 939 604 799

709.00 · Personnel Expenses-Other - - 2,150 2,342 1,009 2,326

710.00 · Payroll services 335.85 679.62 5,000 4,758 4,330 3,909

712.00 · Advertising - - 3,500 9,015 5,390 4,866

717.00 · Audit - - 16,000 18,650 15,250 14,750

726.00 · Contractual Expenses-Other 1,789.26 4,361.71 24,700 36,686 28,433 29,488

728.00 · Information Technology 525.00 1,051.25 9,400 9,894 9,847 10,818

729.00 · Copier Expense 496.12 638.89 5,000 5,273 4,836 6,512

730.00 · Legal Expense - 2,436.36 3,000 28,599 7,464 6,896

738.00 · Depreciation Expense - - - 17,504 - 2,914

740.00 · Dues/Subscriptions/Conferences 4,031.00 4,776.44 31,900 15,388 16,648 13,241

741.00 · Public Notices 91.90 213.11 1,400 1,219 1,838 2,316

746.00 · Leased Equipment - 152.00 700 456 640 760

747.00 · Equipment under $5000 - 1,400.00 8,500 12,936 17,528 21,918

748.00 · Capital Equipment - - 70,000 - 106,641 156,977

749.00 · Principle Expense - 34,330.58 73,038 39,949 45,219 45,079

750.00 · Lead Testing 55.00 55.00 2,000 2,199 2,173 2,935

751.00 · Housing 1,751,154.25 2,532,542.51 - 2,715,266 1,510,203 966,267

752.00 · Admin. Expense 833.00 1,666.00 7,500 160,677 27,058 113,086

754.00 · Insurance 8,532.90 17,325.80 108,700 101,517 127,406 111,099

756.00 · Mortgage Filing Fees 14.00 62.00 350 746 1,450 4,890

757.00 · Interest Expense 53.34 485.71 24,335 22,009 38,957 35,704

759.00 · Credit Report Exp. - - - - 16 114

760.00 · Housing Relocation Expense - - - - - -

766.00 · Bldg. Maintenance & Repair 61.15 61.15 20,000 13,585 20,296 14,703

767.00 · Vehicle Maintenance & Repair 8,801.54 17,573.68 110,500 115,504 115,818 122,756

768.00 · Marketing - 508.22 6,250 3,389 4,931 5,381

769.00 · Meeting Expense 139.24 303.12 4,200 4,096 3,346 2,622

782.00 · Printing/Postage 160.22 618.89 8,200 5,707 6,115 5,704

791.00 · Rent 650.00 1,300.00 8,000 7,830 7,830 6,330

806.00 · Supplies 760.50 1,703.07 12,850 11,453 9,152 18,071

807.00 · Bank Charges 19.99 19.99 - 38 (5) 37

808.00 · Fuel/Oil 8,382.31 16,211.27 140,200 108,521 155,930 154,381

810.00 · Telecommunications 2,142.81 4,286.26 27,100 24,711 28,215 27,009

811.00 - Utilities Expense 3,568.56 6,394.47 36,000 34,737 37,737 32,570

813.00 - Real Estate Taxes 6,316.00 6,316.00 17,000 16,166 18,774 12,960

815.00 · Mileage Expense 61.14 73.39 3,000 2,417 2,877 -

816.00 · Travel/Training 1,270.38 1,461.50 13,450 9,612 4,954 8,205

820.00 · Use Allowance 1,405.17 2,190.25 11,600 10,890 11,830 13,293

825.00 · Bad Debt Expense - - - 580 - -

829.00 · Down Payment Assistance 25,000.00 75,000.00 - 203,750 351,677 317,840

830.00 · Participant Loans & Grants 3,500.00 7,366.00 - 807,634 723,271 860,198

850.00 · Marketing Grant Expenditure - - - - - 5,323

890.00 · Matching Expenditures - - 88,775 - 99,844 99,318

900.00 · Indirect Costs - - - - - -

Total Expenditures 1,949,625.07 2,936,920.81 2,382,655 6,043,679 4,979,252 4,611,209

Excess (deficiency) of revenues over (under)

expenditures (122,122.05) 20,821.11 80,358 (96,530) (70,377) 158,059

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Schedule 1


Revenues:


410.00 · General Public 5,276.84 10,669.57 55,000 66,758 51,127 44,262

411.00 · Local Contracts - 1,277.96 67,000 67,100 102,063 113,038

Total 4100 · Bus Fares 5,276.84 11,947.53 122,000 133,858 153,190 157,300


456.00 · State Transit Assistance 22,508.18 48,978.88 268,126 257,780 247,848 307,254

457.00 · Federal Transit Assistance - - 287,421 288,460 367,431 438,906

459.00 · State Medicaid 32,376.50 66,015.44 425,000 403,906 434,092 391,051

Total 4500 · Federal/State Revenues 54,884.68 114,994.32 980,547 950,146 1,049,371 1,137,211



472.00 · Other Contracts - - - - - -

Total 4700 · Local Revenues - 84,359.00 84,359 82,301 79,904 49,443


495.00 · Insurance Proceeds - - - - - -

496.00 · Interest Income (Bank) 9.06 18.06 85 96 86 73

497.00 · Miscellaneous Revenues-Other 125.00 187.50 8,000 4,577 4,900 -

498.00 · Matching Funds - - 0 - - 589

Total 4900 · Miscellaneous Revenues 134.06 205.56 8,085 4,673 4,986 662

Total Revenues 60,295.58 211,506.41 1,194,991 1,170,978 1,287,451 1,344,616

Expenditures:

701.00 · Salaries 31,043.20 49,173.26 379,721 390,756 399,237 377,934



- - 500 9,906 - 382


706.00 · Physicals 127.00 442.00 1,500 2,038 2,019 1,565

707.00 · Uniform Expense 118.59 187.47 1,500 2,978 835 1,358

708.00 · Drug Testing 240.00 295.00 1,250 939 604 799

709.00 · Personnel Expenses-Other - - 1,500 1,980 605 458

712.00 · Advertising - - 2,000 7,775 4,632 3,216

726.00 · Contractual Expenses-Other - - 500 6,595 9,101 6,318

728.00 · Information Technology 105.00 317.50 500 1,313 2,117 2,630

730.00 · Legal Expense - 2,436.36 2,500 28,047 600 635

738.00 · Depreciation Expense - - - - - -

740.00 · Dues/Subscriptions/Conferences 2,998.00 2,998.00 5,000 2,531 3,471 2,273

741.00 · Public Notices - - - 16 20 21

747.00 · Equipment Under $5000 - - - 470 354 2,997


754.00 · Insurance 5,311.83 10,883.66 68,000 61,046 63,838 64,032

757.00 · Interest Expense - - - - 660 -

766.00 · Bldg. Maintenance & Repairs - - - - - -


768.00 · Marketing - - 750 750 - 550

769.00 · Meeting Expense - - 500 440 132 244

782.00 · Printing/Postage - (52.38) 1,800 938 3 1,122

791.00 · Rent 650.00 1,300.00 8,000 7,800 7,800 6,300

806.00 · Supplies 16.53 179.04 350 802 671 1,453

807.00 · Bank Charges - - - - (5) 10

808.00 · Fuel/Oil 7,931.55 15,494.92 135,000 104,313 150,075 149,104

810.00 · Telecommunications 855.11 1,715.83 11,000 9,001 8,610 8,310

815.00 · Mileage Expense 12.25 24.50 2,500 1,234 2,786 -

816.00 · Travel/Training 32.31 40.68 1,000 192 825 2,939

820.00 · Use Allowance 179.37 295.00 1,800 2,262 2,210 2,141

825.00 · Bad Debt Expense - - - 580 - -

- - 10,000 - 10,000 -

900.00 · Indirect Costs 14,735.05 23,372.72 182,559 184,649 178,081 174,851

Total Expenditures 83,676.47 143,457.48 1,130,522 1,071,408 1,154,239 1,201,037

Fund Balance (23,380.89) 68,048.93 64,469 99,570 133,212 143,579

704.00 - Unemployment

890.00 - Matching Expenditures

Regional Transit Authority



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Schedule 2 Southeast Iowa Regional Planning Commission

Statement of Revenues and Expenses by Class

For the Two Months Ending

August 31, 2015

10 Company

Vehicles 20 EDA PG 22 Facility 47 Housing

48 Great

River

Housing

Trust

Ordinary Income/Expense

Income

4100 · Bus Fare Revenues 0.00 0.00 0.00 0.00 0.00

4500 · Federal/State Revenues 0.00 15,250.00 0.00 2,461,245.51 0.00

461.00 · Principle on Loans 0.00 0.00 0.00 922.05 3,282.43

4700-48 · Local Revenues 2,190.25 0.00 0.00 0.00 0.00

4900 · Miscellaneous Revenues 0.00 0.00 18,763.20 31.67 7,460.72

5000-52 · RLF Income 0.00 0.00 0.00 183.63 2,465.78

2,190.25 15,250.00 18,763.20 2,462,382.86 13,208.93

Expense

700.00 · Personnel Expenses 0.00 15,238.03 1,199.61 19,747.75 5,312.91

704.00 · Unemployment 0.00 0.00 0.00 0.00 0.00

706.00 · Physicals 0.00 0.00 0.00 0.00 0.00

707.00 · Uniform Expense 0.00 0.00 0.00 0.00 0.00

708.00 · Drug Testing 0.00 0.00 0.00 0.00 0.00

709.00 · Personnel Expenses-Other 0.00 0.00 0.00 0.00 0.00

710.00 · Payroll Services 0.00 0.00 0.00 0.00 0.00

712.00 · Advertising 0.00 0.00 0.00 0.00 0.00

717.00 · Audit 0.00 0.00 0.00 0.00 0.00

726.00 · Contractual Expenses 0.00 0.00 2,765.00 0.00 0.00

728.00 · Information Technology 0.00 0.00 0.00 11.88 0.00

729.00 · Copier Expense 0.00 0.00 0.00 0.00 0.00

730.00 · Legal Expense 0.00 0.00 0.00 0.00 0.00

738.00 · Depreciation Expense 0.00 0.00 0.00 0.00 0.00

740.00 · Dues/Subscriptions/Conference 0.00 0.00 0.00 300.00 0.00

741.00 · Public Notices 0.00 0.00 0.00 0.00 12.92

746.00 · Leased Equipment 0.00 0.00 0.00 0.00 0.00

747.00 · Equipment under $5000 0.00 0.00 0.00 0.00 0.00

748.00 · Capital Equipment 0.00 0.00 0.00 0.00 0.00

749.00 · Principle Expense 0.00 0.00 0.00 0.00 0.00

750.00 · Lead Testing 0.00 0.00 0.00 55.00 0.00

751.00 · Housing 0.00 0.00 0.00 2,463,179.51 69,363.00

752.00 · Admin. Expense 0.00 0.00 0.00 0.00 0.00

754.00 · Insurance 508.14 0.00 1,008.16 0.00 0.00

756.00 · Mortgage Filing Expenses 0.00 0.00 0.00 27.00 35.00

757.00 · Interest Expense 88.78 0.00 40.25 0.00 0.00

760.00 · Housing Relocation Expense 0.00 0.00 0.00 0.00 0.00

766.00 · Bldg. Maintenance & Repairs 0.00 0.00 61.15 0.00 0.00

767.00 · Vehicle Maintenance & Repair 102.77 0.00 0.00 0.00 0.00

768.00 · Marketing 0.00 0.00 0.00 0.00 0.00

769.00 · Meeting Expense 0.00 0.00 0.00 0.00 47.50

782.00 · Printing/Postage 0.00 38.01 0.00 0.00 0.00

791.00 · Rent 0.00 0.00 0.00 0.00 0.00

806.00 · Supplies 0.00 0.00 0.00 0.00 0.00

807.00 · Bank Charges 0.00 0.00 0.00 0.00 0.00

808.00 · Fuel/Oil 716.35 0.00 0.00 0.00 0.00

810.00 · Telecommunications 0.00 0.00 0.00 0.00 0.00

811.00 · Utilities Expense 0.00 0.00 6,394.47 0.00 0.00

812.00 · Bldg Operation Allocation 0.00 0.00 0.00 0.00 0.00

813.00 · Real Estate Taxes 0.00 0.00 6,316.00 0.00 0.00

815.00 · Mileage Expense 0.00 0.00 0.00 0.00 0.00

816.00 · Travel/Training 0.00 134.01 0.00 952.65 0.00

820.00 · Use Allowance 5.57 167.24 0.00 570.77 49.59

829.00 · Down Payment Assistance 0.00 0.00 0.00 0.00 75,000.00

830.00 · Participant Loans 0.00 0.00 0.00 3,866.00 3,500.00

825.00 · Bad Debt Expense 0.00 0.00 0.00 0.00 0.00

850.00 · Marketing Grant Expenditure 0.00 0.00 0.00 0.00 0.00

900.00 · INDIRECT COSTS 0.00 5,370.93 428.98 6,976.82 1,876.60

1,421.61 20,948.22 18,213.62 2,495,687.38 155,197.52

768.64 (5,698.22) 549.58 (33,304.52) (141,988.59)

- - (5,410.17) (32,292.57) - SEIRPC Adjusted Balance

Excess (deficiency) of revenues over

(under) expenditures

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Income



461.00 · Principle on Loans

4700-48 · Local Revenues


5000-52 · RLF Income

Expense

700.00 · Personnel Expenses

704.00 · Unemployment

706.00 · Physicals

707.00 · Uniform Expense

708.00 · Drug Testing

709.00 · Personnel Expenses-Other

710.00 · Payroll Services

712.00 · Advertising

717.00 · Audit

726.00 · Contractual Expenses

728.00 · Information Technology

729.00 · Copier Expense

730.00 · Legal Expense

738.00 · Depreciation Expense

740.00 · Dues/Subscriptions/Conference

741.00 · Public Notices

746.00 · Leased Equipment

747.00 · Equipment under $5000

748.00 · Capital Equipment

749.00 · Principle Expense

750.00 · Lead Testing

751.00 · Housing

752.00 · Admin. Expense

754.00 · Insurance

756.00 · Mortgage Filing Expenses

757.00 · Interest Expense

760.00 · Housing Relocation Expense

766.00 · Bldg. Maintenance & Repairs

767.00 · Vehicle Maintenance & Repair

768.00 · Marketing

769.00 · Meeting Expense

782.00 · Printing/Postage

791.00 · Rent

806.00 · Supplies

807.00 · Bank Charges

808.00 · Fuel/Oil

810.00 · Telecommunications

811.00 · Utilities Expense

812.00 · Bldg Operation Allocation

813.00 · Real Estate Taxes

815.00 · Mileage Expense

816.00 · Travel/Training

820.00 · Use Allowance

829.00 · Down Payment Assistance

830.00 · Participant Loans

825.00 · Bad Debt Expense

850.00 · Marketing Grant Expenditure

900.00 · INDIRECT COSTS

SEIRPC Adjusted Balance



60 IDOT 71 EDA RLF 72 IRP-I

73.00

FM/KK/HC

RLF 76 IRP-II

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 27,872.01 4,782.14 3,671.74 4,773.78

7,750.00 0.00 0.00 0.00 0.00

0.00 109.36 168.17 120.04 0.00

0.00 8,452.77 2,795.86 734.12 1,371.24

7,750.00 36,434.14 7,746.17 4,525.90 6,145.02

23,966.39 3,925.64 845.37 0.00 304.12

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

111.00 0.00 0.00 0.00 0.00

37.26 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

1,400.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 21,083.26 0.00 13,247.32

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 108.16 0.00 248.52

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

7.55 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

178.34 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

66.33 3.74 0.00 0.00 0.00

312.97 103.48 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

8,477.71 1,380.77 299.17 0.00 107.29

34,557.55 5,413.63 22,335.96 0.00 13,907.25

(26,807.55) 31,020.51 (14,589.79) 4,525.90 (7,762.23)

(26,807.55) 3,148.50 1,711.33 - 711.31

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Income







Expense



706.00 · Physicals






717.00 · Audit













751.00 · Housing


754.00 · Insurance






768.00 · Marketing



791.00 · Rent

806.00 · Supplies


808.00 · Fuel/Oil
















80 Indirect

Cost Center 85 RTA 90 LOCAL TOTAL

0.00 11,947.53 0.00 11,947.53

0.00 114,994.32 13,450.00 2,604,939.83

0.00 0.00 0.00 45,304.15

0.00 84,359.00 158,034.81 252,334.06

0.00 205.56 354.23 27,212.95

0.00 0.00 0.00 16,003.40

0.00 211,506.41 171,839.04 2,957,741.92

35,923.32 66,056.27 19,912.69 192,432.10

0.00 0.00 0.00 0.00

0.00 442.00 0.00 442.00

0.00 187.47 0.00 187.47

0.00 295.00 0.00 295.00

0.00 0.00 0.00 0.00

679.62 0.00 0.00 679.62

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

39.90 0.00 1,556.81 4,361.71

710.00 317.50 11.87 1,051.25

638.89 0.00 0.00 638.89

0.00 2,436.36 0.00 2,436.36

0.00 0.00 0.00 0.00

878.44 2,998.00 489.00 4,776.44

138.58 0.00 24.35 213.11

152.00 0.00 0.00 152.00

0.00 0.00 0.00 1,400.00

0.00 0.00 0.00 0.00

0.00 0.00 0.00 34,330.58

0.00 0.00 0.00 55.00

0.00 0.00 1,666.00 2,534,208.51

0.00 0.00 0.00 0.00

4,925.84 10,883.66 0.00 17,325.80

0.00 0.00 0.00 62.00

0.00 0.00 0.00 485.71

0.00 0.00 0.00 0.00

0.00 0.00 0.00 61.15

0.00 17,470.91 0.00 17,573.68

508.22 0.00 0.00 508.22

255.62 0.00 0.00 303.12

625.71 -52.38 0.00 618.89

0.00 1,300.00 0.00 1,300.00

1,299.76 179.04 45.93 1,703.07

19.99 0.00 0.00 19.99

0.00 15,494.92 0.00 16,211.27

2,469.67 1,715.83 100.76 4,286.26

0.00 0.00 0.00 6,394.47

0.00 0.00 0.00 0.00

0.00 0.00 0.00 6,316.00

0.00 24.50 48.89 73.39

185.59 40.68 78.50 1,461.50

128.52 295.00 557.11 2,190.25

0.00 0.00 0.00 75,000.00

0.00 0.00 0.00 7,366.00

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

-55,307.17 23,372.72 7,016.18 0.00

-5,727.50 143,457.48 31,508.09 2,936,920.81

5,727.50 68,048.93 140,330.95 20,821.11

- 68,048.93 140,330.95 149,440.73

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Schedule 3

Type Date Num Name Amount

Bill Pmt -Check 08/05/2015 268478 ABC Fire Extinguisher Sales & Servs Inc 9.70

Bill Pmt -Check 08/05/2015 268479 Access Systems 142.77

Bill Pmt -Check 08/05/2015 268480 AdvisorNet Property and Casualty LLC 260.00

Bill Pmt -Check 08/05/2015 268481 Bradley & Riley, PC 2,436.36

Bill Pmt -Check 08/05/2015 268482 Burlington True Value 18.32

Bill Pmt -Check 08/05/2015 268483 Card Center 3,011.28

Bill Pmt -Check 08/05/2015 268484 City of West Burlington. 119.82

Bill Pmt -Check 08/05/2015 268485 Fastenal 11.81

Bill Pmt -Check 08/05/2015 268486 Huffman Welding and Machine Inc 188.95

Bill Pmt -Check 08/05/2015 268487 i connect you. 183.00

Bill Pmt -Check 08/05/2015 268488 Iowa Illinois Office Solutions 338.11

Bill Pmt -Check 08/05/2015 268489 Joe Yocum 12.25

Bill Pmt -Check 08/05/2015 268490 Norm's Koestner Electric Inc 244.28

Bill Pmt -Check 08/05/2015 268491 Pitney Bowes - Purchase Power 503.50

Bill Pmt -Check 08/05/2015 268492 Pitney Bowes Global Financial Svcs. LLC 152.00

Bill Pmt -Check 08/05/2015 268493 Stews Lawn 655.00

Bill Pmt -Check 08/05/2015 268494 Traffic Logix Corporation 64.00

Bill Pmt -Check 08/05/2015 268495 US Cellular 50.38

Bill Pmt -Check 08/05/2015 268496 Verizon Wireless 860.72

Bill Pmt -Check 08/05/2015 268497 Wex Bank 900.62

Bill Pmt -Check 08/19/2015 268498 ABC Fire Extinguisher Sales & Servs Inc 4.85

Bill Pmt -Check 08/19/2015 268499 All American Turf Beauty Inc 175.00

Bill Pmt -Check 08/19/2015 268500 C-CAT, Inc. 100.00

Bill Pmt -Check 08/19/2015 268501 Carquest Auto Parts 13.99

Bill Pmt -Check 08/19/2015 268502 CenturyLink 161.76

Bill Pmt -Check 08/19/2015 268503 CenturyLink. 797.69

Bill Pmt -Check 08/19/2015 268504 City of Burlington, Iowa 2,579.24

Bill Pmt -Check 08/19/2015 268505 City of Keokuk. 1,987.64

Bill Pmt -Check 08/19/2015 268506 City of Mount Pleasant 1,508.51

Bill Pmt -Check 08/19/2015 268507 City of Ottumwa. 15.00

Bill Pmt -Check 08/19/2015 268508 Clear Falls Bottled Water 60.25

Bill Pmt -Check 08/19/2015 268509 Convergent Non Profit Solutions 289.11

Bill Pmt -Check 08/19/2015 268510 Dave's Towing & Recovery 65.00

Bill Pmt -Check 08/19/2015 268511 Deery Brothers Ford Lincoln Inc 732.78

Bill Pmt -Check 08/19/2015 268512 Drake Hardware & Software 157.50

Bill Pmt -Check 08/19/2015 268513 Ebert Supply Company 65.35

Bill Pmt -Check 08/19/2015 268514 Farmers Elevator & Exchange, Inc. 869.13

Bill Pmt -Check 08/19/2015 268515 Fullenkamp Insurance Agency 3,865.29

Bill Pmt -Check 08/19/2015 268516 Hope Haven Area Dev Center 425.00

Bill Pmt -Check 08/19/2015 268517 Hy-Vee, Inc 159.19

Bill Pmt -Check 08/19/2015 268518 Integrated Technology Partners 19.95


Bill Pmt -Check 08/19/2015 268520 IPC, Inc. 400.00

Bill Pmt -Check 08/19/2015 268521 J.D. Byrider 539.14

Bill Pmt -Check 08/19/2015 268522 Jim's Body Shop Inc 125.00

Bill Pmt -Check 08/19/2015 268523 Kempker's True Value 35.98

Bill Pmt -Check 08/19/2015 268524 Kirsten Kramer 48.89


Check Register

August 31, 2015

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Schedule 3



Check Register

August 31, 2015

Bill Pmt -Check 08/19/2015 268525 Lowell Gaulke 524.50

Bill Pmt -Check 08/19/2015 268526 Lowes 3.60

Bill Pmt -Check 08/19/2015 268527 Mediacom 89.90

Bill Pmt -Check 08/19/2015 268528 Mt. Pleasant Tire & Service 662.60

Bill Pmt -Check 08/19/2015 268529 Norm's Koestner Electric Inc 644.81

Bill Pmt -Check 08/19/2015 268530 O'Reilly Automotive, Inc. 189.73

Bill Pmt -Check 08/19/2015 268531 Pauwels Lawn Care 500.00

Bill Pmt -Check 08/19/2015 268532 SEI Properties LLC 250.00

Bill Pmt -Check 08/19/2015 268533 Shottenkirk Superstore 4,375.94

Bill Pmt -Check 08/19/2015 268534 Swailes Auto Supply Inc. 493.76

Bill Pmt -Check 08/19/2015 268535 Telin Transportation Group 460.93

Bill Pmt -Check 08/19/2015 268536 The Burlington Hawk Eye 130.75

Bill Pmt -Check 08/19/2015 268537 Uptown Ivy 47.50

Bill Pmt -Check 08/19/2015 268538 Tri-State Medical Group Inc 127.00

Bill Pmt -Check 08/19/2015 268539 Truck Repair Inc. 500.24

Bill Pmt -Check 08/19/2015 268540 UnityPoint Clinic 240.00

Bill Pmt -Check 08/19/2015 268541 Waterworks Car Wash 5.00

Bill Pmt -Check 08/19/2015 268542 Wemiga Waste Inc 25.00

Bill Pmt -Check 08/19/2015 268543 Winners Circle 106.98

Bill Pmt -Check 08/19/2015 268544 Wunderlich, Inc. 4,410.65

Bill Pmt -Check 08/26/2015 268545 Hobart Historic Restoration LLC 0.00

Bill Pmt -Check 08/26/2015 268546 Brazelton LLC. 299,825.01

339,363.96

Welmark 15,800.68

Payroll 64,134.42

Payroll Taxes 24,005.88

Payroll Processing Fees 335.85

Two Rivers Bank - Facility payment 0.00

Two Rivers Bank - Vehicle loan payment 520.94

Advantage fees 165.80

MetLife (dental ins.) 884.37

Alliant Energy 3,448.74

Principal Financial (life ins.) 925.00

IPERS 12,437.06

122,658.74

TOTAL EXPENDITURES 462,022.70

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

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Schedule 4

BANCARD Services Credit Card Statement

STATEMENT DATE: 8/28/2015

PAYMENT DUE DATE: 9/22/2015

CHECK# 268548

DATE PAID 9/3/2015

Date Transaction Description Account# Type Class# Class Name Amount Receipt

MIKE NORRIS

11-Aug-15 JoDean's Steak House - Yankton SD 816 Travel/Training 47 Housing 58.65 Yes

11-Aug-15 Subway - Burlington 816 Travel/Training 47 Housing 39.75 Yes

25-Aug-15 Press Box Grill - Mt. Pleasant 816 Travel/Training 80 Indirect 11.34 Yes

26-Aug-15 Chandlers - Ft. Madison 769 Meeting Expense 80 Indirect 46.48 Yes

TOTAL 156.22

DEBORAH LAUGHLIN

01-Aug-15 Current Online (cards) 806 Supplies 85 RTA 6.98 Yes

01-Aug-15 Current Online (cards) 806 Supplies 80 Indirect 6.98 Yes

12-Aug-15 Days Inn - Yankton South Dakota 816 Travel/Training 47 Housing (22.79) Yes

12-Aug-15 Days Inn - Yankton South Dakota 816 Travel/Training 47 Housing (22.79) Yes

12-Aug-15 Days Inn - Yankton South Dakota 816 Travel/Training 47 Housing 86.63 Yes








20-Aug-15 Subway - West Burlington 769 Meeting Expense 80 Indirect 62.45 Yes

TOTAL 769.45

ZACH JAMES

29-Jul-15 ORBITZ.COM (hotel) - Ames 816 Travel/Training 60 IDOT 66.33 Yes

05-Aug-15 Wix Inc (website) 740 Dues/Subscriptions 60 IDOT (99.00) Yes

07-Aug-15 Wix Inc (website) 740 Dues/Subscriptions 60 IDOT 111.00 Yes

TOTAL 78.33

JEFF HANAN

03-Aug-15 Accurate Analytical (lead testing) 750 Lead Testing 47.612 MFNC 55.00 Yes

13-Aug-15 Int Veld's Meat Market - Pella 816 Travel/Training 20 EDA PG 3.73 Yes

13-Aug-15 Int Veld's Meat Market - Pella 816 Travel/Training 71 RLF 3.74 Yes

TOTAL 62.47

LORI GILPIN

20-Aug-15 Target - West Burlington 806 Supplies 80 Indirect 7.48 Yes

TOTAL 7.48

BOB KUSKOWSKI

30-Jul-15 Westland Fast Break - W. Burlngton 808 Fuel/Oil 85 RTA 13.59 Yes

TOTAL 13.59

NICOLE BAKER

27-Jul-15 Pilot - Mt. Pleasant (Arbys) 816 Travel/Training 85 RTA 13.57 Yes

14-Aug-15 Pilot - Mt. Pleasant (Arbys) 816 Travel/Training 85 RTA 13.24 Yes

19-Aug-15 Southeastern Community College 740 Dues/Conferences 85 RTA 35.00 Yes

22-Aug-15 Burger King - Des Moines 816 Travel/Training 85 RTA 5.50 Yes

27-Aug-15 Refund of Annual Fee 807 Banking fees 80 Indirect (20.00) Yes

TOTAL 47.31

KIRSTIN KRAMER

26-Aug-15 Travel Insurance Policy 816 Travel/Training 90.05 CTC 8.50 Yes

26-Aug-15 Assoc. Behavior & Cog. Therapy 740 Dues/Conferences 90.05 CTC 489.00 Yes

26-Aug-15 Amtrak.com (train tickets) 816 Travel/Training 90.05 CTC 70.00 Yes

TOTAL 567.50

TOTAL 1,702.35

ClassExpense

Hans Trousil Mike Norris

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Schedule 5

Current 1 - 45 46 - 90 > 90 TOTAL

Local:

ASAP Grant 0.00 0.00 15,250.00 0.00 15,250.00

City of Burlington 395.20 289.11 0.00 0.00 684.31

City of Columbus City 0.00 0.00 532.00 0.00 532.00

City of Fort Madison 0.00 0.00 2,080.89 0.00 2,080.89

City of Fredonia 0.00 0.00 426.00 0.00 426.00

City of Keokuk 0.00 0.00 4,767.87 0.00 4,767.87

City of Letts 0.00 0.00 526.00 0.00 526.00

City of West Burlington 0.00 225.00 0.00 0.00 225.00

Henry County Auditor 0.00 0.00 2,556.10 0.00 2,556.10

Lee County Economic Development Group 0.00 1,500.00 0.00 0.00 1,500.00

Mt. Pleasant Main Street 0.00 0.00 0.00 2,250.00 2,250.00

Town of Rome 0.00 0.00 334.00 0.00 334.00

395.20 2,014.11 26,472.86 2,250.00 31,132.17

Housing:

City of Mediapolis 0.00 0.00 5,018.06 0.00 5,018.06

Downtown Partners 0.00 0.00 0.00 1,789.00 1,789.00

ECIA 0.00 1,704,491.25 475,734.00 5,682.00 2,185,907.25

Iowa Prision Industries 0.00 86.63 0.00 0.00 86.63

Three Forwards 0.00 0.00 0.00 12,500.00 12,500.00

Todd Schneider. 0.00 0.00 16,000.00 0.00 16,000.00

0.00 1,704,577.88 496,752.06 19,971.00 2,221,300.94

Great River Housing Trust Fund:

Deery Toyota 0.00 100.00 0.00 0.00 100.00

0.00 100.00 0.00 0.00 100.00

RTA:

Blair House 17.50 75.00 0.00 0.00 92.50

Hope Haven 480.44 401.38 0.00 0.00 881.82

Iowa Medicaid Enterprise 32,376.50 33,638.94 314.89 36.95 66,367.28

Kathlean Heyvaert 0.00 0.00 25.00 0.00 25.00

Lexington Square - Keokuk 0.00 40.00 0.00 0.00 40.00

Loyal Jay Dischler 0.00 25.00 25.00 50.00 100.00

Michael Scott 0.00 25.00 25.00 25.00 75.00

Milestones Area Agency on Aging 0.00 1,277.96 0.00 0.00 1,277.96

New London Nursing & Rehab 1,205.00 756.25 0.00 0.00 1,961.25

Pleasant Manor Care Center 0.00 25.00 0.00 0.00 25.00

Priscilla Jensen 0.00 25.00 0.00 0.00 25.00

Ralph Hole 0.00 25.00 0.00 0.00 25.00

Rebecca Shibley 0.00 0.00 0.00 140.75 140.75

Ruth Boyd. 0.00 0.00 0.00 1,535.89 1,535.89

Santana Lau 0.00 25.00 0.00 0.00 25.00

Shane Davis 0.00 25.00 0.00 0.00 25.00

Shirley Self 0.00 25.00 0.00 0.00 25.00

Steve Anderson 0.00 0.00 25.00 25.00 50.00

Surrey Group Home 0.00 25.00 0.00 25.00 50.00

Tammy Wheeler 0.00 25.00 0.00 0.00 25.00

TMS Management Group, INc. 393.40 288.60 0.00 0.00 682.00

Tosha Rhoades 0.00 25.00 0.00 0.00 25.00

Tricia Kroll 0.00 0.00 0.00 -30.00 -30.00

Tyrone Seay 0.00 -50.00 0.00 0.00 -50.00

Young House 0.00 30.00 0.00 0.00 30.00

34,472.84 36,733.13 414.89 1,808.59 73,429.45

Total 34,868.04 1,743,425.12 523,639.81 24,029.59 2,325,962.56


Accounts Receivable Aging Summary

August 31, 2015

13 of 15

Schedule 6

Current 1 - 45 46 - 90 > 90 TOTAL

Access Systems 496.12 - - - 496.12

Brazelton LLC. 223,521.69 - - - 223,521.69

Burlington Hawkeye 182.00 - - - 182.00

Card Center 1,702.35 - - - 1,702.35

CenturyLink 166.73 - - - 166.73

CenturyLink. 227.69 - - - 227.69

City of Burlington, Iowa 2,828.64 - - - 2,828.64

City of Keokuk. 2,680.88 - - - 2,680.88

City of Mount Pleasant 1,664.28 - - - 1,664.28

Convergent Non Profit Solutions 395.20 - - - 395.20

Crescent Electric Supply Co - - - (3.20) (3.20)

Deery Brothers - 102.77 - - 102.77

Des Moines County Treasurer 6,316.00 - - - 6,316.00

Drake Hardware & Software 367.50 - - - 367.50

Farmers Elevator & Exchange, Inc. 586.02 - - - 586.02

Fedex 38.01 - - - 38.01

Frantz Community Investors 910,174.13 456,929.25 - - 1,367,103.38

Fullenkamp Insurance Agency - 1,004.91 - - 1,004.91

Grainger 172.83 - - - 172.83

Hawkeye Community College 300.00 - - - 300.00

Historic Tama LLC 570,795.43 - - - 570,795.43

Hope Haven Area Dev Center 349.55 - - - 349.55

Hy-Vee, Inc 74.09 - - - 74.09

Integrated Technology Partners 70.00 - - - 70.00

Iowa League of Cities 350.00 - - - 350.00

IPTA 2,338.00 - - - 2,338.00

J.D. Byrider 1,436.92 - - - 1,436.92

Jack Callas 118.59 - - - 118.59

Jeff Hanan 100.00 - - - 100.00

Kempker's True Value 4.19 - - - 4.19

Lee County Extension 625.00 - - - 625.00

Lowell Gaulke 202.00 - - - 202.00

Lowes 57.11 - - - 57.11

Mt. Pleasant Glass 246.53 - - - 246.53

O'Reilly Automotive, Inc. 81.63 - - - 81.63

Pep Stop 20.00 - - - 20.00

Pitney Bowes - Purchase Power 162.20 - - - 162.20

Sara Hecox 314.51 - - - 314.51

SEI Properties LLC 250.00 - - - 250.00

Shottenkirk-Fort Madison 946.60 755.20 - - 1,701.80

Shottenkirk Superstore 2,922.17 - - - 2,922.17

Swailes Auto Supply Inc. 341.49 - - - 341.49

Tahiti Graffiti 569.52 - - - 569.52

Telin Transportation Group 361.14 - - - 361.14

The Burlington Hawk Eye 91.90 - - - 91.90

Traffic Logix Corporation 29.23 - - - 29.23

Truck Repair Inc. - 350.12 - - 350.12

Uptown Ivy 41.60 - - - 41.60

US Cellular 50.38 - - - 50.38

Verizon Wireless 855.11 - - - 855.11

Wemiga Waste Inc 25.00 - - - 25.00

Wex Bank 608.90 - - - 608.90

Winners Circle 82.99 - - - 82.99

1,736,341.85 459,142.25 - (3.20) 2,195,480.90

Accounts Payable Aging Summary


August 31, 2015

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Schedule 7

August 2015

TOTAL REVENUES : -

TOTAL EXPENSES : -

Excess of revenues over expenditures- note this is cash basis -

CASH BALANCE

Keokuk Savings Bank 6,388

ACCOUNTS RECEIVABLE BALANCE

1-45 46-90 >90 TOTAL

none 0 0 0 0

ACCOUNTS PAYABLE BALANCE

1-45 46-90 >90 TOTAL

none 0 0 0 0

CASH RECEIPTS - life to date

Alliant Energy 12/2/2013 FY14 5,000

State of Iowa 7/24/2014 FY15 2,500

CASH DISBURSEMENTS - life to date

SEIRPC 7/25/2014 #1001 5,000

University of Iowa 7/25/2014 #1002 2,500

Delux 8/6/2014 electronic 131

SEIRPC 6/30/2015 #1003 2,694


Southeast Iowa Regional Economic and Port Authority

Financial Summary

August 31, 2015

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Financial Report

September 2015

Dear SEIRPC Board: The accompanying Balance Sheet of Southeast Iowa Regional Planning Commission, as of September 30, 2015, and the related Statements of Income and Changes in Financial Position for the three months ended September 30, 2015. A compilation is limited to presenting, in the form of financial statements, information that is the representation of management. The statements have not been audited.

Lori Gilpin Finance Director

Completed October 15, 2015

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TO: SEIRPC Board

FROM: Lori Gilpin

DATE: 10/15/2015

RE: Financial Summary for the month of September 2015

September 2015 YTD

TOTAL REVENUES : 416,640 3,374,382

TOTAL EXPENSES : 218,390 3,155,311

Excess of revenues over expenditures 198,250 219,071

September 2015 YTD

TOTAL REVENUES : 79,380 290,887

TOTAL EXPENSES : 77,267 220,725

Excess of revenues over expenditures 2,113 70,162

CASH BALANCE UNRESTRICTED RESTRICTED

Gen'l Government Chkng 959,576 -

IRP Government Chkng 439,794

Ft. Madison RLF Government Chkng 171,303

Henry County RLF Government Chkng 152,520

Henry County RTA Government Chkng 49,082

Keokuk RLF Regular Chkng 145,891

EDA RLF Government Chkng 327,056

Mediapolis HTF Government Chkng 73,551

GRHTF Government Chkng 257,203

TOTAL 1,008,658 1,567,319 2,575,977

CUSTOMER ACCOUNTS RECEIVABLE BALANCE


95,538 91,355 911,527 53,459 1,151,879

VENDOR ACCOUNTS PAYABLE BALANCE


20,247 910,627 0 0 930,874


PROFIT & LOSS REGIONAL TRANSIT AUTHORITY

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ASSETS

Current Assets

Checking/Savings

103.00 · Gen'l Government Checking 959,575.86

104.00 · IRP Government Checking 439,794.31

105.00 · Ft. Madison RLF Gov't Chkng 171,303.28

106.00 · Henry County RLF-Gov't Chkng 152,519.98

107.00 · Henry County (RTA)-Gov't Chkng 49,081.71

109.00 · Keokuk RLF 145,890.92

110.00 · EDA RLF Government Checking 327,056.26

113.00 · Mediapolis HTF Gov't Chkng 73,551.23

115.00 · GRHTF-Gov't Checking 257,202.99

Total Checking/Savings 2,575,976.54

Accounts Receivable

120.00 · Accounts Receivable 1,151,878.61

Other Current Assets

101.00 · Petty Cash Account 302.00

130.00 · Ft. Madison RLF Receivable 22,962.82

131.00 · Henry County RLF Receivable 45,614.16

132.00 · Our Home Rehab Receivable 13,250.05

133.00 · Mediapolis HTF Receivable 44,939.08

134.00 · EDA RLF I Receivable 754,283.91

135.00 · IRP I Loan Receivable 429,917.87

136.00 · IRP II Loan Receivable 185,268.85

137.00 · Keokuk RLF Receivable 19,360.12

138.00 · GRHTF Receivable 61,836.92

139.00 · EDA RLF II Receivable 555,872.05

174.00 · Prepaid Insurance 56,967.24

Total Other Current Assets 2,190,575.07

Total Current Assets 5,918,430.22

Other Assets

220.10 · Agency Vehicle/Equipment 69,763.92

221.10 · Acc. Deprec. Agency Vehicle/Equ (14,853.37)

230.10 · Transit Vehicle 953,770.65

231.10 · Acc. Deprec.Transit Vehicle (492,643.43)

240.10 · Program Equipment 38,262.97

241.10 · Accum Deprec-Program Equipment (17,239.02)

250.10 · Building/Bldg. Improvements 1,298,269.96

251.10 · Accumulated Depr.-Bldgs (57,845.50)

252.10 · Land 103,440.00

Total Other Assets 1,880,926.18

TOTAL ASSETS 7,799,356.40


Balance Sheet

September 30, 2015

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Balance Sheet

September 30, 2015

LIABILITIES & EQUITY

Liabilities

Current Liabilities

300.00 · Accounts Payable 930,874.07

2100 · Payroll Liabilities 22,882.12

315.00 · Deferred Revenue - Comm. Trans. 65,934.00

326.12 · Deferred Revenue - RTA -

326.79 · Speed Indicators Maintenance 3,202.78

326.80 · Custodial Fund Liability 105.55

355.00 · Accrued Vacation 14,590.66

3600 · Short Term Notes Payable 16,758.91

Total Current Liabilities 1,054,348.09

Long Term Liabilities

3700 · Long Term Notes Payable 1,053,490.89

Total Liabilities 2,107,838.98

Equity

3900 · Unreserved local net Assets 6,930.69

3901 · Non-spendable Reserve for Loans 1,404,993.21

3903 · Assigned to Revolving loan 2,017,662.48

3904 · Investment in property & equipment 1,826,015.64

3905 · GRHTF Net Assets 216,844.67

Net Income (Loss) to date 219,070.73

Total Equity 5,691,517.42

TOTAL LIABILITIES & EQUITY 7,799,356.40

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Sep-2015 Year-to-Date FY16 Budget FY15 Actual FY14 Actual FY13 Actual

Revenues:


410.00 · General Public 7,772.51 18,442.08 55,000 66,758 51,127 44,262

411.00 · Local Contracts 12,350.00 13,627.96 67,000 67,100 102,063 113,038

Total 4100 · Bus Fares 20,122.51 32,070.04 122,000 133,858 153,190 157,300


450.00 · EDA Planning Grant - 15,250.00 61,000 91,500 54,900 61,000

450.01 · Marketing Grant - - - - (2,525) -

450.04 · EDA Facility Grant - - - - - 112

450.05 · EDA RLF Grant - - - - - 634,500

451.00 · IDED COG Assistance - - - 11,765 10,294 10,294

453.00 · PDM (Pre-Disaster Mitigation) - 13,450.00 - 11,900 5,532 34,099

455.00 · IDOT Planning - - 240,005 165,267 203,082 177,706

456.00 · State Transit Assistance (RTA) 25,670.53 74,649.41 268,126 257,780 247,848 307,254

457.00 · Federal Transit Assistance (RTA) - - 287,421 288,460 367,431 438,906

458.00 · Housing Draws 178,795.83 2,640,041.34 - 2,905,347 2,053,675 1,192,246

458.01 · IFA Tax Credit Revenues - - - - - 3,325

459.00 · State Medicaid 33,391.03 99,406.47 425,000 403,906 434,092 391,052

Total 4500 · Federal/State Revenues 237,857.39 2,842,797.22 1,281,552 4,135,924 3,374,329 3,250,494

4600 - Principle on Loans

461.00 - Principle on Loans 20,898.53 66,202.68 - 456,963 296,053 207,816



471.00 · Cities/Counties 1,000.00 1,000.00 - 26,424 7,250 16,750

472.00 · Other Contracts 21,011.00 75,185.81 316,525 309,495 84,440 86,521

473.00 · Grant Administration 26,271.00 51,571.00 - 64,595 192,193 245,019

474.00 · CDGB Housing Administration - - - 13,775 16,075 -

475.00 · Other Contributions - - - - - 114,599

475.01 · Homeowner Contributions - - - 12,489 22,733 37,848

479.00 · RLF Administration - - 11,586 37,081 44,050 11,585

481.00 · Housing Soft Costs 47,796.00 47,796.00 - 152,416 107,588 26,635

482.00 · Lead Abatement - - - - 9,970 38,162

484.00 · Housing Inspection Fees - - 8,000 - - -

488.00 · Vehicle Reimbursements 952.05 3,142.30 11,000 10,992 11,830 13,293

489.00 · Housing Administration 13,488.17 13,488.17 259,773 203,467 119,177 150,171

Total 4700 · Local Revenues 110,518.22 362,852.28 777,553 996,336 774,713 868,794


492.00 · Lease Income 9,381.60 28,144.80 112,579 112,729 111,889 112,039

496.00 · Interest Income (Bank) 507.96 1,370.21 5,035 6,760 8,721 8,889

497.00 · Miscellaneous Revenues-Other 10,525.50 18,113.00 13,000 20,402 13,973 8,939

498.00 · Matching Funds - - 88,775 - 99,844 89,318

Total 4900 · Miscellaneous Revenues 20,415.06 47,628.01 219,389 139,891 234,427 219,185

5000-52 RLF Income

507.00 · Late Payment Fees - 25.00 - 700 1,343 1,098

508.00 · Loan Closing Fees 500.00 2,912.00 1,500 16,392 12,252 14,587

509.00 · FM RLF Loan Interest Income 44.88 143.54 601 420 146 480

510.00 · Henry Co. RLF Interest Income 195.27 623.40 2,779 2,917 3,739 2,467

511.01 · EDA RLF I Interest Income 2,189.37 6,994.58 19,000 21,856 22,440 22,066

512.00 · Mediapolis HTF Interest Income 86.45 270.08 1,769 1,359 1,484 1,611

513.00 · EDA RLF II Interest Income 1,658.86 5,281.42 22,000 22,289 23,407 9,839

515.00 · IRP I Loan Interest Income 1,458.00 4,253.86 7,300 9,157 1,819 1,753

516.00 · IRP II Loan Interest Income 674.20 2,045.44 6,600 7,583 6,792 9,212

518.00 · Keokuk RLF Loan Interest Income - 207.33 970 1,028 2,004 2,023

520.00 · GRHTF-Loan Interest 20.91 74.69 - 475 737 543

Total 5000-52 RLF Income 6,827.94 22,831.34 62,519 84,176 76,163 65,679

Total Income 416,639.65 3,374,381.57 2,463,013 5,947,149 4,908,875 4,769,268



For the One Month and Year Ended September 30, 2015

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Expenditures:

701.00 · Salaries 90,293.39 237,226.02 1,109,345 1,091,362 1,041,129 1,017,419



704.00 · Unemployment - - 500 9,906 1,932 382


706.00 · Physicals - 442.00 1,500 2,038 2,019 1,565

707.00 · Uniform Expense - 187.47 2,200 3,665 950 1,585

708.00 · Drug Testing 10.00 305.00 1,250 939 604 799

709.00 · Personnel Expenses-Other - - 2,150 2,342 1,009 2,326

710.00 · Payroll services 346.64 1,026.26 5,000 4,758 4,330 3,909

712.00 · Advertising 1,332.02 1,332.02 3,500 9,015 5,390 4,866

717.00 · Audit - - 16,000 18,650 15,250 14,750

726.00 · Contractual Expenses-Other 1,465.95 5,827.66 24,700 36,686 28,433 29,488

728.00 · Information Technology 2,008.24 3,059.49 9,400 9,894 9,847 10,818

729.00 · Copier Expense 278.53 917.42 5,000 5,273 4,836 6,512

730.00 · Legal Expense 100.00 2,536.36 3,000 28,599 7,464 6,896

738.00 · Depreciation Expense - - - 17,504 - 2,914

740.00 · Dues/Subscriptions/Conferences 588.00 5,364.44 31,900 15,388 16,648 13,241

741.00 · Public Notices 86.93 300.04 1,400 1,219 1,838 2,316

746.00 · Leased Equipment 152.00 304.00 700 456 640 760

747.00 · Equipment under $5000 714.95 2,114.95 8,500 12,936 17,528 21,918


749.00 · Principle Expense - 34,330.58 73,038 39,949 45,219 45,079

750.00 · Lead Testing 79.00 134.00 2,000 2,199 2,173 2,935

751.00 · Housing 36,245.00 2,568,787.51 - 2,715,266 1,510,203 966,267

752.00 · Admin. Expense 22,104.00 23,770.00 7,500 160,677 27,058 113,086

754.00 · Insurance 8,532.90 25,858.70 108,700 101,517 127,406 111,099

756.00 · Mortgage Filing Fees 35.00 97.00 350 746 1,450 4,890

757.00 · Interest Expense 53.58 539.29 24,335 22,009 38,957 35,704

759.00 · Credit Report Exp. - - - - 16 114

760.00 · Housing Relocation Expense - - - - - -

766.00 · Bldg. Maintenance & Repair 372.39 433.54 20,000 13,585 20,296 14,703


768.00 · Marketing 3,090.26 3,598.48 6,250 3,389 4,931 5,381

769.00 · Meeting Expense 286.25 589.37 4,200 4,096 3,346 2,622

782.00 · Printing/Postage 229.53 848.42 8,200 5,707 6,115 5,704

791.00 · Rent 650.00 1,950.00 8,000 7,830 7,830 6,330

806.00 · Supplies 806.38 2,509.45 12,850 11,453 9,152 18,071

807.00 · Bank Charges 58.45 78.44 - 38 (5) 37

808.00 · Fuel/Oil 8,244.97 24,456.24 140,200 108,521 155,930 154,381

810.00 · Telecommunications 2,170.24 6,456.50 27,100 24,711 28,215 27,009

811.00 - Utilities Expense 3,407.63 9,802.10 36,000 34,737 37,737 32,570

813.00 - Real Estate Taxes - 6,316.00 17,000 16,166 18,774 12,960

815.00 · Mileage Expense 159.58 232.97 3,000 2,417 2,877 -

816.00 · Travel/Training 198.38 1,659.88 13,450 9,612 4,954 8,205

820.00 · Use Allowance 952.05 3,142.30 11,600 10,890 11,830 13,293

825.00 · Bad Debt Expense - - - 580 - -

829.00 · Down Payment Assistance - 75,000.00 - 203,750 351,677 317,840

830.00 · Participant Loans & Grants 1,000.00 8,366.00 - 807,634 723,271 860,198

850.00 · Marketing Grant Expenditure - - - - - 5,323

890.00 · Matching Expenditures - - 88,775 - 99,844 99,318

900.00 · Indirect Costs - - - - - -

Total Expenditures 218,390.03 3,155,310.84 2,382,655 6,043,679 4,979,252 4,611,209

Excess (deficiency) of revenues over (under)

expenditures 198,249.62 219,070.73 80,358 (96,530) (70,377) 158,059

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Schedule 1


Revenues:


410.00 · General Public 7,772.51 18,442.08 55,000 66,758 51,127 44,262

411.00 · Local Contracts 12,350.00 13,627.96 67,000 67,100 102,063 113,038

Total 4100 · Bus Fares 20,122.51 32,070.04 122,000 133,858 153,190 157,300


456.00 · State Transit Assistance 25,670.53 74,649.41 268,126 257,780 247,848 307,254

457.00 · Federal Transit Assistance - - 287,421 288,460 367,431 438,906

459.00 · State Medicaid 33,391.03 99,406.47 425,000 403,906 434,092 391,051

Total 4500 · Federal/State Revenues 59,061.56 174,055.88 980,547 950,146 1,049,371 1,137,211



472.00 · Other Contracts - - - - - -

Total 4700 · Local Revenues - 84,359.00 84,359 82,301 79,904 49,443


495.00 · Insurance Proceeds - - - - - -

496.00 · Interest Income (Bank) 8.85 26.91 85 96 86 73

497.00 · Miscellaneous Revenues-Other 187.50 375.00 8,000 4,577 4,900 -

498.00 · Matching Funds - - 0 - - 589

Total 4900 · Miscellaneous Revenues 196.35 401.91 8,085 4,673 4,986 662

Total Revenues 79,380.42 290,886.83 1,194,991 1,170,978 1,287,451 1,344,616

Expenditures:

701.00 · Salaries 33,147.21 82,320.47 379,721 390,756 399,237 377,934



- - 500 9,906 - 382


706.00 · Physicals - 442.00 1,500 2,038 2,019 1,565

707.00 · Uniform Expense - 187.47 1,500 2,978 835 1,358

708.00 · Drug Testing 10.00 305.00 1,250 939 604 799

709.00 · Personnel Expenses-Other - - 1,500 1,980 605 458

712.00 · Advertising 143.60 143.60 2,000 7,775 4,632 3,216

726.00 · Contractual Expenses-Other - - 500 6,595 9,101 6,318

728.00 · Information Technology 166.25 483.75 500 1,313 2,117 2,630

730.00 · Legal Expense - 2,436.36 2,500 28,047 600 635

738.00 · Depreciation Expense - - - - - -

740.00 · Dues/Subscriptions/Conferences - 2,998.00 5,000 2,531 3,471 2,273

741.00 · Public Notices - - - 16 20 21

747.00 · Equipment Under $5000 239.00 239.00 - 470 354 2,997


754.00 · Insurance 5,311.83 16,195.49 68,000 61,046 63,838 64,032

757.00 · Interest Expense - - - - 660 -

766.00 · Bldg. Maintenance & Repairs - - - - - -


768.00 · Marketing - - 750 750 - 550

769.00 · Meeting Expense - - 500 440 132 244

782.00 · Printing/Postage 0.09 (52.29) 1,800 938 3 1,122

791.00 · Rent 650.00 1,950.00 8,000 7,800 7,800 6,300

806.00 · Supplies 91.40 270.44 350 802 671 1,453

807.00 · Bank Charges 5.00 5.00 - - (5) 10

808.00 · Fuel/Oil 7,987.81 23,482.73 135,000 104,313 150,075 149,104

810.00 · Telecommunications 868.11 2,583.94 11,000 9,001 8,610 8,310

815.00 · Mileage Expense - 24.50 2,500 1,234 2,786 -

816.00 · Travel/Training 28.29 68.97 1,000 192 825 2,939

820.00 · Use Allowance 46.80 341.80 1,800 2,262 2,210 2,141

825.00 · Bad Debt Expense - - - 580 - -

- - 10,000 - 10,000 -

900.00 · Indirect Costs 14,681.51 38,054.23 182,559 184,649 178,081 174,851

Total Expenditures 77,267.05 220,724.53 1,130,522 1,071,408 1,154,239 1,201,037

Fund Balance 2,113.37 70,162.30 64,469 99,570 133,212 143,579

704.00 - Unemployment

890.00 - Matching Expenditures

Regional Transit Authority



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For the Three Months Ending

September 30, 2015

10 Company

Vehicles 20 EDA PG 22 Facility 47 Housing

48 Great

River

Housing

Trust


Income

4100 · Bus Fare Revenues 0.00 0.00 0.00 0.00 0.00

4500 · Federal/State Revenues 0.00 15,250.00 0.00 2,512,859.51 127,181.83

461.00 · Principle on Loans 0.00 0.00 0.00 1,388.44 5,037.63

4700-48 · Local Revenues 3,142.30 0.00 0.00 47,796.00 34,759.17

4900 · Miscellaneous Revenues 0.00 0.00 28,144.80 46.23 17,824.77

5000-52 · RLF Income 0.00 0.00 0.00 270.08 2,986.69

3,142.30 15,250.00 28,144.80 2,562,360.26 187,790.09

Expense

700.00 · Personnel Expenses 0.00 23,693.04 1,689.24 31,627.12 8,597.73

704.00 · Unemployment 0.00 0.00 0.00 0.00 0.00

706.00 · Physicals 0.00 0.00 0.00 0.00 0.00

707.00 · Uniform Expense 0.00 0.00 0.00 0.00 0.00

708.00 · Drug Testing 0.00 0.00 0.00 0.00 0.00

709.00 · Personnel Expenses-Other 0.00 0.00 0.00 0.00 0.00

710.00 · Payroll Services 0.00 0.00 0.00 0.00 0.00

712.00 · Advertising 0.00 0.00 0.00 0.00 0.00

717.00 · Audit 0.00 0.00 0.00 0.00 0.00

726.00 · Contractual Expenses 0.00 0.00 4,144.95 0.00 0.00

728.00 · Information Technology 0.00 0.00 0.00 106.88 0.00

729.00 · Copier Expense 0.00 0.00 0.00 0.00 0.00

730.00 · Legal Expense 0.00 0.00 0.00 0.00 0.00

738.00 · Depreciation Expense 0.00 0.00 0.00 0.00 0.00

740.00 · Dues/Subscriptions/Conference 0.00 0.00 0.00 550.00 0.00

741.00 · Public Notices 0.00 0.00 0.00 0.00 12.92

746.00 · Leased Equipment 0.00 0.00 0.00 0.00 0.00

747.00 · Equipment under $5000 0.00 0.00 0.00 0.00 0.00

748.00 · Capital Equipment 0.00 0.00 0.00 0.00 0.00

749.00 · Principle Expense 0.00 0.00 0.00 0.00 0.00

750.00 · Lead Testing 0.00 0.00 0.00 134.00 0.00

751.00 · Housing 0.00 0.00 0.00 2,494,809.51 73,978.00

752.00 · Admin. Expense 0.00 0.00 0.00 0.00 21,271.00

754.00 · Insurance 762.21 0.00 1,512.24 0.00 0.00

756.00 · Mortgage Filing Expenses 0.00 0.00 0.00 27.00 56.00

757.00 · Interest Expense 142.36 0.00 40.25 0.00 0.00

760.00 · Housing Relocation Expense 0.00 0.00 0.00 0.00 0.00

766.00 · Bldg. Maintenance & Repairs 0.00 0.00 433.54 0.00 0.00

767.00 · Vehicle Maintenance & Repair 394.92 0.00 0.00 0.00 0.00

768.00 · Marketing 0.00 0.00 0.00 0.00 0.00

769.00 · Meeting Expense 0.00 0.00 0.00 0.00 102.00

782.00 · Printing/Postage 0.00 38.01 0.00 0.44 0.00

791.00 · Rent 0.00 0.00 0.00 0.00 0.00

806.00 · Supplies 0.00 0.00 0.00 0.00 0.00

807.00 · Bank Charges 0.00 0.00 0.00 0.00 0.00

808.00 · Fuel/Oil 973.51 0.00 0.00 0.00 0.00

810.00 · Telecommunications 0.00 0.00 0.00 0.00 0.00

811.00 · Utilities Expense 0.00 0.00 9,802.10 0.00 0.00

812.00 · Bldg Operation Allocation 0.00 0.00 -10,389.04 0.00 0.00

813.00 · Real Estate Taxes 0.00 0.00 6,316.00 0.00 0.00

815.00 · Mileage Expense 0.00 0.00 0.00 52.95 59.63

816.00 · Travel/Training 0.00 152.64 0.00 1,048.91 0.00

820.00 · Use Allowance 6.08 216.07 0.00 690.19 72.62

829.00 · Down Payment Assistance 0.00 0.00 0.00 0.00 75,000.00

830.00 · Participant Loans 0.00 0.00 0.00 3,866.00 4,500.00

825.00 · Bad Debt Expense 0.00 0.00 0.00 0.00 0.00

850.00 · Marketing Grant Expenditure 0.00 0.00 0.00 0.00 0.00

900.00 · INDIRECT COSTS 0.00 8,366.56 604.07 11,182.14 3,039.08

2,279.08 32,466.32 14,153.35 2,544,095.14 186,688.98

863.22 (17,216.32) 13,991.45 18,265.12 1,101.11

- - 8,031.70 (1,173.32) - SEIRPC Adjusted Balance



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September 30, 2015


Income







Expense



706.00 · Physicals






717.00 · Audit













751.00 · Housing


754.00 · Insurance






768.00 · Marketing



791.00 · Rent

806.00 · Supplies


808.00 · Fuel/Oil
















60 IDOT 71 EDA RLF 72 IRP-I

73.00

FM/KK/HC

RLF 76 IRP-II

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 40,560.04 7,276.73 4,604.16 7,335.68

7,750.00 0.00 0.00 0.00 0.00

0.00 134.50 93.89 178.46 153.18

0.00 12,301.00 4,253.86 974.27 2,045.44

7,750.00 52,995.54 11,624.48 5,756.89 9,534.30

36,953.04 6,630.44 1,319.04 0.00 304.12

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

111.00 0.00 0.00 0.00 0.00

43.22 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

1,400.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 21,083.26 0.00 13,247.32

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 14.00 0.00 0.00 0.00

0.00 0.00 108.16 0.00 248.52

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

15.52 0.00 0.00 0.00 0.00

7.55 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

272.57 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

86.88 3.74 0.00 0.00 0.00

562.94 103.48 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00 0.00

13,076.20 2,339.07 467.06 0.00 107.29

52,528.92 9,090.73 22,977.52 0.00 13,907.25

(44,778.92) 43,904.81 (11,353.04) 5,756.89 (4,372.95)

(44,778.92) 3,344.77 2,453.49 - 1,538.69

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September 30, 2015


Income







Expense



706.00 · Physicals






717.00 · Audit













751.00 · Housing


754.00 · Insurance






768.00 · Marketing



791.00 · Rent

806.00 · Supplies


808.00 · Fuel/Oil
















80 Indirect

Cost Center 85 RTA 90 LOCAL TOTAL

0.00 32,070.04 0.00 32,070.04

0.00 174,055.88 13,450.00 2,842,797.22

0.00 0.00 0.00 66,202.68

0.00 84,359.00 185,045.81 362,852.28

0.00 401.91 650.27 47,628.01

0.00 0.00 0.00 22,831.34

0.00 290,886.83 199,146.08 3,374,381.57

57,974.31 107,493.55 32,889.42 309,171.05

0.00 0.00 0.00 0.00

0.00 442.00 0.00 442.00

0.00 187.47 0.00 187.47

0.00 305.00 0.00 305.00

0.00 0.00 0.00 0.00

1,026.26 0.00 0.00 1,026.26

0.00 143.60 1,188.42 1,332.02

0.00 0.00 0.00 0.00

39.90 0.00 1,642.81 5,827.66

2,456.99 483.75 11.87 3,059.49

917.42 0.00 0.00 917.42

100.00 2,436.36 0.00 2,536.36

0.00 0.00 0.00 0.00

1,111.44 2,998.00 594.00 5,364.44

219.55 0.00 24.35 300.04

304.00 0.00 0.00 304.00

475.95 239.00 0.00 2,114.95

0.00 0.00 0.00 0.00

0.00 0.00 0.00 34,330.58

0.00 0.00 0.00 134.00

0.00 0.00 0.00 2,568,787.51

0.00 0.00 2,499.00 23,770.00

7,388.76 16,195.49 0.00 25,858.70

0.00 0.00 0.00 97.00

0.00 0.00 0.00 539.29

0.00 0.00 0.00 0.00

0.00 0.00 0.00 433.54

0.00 23,070.99 0.00 23,465.91

2,648.48 0.00 950.00 3,598.48

436.38 0.00 35.47 589.37

821.71 -52.29 33.00 848.42

0.00 1,950.00 0.00 1,950.00

1,920.51 270.44 45.93 2,509.45

73.44 5.00 0.00 78.44

0.00 23,482.73 0.00 24,456.24

3,721.42 2,583.94 151.14 6,456.50

0.00 0.00 0.00 9,802.10

10,389.04 0.00 0.00 0.00

0.00 0.00 0.00 6,316.00

0.00 24.50 95.89 232.97

185.59 68.97 113.15 1,659.88

316.24 341.80 832.88 3,142.30

0.00 0.00 0.00 75,000.00

0.00 0.00 0.00 8,366.00

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

-88,842.15 38,054.23 11,606.45 0.00

3,685.24 220,724.53 52,713.78 3,155,310.84

(3,685.24) 70,162.30 146,432.30 219,070.73

- 70,162.30 146,432.30 186,011.01

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Schedule 3


Bill Pmt -Check 09/03/2015 268547 Burlington Hawkeye 182.00

Bill Pmt -Check 09/03/2015 268548 CARD CENTER 1,702.35

Bill Pmt -Check 09/03/2015 268549 CenturyLink 166.73

Bill Pmt -Check 09/03/2015 268550 Chris Ralph 112.58

Bill Pmt -Check 09/03/2015 268551 City of West Burlington. 119.82

Bill Pmt -Check 09/03/2015 268552 Des Moines County Treasurer 6,316.00

Bill Pmt -Check 09/03/2015 268553 Fedex 38.01

Bill Pmt -Check 09/03/2015 268554 Frantz Community Investors 456,929.25


Bill Pmt -Check 09/03/2015 268556 Hawkeye Community College 300.00


Bill Pmt -Check 09/03/2015 268558 i connect you. 183.00


Bill Pmt -Check 09/03/2015 268560 Iowa League of Cities 350.00

Bill Pmt -Check 09/03/2015 268561 IPTA 2,338.00

Bill Pmt -Check 09/03/2015 268562 Jack Callas 118.59

Bill Pmt -Check 09/03/2015 268563 Jeff Hanan 100.00

Bill Pmt -Check 09/03/2015 268564 Keokuk Area Chamber of Commerce. 450.00

Bill Pmt -Check 09/03/2015 268565 Lee County Extension 625.00

Bill Pmt -Check 09/03/2015 268566 Mt. Pleasant Glass 246.53

Bill Pmt -Check 09/03/2015 268567 Petty Cash 287.43


Bill Pmt -Check 09/03/2015 268569 Sara Hecox 314.51

Bill Pmt -Check 09/03/2015 268570 Shirley Judd 25.00

Bill Pmt -Check 09/03/2015 268571 Shottenkirk-Fort Madison 1,701.80

Bill Pmt -Check 09/03/2015 268572 Traffic Logix Corporation 29.23

Bill Pmt -Check 09/03/2015 268573 Uptown Ivy 41.60


Bill Pmt -Check 09/03/2015 268575 Verizon Wireless 855.11

Bill Pmt -Check 09/21/2015 268576 Access Systems 496.12

Bill Pmt -Check 09/21/2015 268577 Advantage Administrators 547.12

Bill Pmt -Check 09/21/2015 268578 Brad Holtkamp Automotive, Inc. 774.43

Bill Pmt -Check 09/21/2015 268579 CenturyLink. 797.69

Bill Pmt -Check 09/21/2015 268580 City of Burlington, Iowa 2,828.64

Bill Pmt -Check 09/21/2015 268581 City of Keokuk. 2,680.88

Bill Pmt -Check 09/21/2015 268582 City of Mount Pleasant 1,664.28

Bill Pmt -Check 09/21/2015 268583 Clear Falls Bottled Water 54.00

Bill Pmt -Check 09/21/2015 268584 Convergent Non Profit Solutions 395.20

Bill Pmt -Check 09/21/2015 268585 Cray Goddard Miller Taylor &Gerling LLP 100.00

Bill Pmt -Check 09/21/2015 268586 Drake Hardware & Software 1,694.49

Bill Pmt -Check 09/21/2015 268587 Ebert Supply Company 9.50

Bill Pmt -Check 09/21/2015 268588 Farmers Elevator & Exchange, Inc. 586.02


Bill Pmt -Check 09/21/2015 268590 Grainger 172.83


Bill Pmt -Check 09/21/2015 268592 Hy-Vee, Inc 104.40


Bill Pmt -Check 09/21/2015 268594 Iowa Department of Public Health 250.00


Bill Pmt -Check 09/21/2015 268596 J.D. Byrider 1,436.92

Bill Pmt -Check 09/21/2015 268597 Jack Swarm 86.00

Bill Pmt -Check 09/21/2015 268598 Jim's Lock & Safe 6.00


Bill Pmt -Check 09/21/2015 268600 Lowes 56.61

Bill Pmt -Check 09/21/2015 268601 Mediacom 89.90

Bill Pmt -Check 09/21/2015 268602 O'Reilly Automotive, Inc. 74.45

Bill Pmt -Check 09/21/2015 268603 Pauwels Lawn Care 500.00

Bill Pmt -Check 09/21/2015 268604 Pep Stop 20.00

Bill Pmt -Check 09/21/2015 268605 SEI Properties LLC 250.00


Check Register

September 30, 2015

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Schedule 3



Check Register

September 30, 2015

Bill Pmt -Check 09/21/2015 268606 Shottenkirk Superstore 2,809.68

Bill Pmt -Check 09/21/2015 268607 Swailes Auto Supply Inc. 335.68

Bill Pmt -Check 09/21/2015 268608 T.O. Haas Tire & Auto Service 129.18

Bill Pmt -Check 09/21/2015 268609 Tahiti Graffiti 569.52

Bill Pmt -Check 09/21/2015 268610 Telin Transportation Group 361.14

Bill Pmt -Check 09/21/2015 268611 The Burlington Hawk Eye 91.90

Bill Pmt -Check 09/21/2015 268612 The Democrat Company 133.00

Bill Pmt -Check 09/21/2015 268613 Waterworks Car Wash 51.00

Bill Pmt -Check 09/21/2015 268614 Wemiga Waste Inc 25.00

Bill Pmt -Check 09/21/2015 268615 Wex Bank 608.90

Bill Pmt -Check 09/21/2015 268616 Winners Circle 82.99

Bill Pmt -Check 09/30/2015 268617 Brad Holtkamp Automotive, Inc. 173.01

Bill Pmt -Check 09/30/2015 268618 Brazelton LLC. 223,521.69

Bill Pmt -Check 09/30/2015 268619 Carquest Auto Parts 65.86

Bill Pmt -Check 09/30/2015 268620 Commercial Contracting Services LLC 20,280.00

Bill Pmt -Check 09/30/2015 268621 Craftsman Press 229.00

Bill Pmt -Check 09/30/2015 268622 Crescent Electric Supply Co 46.89

Bill Pmt -Check 09/30/2015 268623 Drake Hardware & Software 681.25

Bill Pmt -Check 09/30/2015 268624 Historic Tama LLC 570,795.43


Bill Pmt -Check 09/30/2015 268626 IFSMA 85.00


Bill Pmt -Check 09/30/2015 268628 Kempker's True Value 4.19


Bill Pmt -Check 09/30/2015 268630 Louisa Publishing Co. 180.40

Bill Pmt -Check 09/30/2015 268631 Louisa Publishing Co. Ltd. 41.00

Bill Pmt -Check 09/30/2015 268632 Lowell Gaulke 202.00

Bill Pmt -Check 09/30/2015 268633 Mt. Pleasant Tire & Service 60.00

Bill Pmt -Check 09/30/2015 268634 NADO 59.00


Bill Pmt -Check 09/30/2015 268636 Pitney Bowes Global Financial Svcs. LLC 152.00

Bill Pmt -Check 09/30/2015 268637 Real Estate One, LLC 400.00

Bill Pmt -Check 09/30/2015 268638 Shottenkirk 28.60

Bill Pmt -Check 09/30/2015 268639 Shottenkirk-Fort Madison 176.57

Bill Pmt -Check 09/30/2015 268640 Shottenkirk Superstore 350.34

Bill Pmt -Check 09/30/2015 268641 UnityPoint Clinic 10.00




1,329,809.88

Welmark 13,154.53

Payroll 64,021.20

Payroll Taxes 24,254.36

Payroll Processing Fees 346.64

Two Rivers Bank - Vehicle loan payment 520.94

Advantage fees 165.80

MetLife (dental ins.) 913.89

Alliant Energy 3,287.81

Principal Financial (life ins.) 945.15

IPERS 12,972.74

120,583.06

TOTAL EXPENDITURES 1,450,392.94

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

Electronic Payment

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Schedule 4

BANCARD Services Credit Card Statement

STATEMENT DATE: 9/28/2015

PAYMENT DUE DATE: 10/22/2015

CHECK# 268645

DATE PAID 10/15/2015

Date Transaction Description Account# Type Class# Class Name Amount Receipt

MIKE NORRIS

03-Sep-15 Golfballs.com (Golf outing) 768 Marketing 80 Indirect 125.75 Yes

17-Sep-15 Flint Hills Golf Course (Golf outing) 768 Marketing 80 Indirect 1,995.00 Yes

TOTAL 2,120.75

DEBORAH LAUGHLIN

10-Sep-15 Pizza Hut - Burlington 769 Meeting Expense 48.02 GRHTF 54.50 Yes

23-Sep-15 Happy Joes - Burlington 769 Meeting Expense 80 Indirect 86.96 Yes

TOTAL 141.46

ZACH JAMES

28-Aug-15 SilicaGelPackets.com 806 Supplies 60 IDOT 34.00 Yes

02-Sep-15 East Bremer Diner - Waverly 816 Travel/Training 60 IDOT 12.00 Yes

09-Sep-15 Ivy Bake Shoppe - Burlington 769 Meeting Expense 60 IDOT 15.52 Yes

25-Sep-15 Wal-Mart (project board) 806 Supplies 60 IDOT 10.67 Yes

TOTAL 72.19

JEFF HANAN

04-Sep-15 Accurate Analytical (lead testing) 750 Lead Testing 47.612 MFNC 79.00 Yes

TOTAL 79.00

LORI GILPIN

10-Sep-15 Happy Joes - Burlington (DMC) 769 Meeting Expense 90 Local 35.47 Yes

14-Sep-15 Wal-Mart - (golf outing) 768 Marketing 80 Indirect 19.51 Yes

23-Sep-15 Hy-Vee (plant for S. Jones father) 806 Supplies 80 Indirect 52.45 Yes

TOTAL 107.43

BOB KUSKOWSKI

TOTAL 0.00

NICOLE BAKER

31-Aug-15 Wal-Mart (tent for outings) 806 Supplies 85 RTA 53.47 Yes

31-Aug-15 Gators Grill - Burlington 816 Travel/Training 85 RTA 11.00 Yes

07-Sep-15 Wal-Mart (brooms for buses) 806 Supplies 85 RTA 32.04 Yes

10-Sep-15 Ivy Bake Shoppe - West Burlington 816 Travel/Training 85 RTA 12.29 Yes

TOTAL 108.80

KIRSTIN KRAMER

22-Sep-15 Panera Bread - Davenport 816 Travel/Training 90.05 CTC 13.42 Yes

28-Sep-15 Annual Charge (to be refunded) 807 Bank Charges 80 Indirect 20.00 Yes

TOTAL 33.42

TOTAL 2,663.05

ClassExpense

Hans Trousil Mike Norris

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Schedule 5

Current 1 - 45 46 - 90 > 90 TOTAL

Local:

ASAP Grant 0.00 0.00 0.00 15,250.00 15,250.00

City of Burlington 0.00 1,395.20 0.00 0.00 1,395.20

City of Fort Madison 0.00 0.00 0.00 2,080.89 2,080.89

City of Fredonia 0.00 0.00 0.00 426.00 426.00

City of Keokuk 0.00 0.00 0.00 4,767.87 4,767.87

City of Letts 0.00 0.00 0.00 526.00 526.00

Henry County Auditor 0.00 0.00 0.00 2,556.10 2,556.10

Mt. Pleasant Main Street 0.00 0.00 0.00 2,250.00 2,250.00

Southeastern Community College 0.00 1,500.00 0.00 0.00 1,500.00

Town of Rome 0.00 0.00 0.00 334.00 334.00

0.00 2,895.20 0.00 28,190.86 31,086.06

Housing:

City of Wayland 3,796.00 51,614.00 0.00 0.00 55,410.00

Downtown Partners 0.00 0.00 0.00 1,789.00 1,789.00

ECIA 0.00 0.00 910,174.13 5,682.00 915,856.13

Franz Community Investors 12,500.00 0.00 0.00 0.00 12,500.00

Historic Tama LLC 11,750.00 0.00 0.00 0.00 11,750.00

Hobart Historic Restoration 11,750.00 0.00 0.00 0.00 11,750.00

Todd Schneider 8,000.00 0.00 0.00 16,000.00 24,000.00

47,796.00 51,614.00 910,174.13 23,471.00 1,033,055.13

Great River Housing Trust Fund:

Impact 7G 0.00 100.00 0.00 0.00 100.00

Klingner & Associates, PC 0.00 200.00 0.00 0.00 200.00

McGladrey LLP 0.00 250.00 0.00 0.00 250.00

Shoemaker & Haaland 0.00 300.00 0.00 0.00 300.00

Shottenkirk Ford Lincoln Jeep Kia 0.00 100.00 0.00 0.00 100.00

Southeastern Community College 0.00 150.00 0.00 0.00 150.00

Two Rivers Bank & Trust 0.00 500.00 0.00 0.00 500.00

Valley Distribution Corp 0.00 250.00 0.00 0.00 250.00

0.00 1,850.00 0.00 0.00 1,850.00

RTA:

Blair House 42.50 17.50 0.00 0.00 60.00

City of Fort Madison 2,125.00 0.00 0.00 0.00 2,125.00

City of Keokuk 2,125.00 0.00 0.00 0.00 2,125.00

Great River Health Systems 5,000.00 0.00 0.00 0.00 5,000.00

Hope Haven 2,319.70 480.44 0.00 0.00 2,800.14

Inpropco 1,250.00 0.00 0.00 0.00 1,250.00

Iowa Medicaid Enterprise 33,391.03 32,376.50 0.00 0.00 65,767.53

Israel Villarreal 0.00 25.00 0.00 0.00 25.00

Kathlean Heyvaert 0.00 0.00 0.00 25.00 25.00

Lexington Square 0.00 10.00 0.00 0.00 10.00

Loyal Jay Dischler 0.00 0.00 25.00 0.00 25.00

Michael Scott 0.00 25.00 25.00 50.00 100.00

Milestones Area Agency on Aging 0.00 0.00 1,277.96 0.00 1,277.96

New London Nursing & Rehab 1,188.75 1,205.00 0.00 0.00 2,393.75

Pleasant Manor Care Center 0.00 25.00 0.00 0.00 25.00

Priscilla Jensen 0.00 25.00 0.00 0.00 25.00

Ralph Hole 0.00 25.00 0.00 0.00 25.00

Rebecca Shibley 0.00 0.00 0.00 140.75 140.75

Ruth Boyd 0.00 0.00 0.00 1,535.89 1,535.89

Santana Lau 0.00 25.00 25.00 0.00 50.00

Shane Davis 0.00 25.00 0.00 0.00 25.00

Shirley Self 0.00 25.00 0.00 0.00 25.00

Steve Anderson 0.00 25.00 0.00 50.00 75.00

Surrey Group Home 0.00 0.00 25.00 25.00 50.00

Tammy Wheeler 0.00 25.00 0.00 0.00 25.00

TMS Management Group, INc. 300.20 631.20 0.00 0.00 931.40

Tosha Rhoades 0.00 25.00 0.00 0.00 25.00

Tricia Kroll 0.00 0.00 0.00 -30.00 -30.00

Tyrone Seay 0.00 0.00 -25.00 0.00 -25.00

47,742.18 34,995.64 1,352.96 1,796.64 85,887.42

Total 95,538.18 91,354.84 911,527.09 53,458.50 1,151,878.61


Accounts Receivable Aging Summary

September 30, 2015

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Schedule 6

Current 1 - 45 46 - 90 > 90 TOTAL

Access Systems 278.53 - - - 278.53

Card Center 2,663.05 - - - 2,663.05

CenturyLink 181.16 - - - 181.16

CenturyLink. 227.69 - - - 227.69

City of Burlington, Iowa 2,640.88 - - - 2,640.88

City of Keokuk. 2,303.22 - - - 2,303.22

City of Mount Pleasant 2,115.59 - - - 2,115.59

Daily Gate City 143.60 - - - 143.60

Deery Brothers 259.17 102.77 - - 361.94

Deery Brothers Ford Lincoln Inc 54.17 - - - 54.17

Drake Hardware & Software 239.00 - - - 239.00

Economic Development Administration 32.54 - - - 32.54

Farmers Elevator & Exchange, Inc. 452.24 - - - 452.24

Frantz Community Investors - 910,174.13 - - 910,174.13

Greater Burlington Partnership 500.00 - - - 500.00

Hope Haven Area Dev Center 434.88 - - - 434.88

Hy-Vee, Inc 79.53 - - - 79.53

J.D. Byrider 2,649.73 - - - 2,649.73

Kempker's True Value 171.71 - - - 171.71

Land & Water Vegetation Control LLC 435.00 - - - 435.00

Lowes 49.02 - - - 49.02

Mt. Pleasant News 554.50 - - - 554.50

O'Keefe Elevator Company 316.30 - - - 316.30

O'Reilly Automotive, Inc. 417.96 - - - 417.96

Pep Stop 6.00 - - - 6.00

SEI Properties LLC 250.00 250.00

Swailes Auto Supply Inc. 282.51 - - - 282.51

Telin Transportation Group 264.48 - - - 264.48

The Burlington Hawk Eye 86.93 - - - 86.93

The Democrat Company 453.52 - - - 453.52

Truck Repair Inc. - 350.12 - - 350.12

Verizon Wireless 868.11 - - - 868.11

Wex Bank 733.04 - - - 733.04

Winners Circle 102.99 - - - 102.99

20,247.05 910,627.02 - - 930,874.07

Accounts Payable Aging Summary


September 30, 2015

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Schedule 7

September 2015

TOTAL REVENUES : -

TOTAL EXPENSES : -

Excess of revenues over expenditures- note this is cash basis -

CASH BALANCE

Keokuk Savings Bank 6,388

ACCOUNTS RECEIVABLE BALANCE

1-45 46-90 >90 TOTAL

none 0 0 0 0

ACCOUNTS PAYABLE BALANCE

1-45 46-90 >90 TOTAL

none 0 0 0 0

CASH RECEIPTS - life to date

Alliant Energy 12/2/2013 FY14 5,000

State of Iowa 7/24/2014 FY15 2,500

CASH DISBURSEMENTS - life to date

SEIRPC 7/25/2014 #1001 5,000

University of Iowa 7/25/2014 #1002 2,500

Delux 8/6/2014 electronic 131

SEIRPC 6/30/2015 #1003 2,694


Southeast Iowa Regional Economic and Port Authority

Financial Summary

September 30, 2015

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OB #1

Consent A

genda T

ransit Driver H

andbook U

pdate

Memo To: Mike Norris From: Nicole Baker CC: Date: October 12, 2015

Re: Travel time addendum to SEIBUS Driver Handbook

At the end of our last SEIBUS staff meeting, a driver approached me and asked if we would pay them for their travel time to and from meetings. I checked to make sure that we were following the union contract as well as state and federal laws by not paying for travel time. After a discussion with a person from the wage and hour division office housed in Des Moines, it was determined that we were in full compliance with the law without paying for travel time in these instances. Additionally, I spoke with Bob K and also learned that this was grieved previously by the union and subsequently denied through the grievance process with no further follow up from the union. It has been SEIRPC’s past practice not to pay drivers for travel time to staff meetings.

During this process, we also discussed the opportunity to be able to show appreciation toward our driving staff by paying them for their travel time. After our discussion with the Executive Board in August, it was determined to be in the best interest of SEIRPC to extend travel time compensation to our drivers. The best way to accomplish this is through an addendum to the SEIBUS Driver’s Handbook, and is proposed as follows:

Pay for travel to staff meetings at the home office:

SEIBUS appreciates the commitment that our staff makes to be available to work for us. In that spirit of appreciation, starting July 1st, 2015, drivers will be paid for time spent travelling to and from staff meetings at our home office in West Burlington. This pay is above and beyond the requirements of the Federal Wage and Hour Division rules and will be subject to the financial health of our organization. Time spent for travel to and from SEIBUS staff meetings will be paid in the following manner.

• The driver of the bus assigned to chauffeur staff will be paid from the time they pick up their bus until it is dropped off, including pre- & post-trip inspections.

• Those riding in the bus will have their time counted from when the bus picks them up until the bus drops them off, riders will not be paid for pre- & post-trip inspection time.

• Those driving their own vehicle will be allowed to add the time spent driving the shortest path from their home to/from the meeting without making any extra stops.

• If there is a question about the amount of time, Google Maps or other mapping software will be used to determine the distance and travel time for a solid estimate of actual time to be paid.

• All rounding rules regarding accounting for time on the time sheet are to be followed.

OB #2

Transit D

rug & A

lcohol P

olicy Update

Memo To: Mike Norris From: Nicole Baker Date: October 8, 2015

Re: Drug & Alcohol Policy Update

Attached is the updated drug and alcohol policy which was reviewed during our Triennial Review and found to have 2 inconsistencies.

Changes to the policy are:

• Formatting

• Linked table of contents

• Section N. Pre-employment Testing, paragraph at the bottom of page 21 has been changed to read:

“Any applicant or employee acknowledging that he or she had a positive test or refused to test shall not be allowed to perform a safety-sensitive function for SEIBUS until and unless the applicant or employee documents successful completion of the return-to-duty process. Applicant acknowledgement or record from a previous employer of refusal to submit to a drug/alcohol test shall be considered a positive test result and a direct act of insubordination and shall disqualify an applicant from being hired. A test refusal shall also include the following circumstances:

(1) An applicant who has consumed alcohol within eight (8) hours following involvement in an accident without first having submitted to post-accident drug/alcohol test.

(2) An applicant who has left the scene of an accident without a legitimate explanation prior to submission to drug/alcohol tests. “

This change is to make our pre-employment testing standards consistent with our treatment of current employees as outlined in Section T. Consequences and Disciplinary Action, sub paragraph (1)

• Attachment B: It had been previously approved to remove the Transit Director and the Scheduler from our testing pool, but was missed in updating the attachment.

{00929652.DOC}

THE

SOUTHEAST IOWA REGIONAL PLANNING COMMISSION

SUBSTANCE ABUSE POLICY and

PROGRAM (Southeast Iowa Regional Planning Commission hereinafter shall be referred to,

as ‘SEIBUS’ or the ‘employer’)

Adopted by

The Southeast Iowa Regional Planning Commission Board of Directors

on

August 26, 2010 (Attach. A updated 10/10/2012) (Attach. A updated 07/24/2015) (Attach. B updated 09/29/2015) Board Amended 11/ ?? /2015

{00929652.DOC}Page ii of 41

TABLE OF CONTENTS

A. POLICY STATEMENT .............................................................................................. 3 B. PURPOSE ................................................................................................................... 3 C. DRUG-FREE WORKPLACE ACT OF 1988 and OMNIBUS TRANSPORTATION EMPLOYEE TESTING ACT OF 1991 ............................................................................. 4 D. PREEMPTION OF STATE AND LOCAL LAWS .................................................... 4 E. APPLICABILITY ....................................................................................................... 4 F. EDUCATION AND TRAINING ................................................................................ 5 G. DESIGNATED EMPLOYER REPRESENTATIVE (DER) ...................................... 5 H. PROHIBITED SUBSTANCES ................................................................................... 6 I. PROHIBITED BEHAVIOR AND CONDUCT .......................................................... 6 J. DRUG STATUTE CONVICTION ............................................................................. 7 K. TESTING REQUIREMENTS .................................................................................... 7 L. REFUSAL TO SUBMIT TO A DRUG OR ALCOHOL TEST ................................. 8 M. DRUG AND ALCOHOL TESTING PROCEDURES ................................................ 9 N. PRE-EMPLOYMENT TESTING ............................................................................. 20 O. REASONABLE SUSPICION TESTING ................................................................. 22 P. POST-ACCIDENT TESTING .................................................................................. 23 Q. RANDOM TESTING................................................................................................ 24 R. RETURN-TO-DUTY TESTING .............................................................................. 25 S. FOLLOW-UP TESTING .......................................................................................... 25 T. CONSEQUENCES AND DISCPLINARY ACTION ............................................... 26 U. GRIEVANCE and APPEAL ..................................................................................... 28 V. PROPER APPLICATION OF THE POLICY........................................................... 28 W. INFORMATION DISCLOSURE ............................................................................. 30 X. DEFINITIONS .......................................................................................................... 31

Attachment A SYSTEM CONTACTS ...................................................................................... 36

Attachment B SEIBUS Covered Job Classifications ................................................................. 37

Attachment C Alcohol Fact Sheet ............................................................................................. 38

Attachment D Minimum Thresholds ......................................................................................... 40

Attachment E INFORMED CONSENT.................................................................................... 41

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DRUG AND ALCOHOL TESTING PROGRAM POLICY

A. POLICY STATEMENT

As a public transit system officially designated under Chapter 324A of the Code of Iowa, SEIBUS provides public transit services to residents and visitors of Louisa, Lee, Des Moines, and Henry Counties.

Part of our mission is to ensure that this service is delivered safely, efficiently, and effectively by establishing a drug and alcohol free work environment, and to ensure that the workplace remains free from the adverse effects of drugs and alcohol in order to promote the health and safety of our employees and the general public. In keeping with this mission, SEIBUS declares that the unlawful manufacture, distribution, dispensing, possession, or use of controlled substances or misuse of alcohol is prohibited for all safety-sensitive, covered employees.

B. PURPOSE As a recipient of funding from the Federal Transit Administration (FTA), and/or provider of

transit services using FTA funded vehicles, SEIBUS is required to follow the FTA’s rules on drug and alcohol testing found at 49 CFR Part 655 and the procedures found at 49 CFR Part 40. This document establishes SEIBUS’s policy on drug and alcohol use and describes our program of drug and alcohol testing.

This policy is intended to comply with all applicable Federal regulations governing workplace

anti-drug and alcohol programs in the transit industry. Specifically, the Federal Transit Administration of the U.S. Department of Transportation (USDOT) has published 49 CFR Part 655 “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit” as amended, that mandates testing of safety-sensitive employees for the use of prohibited drugs and the misuse of alcohol in violation of Federal statutes or regulations, and prohibits performance of safety-sensitive functions when there is a positive test result. The USDOT has also published 49 CFR Part 40, Procedures for Transportation Workplace Drug and Alcohol Testing Programs, that sets standards for the collection and analysis of urine and breath and/or saliva specimens as part of the required testing program. The USDOT’s drug and alcohol testing procedures at 49 CFR Part 40 shall be considered incorporated herein by reference and is available for review by employees upon request.

In addition, SEIBUS has authority under state laws and local ordinances to establish certain

policies related to use of drugs and/or alcohol or to conduct additional tests that are not required under the FTA rules. Any provisions set forth in this policy or any aspects of our drug and alcohol testing program that are based on the sole authority of SEIBUS, rather than 49 CFR Parts 655 and 40, or other Federal regulations have been underlined.

{00929652.DOC}Page 4 of 41

C. DRUG-FREE WORKPLACE ACT OF 1988 and OMNIBUS TRANSPORTATION EMPLOYEE TESTING ACT OF 1991

In 1988, Congress passed “The Drug-Free Workplace Act of 1988,” which requires all

recipients of federal financial assistance to establish drug-free workplace policies and to report certain drug-related offenses. In 1991, Congress passed the “Omnibus Transportation Employee Testing Act of 1991” (the Act) mandating the Secretary of Transportation to issue regulations to combat prohibited drug use and alcohol misuse in the transportation industry. The Act requires the Federal Transit Administration (FTA) to issue regulations requiring direct and indirect recipients of Federal transit funds under 49 U.S.C. 5307, 5309, and 5311, and 23 U.S.C. 103(e)(4) to test safety-sensitive employees for the use of alcohol or drugs in violation of law or federal regulation. As a condition of FTA funding, the Act requires recipients to establish testing programs to detect alcohol misuse or use of prohibited drugs.

This policy also incorporates guidelines to maintain a drug and alcohol-free workplace in

compliance with the Drug-Free Workplace Act of 1988, and the Omnibus Transportation Employee Testing Act of 1991.

D. PREEMPTION OF STATE AND LOCAL LAWS

49 CFR Part 655 preempts any state or local law, rule, regulation, or order to the extent that: (1) Compliance with both the state or local requirement and any requirement in this part is not possible; or (2) Compliance with the state or local requirement is an obstacle to the accomplishment and execution of any requirement in this part. The Act shall not be construed to preempt provisions of state criminal laws that impose sanctions for reckless conduct attributed to prohibited drug use or alcohol misuse leading to actual loss of life, injury, or damage to property, whether the provisions apply specifically to transportation employees or employers or to the general public.

E. APPLICABILITY

This Drug and Alcohol Testing Program Policy applies to all SEIBUS employees, including an applicant or transferee who will perform safety-sensitive functions. The FTA drug and alcohol testing rules also apply to any contract employees or independent contractors who perform any safety-sensitive service on SEIBUS’s behalf, or who use any federally funded public transit vehicles. A safety-sensitive function is any duty related to the operation of mass transit service including the operation of a revenue service vehicle (whether or not the vehicle is in revenue service), maintenance of a revenue service vehicle or equipment used in revenue service, security personnel who carry firearms, persons who control the movement of revenue service vehicles, and any other transit employee who is required to hold a Commercial Driver’s License. A listing of the positions within our organization that are subject to testing under this policy is provided in Attachment B (SEIBUS reserves the right to change the positions tested at any time). Those positions that are required to be included because they perform one or more safety-sensitive duties are marked as such.

{00929652.DOC}Page 5 of 41

Any agency, business, or organization that provides service under contract to SEIBUS is also subject to the FTA drug and alcohol testing rules and must have its own formally adopted drug and alcohol program and policy in place.

SEIBUS employees performing maintenance functions (including repairs, overhaul and

rebuilding) of a revenue service vehicle or equipment used in revenue service are included in the FTA drug- and alcohol-testing program. Maintenance service provided under contract, or on an ad hoc or one-time basis, is excluded from the FTA drug and alcohol testing rules.

SEIBUS volunteers are exempt from the drug and alcohol program rules as they do not

receive remuneration in excess of the actual personal expenses incurred while performing the volunteer service and/or are not required to hold a Commercial Driver’s License to operate the vehicle.

F. EDUCATION AND TRAINING

Every covered employee will receive a copy of this policy and will have ready access to the corresponding federal regulations including 49 CFR Parts 655 and 40. In addition, SEIBUS has established an employee education and training program for all covered employees. The education component shall consist of a display and/or distribution to every covered employee of informational material and a community service hot-line telephone number for employee assistance, if available. All covered employees must undergo a minimum of 60 minutes of training on the signs and symptoms of prohibited drug use, including the effects and consequences of drug use on personal health, safety, and the work environment.

All supervisory personnel who are in a position to determine employee fitness for duty and authorized by SEIRPC to make reasonable suspicion determinations must receive at least 60 minutes of training on the physical, behavioral, and performance indicators of probable drug use and at least 60 minutes of additional training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse.

Information on the signs, symptoms, health effects, and consequences of alcohol misuse is presented in Attachment C of this policy. G. DESIGNATED EMPLOYER REPRESENTATIVE (DER) SEIRPC’s Executive Administrative Assistant has been designated to represent SEIBUS on all issues covered under this policy. This includes answering all employee questions concerning SEIBUS’s anti-drug use and alcohol misuse programs, or any aspect of our Substance Abuse Policy. The DER is also responsible for receiving information about certain kinds of test results and taking required action, such as causing an employee to be removed from the performance of safety-sensitive functions. Collectors shall contact the DER with any problems or issues that may arise during the testing process. Detailed contact information for this/these individual(s) can be found in Attachment A of this policy.

{00929652.DOC}Page 6 of 41

H. PROHIBITED SUBSTANCES

Prohibited substances addressed by this policy include the following:

(1) Illegally Used Controlled Substances or Drugs Under the Drug-Free Workplace Act of 1988, any drug or any substance identified in Schedule I through V of Section 202 of the Controlled Substance Act (21 U.S.C. 812), and as further defined by 21 CFR 1300.11 through 1300.15 is prohibited at all times in the workplace unless a legal prescription has been written for the substance. This includes, but is not limited to: marijuana, cocaine, opiates, amphetamines, and phencyclidine (PCP), as well as any drug not approved for medical use by the U.S. Drug Enforcement Administration or the U.S. Food and Drug Administration. Illegal use includes use of any of the five specified illegal drugs, misuse of legally prescribed drugs, and use of illegally obtained prescription drugs. Also, the medical use of marijuana, or the use of hemp related products, which cause drug or drug metabolites to be present in the body above the minimum thresholds, is a violation of this policy.

Federal Transit Administration drug testing regulations (49 CFR Part 655) require that all covered employees be tested for marijuana, cocaine, amphetamines, opiates, and phencyclidine as described in Section K of this policy. Illegal use of these five drugs is prohibited at all times and thus, covered employees may be tested for these drugs anytime that they are on duty. (2) Legal Drugs: The appropriate use of legally prescribed drugs and non-prescription medications is not prohibited under Federal rules. However, the use of any substance which carries a warning label that indicates that mental functioning, motor skills, or judgment may be adversely affected must be reported to a SEIBUS supervisor and the employee is required to provide a written release from his/her doctor or pharmacist indicating that the employee can safely perform his/her assigned functions. (3) Alcohol: The use of beverages containing alcohol (including any mouthwash, medication, food, candy) or any other substances such that alcohol is present in the body while performing safety-sensitive job functions is prohibited. An alcohol test can be performed on a covered employee under 49 CFR Part 655 just before, during, or just after the performance of safety-sensitive job functions. Under SEIBUS’s authority, a reasonable suspicion alcohol test can be performed any time an employee is on duty.

I. PROHIBITED BEHAVIOR AND CONDUCT (1) All covered employees are prohibited from reporting for duty or remaining on duty any

time there is a quantifiable presence of a prohibited drug in the body above the minimum thresholds defined in 49 CFR PART 40, as amended. (See Attachment D). (2) Each covered employee is prohibited from consuming alcohol while performing safety-sensitive job functions or for specified on-call hours of each covered employee who is

{00929652.DOC}Page 7 of 41

on-call to perform safety-sensitive job functions. If an on-call employee has consumed alcohol, he/she must acknowledge the use of alcohol and his/her inability to perform his/her safety-sensitive duties at the time that he/she is called to report for duty. The covered employee will subsequently be relieved of his/her on-call responsibilities and subject to discipline as defined in Section T. of this policy. Covered employees will be required to take an alcohol test, if the covered employee has acknowledged the use of alcohol, but claims ability to perform his or her safety-sensitive function. (3) SEIBUS shall not permit any covered employee to perform or continue to perform safety-sensitive functions if it has actual knowledge that the employee is using alcohol. (4) No covered employee shall consume alcohol within four (4) hours prior to the performance of safety-sensitive job functions. (5) Each covered employee is prohibited from reporting to work or remaining on duty requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater regardless of when the alcohol was consumed. (6) No covered employee shall consume alcohol for eight (8) hours following involvement in an accident or until he/she submits to the post-accident drug and alcohol tests, whichever occurs first. (7) SEIBUS, under its own authority also prohibits the consumption of alcohol during lunch periods, rest breaks, and split shift breaks. (8) Consistent with the Drug-free Workplace Act of 1988, all SEIBUS employees are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of controlled substances in the work place including SEIBUS premises, transit vehicles, or while on SEIBUS business. Employees who violate this provision will be subject to disciplinary action up to and including termination.

J. DRUG STATUTE CONVICTION

Consistent with the Drug Free Workplace Act of 1998, all employees are required to notify the DER of any criminal drug statute conviction for a violation occurring in the workplace within five days after such conviction. Failure to comply with this provision shall result in disciplinary action as defined in Section T. of this policy.

K. TESTING REQUIREMENTS Analytical urine drug testing and breath testing for alcohol will be conducted as required by

49CFR Part 40 as amended. All covered employees shall be subject to pre-employment drug testing, reasonable suspicion, post-accident, random, return-to-duty, and follow-up drug and alcohol testing as defined in Sections N, O, P, Q, R, and S of this policy. Applicants may be hired into safety-sensitive positions prior to receiving a negative drug test result. However, the new covered

{00929652.DOC}Page 8 of 41

employee is not permitted to perform a safety-sensitive function for the first time until a negative drug test result is received.

Any time a covered employee or applicant has not performed a safety-sensitive function for

90 consecutive calendar days regardless of the reason, and the employee has not been retained in the random selection testing pool during that time, the covered employee will be required to resubmit to pre-employment drug testing and must have a verified negative test result before being allowed to perform safety-sensitive functions again.

Any covered employee who refuses to submit to a test, has a verified positive drug test

result, and/or has a confirmed alcohol test result of 0.04 or greater, will be tested prior to returning to duty in accordance with the procedures outlined in 49 CFR Part 40. Return to duty testing shall only occur after completion of the Substance Abuse Professional's recommended treatment program and subsequent release to duty. Follow-up testing will also be conducted following return-to-duty for a period of one to five years, with at least six tests performed during the first year. The duration and frequency of the follow-up testing above the minimum requirements will be at the discretion of the Substance Abuse Professional.

Covered employees will not be permitted to perform a safety-sensitive function within eight

(8) hours of an alcohol test indicating an alcohol concentration of 0.02 or greater but less than 0.04, unless they are retested with a confirmed test result less than 0.02.

A drug test can be performed any time a covered employee is on duty. An alcohol test can

be performed just before, during, or after the performance of a safety-sensitive job function. Under SEIBUS’s authority, a reasonable suspicion alcohol test can be performed any time an employee is on duty. Additional information is provided later in this policy regarding each of these topics or circumstances. L. REFUSAL TO SUBMIT TO A DRUG OR ALCOHOL TEST

All covered employees will be subject to urine drug testing and breath alcohol testing as a

condition of ongoing employment with SEIBUS in accordance with 49 CFR Part 655. Any safety-sensitive employee who refuses to comply with a request for testing shall be immediately removed from duty, referred to a substance abuse professional for evaluation, and subject to discipline as defined in Section T. of this policy. As a covered employee, you have refused to take a drug or alcohol test if you:

(1) Fail to appear for any test within the specified time frame, as determined by the Transit Director, after being directed to do so; (2) Fail to remain at the testing site until the testing process is complete;

{00929652.DOC}Page 9 of 41

(3) Fail to attempt to provide a urine specimen for any drug test, or fail to attempt to provide a saliva or breath specimen, as applicable; required by 49 CFR Parts 40, 655 or DOT agency regulations;

(4) Fail to provide a sufficient amount of urine when directed, or fail to provide a sufficient breath specimen, and it has been determined, through a required medical evaluation, that there was not adequate medical explanation for the failure; (5) In the case of a directly observed or monitored collection in a drug test, fail to permit the observation or monitoring of your provision of a specimen; (6) Fail to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER as part of the “shy bladder” or insufficient breath procedures; (7) Fail or decline to take a second test the employer, DER, or collector has directed you to take; (8) Fail to cooperate with any part of the testing process (e.g. refusing to empty pockets when so directed by the collector, behaving in a confrontational way that disrupts the collection process); (9) Fail to sign the certification at Step 2 of the Alcohol Testing Form (ATF) for alcohol testing; or

(10) Provide a urine specimen that produces a verified adulterated or substituted test result.

Any covered employee who is suspected of providing false information in connection with a drug test, or who is suspected of falsifying test results through tampering, contamination, adulteration, or substitution will be required to undergo an observed collection. Verification of the above listed actions will be considered a test refusal and will result in the employee’s removal from duty and discipline as defined in Section T. of this policy. Refusal can also include a verbal or written declaration. Such refusals constitute a violation of SEIBUS drug and alcohol program policy.

Failure to appear for pre-employment drug testing by applicants, or employees being transferred into safety sensitive positions, is not considered a refusal to submit to a drug or alcohol test. However, failure to complete the testing process once testing commences is considered a refusal to submit in pre-employment instances.

M. DRUG AND ALCOHOL TESTING PROCEDURES

Testing will be conducted in a manner to assure a high degree of accuracy and reliability and will use techniques, equipment, and laboratory facilities that have been approved by the U.S. Department of Health and Human Service (DHHS). All testing will be conducted consistent with the procedures set forth in 49 CFR Part 40, as amended. The procedures will be performed in a

{00929652.DOC}Page 10 of 41

private, confidential manner and every effort will be made to protect the employee, the integrity of the drug and alcohol testing procedure, and the validity of the test result.

Covered employees are required to arrive at the collection site at a specific time or within a

specified number of minutes of being ordered to report for testing. If the employee does not appear at the collection site at the scheduled time, the collection site will contact the DER to determine the appropriate interval within which the DER has determined the employee is authorized to arrive. If the employee’s arrival has been delayed beyond that time, the collection site will notify the DER that the employee has not reported for testing. In cases where the DER has been notified that the employee has not reported for testing, the employee will be notified that he or she has refused to test.

Collection Sites: When the employee enters the collection site, the testing process is to

begin without undue delay. To the greatest extent practicable, collection sites shall ensure that covered employees reporting for both alcohol and drug testing complete the alcohol test before the urine collection process begins. In cases of post-accident testing, medical attention needed for an injured employee shall not be delayed to collect a specimen or conduct a breath alcohol test.

Collection sites used shall meet the requirements of 49 CFR Part 40. In most cases, a

single-toilet room, having a full-length privacy door, will be used. No one but the employee shall be present in the room during collection, except for the observer in the event of a directly observed collection. However, some collection sites may use a multi-stall restroom. In these cases, a toilet stall with at least a partial-length door may be used. In either case, the collection site will take steps to prevent unauthorized access to ensure privacy to the employee. Security measures will be taken by the collection site to prevent access to all sources of water and other any other substances that could be used for adulteration and substitution (e.g. soap dispensers) to deter tampering with specimens. If a multi-stall restroom is used, monitored collection procedures may be used. If the monitored collection procedure is used, no one but the monitor will be present in the multi-stall restroom during the collection, except for the monitor, or the observer in the event of a directly observed collection. A source of water or moist towelettes for washing hands external of the closed room shall be made available.

Upon arrival, employees will be required to provide positive photo identification issued by

the employer, or a Federal, state, or local government (e.g. a driver’s license). Faxes or photocopies of identification will not be accepted. Positive identification by the DER (not a co-worker or other employee being tested) is also acceptable. The collection site will contact the DER to verify the identity of the employee in any case where an employee is unable to provide positive identification.

Drug Testing Procedures: The drugs that will be tested for include marijuana, cocaine,

opiates, amphetamines, and phencyclidine (though SEIBUS reserves the right to modify this list in compliance with federal law). Collection site staff will explain the basic collection procedures including showing the employee the instructions on the back of the chain of custody form (CCF). Employees will be directed to remove outer clothing (e.g. coveralls, jacket, coat, hat) that could be used to conceal items or substances that could be used to tamper with a specimen. These garments, as well as any briefcase, purse, or other personal belongings must be left outside of the restroom; however, employees will be allowed to keep their wallet. Failure to comply with the

{00929652.DOC}Page 11 of 41

collection site directions constitutes a refusal to test. If desired, employees may ask the collection site for a receipt for any belongings left with them.

Employees will be directed to empty pockets and display the items from them to ensure that

no items are present which could be used to adulterate the specimen. If nothing is there that can be used to tamper with the specimen, the employee will be allowed to place the items back into their pockets. Employees must allow the collector to make this observation. If any item has been brought into the collection site that appears to have been brought in with the intent to alter the specimen, a directly observed collection will be conducted. SEIBUS recommends employees not bring anything to the collection site that can be construed as potentially interfering with the collection process.

Before providing a urine specimen, Step 1 of the CCF must be completed, and the employee

will be asked to wash and dry their hands and instructed not to do so again until after delivering the specimen to the collector. The employee will be handed, or asked to select, an individually wrapped or sealed collection container from collection kit materials. The employee may break the seal of the collection container or the collector may do so in front of the employee. The specimen bottle shall remain sealed and the employee will not be allowed to take anything from the collection kit into the restroom except the collection container. The employee will then be directed to go into the restroom, provide a specimen of at least 45 mL, not flush the toilet, and return to the collector with the specimen after completion of the void. A collector may set a reasonable time for voiding. Collections shall not occur by catheterization or other means, whether conscious or not, with the exception of an employee who normally voids through self-catheterization. In this case, the employee will be advised to provide a specimen in that manner. If, as an employee, you normally void through self-catheterization, and decline to do so, this constitutes a refusal to test.

For any observed collections, this shall be noted in the “Remarks” line of the CCF, Step 2.

The collection site supervisor and DER will both be notified as soon as possible of any direct observations that take place and the reason for doing so.

If the specimen provided contains less than 45 mL of urine, “shy bladder” procedures

(described below) will be implemented. The original specimen will be discarded, unless another problem (i.e. temperature out of range, signs of tampering) also exists. Separate voids will never be combined to create a specimen. Excess urine will be discarded.

The temperature of the specimen will be checked within four minutes after the employee

has given the collector their specimen. If the temperature is within the range of 90-100 degrees Fahrenheit, the “Yes” box on the CCF, Step 2 will be marked. If the specimen temperature is out of range, the “No” box will be marked. Collector findings will be noted on the “Remarks” line, Step 2, for any out of range temperature readings, and the employee will be required to provide a new specimen under direct observation. Both the original out of range specimen and the specimen collected under direct observation will be sent to the laboratory. If the employee refuses to provide another specimen or refuses to do so under direct observation, the collection site will discard any specimen previously provided during the collection procedure and then notify the DER.

Specimens will be inspected for signs of tampering, e.g. unusual color, presence of foreign

objects or material, or any unusual odor. If tampering appears to have occurred, the employee will

{00929652.DOC}Page 12 of 41

be ordered to conduct a new collection using direct observation. In these cases, both the original and the directly observed collection will be sent to the laboratory. If the employee refuses to provide a specimen under direct observation, the collection site will discard any specimen previously provided during the collection procedure and then notify the DER.

All collections under FTA drug testing regulations must be split specimen collections. The

collector shall, in the presence of the employee: (1) Check the box on the CCF, Step 2, indicating that a split specimen collection took place; (2) Pour at least 30 mL of urine from the collection container into one specimen bottle, to be used for the primary specimen;

(3) Pour at least 15 mL of urine from the collection container into the second specimen bottle to be used for the split specimen; (4) Place and secure (i.e. tighten or snap) the lids/caps on the bottles; (5) Seal the bottles by placing tamper-evident bottle seals over the bottle caps/lids and down the sides of the bottles; (6) Write the date on the tamper-evident bottle seals after they are completely sealed. The employee will then be asked to initial the tamper-evident bottle seals for the purpose of

certifying that the bottles contain the specimens that the employee provided. (If the employee fails or refuses to do so, the collector will note this in the “Remarks” line of the CCF, Step 2, and complete the collection process.) Once this is completed, the collector will, in the employee’s presence:

(1) Direct the employee to read and sign the certification statement on Copy 2, Step 5, of the CCF and provide date of birth, printed name, and day and evening contact telephone numbers; (2) Complete the chain of custody on the CCF, Step 5, by printing the employee’s name, recording the time and date of the collection, signing the statement, and entering the name of the delivery service transferring the specimen to the laboratory; (3) Ensure that all copies of the CCF are legible and complete;

(4) Remove Copy 5 of the CCF and give it to the employee. (Although currently used medications cannot be listed on the CCF, once copy 5 is given to the employee, the employee may list medications they have currently used on the back of the form as a reminder, if they so wish.)

(5) Place the specimen bottles and Copy 1 of the CCF into the appropriate pouches of the plastic bag;

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(6) Secure the plastic bag, and discard any excess urine left over in the collection

container;

(7) Advise the employee that they may leave the collection site. The sealed plastic bag will be shipped to the laboratory within 24 hours or the next business day. Copy 2 of the CCF will be sent to the MRO and Copy 4 to the DER. Copy 3 will be kept at the collection site for at least 30 days.

Observed Collections: Direct observation of employees’ urine specimen collections are allowed in certain circumstances under 49 CFR Part 40. Direct observation requires the collector to watch the employee urinate into the collection container. Any employee that declines to allow a directly observed collection required or permitted under this section to occur shall be considered to be refusing to test. The observer’s name shall be noted in the “Remarks” line of the CCF, Step 2, if observed by someone other than the collector. If SEIBUS has directed an observed collection to be conducted, a supervisor or DER will advise the employee as to the reason for a directly observed collection. The collector will also inform the employee the reason for a directly observed collection ordered by the employer, if known. If the collector has directed an observed collection to be conducted, the collector will advise the employee as to the reason for a directly observed collection. When a collector learns that a directly observed collection should have been collected but was not, they will inform SEIBUS to direct the employee to undergo an immediate recollection under direct observation, even though some time may have passed since the original collection. Consistent with 49 CFR Part 40, collection under direct observation (by a person of the same gender) with no advance notice to the employee will occur if:

(1) The laboratory reports to the MRO that a specimen is invalid, and the MRO reports to the employer that there was not an adequate medical explanation for the result; or (2) The MRO reports to the DER that the original positive, adulterated, or substituted test result had to be cancelled because the test of the split specimen could not be performed; (3) SEIBUS may direct a collection under direct observation if the drug test is a return-to-duty test or a follow-up test. (4) The collector must immediately conduct a collection under direct observation if:

(a) They are directed by the DER to do so; or (b) The collector observes materials brought to the collection site or the employee's

conduct clearly indicates an attempt to tamper with a specimen; or

(c) The temperature on the original specimen was out of range; or

{00929652.DOC}Page 14 of 41

(d) The original specimen appeared to have been tampered with. Monitored Collections: Monitored collections allow for only the monitor and the employee to

enter the room until after the collection has been completed. Monitors do not directly observe employee collections.

Consistent with 49 CFR Part 40, monitored collections are permitted by opposite-gender monitors who are medical professionals. Monitors who are not medical professionals must be the same gender as the employee. Any employee that declines to permit a collection authorized under 49 CFR Part 40 to be monitored, shall be considered to be refusing to test. The monitor’s name shall be noted in the “Remarks” line of the CCF, Step 2, if monitored by someone other than the collector.

Shy Bladder: Insufficient specimens will be discarded, except where the insufficient

specimen was out of temperature range or showed evidence of adulteration or tampering. Employees will be urged to drink up to 40 ounces of fluid, distributed randomly through a period of up to three hours, or until the employee is able to provide a sufficient urine specimen, whichever occurs first. It is not a refusal to test if the employee declines to drink. If the employee refuses to attempt to provide a new urine specimen, the collection will be discontinued and noted in the “Remarks” line of the CCF, Step 2. The collector will then immediately notify the employer DER. This is a refusal to test.

If the employee has not provided a sufficient specimen within three hours of the first

unsuccessful attempt to provide the specimen, the collection will be discontinued and noted on the “Remarks” line of the CCF, Step 2. The collector will immediately notify the employer DER in these instances. Copy 2 of the CCF will be sent to the MRO, and Copy 4 to the DER within 24 hours or the next business day. The employer DER will then consult with the MRO and direct the affected employee to obtain an evaluation, within five days, from a licensed physician, acceptable to the MRO, who has expertise in the medical issues raised by the employee’s failure to provide a sufficient specimen. The MRO will provide the physician with specific information and instructions as detailed in 49 CFR Part 40, as amended. If the MRO accepts the physician’s recommendation, that a medical condition has, or with a high degree of probability could have, precluded the employee from providing a sufficient amount of urine, the MRO will mark the test cancelled, Step 6 on the CCF, and sign and date the CCF. If the MRO agrees with the referral physical in their recommendation that there is not an adequate basis for determining that a medical condition has, or with a high degree of probability could have, precluded the employee from providing a sufficient amount of urine, the MRO will check “Refusal to test because”, Step 6 on the CCF, and enter the reason in the “Remarks” line, and sign and date the CCF. Once this is done, the MRO will notify the DER in writing as to their determination. When SEIBUS receives this report from the MRO, and the test was cancelled, no further action will be taken. Tests marked “Refusal to test” shall be acted upon the same as any other test refusal. (Refer to Section L. of this policy.)

Split Specimen Testing: Any covered employee who challenges the results of her/her

required drug test under Sections N through S of this policy may request that the split sample be tested. The split sample test must be conducted at a second DHHS-certified laboratory with no affiliation with the laboratory that analyzed the primary specimen. The test must be conducted on the split sample that was provided by the employee at the same time as the primary sample. The

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method of collecting, storing, and testing the split sample will be consistent with the procedures set forth in 49 CFR Part 40, as amended. The employee's request for a split sample test must be made to the Medical Review Officer within 72 hours of notice of the original sample verified test result. Requests after 72 hours will only be accepted at the discretion of the MRO if the delay was due to documentable facts that were beyond the control of the employee. SEIBUS will ensure that the cost for the split specimen is covered in order for a timely analysis of the sample, however SEIBUS will seek reimbursement from the employee for the cost of any split sample test that reconfirms the original test.

If the analysis of the split specimen reconfirms a positive test for a drug or drug metabolite,

the MRO will report the reconfirmation to the DER and the employee. In the case of a reconfirmed adulterated or substituted result, in which case this constitutes a refusal to test, the MRO will report to the DER and the employee the final result of the reconfirmation and “refusal to test”.

If the analysis of the split specimen fails to reconfirm the presence of the drug(s) detected in

the primary specimen, if the split specimen cannot be analyzed, or if the results of the split specimen are not scientifically adequate, the MRO will report to the DER and the employee that both tests must be cancelled. In the case of the specimen not available for testing, the reason for cancellation must also be reported. The MRO will direct the DER to ensure the immediate collection of another specimen from the employee under direct observation, with no notice given to the employee of this collection requirement until immediately before the collection. In the rare situation a primary specimen tests positive for a drug, and a split specimen does not reconfirm the presence of the drug but the laboratory determines that an adulterant is present, there is not a reconfirmed positive drug test. Should this situation occur the MRO would contact the employee to ask if there is any legitimate medical explanation for the presence of the adulterant in the split specimen. If there is a legitimate medical explanation for the presence of the adulterant in the split specimen, the entire test is cancelled. If not, the MRO reports the test to the employee and the DER as a refusal. The employee will have 72 hours to request a test of the primary specimen to determine if the adulterant is present there as well. If the primary specimen reconfirms the presence of the adulterant found in the split specimen, then the refusal result is reconfirmed. If not, then the test is cancelled and the “split invalid” procedure applies.

The split specimen will be stored at the initial laboratory until the analysis of the primary specimen is completed. If the primary specimen is negative, the split will be discarded. If the primary is positive, the split will be retained for testing if so requested by the employee through the Medical Review Officer. If the primary specimen is positive, it will be retained in frozen storage for one year and the split specimen will also be retained for one year.

Laboratory Procedures: The specimen analysis will be conducted at a DHHS certified laboratory. An initial drug screen test will be conducted on the primary urine specimen and a validity test may also be conducted. The purpose of validity testing is to determine if the specimen is consistent with normal human urine and whether certain adulterants or foreign substances were added to the urine, if the urine was diluted, or if the specimen was substituted.

For those specimens that are not negative in the screening test, a confirmatory Gas

Chromatography/Mass Spectrometry (GC/MS) test will be performed. The test will be considered

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positive if the amounts of the drug(s) and/or its metabolites identified by the GC/MS test are above the minimum thresholds established in 49 CFR Part 40, as amended. (See Attachment D.)

Medical Review Officer (MRO): The test results from the DHHS certified laboratory are

reported to a Medical Review Officer (MRO). The MRO is a licensed physician with detailed knowledge of substance abuse disorders and drug testing. The MRO will review the test results to ensure the scientific validity of the test and to determine whether there is a legitimate medical explanation for a confirmed positive, substitute, or adulterated test result. The MRO will attempt to contact the employee to notify them of the non-negative laboratory result, and provide the employee with an opportunity to explain the confirmed laboratory test result. The MRO will direct the employer to tell the employee to contact the MRO immediately and warn the employee that the MRO may declare the test a “non-contact positive” for failure to contact the MRO within the 72-hours. The MRO will subsequently review the employee’s medical history/medical records as appropriate to determine whether there is a legitimate medical explanation for a non-negative laboratory result. If no legitimate medical explanation is found, but the covered employee has a valid prescription for a medication that interfered with the immunoassay test, and the employee denies having adulterated the specimen, the MRO will mark the test cancelled, “invalid result” and “direct observation collection required”. The MRO will also report to the DER that the test has been cancelled, the reason for cancellation, and that a second collection must take place immediately under direct observation. If a legitimate explanation is found, the MRO will mark the test cancelled, “invalid result” and “direct observation collection not required”. The MRO will also report the test result as cancelled to the DER, the reason for cancellation, and that no further action will be taken unless a negative test result is required (i.e. pre-employment, return-to-duty, or follow-up tests). If the employee admits to having adulterated or substituted the specimen, the MRO must then report a refusal to test. The MRO must report the use of any legally prescribed medication to the employer that could make the employee medically unqualified or pose a significant safety risk. The employee will be given five days to contact their physician to have his or her physician contact the MRO to determine if the medication can be changed to one that does not make the employee medically unqualified or does not pose a significant safety risk. The results of this contact will be transmitted to any third party the MRO previously provided information about the safety risks of the employee’s other medication. The MRO shall have sole authority to make medical judgments about drug test results.

Contact information for SEIBUS’s MRO can be found in Attachment A of this policy. Alcohol Testing Procedures: A trained Breath Alcohol Technician (BAT) will conduct tests for

breath alcohol concentration utilizing a National Highway Traffic Safety Administration (NHTSA)-approved Evidential Breath Testing device (EBT). Alcohol screening tests may be performed using a non-evidential testing device that is also approved by NHSTA, or a saliva test.

The BAT or Screening Test Technician (STT) shall take steps to protect the security of the

alcohol-testing site. In addition, BAT’s and STT’s are limited to conducting an alcohol test for only one employee at a time to avoid distraction that could compromise security. If at any time the integrity of the testing procedures or the validity of the test results is compromised, the test will be canceled. Minor inconsistencies or procedural flaws that do not impact the test result will not

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result in a cancelled test. Determinations will be made in accordance with 49 CFR Part 40.267 through 40.275. The employee will be handed, or allowed to select, an individually wrapped or sealed mouthpiece from the testing materials. The mouthpiece will be inserted in to the device and then the employee will be instructed to blow steadily for at least six seconds or until the device indicates that an adequate amount of breath has been obtained. The BAT or STT will then show the employee the displayed test result. The BAT or STT will make sure the test number, testing device name and serial number, time, and result have been printed correctly onto the Alcohol Testing Form (ATF) if the device is capable of doing so, or, if the device is one that prints the this information on a separate printout, the BAT or STT will affix the printout of the information to the designated space on the AFT with tamper-evident tape or use a self-adhesive label that is tamper-evident. If the device does not print this information and it is also not being used with a printer, the BAT or STT will record this information on Step 3 of the ATF. For alcohol screening tests using a Saliva Alcohol Screening Device (ASD), the expiration date will be checked prior to use. Devices cannot be used after their expiration date. The STT will offer the employee the opportunity to use the device themselves or for the STT to use it to for the employee. If the employee uses it, they will be instructed to insert the device into their mouth and use it in the manner described by the device’s manufacturer. If the employee chooses not to use the device, or in all cases in which a new test is necessary because the device did not activate, the BAT or STT will insert the device into the employee’s mouth and gather saliva in the manner described by the device’s manufacturer. The BAT or STT will wear single-use examination or similar gloves while doing so and change them following each test. If the employee was unable to successfully follow the procedures, the device breaks or falls to the floor, the device will be discarded and a new test will be conducted using a new device. If a new test is conducted, the reason will be noted by the STT on the “Remark” line of the ATF. The result must be read within 15 minutes of the test. The employee will be shown the result of their test as displayed on the device. The STT will enter the results on the ATF. Devices, swabs, gloves or other materials used in saliva testing will not be reused. If a Saliva ASD was used, the STT must note it in Step 3 of the ATF.

An alcohol concentration of less than 0.02 on an initial screening test conducted by a BAT or STT will be considered a negative test and no additional alcohol testing will be conducted. The BAT or STT will sign and date Step 3 of the ATF and transmit the result to the DER in a confidential manner. If the screening test is invalid, the BAT or STT will tell the employee that the test is cancelled and note the problem on the “Remarks” line of the AFT. If practicable, the testing process will be repeated.

If the initial test indicates an alcohol concentration of 0.02 or greater, the employee will be

directed to take a confirmation test. To prevent an accumulation of mouth alcohol from leading to an artificially high reading, the confirmatory test will not be conducted for at least fifteen minutes after the completion of the initial test. The employee will be advised by the STT or BAT not to eat, drink, put anything (e.g. chewing gum, cigarette) into their mouth, or belch. The confirmatory test must occur on an EBT. If the person conducting the initial test is not the BAT that will be conducting the confirmatory test, then they will sign and date Step 3 of the ATF, ask the employee to sign

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Statement 4 (in cases of test results .02 or higher) and give the employee Copy 2 of the ATF. The employee will then be required to show positive identification to the BAT, who will explain the confirmation procedures and a new ATF will be used.

Confirmatory tests will be performed using an NHTSA-approved EBT operated by a trained

BAT. If the device used is one that does not print the test number, testing device name and serial number, time, and result, or it is a device not being used with a printer, this information will be recorded by the BAT on Step 3 of the alcohol testing form (ATF). This information, along with the ATF, will be used to document the test, the subsequent results, and to attribute the test to the correct employee. The alcohol testing form (AFT) required by 49 CFR Part 40 as amended, shall be used for all FTA required testing. Failure of an employee to sign Step 2 of the ATF will be considered a refusal to submit to testing.

If the confirmation test will be performed at a different site from the screening test, the

employee will be directed not to drive to that location. The person accompanying the employee to the BAT will be instructed to carry a copy of the ATF to the BAT who will perform the confirmation test. The employee will be observed by a BAT, STT, or DER as they are transported to the confirmation-testing site. Confirmation tests are to begin within 30 minutes of the screening test. For any instance in which the confirmation test does not begin within 30 minutes of the initial screening test, a confirmation test shall still be conducted, and the reason for the delay will be noted on the “Remarks” line of the ATF. In no instance shall another screening test be conducted.

Even though an employee who has a confirmed alcohol concentration of 0.02 or greater but

less than 0.04 is not considered to have tested positive, the BAT will notify the DER of the confirmed alcohol testing result and the employee will not be permitted to perform or continue to perform safety-sensitive functions until:

(1) The employee’s alcohol concentration measures less than 0.02; or (2) The start of the employee’s next regularly scheduled duty period, but not less than eight (8) hours following administration of the test. Employees with confirmed test results between 0.02 and 0.039 will be subject to the

consequences described in Section T of this policy. An employee who has a confirmed alcohol concentration of 0.04 or greater will be

considered as having a positive alcohol test in violation of this policy. The BAT will notify the DER of positive alcohol test results and the mandatory requirement that the covered employee be immediately removed from his or her safety-sensitive function and evaluated by a substance abuse professional, as required by 49 CFR Part 40. The consequences of a positive alcohol test are described in Section T of this policy.

Any safety-sensitive covered employee who refuses to take an alcohol test shall incur the

same consequences specified under DOT agency regulations for a violation of those DOT agency regulations.

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Insufficient Amount of Saliva: If an employee is unable to provide sufficient saliva to complete a test on a saliva screening device (e.g. insufficient amount to activate the device), a new screening test will be conducted using a new screening device. If an employee refuses to make the attempt to complete the new test, testing shall be discontinued, and noted as such on the “Remarks” line of the ATF. The STT will immediately notify the DER. This is a refusal to test. If an employee has not provided a sufficient amount of saliva to complete the new test, it will be noted on the “Remarks” line of the ATF and the STT will immediately notify the DER. After notification, the DER will immediately arrange to have an alcohol test administered using an EBT or other breath-testing device. Insufficient Amount of Breath “Shy Lung”: If an employee does not provide a sufficient amount of breath to permit a valid breath test, the BAT or STT will instruct the employee to attempt again and advise the employee regarding proper procedures. If the employee refuses to make the attempt, the test will be discontinued, noted on the “Remarks” line of the ATF and the BAT or STT will immediately notify the DER. This is a refusal to test. If the employee again attempts and fails to provide a sufficient amount of breath, the BAT or STT will make the determination as to whether to allow the employee to make another attempt or, if the person conducting the test is qualified to use a Saliva ASD, and testing is still in the screening test stage, they may change to a Saliva ASD only to complete the screening test. When the BAT or STT informs the employer that an employee has not provided a sufficient amount of breath, the DER will direct the employee to obtain, within five days, an evaluation from a licensed physician who is acceptable to SEIBUS and who has expertise in the medical issues raised by the employee’s failure to provide a sufficient specimen. SEIBUS will provide the physician who will conduct the evaluation with specific information and instructions. After making their evaluation and subsequent determination, the physician must provide a written statement of their conclusion and the basis for it to the DER directly. Upon receipt of the report, the DER will immediately inform the employee and take any appropriate action based upon DOT agency regulations. Substance Abuse Professional (SAP): SAP’s have basic knowledge about and clinical experience in the diagnosis and treatment of alcohol and controlled substances-related disorders. Any employee that has violated DOT drug and alcohol regulations must be evaluated by a SAP before they can again perform any DOT safety-sensitive duties for any employer. The employee must also complete any referral, education/treatment process prescribed by the SAP. Each employee or applicant who violates a DOT drug and/or alcohol regulation will be provided the names, addresses, and telephone numbers of SAP’s available to the employee. Payment for SAP evaluations and services is the responsibility of the employee. SAP’s will make a face-to-face clinical assessment and evaluation to determine what assistance is needed by the employee to resolve problems associated with alcohol and/or drug use. A follow-up evaluation will also take place to determine if the employee actively participated in the education and/or treatment program specified and whether successful compliance with the initial assessment and evaluation recommendations has been demonstrated. The SAP will provide the DER with a written follow-up drug and/or alcohol-testing plan for the employee and recommendations to both the employer and the employee for continuing education and/or treatment of the employee.

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SEIBUS is not required to return an employee to safety-sensitive duties because the employee has successfully completed the SAP prescribed program and Return-to-Duty testing. SEIBUS has the discretion to decide whether any employee that has met these conditions will be returned to safety-sensitive functions. N. PRE-EMPLOYMENT TESTING

All applicants that are offered a safety-sensitive position with SEIBUS shall undergo urine pre-employment drug testing.

(1) All offers of employment for covered positions shall be extended conditional upon the

applicant passing a drug test. An applicant shall not be hired into a covered position unless the applicant takes a drug test with a verified negative drug test result. (2) A non-covered employee shall not be placed, transferred or promoted into a covered position that requires the performance of a safety-sensitive function until the employee takes a pre-employment drug test with a verified negative result. (3) Covered employees, including applicants, may not perform a safety-sensitive function for the first time, until a pre-employment drug test has been administered with a verified negative drug test result.

(4) If an applicant fails a pre-employment drug test, the conditional offer of employment

shall be rescinded. Failure of a pre-employment drug test will disqualify an applicant for consideration of employment for a period of at least two years. SEIBUS shall advise the applicant of the resources available for evaluating and resolving problems associated with prohibited drug use and alcohol misuse, including the names, addresses, and telephone numbers of substance abuse professionals and counseling and treatment programs. (5) When a covered employee or applicant has previously failed or refused a pre-employment drug test administered under 49 CFR Part 655, the employee must provide SEIBUS proof of having successfully completed a referral, evaluation and treatment plan in accordance with 49 CFR Part 655.62, subpart G. Evidence of the absence of drug dependency from a Substance Abuse Professional that meets with 49 CFR Part 40 as amended and a negative pre-employment drug test will be required prior to further consideration for employment. The cost for the assessment, follow-up testing, and any subsequent treatment will be the sole responsibility of the applicant.

(6) When a pre-employment test for an employee being placed, transferred, or promoted from a non-covered position to a covered position results in a verified positive result, the employee shall be subject to disciplinary action in accordance with Section T of this policy.

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(7) If a pre-employment drug test is canceled, the employee, in cases of transfers, or applicant shall be required to take another pre-employment drug test with a verified negative result.

(8) An applicant with a dilute negative pre-employment test result will be required to retest.

(9) When a covered employee or applicant has not performed a safety-sensitive function for 90 consecutive calendar days regardless of the reason, and the employee has not been in the employer’s random selection pool during that time, the employee shall be required to take a pre-employment drug test with a verified negative result.

As an employer, SEIBUS shall request applicants or any employee transferring into a safety–sensitive position to sign a written consent for SEIBUS to obtain specific information from any DOT regulated employer of the applicant, or employee, during any period within the two years prior to the date of the employee’s application or transfer. Any applicant or employee that refuses to provide this written consent shall not be permitted to perform safety-sensitive functions. Information requested shall consist of the following:

(1) Alcohol tests with a result of 0.04 or higher alcohol concentration;

(2) Verified positive drug tests;

(3) Refusals to be tested (including adulterated or substituted drug test results);

(4) Other violations of DOT agency drug and alcohol testing regulations; and

(5) With respect to any employee who violated a DOT drug and alcohol regulation, documentation of the employee’s successful completion of DOT return-to-duty requirements (including follow-up tests).

Information concerning an applicant who has tested positive on a pre-employment test will be requested of the applicant directly if unavailable from the employer. The applicant or employee will be asked whether he or she has tested positive, or refused to test, on any pre-employment drug or alcohol test administered by an employer to which the employee applied for, but did not obtain, safety-sensitive transportation work covered by DOT agency drug and alcohol testing rules during the past two years. Any applicant or employee acknowledging that he or she had a positive test or refused to test shall not be allowed to perform a safety-sensitive function for SEIBUS until and unless the applicant or employee documents successful completion of the return-to-duty process. Applicant acknowledgement or record from a previous employer of refusal to submit to a drug/alcohol test shall be considered a positive test result and a direct act of insubordination and shall disqualify an applicant from being hired. A test refusal shall also include the following circumstances:

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(1) An applicant who has consumed alcohol within eight (8) hours following involvement in an accident without first having submitted to post-accident drug/alcohol test.

(1)(2) An applicant who has left the scene of an accident without a legitimate explanation prior to submission to drug/alcohol tests.

As an employer from whom information is requested under the U.S.DOT rules, SEIBUS will maintain a written record of any information released, including the date, the party to whom it was released, and a summary of the information provided. Any information received from previous DOT regulated employers or the employee shall be kept confidential, as well as the good faith efforts made to obtain this information. This information shall be retained for three years from the date of the employee’s first performance of safety-sensitive duties for SEIBUS. O. REASONABLE SUSPICION TESTING

All SEIBUS covered employees will be subject to a reasonable suspicion drug and/or alcohol test when the employer has reasonable suspicion to believe that the covered employee has used a prohibited drug and/or engaged in alcohol misuse.

Reasonable suspicion shall mean that there is objective evidence, based upon specific,

contemporaneous, articulable observations of the employee's appearance, behavior, speech or body odor that are consistent with possible drug use and/or alcohol misuse. Reasonable suspicion referrals must be made by a supervisor who is trained to detect the signs and symptoms of drug use and alcohol misuse, and who reasonably concludes that an employee may be adversely affected or impaired in his/her work performance due to possible prohibited substance abuse or alcohol misuse. Reasonable suspicion alcohol testing is authorized only if the observations required are made during, just preceding, or just after the period of the workday that the covered employee is required to be in compliance with this part. A reasonable suspicion alcohol test can only be conducted just before, during, or just after the performance of a safety-sensitive job function. However, under SEIBUS’s authority, a reasonable suspicion alcohol test may be performed any time the covered employee is on duty.

SEIBUS will be responsible for transporting the employee to the testing site. Supervisors will

avoid placing themselves and/or others into a situation that might endanger the physical safety of those present. The employee will be placed on administrative leave pending test results. An employee who refuses an instruction to submit to a drug/alcohol test shall not be permitted to finish his or her shift and shall immediately be placed on administrative leave pending disciplinary action as specified in Section T of this policy.

All covered employees with a dilute negative, reasonable suspicion drug test result will be required to retest.

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A written record of the observations that led to a drug/alcohol test based on reasonable suspicion shall be prepared and signed by the supervisor making the observation. This record shall be retained in the drug and alcohol confidential program files. P. POST-ACCIDENT TESTING

Fatal Accidents: In the event of an accident involving a transit revenue vehicle that results in the loss of human life, all covered employees involved will be required to undergo drug and alcohol testing, regardless of whether or not the vehicle is in revenue service. This includes any surviving covered employees that were operating the vehicle at the time of the accident and any other covered employees (e.g. mechanics, etc.) whose performance could have contributed to the accident, as determined by SEIBUS using the best information available at the time of the decision. Post-accident drug and alcohol testing of the operator is not required if the covered employee is tested under the fatal accident testing requirements of the FMCSA rule 49 CFR 382.303(a)(1) or (b)(1).

Nonfatal Accidents: In the case of nonfatal accidents in which a transit vehicle is involved, post-accident drug and alcohol testing will be conducted if any individual suffers bodily injury and immediately receives medical treatment away from the scene of the accident, or one or more vehicles (including non-FTA funded vehicles) incurs disabling damage as a result of the accident and such vehicle or vehicles are transported away from the scene by a tow truck or other vehicle, unless SEIBUS determines, using the best information available at the time of the decision, that the covered employee’s (driver/operator) performance can be completely discounted as a contributing factor to the accident. SEIBUS shall also drug and alcohol test any other covered employee, e.g. mechanic, whose performance could have contributed to the accident, as determined by SEIBUS using the best information available at the time of the decision.

(1) As soon as practicable following such an accident, the transit supervisor investigating the accident or DER will notify the transit employee operating the transit vehicle, and all other covered employees whose performance could have contributed to the accident, of the need for the test. The DER or supervisor will make the determination using the best information available at the time of the decision. Such decision must be documented in detail, including the decision-making process used to reach the decision not to test. (2) The DER or appropriate transit supervisor shall ensure that an employee required to be tested under this section is promptly tested, or is tested as soon as practicable, but no later than eight (8) hours after the accident for alcohol, and within 32 hours for drugs. If an alcohol test is not performed within two hours of the accident, the supervisor will document and maintain on file the reason(s) for the delay. If the alcohol test is not conducted within eight (8) hours, or the drug test within 32 hours, attempts to conduct the test must cease and the reasons for the failure to test must be documented. (3) Any covered employee involved in an accident must refrain from alcohol use for eight (8) hours following the accident or until he/she undergoes a post-accident alcohol test.

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(4) An employee who is subject to post-accident testing who fails to remain readily available for such testing, including notifying the DER or a supervisor of his or her location if he or she leaves the scene of the accident prior to submission to such test, may be deemed to have refused to submit to testing. (5) Nothing in this section shall be construed to require the delay of necessary medical attention for the injured following an accident, or to prohibit an employee from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident, or to obtain necessary emergency medical care. (6) In the rare event that SEIBUS is unable to perform an FTA drug and alcohol post-accident test (i.e., employee is unconscious, employee is detained by law enforcement agency), SEIBUS may use drug and alcohol post-accident test results of tests administered by Federal, State, or local officials having independent authority to test under the fatal accident testing requirements of the Federal Motor Carrier Safety Administration rule of 49 CFR 382.303(a)(1) or (b)(1), in lieu of the FTA test provided the test conforms to the applicable Federal, State, or local testing requirements and the test results are obtained by the employer.

Any safety-sensitive covered employee who fails to report an accident to either the DER or the Transit Director shall be subject to disciplinary action, up to and including termination.

Q. RANDOM TESTING

All covered employees will be subjected to random, unannounced, and unpredictable testing. The selection of employees shall be made by a scientifically valid method of randomly selecting employees from the appropriate pool of safety-sensitive employees.

(1) Employees are required to proceed immediately to the collection site upon notification of their random selection. If the covered employee is performing a safety-sensitive function at the time of the notification, they shall cease to continue performing the safety-sensitive function and proceed to the testing site immediately. (2) The dates for administering unannounced testing of randomly selected employees shall be spread reasonably throughout the calendar year and conducted at all times of day when safety-sensitive functions are performed. (3) The number of employees randomly selected for drug/alcohol testing during the calendar year shall be not less than the percentage rates established by Federal regulations for those safety-sensitive employees subject to random testing by Federal regulations. The current minimum random testing rate for drugs established by FTA equals fifty percent of the number of covered employees in the testing pool and the current minimum random testing rate for alcohol established by FTA equals ten percent of the number of covered employees

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in the testing pool. Each year, the Administrator will publish in the Federal Register the minimum annual percentage rates for random drug and alcohol testing of covered employees. The new rates will be applicable starting January 1 of the calendar year following publication. (4) Random drug tests can be conducted at any time a covered employee is on duty. Random alcohol tests shall only be performed just before, during, or just after the performance of a safety sensitive duty. However, under the FTA’s authority, a random alcohol test may be performed any time the covered employee is on duty. Testing can occur during the beginning, middle, or end of an employee’s shift. (5) Each covered employee shall be in the pool from which the random selection is made. Each covered employee in the pool shall have an equal chance of selection each time the selections are made. Employees will remain in the pool and subject to selection, whether or not the employee has been previously tested.

R. RETURN-TO-DUTY TESTING

All covered employees who have refused to submit to a FTA drug and/or alcohol test, had a verified positive drug test result, and/or had a confirmed alcohol test result of 0.04 or greater, shall be referred to a Substance Abuse Professional (SAP) for evaluation. Following the initial assessment, the SAP will recommend a course of rehabilitation unique to the individual. For someone who performs safety-sensitive transportation functions, the very fact of a violation indicates a disregard of safety that must be addressed, corrected, and monitored in order to ensure safe performance of those functions in the future. The covered employee must successfully complete the treatment program specified by the SAP, and be recommended for return-to-duty by the SAP with a negative return-to-duty drug and/or alcohol test, before returning to safety-sensitive duties. The SAP should schedule the return-to-duty test only when the employee is known to be drug and alcohol free and there is no risk to public safety. For an initial confirmed positive drug test, a return-to-duty drug test is required and an alcohol test is allowed. For an initial confirmed positive alcohol test, a return-to-duty alcohol test is required and a drug test is allowed. The test results must be negative for drugs, or below 0.02 for alcohol, or both.

SEIBUS is not required to return an employee to safety-sensitive duties because the employee has successfully completed the SAP prescribed program and Return-to-Duty testing. SEIBUS has the discretion to decide whether any employee that has met these conditions will be returned to safety-sensitive functions.

S. FOLLOW-UP TESTING The SAP will also prescribe follow-up testing following an employee’s return to duty for each employee who returns to duty following any violation of the rules. The SAP’s written testing plan will be presented to the DER.

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Covered employees will be required to undergo frequent, unannounced drug and/or alcohol

testing following their return-to-duty. The follow-up testing will be performed for a period of one to five years, with a minimum of six tests to be performed the first year. The frequency and duration of the follow-up tests (beyond the minimums) will be determined by the SAP reflecting the SAP’s assessment of the employee’s unique situation and recovery progress. Follow-up testing is intended to be frequent enough to deter and/or detect a relapse. Follow-up testing is separate and in addition to the required random, post-accident, reasonable suspicion and return-to-duty testing.

T. CONSEQUENCES AND DISCPLINARY ACTION Any covered employee who has a verified positive drug or confirmed alcohol test result of

0.04 or greater, or who refuses to submit to a drug or alcohol test, will be removed from his/her safety-sensitive position and informed of educational and rehabilitation treatment programs, including resources available for evaluating and resolving problems associated with prohibited drug use and alcohol misuse. The covered employee will also be referred to a Substance Abuse Professional (SAP) for assessment. No employee will be allowed to return to duties requiring the performance of safety-sensitive job functions without successfully completing the return-to-duty process and a negative return-to-duty drug and/or alcohol test. All employees are encouraged to make use of the available resources for treatment of drug abuse and alcohol misuse. The cost of any treatment or rehabilitation service will be paid for directly by the employee or their insurance provider. Employees will be allowed to take accumulated sick leave, vacation leave, or leave without compensation to participate in the prescribed rehabilitation program.

A positive drug and/or alcohol test will also result in disciplinary action as specified herein. (1) Refusal to submit to a drug/alcohol test shall be considered a positive test result and a direct act of insubordination and shall result in termination. A test refusal shall also include the following circumstances.

(a) A covered employee who consumes alcohol within eight (8) hours following

involvement in an accident without first having submitted to post-accident drug/alcohol tests.

(b) A covered employee who leaves the scene of an accident without a legitimate

explanation prior to submission to drug/alcohol tests.

(2) For the first instance of a verified positive test from a sample submitted as the result of a random, or reasonable suspicion drug/alcohol test (≥ 0.04 BAC), disciplinary action against the employee shall include:

(a) Referral to Substance Abuse Professional for assessment, formulation of a

treatment plan, and mandatory execution of a return to work agreement;

{00929652.DOC}Page 27 of 41

(b) Failure to execute, or remain compliant with the return-to-work agreement shall result in termination from SEIBUS employment.

♦ Compliance with the return-to-work agreement means that the employee

has submitted to a drug and/or alcohol test prior to returning to work; the result of the drug test is negative and an alcohol concentration below 0.02; in the judgement of the SAP the employee is cooperating with his/her SAP recommended treatment program; and, the employee has agreed to periodic unannounced follow-up testing as defined in Section S of this policy;

(c) Refusal to submit to a periodic unannounced follow-up drug/alcohol test shall be

considered a direct act of insubordination and shall result in termination. (d) A periodic unannounced follow-up drug/alcohol test, which results in a verified

positive, shall result in termination from employment.

(3) The second instance of a verified positive drug or alcohol (≥ 0.04 BAC) test result from a sample submitted under the random, reasonable suspicion, return-to-duty, or follow-up drug/alcohol test provisions herein shall result in termination from SEIBUS employment. (4) A verified positive post-accident drug and/or alcohol (≥ 0.04) test shall result in termination.

(5) An alcohol test result of ≥0.02 to ≤ 0.039 BAC shall result in the removal of the employee from duty for eight hours or the remainder or the workday whichever is longer.

(6) The cost of any treatment or rehabilitation services will be paid directly by the employee or their insurance provider. The employee will be permitted to take accrued sick leave or administrative leave to participate in the SAP prescribed treatment program. If the employee has insufficient accrued leave, the employee shall be placed on leave without pay until the SAP has determined that the employee has successfully completed the required treatment program and releases him/her to return-to-duty. Any leave taken, either paid or unpaid, shall be considered leave taken under the Family and Medical Leave Act, assuming the individual qualifies for protection under the Family and Medical Leave Act.

(7) In the instance of a self-referral or a management referral for treatment or rehabilitation services, disciplinary action against the employee shall include:

(a) Referral to a Substance Abuse Professional for assessment, formulation of a treatment plan, and execution of a return to work agreement;

(b) Failure to execute, or remain compliant with the return-to-work agreement shall

result in termination from employment.

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♦ Compliance with the return-to-work agreement means that the employee

has submitted to a drug/alcohol test immediately prior to returning to work; the result of that test is negative; in the judgement of the SAP the employee is cooperating with his/her SAP recommended treatment program; and, the employee has agreed to periodic unannounced follow-up testing as defined in Section S of this policy;

(c) Refusal to submit to a periodic unannounced follow-up drug/alcohol test shall

be considered a direct act of insubordination and shall result in termination. (d) A self-referral or management referral to the SAP that was not precipitated by a

positive test result does not constitute a violation of the Federal regulations and will not be considered as a positive test result in relation to the progressive discipline defined in Section T of this policy.

(e) Periodic unannounced follow-up drug/alcohol tests conducted as a result of a self-referral or management referral which results in a verified positive shall be considered a positive test result in relation to the progressive discipline defined in Section T of this policy.

(f) A Voluntary Referral does not shield an employee from disciplinary action or

guarantee employment with SEIBUS.

(g) A Voluntary Referral does not shield an employee from the requirement to comply with drug and alcohol testing.

(8) Failure of an employee to report, within five days, a criminal drug statute conviction

for a violation occurring in the workplace shall result in termination. U. GRIEVANCE and APPEAL

The consequences of a positive drug and/or alcohol test, or test refusal, as specified by 49

CFR Part 655, are not subject to arbitration.

V. PROPER APPLICATION OF THE POLICY

SEIBUS is dedicated to assuring fair and equitable application of this substance abuse policy. Therefore, supervisors/managers are required to use and apply all aspects of this policy in an unbiased and impartial manner. Any supervisor/manager who knowingly disregards the requirements of this policy, or who is found to deliberately misuse the policy in regard to subordinates, shall be subject to disciplinary action, up to and including termination.

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{00929652.DOC}Page 30 of 41

W. INFORMATION DISCLOSURE Drug/alcohol testing records shall be maintained by the SEIBUS Drug and Alcohol Program

Manager and, except as provided below or by law, the results of any drug/alcohol test shall not be disclosed without express written consent of the tested employee.

(1) The employee, upon written request, is entitled to obtain copies of any records pertaining to their use of prohibited drugs or misuse of alcohol including any drug or alcohol testing records. Covered employees have the right to gain access to any pertinent records such as equipment calibration records, and records of laboratory certifications. (2) Records of a verified positive drug/alcohol test result shall be released to the SEIBUS Drug and Alcohol Program Manager, DER, and Personnel Manager in a confidential manner, on a need to know basis.

(3) Records will be released to a subsequent employer only upon receipt of a written request from the employee.

(4) Records of an employee's drug/alcohol tests shall be released to the adjudicator in a grievance, lawsuit, or other proceeding initiated by or on behalf of the tested individual arising from the results of the drug/alcohol test. The records will be released to the decision maker in the proceeding. The information will only be released with binding stipulation that the decision maker will only make the information available to parties in the proceeding.

(5) Records will be released to the National Transportation Safety Board during an accident investigation.

(6) Records will be released to the DOT or any DOT agency with regulatory authority over the employer or any of its employees.

(7) Records will be released if requested by a Federal, state or local safety agency with regulatory authority over SEIBUS or the employee.

(8) If a party seeks a court order to release a specimen or part of a specimen contrary to any provision of Part 40, necessary legal steps to contest the issuance of the order will be taken. (9) Records will be made available for review by Iowa DOT’s Office of Public Transit in order to carry out its responsibility to monitor compliance by subrecipients of state-administered FTA funds. Except as otherwise allowed under U.S. DOT rules, a service agent or employer participating in the DOT drug or alcohol testing process, are prohibited from releasing individual test results or medical information about an employee to third parties without the employee’s written consent. Blanket releases are prohibited. As an employer, SEIBUS may release information pertaining to an employee’s drug or alcohol test without the employee’s consent in certain legal proceedings. In any case information is released for this

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purpose, SEIBUS will notify the effected employee in writing. Employees may refer to 49 CFR Part 40, Subpart P – Confidentiality and Release of Information for more specific details.

X. DEFINITIONS

Accident - an occurrence associated with the operation of a revenue service vehicle (even when not in revenue service) or a vehicle that requires a Commercial Drivers License to operate, if as a result--

(1) An individual dies; or (2) An individual suffers bodily injury and immediately receives medical treatment away from the scene of the accident; or, (3) One or more vehicles incur disabling damage as the result of the occurrence and are transported away from the scene by a tow truck or other vehicle. For purposes of this definition, disabling damage means damage that precludes departure of any vehicle from the scene of the occurrence in its usual manner in daylight after simple repairs. Disabling damage includes damage to vehicles that could have been operated but would have been further damaged if so operated, but does not include damage which can be remedied temporarily at the scene of the occurrence without special tools or parts, tire disablement without other damage even if no spare tire is available, or damage to headlights, taillights, turn signals, horn, mirrors or windshield wipers that makes them inoperative.

Adulterated specimen – a specimen that contains a substance that is not expected to be present in human urine, or contains a substance that is expected to be present but is identified at a concentration so high that it is not consistent with human urine.

Alcohol – the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols, including methyl or isopropyl alcohol, contained in any beverage, liquid mixture or preparation, mouthwash, candy, food, or medication.

Alcohol Concentration – the alcohol in a volume of breath expressed in terms of grams of

alcohol per 210 liters of breath as measured by an evidential breath-testing (EBT) device. Alcohol Confirmation Test – a subsequent test using an EBT, following a screening test with

a result of 0.02 or greater that provides quantitative data about the alcohol concentration. Alcohol Screening Device (ASD) – a breath or saliva device, other than an EBT, that is

approved by the National Highway Traffic Safety Administration (NHTSA) and placed on a conforming products list (CPL) for such devices.

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Alcohol Screening Test – an analytic procedure to determine whether an employee may have a prohibited concentration of alcohol in a breath or saliva specimen.

Alcohol Testing Site – a place selected by the employer where employees present

themselves for the purpose of providing breath or saliva for an alcohol test. Breath Alcohol Technician (BAT) – a person who instructs and assists employees in the

alcohol testing process and operates an evidential breath-testing (EBT) device. Canceled Test – a drug or alcohol test that has a problem identified that cannot be or has

not been corrected or that has been declared invalid by a Medical Review Officer. A canceled test is neither a positive nor a negative test.

Chain of Custody – the procedure used to document the handling of the urine specimen

from the time the employee gives the specimen to the collector until the specimen is destroyed. This procedure uses the Federal Drug Testing Custody and Control Form (CCF).

Collection Site – a place selected by the employer where employees present themselves for

the purpose of providing a urine specimen for a drug test. Collector – a person who instructs and assists employees at a collection site, who receives

and makes an initial inspection of the specimen provided by those employees, and who initiates and completes the custody and control form (CCF).

Confirmation (or confirmatory) drug test – a second analytical procedure performed on a

urine specimen to identify and quantify the presence of a specific drug or drug metabolite. Contractor – a person or organization that provides a safety-sensitive service for a recipient,

subrecipient, employer, or operator consistent with a specific understanding or arrangement. The understanding can be a written contract or an informal arrangement that reflects an ongoing relationship between the parties.

Covered Employee – an employee who performs a safety-sensitive function including an

applicant or transferee whom will be hired to perform a safety-sensitive function (See Attachment B for a list of covered employees).

Designated Employer Representative (DER) – an employee authorized by the employer to receive information about certain tests results and to take required actions, such as causing an employee to be removed from the performance of safety-sensitive functions. Dilute Specimen – a specimen with creatinine and specific gravity values that is lower than expected for human urine.

Disabling Damage – damage that precludes departure of any vehicle from the scene of the

occurrence in its usual manner in daylight after simple repairs. Disabling damage includes damage

{00929652.DOC}Page 33 of 41

to vehicles that could have been operated but would have been further damaged if so operated, but does not include damage which can be remedied temporarily at the scene of the occurrence without special tools or parts, tire disablement without other damage even if no spare tire is available, or damage to headlights, taillights, turn signals, horn, mirrors or windshield wipers that makes them inoperative.

Evidential Breath Testing Device (EBT) – a device approved by the National Highway Traffic

Safety Administration (NHTSA) for the evidential testing of breath. Approved devices are listed on the NHTSA conforming products list (CPL) for “Evidential Breath Measurement Devices”.

FTA – the Federal Transit Administration, an agency of the U.S. Department of

Transportation. Initial Drug Test – the test used to differentiate a negative specimen from one that requires

further testing for drugs or drug metabolites. Invalid Drug Test – the result of a drug test for a urine specimen that contains an

unidentified adulterant or an unidentified interfering substance, has abnormal physical characteristics, or has an endogenous substance at an abnormal concentration that prevents the laboratory from completing or obtaining a valid drug test result.

Medical Review Officer (MRO) – a licensed physician (medical doctor or doctor of

osteopathy) responsible for receiving laboratory results generated by the drug testing program who has knowledge of substance abuse disorders, and has appropriate medical training to interpret and evaluate an individual's confirmed positive test result, together with his/her medical history, and any other relevant bio-medical information.

Negative Dilute – a drug test that is negative for the five drugs or drug metabolites but has a

specific gravity value lower than expected for human urine. Negative Test Result for a Drug or Alcohol Test – tests for which no verified presence of the

five specified drugs or drug metabolites is identified or the verified presence of the identified drug or its metabolite is below the minimum levels specified in 49 CFR Part 40, as amended. An alcohol concentration of less than 0.02 BAC is a negative test result.

Non-Negative Test Result – a test result found to be adulterated, substitute, invalid, or

positive for drug(s) or drug metabolite(s). OPT – Iowa Department of Transportation’s Office of Public Transit, the office responsible for

public transportation programs and the grantee for all statewide grants from FTA. Performing a Safety-Sensitive Function – a covered employee is considered to be

performing a safety-sensitive function and includes any period in which he or she is actually performing, ready to perform, or immediately available to perform such functions.

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Positive Test Result – for a drug test means a verified presence of the identified drug or its metabolite at or above the minimum levels specified in 49 CFR Part 40, as amended. A positive alcohol test result means a confirmed alcohol concentration of 0.04 BAC or greater.

Prohibited Drug – the drugs for which tests are required under 49 CFR Part 40, and Part

655, specifically marijuana, cocaine, opiates, amphetamines, or phencyclidine (PCP) at levels above the minimum thresholds specified in 49 CFR Part 40, as amended.

Recipient – an entity receiving financial assistance under 49 U.S.C. 5307, 5309, 5311, or

3037 (JARC); or under 23 U.S.C. 103(e)(4). Revenue Service Vehicles – includes all transit vehicles that are used for passenger

transportation service. Safety-Sensitive Functions – includes (a) the operation of a transit revenue service vehicle

even when the vehicle is not in revenue service; (b) the operation of a non-revenue service vehicle by an employee when the operation of such a vehicle requires the driver to hold a Commercial Drivers License (CDL); (c) maintaining a revenue service vehicle or equipment used in revenue service; (d) controlling dispatch or movement of a revenue service vehicle; and (e) carrying a firearm for security purposes.

Screening Test Technician (STT) – a person who instructs and assists employees in the

alcohol testing process and operates an alcohol-screening device (ASD). Split Specimen – a part of the urine specimen that is sent to the first laboratory and

retained unopened, and which is transported to a second laboratory in the event that the employee requests that it be tested following a verified positive test of the primary specimen or a verified adulterated or substituted test result.

Substance Abuse Professional (SAP) – a licensed physician (medical doctor or doctor of

osteopathy) or licensed or certified psychologist, social worker, employee assistance professional, or addiction counselor (certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission or by the International Certification Reciprocity Consortium/Alcohol and other Drug Abuse) with knowledge of and clinical experience in the diagnosis and treatment of drug and alcohol related disorders. A SAP evaluates employees who have violated a DOT drug and/or alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare.

Substituted Specimen – a specimen with creatinine and specific gravity values that are so

diminished that they are not consistent with human urine. Test Refusal – the following are considered a refusal to test if the employee:

• Fails to appear for any test within a reasonable time, as determined by the employer,

after being directed to do so by the employer;

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• Fails to remain at the testing site until the testing process is complete; • Fails to provide a urine specimen for any drug test required by Part 40 or DOT agency

regulations; • In the case of a directly observed or monitored collection in a drug test, fails to permit

the observation or monitoring of your provision of a specimen; • Fails to provide a sufficient amount of urine when directed, and it has been

determined, through a required medical evaluation, that there was no adequate medical explanation for the failure;

• Fails or declines to take a second test the employer, DER, or collector has directed you to take;

• Fails to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER as part of the ``shy bladder'' or “shy lung” procedures;

• Fails to cooperate with any part of the testing process (e.g., refuse to empty pockets when so directed by the collector, behaves in a confrontational way that disrupts the collection process);

• Provides a specimen which results in a verified “adulterated” or “substituted” test result, as reported by the MRO; or

• Fails or refuses to sign Step 2 of the alcohol testing form (ATF).

U.S. D.O.T. – Federal government’s Department of Transportation, which includes the U.S. Coast Guard (USCG), Federal Aviation Administration (FAA), Federal Transit Administration (FTA), Federal Railroad Administration (FRA), Federal Highway Administration (FHWA), Federal Motor Carriers’ Safety Administration (FMCSA), National Highway Traffic Safety Administration (NHTSA), Research and Special Programs Administration (RSPA), and the Office of the Secretary of Transportation (OST).

Validity Testing – the evaluation of the specimen to determine if it is consistent with normal human urine. The purpose of validity testing is to determine whether certain adulterants or foreign substances were added to the urine, if the urine was diluted, or if the specimen was substituted.

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Attachment A SYSTEM CONTACTS

Any questions regarding this policy or any other aspect of the substance abuse policy should

be directed to the following individual(s):

SEIRPC Drug and Alcohol Program Manager (DAPM) Nicole Baker Title: Transit Director Address: 211 N. Gear Ave. West Burlington, IA 52655 Telephone Number: 319-753-5107 SEIRPC Designated Employer Representative (DER) Debbie Laughlin Title: SEIRPC’s Executive Assistant Address: 211 N. Gear Ave. West Burlington, IA 52655 Telephone Number: 319-753-5107 Medical Review Officer (MRO) Dr. Martin Name: Unity Point Clinic - Occupational Medicine Address: 4230 War Eagle Dr. South Sioux City, IA 51109 Telephone Number: 712-224-4307 Substance Abuse Professional Chris Burrell (ACADC) Name: Alcohol and Drug Dependency services (ADDS) Address: Lincoln Center 1340 Mt. Pleasant St. Burlington, IA 52601 Telephone Number: 319-753-6567

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Attachment B SEIBUS Covered Job Classifications

TITLE TESTING AUTHORITY

Transit Director* Federal Transit Administration

Unless otherwise noted Transit Operations Manager* Federal Transit Administration

Unless otherwise noted All Drivers* Federal Transit Administration

Unless otherwise noted Scheduler* Federal Transit Administration

Unless otherwise noted

*Safety-Sensitive Covered Position

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Attachment C Alcohol Fact Sheet

Alcohol is a socially acceptable drug that has been consumed

throughout the world for centuries. It is considered a recreational beverage when consumed in moderation for enjoyment and relaxation during social gatherings. However, when consumed primarily for its physical and mood-altering effects, it is a substance of abuse. As a depressant, it slows down physical responses and progressively impairs mental functions.

Signs and Symptoms of Use . Dulled mental processes

. Lack of coordination . Odor of alcohol on breath . Possible constricted pupils . Sleepy or stuporous condition . Slowed reaction rate . Slurred speech

(Note: Except for the odor, these are general signs and symptoms of any depressant substance.) Health Effects

The chronic consumption of alcohol (average of three servings per day of beer [12 ounces], whiskey [1 ounce], or wine [6 ounce glass]) over time may result in the following health hazards:

. Decreased sexual functioning

. Dependency (up to 10 percent of all people who drink alcohol become physically and/or mentally dependent on alcohol and can be termed “alcoholic”)

. Fatal liver diseases

. Increased cancers of the mouth, tongue, pharynx, esophagus, rectum, breast, and malignant melanoma

. Kidney disease

. Pancreatitis

. Spontaneous abortion and neonatal mortality

. Ulcers

. Birth defects (up to 54 percent of all birth defects are alcohol related).

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Social Issues

. Two-thirds of all homicides are committed by people who drink prior to the crime.

. Two to three percent of the driving population is legally drunk at any one time. This rate is doubled at night and on weekends.

. Two-thirds of all Americans will be involved in an alcohol-related vehicle accident during their lifetimes.

. The rate of separation and divorce in families with alcohol dependency problems is 7 times the average.

. Forty percent of family court cases are alcohol problem related.

. Alcoholics are 15 times more likely to commit suicide than are other segments of the population.

. More than 60 percent of burns, 40 percent of falls, 69 percent of boating accidents, and 76 percent of private aircraft accidents are alcohol related.

The Annual Toll

. 24,000 people will die on the highway due to a legally impaired driver.

. 12,000 more will die on the highway due to an alcohol-affected driver.

. 15,800 will die in non-highway accidents.

. 30,000 will die due to alcohol-caused liver disease.

. 10,000 will die due to alcohol-induced brain disease or suicide.

. Up to another 125,000 will die due to alcohol-related conditions or accidents.

Workplace Issues

. It takes one hour for the average person (150 pounds) to process one serving of an alcoholic beverage from the body.

. Impairment in coordination and judgement can be objectively measured with as little as two drinks in the body.

. A person who is legally intoxicated is 6 times more likely to have an accident than a sober person.

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Attachment D Minimum Thresholds

INITIAL TEST CUTOFF

LEVELS (ng/ml)

Marijuana metabolites 50 Cocaine metabolites 300 Opiate metabolites 2,000 Phencyclidine 25 Amphetamines 1,000

CONFIRMATORY TEST CUT/OFF LEVELS (ng/ml)

Marijuana metabolites 15 Cocaine metabolites 150 Opiates: Morphine 2,000

Codeine 2,000 Phencyclidine 25 Amphetamines: Amphetamines 500 Methamphetamine 500

Delta-9-tetrahydrocannabinol-9-carboxylic acid. Benzoylecgonine Specimen must also contain amphetamine at a concentration greater than or equal to 200 ng/ml.

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Attachment E

INFORMED CONSENT

I acknowledge that I have been trained about substance abuse, and I have received and understand the updated SEIBUS Substance Abuse Policy. I certify that I have access to federal regulations 49 CFR Part 655 and 49 CFR Part 40, as amended, and have been given a chance to ask questions. Therefore, I hereby consent to providing my name, social security number, and drivers’ license number for consideration in random drug and or alcohol testing, as well as any other testing required by this policy. ________________________ _____________ Signature of Employee Date

OB#3 SE

IRP

C P

ersonnel Policy

Update

1

Memo To: SEIRPC Board of Directors



Re: SEIRPC Personnel Policy Update

Last updated in 2010, staff have several suggested changes for the agency personnel policy. Suggested changes are not dramatic, but reflect observations and ideas gathered over the past few years. No changes are considered major policy changes.

The current policy was developed jointly with a sister organization, ECICOG of

Cedar Rapids. Recently their labor attorney updated language in several sections, which staff is in agreement.

Transit drivers are governed by a contract, but where the contract isn’t explicit

or descriptive, the personnel policy is in force. DESCRIPTION OF CHANGES Legal language changes are those which the labor attorney has updated. Many

of the changes are more descriptive than what was currently in place. Section 2 Employment Policies, Equal Opportunity Employment: Additional

description on the equal opportunity employment. Section 2 Employment Policies, Harassment: Additional description of where

policy applies, to what it applies and options for investigation of complaints. Section 2 Employment Policies, Employment of Relatives: Adds additional

description of potential relatives included. Section discourages, unless through extraordinary circumstances, the employment of relatives of current employees.

Section 3 Earnings and Hours of Work: Adds language codifying current practice

of flexible scheduling, upon approval of Executive Director. Section 4 Time Off Benefits Paid Time Off: Modifies language about accruing

per pay period, only to be applied at separation; adds language to prorate paid time off for full time employees working less than 40 hours .

Page 2 Personnel Policy and Procedures Manual Update October 22, 2015

Section 4 Time Off Benefits, Paid Time Off (Long Term Illness/Injury Account): Adds language to allow employees to convert unused Paid Time Off (PTO) to Long Term Illness (LTI) at a rate of no more than 2.5 days per year, removes language about one-time conversion.

Section 4 Time Off Benefits, Unpaid Leaves of Absence: Changes to 90 days

from 30 days the amount of time an employee has on unpaid time off before they are responsible for full cost of insurance premiums.

Although SEIRPC is not required to meet the Family Medical Leave Act (FMLA) this provision provides additional ability for SEIRPC employees who are subject to unforeseen circumstances to keep health coverage in times of a personal calamity. Section 4 Time Off Benefits, Bereavement Leave: Adds additional, potential family members and step relations for which employees can take applicable leave for an immediate family member (added partner, step relations – mother, father, brother, sister) and extended family member (added in laws – sister, brother, grandparents of spouse or partner, grand children of spouse or partner). Section 5 Group Health Insurance and Other Benefits, Career Development: Adds language about employee liability of course cost reimbursement upon separation. Section 6 Work Rules, Regulations, and Discipline, Workplace Technology: Removes language enabling Executive Director to approve personal use of technology, and relies on existing language that personal use of technology does not add to agency expense or interfere with job activities. Section 6 Work Rules, Regulations, and Discipline, Guidelines for Employee Conduct and Discipline: Small language change and removal of a redundant item of discipline. Section 7 Drug and Alcohol Use in the Workplace: Minor language changes. Acknowledgements: Minor change in workplace technology language reflecting changes in Section 6.

PERSONNEL POLICIES AND

PROCEDURES MANUAL

Amended: August 26November, 2015

Previously: May 27, 2010

February 1, 2008

Formatted: Font: 20 pt

TABLE OF CONTENTS

SECTION ONE: INTRODUCTION ...................................................................................................................... 1 SECTION TWO: EMPLOYMENT POLICIES ...................................................................................................... 1

EQUAL EMPLOYMENT OPPORTUNITY ....................................................................................................... 1 ADA COMPLIANCE ....................................................................................................................................... 1 AFFIRMATIVE ACTION .................................................................................................................................. 1 HARASSMENT .............................................................................................................................................. 2 PREVENTING SEXUAL HARASSMENT IN THE WORKPLACE .................................................................. 3 EMPLOYMENT OF RELATIVES .................................................................................................................... 3 OUTSIDE EMPLOYMENT ............................................................................................................................. 4 PRIVATE GAIN, GIFTS, AND GRATUITIES................................................................................................... 4 POLITICAL ACTIVITY ..................................................................................................................................... 4 PERSONNEL FILES ...................................................................................................................................... 4 REFERENCES ............................................................................................................................................... 4 HIRING POLICY/JOB POSTINGS ................................................................................................................. 4 TRAVEL AND OTHER REIMBURSEABLE EXPENSES ............................................................................... 5 REEMPLOYMENT ......................................................................................................................................... 5 RESIGNATIONS AND TERMINATION OF EMPLOYMENT ......................................................................... 5

SECTION THREE: HOURS OF WORK AND COMPENSATION ........................................................................ 5 EMPLOYEE STATUS ..................................................................................................................................... 5 ANNIVERSARY DATE .................................................................................................................................... 6 EARNINGS AND HOURS OF WORK ............................................................................................................ 6

SECTION FOUR: TIME-OFF BENEFITS ............................................................................................................ 7 HOLIDAYS...................................................................................................................................................... 7 PAID TIME OFF (PTO) ................................................................................................................................... 7 UNPAID LEAVES OF ABSENCE ................................................................................................................... 9 MATERNITY LEAVE ....................................................................................................................................... 9 MILITARY LEAVE ......................................................................................................................................... 10 BEREAVEMENT LEAVE .............................................................................................................................. 10 JURY AND WITNESS DUTY ........................................................................................................................ 11 WORKERS’ COMPENSATION .................................................................................................................... 11

SECTION FIVE: GROUP HEALTH INSURANCE AND OTHER BENEFITS ...................................................... 11 GROUP HEALTH INSURANCE ................................................................................................................... 11 RETIREMENT PLAN .................................................................................................................................... 12 CAREER DEVELOPMENT ........................................................................................................................... 12

SECTION SIX: WORK RULES, REGULATIONS, AND DISCIPLINE ................................................................ 13 CODE OF CONDUCT ................................................................................................................................... 13 DRESS CODE .............................................................................................................................................. 13 SOLICITING ON AGENCY PREMISES ........................................................................................................ 13 EMPLOYEE LICENSES AND CERTIFICATIONS ........................................................................................ 14 SMOKE FREE WORKPLACE ...................................................................................................................... 14 USE OF WORKPLACE TECHNOLOGY ....................................................................................................... 14 (Including E-mail and the Internet) .......................................................................................................... 14 GUIDELINES FOR EMPLOYEE CONDUCT AND DISCIPLINE .................................................................. 14

SECTION SEVEN: DRUG AND ALCOHOL USE IN THE WORKPLACE ........................................................... 15 DRUG AND ALCOHOL USE IN THE WORKPLACE ................................................................................... 15

SECTION EIGHT: COMPLAINT PROCEDURE ................................................................................................. 16 DISCLAIMER ..................................................................................................................................................... 18

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SECTION ONE: INTRODUCTION Welcome to the Southeast Iowa Regional Planning Commission (the Agency or SEIRPC). This handbook describes some of the Agency’s policies, procedures, benefits, and other matters concerning your employment with the Agency. Personnel policies and practices contained in this handbook are subject to change. Some of the policies and benefits described in this handbook, such as the group health insurance plan, are covered in greater detail in official policy documents from insurance carriers. You should refer to those documents, available from Agency Administration, for more information. This handbook is not meant to be an exhaustive list of all the rules and entitlements consequent to employment by the Agency. All Agency employees are covered by this handbook, except the Executive Director. The language used in this handbook is not intended to create a contract, or evidence of a contract, and does not create a contract between the Agency and any one, or all, of our employees. Employment with the Agency is not governed by any written or oral contract and is considered an employment relationship at any time, for any reason.

SECTION TWO: EMPLOYMENT POLICIES EQUAL EMPLOYMENT OPPORTUNITY The Agency is dedicated to equal employment and advancement opportunities. It is the Agency’s policy to hire and promote qualified individuals on the basis of their qualifications, interest, and aptitude, without unlawful regard to race, religion, color, sex, age, national origin, disability, military status, sexual orientation, marital status, gender identity, genetic information, political ideology, or any other characteristic protected by local, state, or federal law. This policy applies to all terms, conditions, and privileges of employment, including but not limited to recruiting, hiring, training, transfers, promotions, demotions, compensation, discipline, and benefits, termination, and any other conditions or privileges of employment. ADA COMPLIANCE The Americans with Disabilities Act (ADA) prohibits discrimination against qualified individuals on the basis of disability. It is the policy of the Agency to comply with the ADA. The Agency will not discriminate against any qualified employee or job applicant with respect to any terms, privileges, or conditions of employment because of that person’s known physical or mental disability. In compliance with the ADA, the Agency will consider reasonable accommodations that do not pose undue hardship to the Agency to enable qualified applicants or employees with disabilities to perform the essential functions of the position. The Agency encourages applicants or employees to make suggestions regarding reasonable accommodations to their supervisors or the Executive Director. AFFIRMATIVE ACTION In keeping with the Agency’s policy of non-discrimination, the Agency reserves the right to consider affirmative action in order to attract and retain staff of high quality and diverse backgrounds and to do so without discrimination on the basis of race, religion, color, sex, age, national origin, disability, military status, sexual orientation, political ideology, or any other characteristic protected by local, state, or federal law. Accordingly, the Agency will welcome individuals in these protected categories as candidates for positions that become available. When open positions become available, the Agency uses advertising media which reach a diverse audience of individuals. This policy has been adopted voluntarily and is meant to reaffirm the Agency’s continuing commitment to equal opportunity in the workforce.

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HARASSMENT Harassment, retaliation, coercion, interference, or intimidation of any employee due to that employee’s race, religion, color, sex, age, national origin, disability, military status, sexual orientation, ethnicity, genetic information, political ideology, or any other characteristic protected by local, state, or federal law is strictly forbidden. Harassing conduct in the workplace includes, but is not limited to: epithets, slurs, or negative stereotyping; threatening, intimidating, or hostile acts or words; and written or printed materials, including computer generated images, made, posted, or otherwise displayed in the workplace or in the course of employment for the Agency that denigrate or show hostility to an individual or group. Harassment in a less direct manner which results in a hostile work environment is also forbidden. Such conduct is considered misconduct subject to disciplinary action. This policy applies not only to the workplace during normal business hours, but also to all work-related social functions, whether on or off the Agency premises, and business-related travel. Procedures to Report and Investigate Harassment The very nature of harassment makes it difficult to detect unless the problem is reported. If you an employee believes that he or she you areis being harassed on the basis of a characteristic listed above, or observes such harassment occurring to another Agency employee, the following rules of conduct and policies apply unless another means of investigation is identified by the Executive Director: 1 Any employee who has a complaint of or is aware of harassment at work by anyone should immediately bring the problem to the attention of his or her supervisor or the Executive Director. In the event the complaint is about the Executive Director and the supervisor is not available, the problem should be brought to the attention of the Chairperson of the Board of Directors.

2. After a complaint of harassment is made, an investigation will be conducted in a timely manner. Confidentiality will be maintained to the extent that is possible. Depending on

the nature of the alleged harassment, interim measures may be taken. These measures might include temporary reassignments or separating the alleged harasser and the employee alleging the harassment.

3. Retaliation ffor making such a claim or participating in an investigation of a claim is strictly prohibited. Any employee who engages in retaliation against another employee because of a complaint under this policy will be subject to disciplinary action, up to and including discharge.

34. Any employee found to have harassed another employee will be subject to appropriate disciplinary procedures, up to and including termination. 45. Harassment of employees by non-employees in the workplace is not acceptable and should be reported. In the event a non-employee subjects an employee to harassment in the workplace, the Executive Director will inform the non-employee of the Agency’s policy against harassment. Other action will be taken as appropriate.

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PREVENTING SEXUAL HARASSMENT IN THE WORKPLACE Purpose All employees are responsible for maintaining a workplace free from sexual harassment. Submission to sexual harassment shall not be a condition of employment or advancement with the Agency. The Agency strongly disapproves of offensive or inappropriate sexual behavior in the workplace, and all employees must avoid any conduct that could be viewed as sexual harassment. This policy has been prepared in accordance with the Equal Employment Opportunity Commission’s directives and reaffirms that sexual harassment in the workplace is an unlawful employment practice under Title VII of the Civil Rights Act of 1964. Definitions Sexual harassment is illegal discrimination on the basis of sex. It can consist of unwelcome sexual advances, requests for sexual favors, or other physical or verbal conduct of a sexual or harassing nature by supervisors, managers, co-workers, or others in the workplace. Sexual harassment exists when: 1. Submission to such conduct is made either explicitly or implicitly a term or condition of your employment; 2. Submission to or rejection of the conduct is used as the basis for decisions affecting your employment; or 3. The conduct has the purpose or effect of creating an intimidating, hostile, or offensive working environment. Sexual harassment may consist of a variety of behaviors, including, but not limited to, the following examples: 1. Verbal conduct such as sexual innuendo, suggestive comments, jokes of a sexual nature, sexual propositions, or threats;

2. Non-verbal or visual materials such as derogatory posters, photographs, graffiti, cartoons, drawings, computer-generated images, or gestures;

3. Physical conduct such as unwelcome touching, hugging, kissing, coerced sexual contact, or assault; 4. Threats or demands to submit to sexual requests in order to keep your job or receive some job-related benefit; or 5. Retaliation for reporting or threatening to report harassment. Employees experiencing or observing sexual harassment are expected to promptly report the conduct, which will be investigated as outlined in the general section on harassment above. EMPLOYMENT OF RELATIVES The employment of or contracting with members of the immediate family of any person currently employed by the Agency shall be avoided except under extraordinary circumstances authorized by the Executive Director. For purposes of this policy, “members of the immediate family” are defined as an employee’s husband, wife, child, father, mother, son-in-law, daughter-in-law, father-in-law, mother-in-law, brother-in-law, sister-in-law, or corresponding step-relations and also concerns persons with which an employee is in a dating relationship.

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OUTSIDE EMPLOYMENT Employees desiring to engage in outside employment or any enterprise that is unrelated, but in addition to, their position and responsibilities as employees of the Agency shall request authorization to do so by the Executive Director, who will not authorize any such employment or enterprise if it is deemed incompatible or inconsistent with Agency activities or deemed likely to reduce the efficiency of Agency employees or compromise the Agency’s interests.. PRIVATE GAIN, GIFTS, AND GRATUITIES No employee of the Agency shall use her position or Agency facilities, equipment, supplies, or information developed at public expense for private gain or advantage. No employee of the Agency shall accept any favors, gifts or gratuities from persons, concerns, or businesses which have or seek to have contracts with the Agency, in accordance with applicable state law. POLITICAL ACTIVITY Employees are prohibited from being a candidate for public elective office in a partisan election (candidacy for political party offices is not prohibited). The use of employment by the Agency for the purpose of interfering with or affecting the result of an election or nomination to office or any attempt to directly or indirectly coerce or advise a state or local officer or employee to pay, lend, or contribute anything of value to a party, committee, organization, agency, or person for political purposes is likewise prohibited. PERSONNEL FILES The Agency maintains personnel files on each employee which contain job-related information including performance appraisals, disciplinary records, and beneficiary designations. Any information pertaining to an employee’s health or medical condition will be kept in a separate, confidential file. To assure that our records are current, you must notify Agency Administration whenever there are any changes to your home address, telephone number, marital status, emergency contact, beneficiary designations, and number of dependents. If you are interested in reviewing the contents of your file, you may do so at a time mutually agreed upon by you and the Executive Director, except you will not have access to or be able to review letters of reference received or furnished by the Agency or any reference check performed by the Agency. A representative of the Agency may be present during your review. You may, at your own expense, request and receive copies of the contents of your personnel file, except as provided above. The Agency may charge a reasonable fee to copy the requested items. REFERENCES Unless exceptional circumstances exist, all requests for information about current, retired, or terminated Agency employees are to be referred to and handled by or at the direction of the Executive Director. The following information will be provided: dates of employment; title(s) of position(s) held; wage(s) or salary level(s); and work location(s). HIRING POLICY/JOB POSTINGS Whenever a position becomes available, a notice of such opening will be posted in the Agency’s offices at least ten calendar days before the deadline for filling the position. The notice will contain the position title, a brief job description, and minimum hiring specifications. An advertisement may

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also be placed with various media inviting the public to apply for the position. Applicants shall be considered on the basis of job-related qualifications including attitude, skill, ability, past performance, efficiency, and disciplinary record. Military service may also be a factor in hiring decisions, as provided by Iowa’s Veteran’s Preference law. TRAVEL AND OTHER REIMBURSEABLE EXPENSES Travel The Executive Director must authorize in advance any travel to be performed outside of the Agency Region, as well as attendance at any meetings, conventions, or conferences where expenses may be incurred. Each employee required to travel by automobile as part of their work, or who will drive an Agency vehicle, shall possess a valid driver’s license or shall be transported by a driver with a valid driver’s license. As authorized by the Executive Director, a member of the staff may use his or her own automobile to accomplish the work of the Agency. The employee shall be reimbursed for the use of his or her automobile at the current rate established by the Agency assuming the employee maintains adequate insurance coverage to fully indemnify the Agency and is able to document expenses. Employees must be able to provide evidence of such insurance to the Executive Director upon request. Meals and Other Expenses Agency employees shall be reimbursed for necessary and reasonable expenses incurred in the performance of official business. An Agency reimbursement form must be used for all claims of reimbursement of expenses incurred. Reimbursement requests must be made within 60 days after the expense was incurred. REEMPLOYMENT Employees of the Agency who have terminated employment and are subsequently rehired are considered new hires and have no accumulated benefits from previous employment. RESIGNATIONS AND TERMINATION OF EMPLOYMENT The Agency expects employees planning to resign to give written notice to the Executive Director at least two weeks in advance of the date of resignation. Accumulated PTO may not be taken during the notice period unless approved by the Executive Director. Employment records will reflect the last day worked as the date of termination. Employees will receive pay through the last day worked.

SECTION THREE: HOURS OF WORK AND COMPENSATION EMPLOYEE STATUS “Full-time employee” means an employee hired to work the Agency’s normal full-time work week on a regular basis. Such employees may be exempt (generally salaried and not entitled to receive overtime for work performed beyond 40 hours in a work week) or nonexempt (entitled to overtime pay at the rate of time and one-half the regular rate of pay for hours worked beyond 40 hours in a work week) under the Fair Labor Standards Act (FLSA). Exempt full-time employees may be required to work more than 40 hours per week from time to time.

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“Part-time employee” means an employee hired to work less than the Agency’s normal full-time work week. Such employees may be exempt or nonexempt under the FLSA. “Temporary employee” means an employee engaged to work full-time or part-time for the Agency with the understanding that his or her employment will be terminated no later than upon completion of a specific assignment or time period. Temporary employees are not eligible for any benefits described in this handbook or elsewhere, unless otherwise indicated. Nothing in this or any other section of this handbook shall be construed as a guarantee of the number of hours an employee will be scheduled to work. ANNIVERSARY DATE An employee’s anniversary date is the date from which benefits are calculated. For salary purposes, the anniversary date shall be calculated on the date of entry of a salary rate for a particular position. For leave purposes, the anniversary date shall be the first day of the first full calendar month of employment. EARNINGS AND HOURS OF WORK Hours of Operation, Work Schedules, and Recording Hours The Agency will be open Monday through Friday, five days per week, from 8:00 a.m. to 4:30 p.m., except on regularly scheduled holidays or as otherwise directed by the Executive Director. Normal working hours for full-time staff members will be 8:00 a.m. to 4:30 p.m. Monday through Friday plus night meetings as needed, unless flexible scheduling has been approved by the Executive Director. Schedules may be altered to meet Agency needs. All nonexempt employees must accurately record their hours worked for each pay period on a form provided by Agency Administration. Flexible Scheduling The Executive Director may permit the use of flexible schedules by employees allowing for 40 hours of work per week to be performed in more or less than five working days, or in blocks of time not equal to eight hours per day. Approval is at the Executive Director’s discretion. Payday and Salary Deductions Employees are paid bi-weekly. All required deductions, including those for state and federal taxes and all authorized voluntary deductions, including health insurance contributions, will automatically be withheld from paychecks. Overtime Any work performed in excess of 40 hours per week by nonexempt employees will be considered overtime. If you are classified as a nonexempt employee under the Fair Labor Standards Act (FLSA), you will be compensated for overtime hours in the form of monetary compensation at the rate of one and one-half times your straight time hourly wage rate, or compensatory time at the rate of one and one-half hours of time off. Employees who are classified as exempt employees under the FLSA are not eligible for overtime payments. Only hours worked count toward overtime. PTO time is not counted as working time for purposes of computing overtime. It is the policy of the Agency not to schedule overtime without the express approval of the Executive Director.

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SECTION FOUR: TIME-OFF BENEFITS HOLIDAYS Employees are eligible for the following holidays with pay: New Year’s Day Martin Luther King Day Memorial Day Independence Day Labor Day Veteran’s Day Thanksgiving Day Day after Thanksgiving Christmas Day 2 Flex Holidays – These holidays are selected by the employee and must be confirmed by the direct supervisor before taking leave. Holidays falling on a Saturday are normally observed on the preceding Friday and holidays falling on a Sunday are normally observed on the following Monday. Nonexempt employees who work on one of these holidays with the Executive Director’s approval shall receive normal compensation for the day and will receive another day off with pay. If a holiday falls while an employee is out of the office on excused leave, it will be counted as a holiday and will not be deducted from the employee’s PTO bank. Employees out on unpaid leaves over a holiday will not be paid for that holiday. A new employee whose first working day is the day after a paid holiday shall not be paid for that holiday. An employee who is terminating his or her employment whose last working day is the day before the holiday shall not be paid for that holiday. Flex Holidays - The 2 Flex Holidays are eligible to be chosen by the employee (with permission from supervisor) throughout the fiscal year on the following days: Your own birthday Columbus Day Christmas Eve Day New Year’s Eve Day President’s Day Good Friday If the Flex Holiday(s) are not taken by the employee at the end of the fiscal year, they do not carry over into the next fiscal year. PAID TIME OFF (PTO) The Agency’s Paid Time Off (“PTO”) policy provides employees with an entitlement of days away from work with pay. PTO combines vacation and sick leave into one type of leave. PTO must be scheduled in advance and approved by the Executive Director or other supervisor, except in cases of illness or emergency. There is no guarantee that the PTO request will be approved. PTO is earned on an employment year basis. , but accrues at an established rate per pay period.

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Employees cannot have a negative PTO balance unless approved by Executive Director. Both exempt and non-exempt employees are covered by this plan. Annual PTO accruals benefits are based on the number of hours worked by eligible employees and the length of service. To the extent any PTO remains at the end of a fiscal year, an employee can carry over at most 25% of his potential annual accrual benefit amount. Thus, an employee’s PTO balance cannot exceed the total PTO hours he or she can accumulate in one year, plus 25%. An employee that reaches the PTO accrual maximum, will cease to accrue PTO hours until sufficient PTO time has been taken to bring the balance below the maximum. This PTO policy does not cover scheduled holidays, bereavement leave, military leave, or jury or witness duty. Once an employee has exhausted all of his or her accrued PTO time, additional absences, assuming they are approved by the Executive Director, will be unpaid unless they fall under another policy (i.e., bereavement leave, jury duty leave). Unless the agency is experiencing financial hardship, the employee is terminated for misconduct, or the employee fails to give appropriate notice of resignation, accrued but unused PTO will be paid out to the employee upon separation from employment. Employees may not use PTO time in lieu of notice of resignation. The maximum accrualsPTO benefits outlined in the following table are are based upon a 40-hour work week. PTO does not accrue on overtime hours or unpaid leaves. PTO accrual isbenefits are pro-rated for part-time employees and full time employees working a regular schedule of 30 or more hours but less than 40 hours . Accrual amounts are credited according to the payroll schedule. The maximum amount of hours the employee can possibly accrue use will be advanced in full to the employee’s PTO account on July 1st of each fiscal year, or on the employee’s anniversary date, whichever is sooner. Employees may draw against the entire balance credited with the stipulation that any PTO taken but not earned prior to separation will be deducted from the employee’s last paycheck. In the event that paycheck is not sufficient, the employee will be invoiced for the remainder of the funds owing based on the following tablean accrual accounting of PTO hours accrued per pay period employed of the current fiscal year, including any PTO carryovers. PTO Accrual TableBenefit Table:

Completed Years of Service

Potential Pay Period Accrual Rate

Potential Annual Accrual Amount

Maximum Allowable in PTO Balance

0 – 3 7.0 hrs 160hrs/20 days 200 hrs/25 days

4 – 6 8.0 hrs 192 hrs/24 days 240hrs/30days

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7-10 9.0 hrs 216 hrs/27 days 270 hrs/33.75 days

10 + 10.0 hrs 240 hrs/30 days 300 hrs/37.5 days

Long Term Illness/Injury Account: Accumulated Sick, Annual, and Administrative Leave was converted to the Long Term Illness/Injury Account for employees when the PTO Leave initially beganmay be converted from PTO up to 2 and one half (2.5) days per fiscal year with a maximum accrual of 16 days or 160 hours. No one employee may put hours into this account any longeron behalf of another employee. Leave under this account may be used for any non-work related illness or injury or temporary disability, including pregnancy that prevents an employee from performing their job duties, or due to the illness or injury of an employee's spouse, child, parent or household member. Leave under this account may only be used after the second day of absence due to illness or injury. The Executive Director may require the employee to furnish a certificate issued by a licensed physician and/or nurse or other evidence of illness/injury satisfactory to the Executive Director. Any balance in this account established at the time of conversion will be maintained for the employee's use throughout employment with the agency until it is depleted. The agency will not provide payment for any remaining balance upon resignation or termination. UNPAID LEAVES OF ABSENCE Unpaid leaves of absence may be granted in certain circumstances. If you have exhausted all applicable accrued PTO you may request an unpaid leave of absence. During such a leave, employees are not eligible for holiday pay and PTO does not accrue. Applications for unpaid leave must be made in writing, state the reasons for the leave and inclusive dates, if known, and be submitted to the Executive Director. In some cases, medical certification of the expected duration of the leave may be required. Approval of unpaid leave is at the discretion of the Executive Director. If the leave is for more than 30 90 days (3 months), the employee will be responsible for the full cost of health insurance premiums. Return to Work If you plan to return to work following an unpaid leave taken under this section, you must notify the Executive Director before the end of your leave. If the leave was for anything other than medical issues or military service, the Agency will attempt to restore you to the position you held at the start of the leave, or in a comparable position, if possible. If no such position is available, your employment will be terminated. If the unpaid leave was for medical reasons, you may be required to submit to fitness-for-duty testing before returning to work. If, at the end of the unpaid leave of absence, the employee is not able to perform his or her normal job duties, the Agency will review the employee’s medical condition and determine whether the individual is a qualified individual with a disability and whether the employee’s work restrictions can be reasonably accommodated to allow the employee to return to work. If the unpaid leave was for military service, reinstatement will be governed by applicable state and federal law, as discussed below. MATERNITY LEAVE Employees who are disabled because of pregnancy or maternity needs who do not have sufficient PTO available may apply for an unpaid leave for the period of the disability, or up to eight weeks, whichever

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is less, as provided in Iowa Code section 216.6(2)(e). The Agency may require medical certification stating that the employee is not able to perform the duties of employment. MILITARY LEAVE Leaves Available The Agency will grant leaves of absence for military service to full-time and part-time employees in accordance with applicable state and federal law. A full-time or part-time employee who is a member of the uniformed services, when ordered by proper authority to serve in the uniformed services, shall be granted leave for the period of service unless the cumulative military leave periods of the employee exceed five years. The first 30 calendar days of military leave taken each fiscal year shall be without loss of pay or employer contributions to insurance or other programs. Reemployment Rights - Eligibility Your eligibility for reemployment with the Agency after you complete military service will be determined in accordance with applicable state and federal law. Conditions for reemployment are briefly explained as follows:

1. You, or an appropriate officer of the uniformed service in which you serve, must give advance written or verbal notice of your service to your immediate supervisor, unless military necessity prevents you from giving notice or if it is otherwise impossible or unreasonable;

2. The cumulative length of the absence and all previous absences from your employment with

the Agency for reason of military service must not exceed five years;

3. Your discharge from military service must be honorable; and

4. When you return from military service, you must report to work or submit a timely application for reemployment according to the following schedule:

For service of less than 30 31 days you must notify the Agency of your intent to return to work by the beginning of your first regularly scheduled work day on the first full calendar day following completion of service and the expiration of eight hours.

For service of 31 to 180 days you must apply for reemployment within 14 days after completing service. For service of 181 days or more you must apply for reemployment no later than 90 days after completing service. Continuation of Health Insurance Benefits During Military Service Employees on leave for military service and any of their dependents entitled to coverage under the Agency’s health insurance plan are entitled to coverage as follows: 1. An employee that leaves employment for 30 days or less is entitled to continued health insurance

coverage and will not be required to pay more than what an active employee would pay for coverage.

2. An employee that leaves employment for more than 30 days is allowed to elect to receive

continued coverage under the Agency’s health insurance plan for up to 18 months following separation from employment or until the employee’s reemployment rights expire, whichever event occurs first. The Agency may require the employee to pay the premiums.

BEREAVEMENT LEAVE

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An employee may be granted up to five days paid leave of absence for the death of an immediate family member or a member of their household. For purposes of this policy, “immediate family member” is defined as an employee’s husband, wife, partner, child, step-child, father, mother, step-father, step-mother, brother, sister, step-brother, and step-sister. and corresponding step-relations. A “member of the household” is someone who was a permanent occupant of the employee’s place of residence. An employee may be granted up to three days paid leave of absence for the death of an extended family member, defined for purposes of this policy as the employee’s sister, brother, sister-in-law, brother-in-law, mother-in-law, father-in-law, daughter-in-law, son-in-law, grandfather, grandmother, grandchild, spouse or partner’s grandfather, spouse or partner’s grandmother, spouse or partner’s grandchild, and corresponding step-relations. These leave periods constitute the maximum number of days allowed for paid bereavement leave and are not guaranteed. The number of days needed for leave will be reviewed and approved on a case-by-case basis by the Executive Director. Additionally, the Executive Director reserves the right to request proof of death and/or relationship to authenticate the right to paid bereavement leave. JURY AND WITNESS DUTY Any full-time employee required to report for jury duty shall receive a paid leave of absence for the time spent on duty subject to the requirements of this policy. Any part-time employee required to report for jury duty shall receive an unpaid leave of absence for the time spent on duty. Any full-time or part-time employee subpoenaed to appear as a witness in a civil or criminal proceeding in which that employee is not directly involved as a plaintiff or defendant shall be granted a leave without pay. All employees summoned to jury duty or witness duty must submit a copy of the summons to their supervisor within two working days after receiving the summons. Employees on jury or witness duty are expected to promptly return to work when released from service, either permanently or temporarily. While on paid jury leave, the Agency will continue your regular salary, but you must submit certification of the number of hours spent in such service and assign any compensation you receive in connection with the duty, less any reimbursement for travel or meal expenses, to the Agency. WORKERS’ COMPENSATION To provide for payment of your medical expenses and partial salary continuation in the event of a work-related injury or illness, you are covered by workers’ compensation insurance. The amount and duration of benefits payable depend on the nature of your injury or illness. In order to qualify for such coverage, an employee must report a work-related injury or illness to his or her department head immediately following the injury, or as soon as the employee has knowledge of the illness or injury. Before returning to work, an employee who has been receiving workers’ compensation benefits must submit evidence satisfactory to the Executive Director that the employee is safely able to return to work.

SECTION FIVE: GROUP HEALTH INSURANCE AND OTHER BENEFITS GROUP HEALTH INSURANCE

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In order to protect both you and your family against the consequences of medical expenses caused by sickness or accidents, the Agency provides eligible employees with the opportunity to participate in a group health insurance program. Should an employee elect to be covered under any of the Agency’s health insurance plans, the employee will be required to participate in payment of a premium for said coverage. The premium amount for the health insurance coverage will be determined by the Agency on an annual basis. All employees shall be notified in advance of the dollar amount which must be paid by the employee under the plan selected. The insurance program, coverage, and eligibility will be subject to all terms and conditions of the contract with the insurance carrier selected by the Agency. Details of the plan, including benefit levels and covered expenses, are explained in the Agency’s group health insurance plan booklet. Health insurance coverage shall begin the first day of the month following the date of hire. Health insurance coverage shall terminate on the last day of the month for which the premium has been paid. Continuation of Coverage In the event of loss of coverage due to termination, permanent or temporary layoff, approved leave of absence, dissolution or annulment of marriage, or death of the employee, the employee and the employee’s dependents may be eligible to continue coverage under the Agency’s group health insurance plan as provided by Iowa Code Chapter 509B. RETIREMENT PLAN All Agency staff are required to participate in the Iowa Public Employees Retirement System. Both the Agency and the staff member will contribute a percentage of the staff member’s gross monthly salary as set by state law from time to time. CAREER DEVELOPMENT It is the policy of the Agency to promote a better educated and more highly skilled professional staff by providing tuition assistance to employees who voluntarily pursue and satisfactorily complete academic courses and other career development activities that directly benefit the Agency. Tuition assistance shall be provided within the financial constraints of the Agency and in accordance with the guidelines established below. The Executive Director retains the right to discontinue this program if financial difficultieites face the Agency. Eligibility All full-time employees who have completed a minimum of one year of service are eligible to participate in the program. Approved courses that begin prior to eligibility, but have not been completed upon eligibility, are not covered under this policy. Approved Courses and Programs 1. Undergraduate and graduate level courses offered through accredited colleges, universities, and

technical schools that, in the Executive Director’s opinion, are related to an employee’s current or potential work assignments. Class attendance and completion of study assignments are to be accomplished outside of the employee’s regular working hours.

2. Professional seminars or certification programs conducted by accredited and/or recognized

professional organizations that will enhance an employee’s job knowledge and skills, if approved by the Executive Director. Employees will be required to utilize appropriate accrued PTO to attend seminars/programs occurring within an employee’s regular working hours.

Reimbursement Criteria Reimbursement covers actual costs of tuition, registration, and other required educational fees and materials only, and is limited to $1,500 per employee per fiscal year. Reimbursement will only be provided to personnel employed at the time the Agency receives evidence of satisfactory course completion, subject to the following conditions:

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• For undergraduate level courses, evidence of successful completion of the course with a grade level of C or higher.

• For graduate level courses, evidence of successful completion of the course with a grade level of B or higher.

• For attendance at a professional seminar or certification program, evidence of attendance or certificate of completion.

• Employees receiving assistance from other sources, e.g., scholarships, grants, and military benefits, may seek assistance under the Agency program, but will be reimbursed only for that portion of the costs not covered by other sources and only up to the maximum reimbursement allowed by this policy.

• An employee who is terminated during enrollment or prior to completion of a course, due to a reduction in work force or elimination of position, will remain eligible for reimbursement. An employee who terminates employment with the Agency prior to the completion of a course for reasons other than those stated will not be eligible for reimbursement.

If the employee separates from employment for any reason within a year of finishing the course or program in question, he or she will be required to reimburse remit payment to the Agency for the costs associated with the program/course as reimbursed to employee by the Agency under this section. the cost of the program. Application Procedures Applications for tuition reimbursement must be submitted to the Executive Director prior to registration for the proposed educational or career development activity. Once the activity is completed, the Executive Director’s approval is required for reimbursement. The Agency may provide application and reimbursement forms for these purposes.

SECTION SIX: WORK RULES, REGULATIONS, AND DISCIPLINE CODE OF CONDUCT Employees are expected to maintain good work habits including regular attendance and punctuality, and to conduct their job duties in an ethical fashion. Employees must avoid any activity outside of their employment with the Agency that would adversely affect their performance on the job or involve a possible conflict of interest. Employees must maintain the confidentiality of any protected information revealed to them during the course of their employment with the Agency. DRESS CODE Appropriate attire befitting the employee’s work site and job position will be maintained. In the event you have questions about appropriate attire, please ask your supervisor or the Executive Director. Employees are to be mindful that they represent the Agency in their activities and appearance. The Executive Director reserves the right to counsel employees in the event he or she believes a particular employee is not wearing appropriate attire. SOLICITING ON AGENCY PREMISES Unless otherwise approved by the Executive Director, the Agency prohibits on-site soliciting, buying, or selling of any kind during work hours or when an individual approached is performing job duties for the Agency. This policy applies to any form of solicitation including seeking contributions to charities or

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selling tickets or goods. Solicitation by one employee of another is prohibited during the time either employee is required to be performing job duties. Distribution of leaflets, pamphlets, or any other materials is also forbidden during working time. For purposes of this policy, working time does not include breaks or meal times. EMPLOYEE LICENSES AND CERTIFICATIONS It is the employee’s responsibility to keep his or her required licenses and/or certifications current. All required licenses and certificates shall be brought to Agency Administration to be copied for the employee’s personnel file. Failure to keep required licenses and certifications current may result in termination. SMOKE FREE WORKPLACE The Agency will provide for a smoke-free environment in all Agency-held property. USE OF WORKPLACE TECHNOLOGY (Including E-mail and the Internet) The Agency may provide electronic mail systems, computers, telephone systems, voice mail, fax machines and other technology to employees at Agency expense for their use in performing their duties for the Agency. The purpose of this policy is to ensure appropriate, efficient, and effective use of such technology. Exceptions to this business-only policy are limited to necessary personal phone calls and authorized use of the Internet and e-mail systems as approved by the Executive Director. All communications over, and activity conducted on, the Agency-owned systems are property of the Agency and the Agency reserves the right to access, review, audit, and disclose all matters sent over its systems or placed into its storage. Occasional, incidental pPersonal use of Agency technology must not interfere with job activities nor result in any expense to the Agency. Simply deleting a message or file may not fully eliminate the message from the system. The use of personal passwords or access codes does not restrict the Agency’s ability to access electronic communications or files. Employees who download information from the Internet must comply with disk scanning procedures established by the Agency to minimize the risk of contracting a computer virus. Loading or installing any software is prohibited without authorization from the Executive Director. Any use of the Internet or other technology to obtain, transfer, download, or send sexually explicit material is expressly prohibited. Employees will be disciplined, up to and including termination, for violating this policy. GUIDELINES FOR EMPLOYEE CONDUCT AND DISCIPLINE In order to maintain safe and efficient operations, and to continue to provide the highest standard of public service, the Agency has adopted the following rules outlining examples of unacceptable employee conduct. This list is not necessarily an exhaustive list of unacceptable conduct. Each rule reflects a common understanding of what behavior is acceptable in the workplace. These rules can be modified by the Agency as changing conditions warrant. The Agency may take whatever disciplinary action it deems appropriate in response to an offense, even if it is not included in the following list. You must understand that any offense, whether or not it is included in these work rules, may result in disciplinary action, up to and including discharge, without prior warning. Employee Conduct While it is not possible to list all the offenses for which you will be disciplined, the following are examples of inappropriate, unacceptable conduct:

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1. Unsatisfactory work performance. 2. Falsifying employment or other job-related records. 3. Violating the Agency’s policy against workplace harassment of any kind. 4. Establishing an unacceptable pattern of tardiness or absenteeism, or failing to report for work

without notification to the Agency. 5. Unauthorized failure to return from a leave of absence. 6. Engaging in unnecessary or unauthorized use of Agency property or supplies, particularly for

personal use. 7. Reporting to work intoxicated or under the influence of nonprescribed drugs, or prescribed drugs

not being used for prescribed purposes, alcohol, or other substances. 8. Illegally manufacturing, possessing, using, selling, distributing, or transporting drugs. 9. Bringing or using alcoholic beverages to or in Agency workplaces or using alcoholic beverages

while engaged in Agency business off of Agency premises. 10. Fighting or using obscene, abusive, or threatening language, or any other behavior the Agency

believes jeopardizes the safety of the public or other Agency employees. 11. Stealing property of coworkers, customers, clients, or the Agency. 12. Having Posessing unauthorized firearms or other weapons on Agency premises or while on Agency

business. 13. Disregarding smoking, safety, or security regulations. 14. Insubordination or failing to cooperate with assigned employees, co-workers, supervisor, or

managers. 15. Failing to follow Agency job instructions or to perform work requested by a supervisor or manager. 16.15. Violating an Agency safety rule or practice or creating or contributing to unsafe, unhealthy, or

unsanitary conditions. 17.16. Failing to maintain confidentiality of Agency or client information. 18.17. Failing to maintain required licenses and/or certifications. 19.18. Failing to maintain required motor vehicle insurability. 20.19. Engaging in activity outside of employment with the Agency that would adversely affect your

performance on the job or involve a possible conflict of interest. 21.20. Violating the Agency’s policy on workplace technology. Discipline The Agency may use whatever discipline it decides is appropriate in any situation, up to and including discharge, without regard to the progressive discipline guidelines explained below. The Agency may determine that an offense may be corrected using progressive discipline. Situations the Agency believes may respond to corrective discipline may be handled according to the following procedure: 1. Counseling: The employee’s supervisor may give the employee a verbal warning. 2. Written warning: If the unsatisfactory conduct continues, the Executive Director may issue a

written warning. 3. Suspension: If sufficient improvement has not been made, or if the conduct continues, the

employee may be suspended without pay. 4. Termination: If the conduct continues, the Executive Director may terminate the employment of

the employee.

Unpaid disciplinary suspensions of exempt employees shall be for one or more complete work days in accordance with the Fair Labor Standards Act.

SECTION SEVEN: DRUG AND ALCOHOL USE IN THE WORKPLACE

DRUG AND ALCOHOL USE IN THE WORKPLACE

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The Agency requires all employees to report to work on time and in the appropriate mental and physical condition for work. Employees using alcohol or drugs in the workplace or in the course of employment without medical authorization are subject to discipline up to and including termination. The Agency recognizes that drug and alcohol dependency and abuse pose major health, safety and security problems. Employees needing help with such problems are encouraged to contact the agencies located in the community who provide substance abuse assistance programs. This policy is not meant to be an exhaustive drug or alcohol use policy governing any transit drivers who are also covered by federal law regarding drug testing in the workplace. Drug Free Workplace Policy The unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is PROHIBITED in this work place. Work place is defined as: • Any building and/or office occupied by Agency employees for the purpose of conducting business. • Any and all vehicles owned or leased by the Agency. • Any private vehicle used by an employee for travel for which they are reimbursed mileage or paid a

wage. Controlled substances are defined as any drug (a) which is not legally obtainable; or (b) which is legally obtainable but has not been legally obtained. The term includes prescribed drugs not being used for prescribed purposes. This also includes marijuana. The presence in any detectable amount of any illegal drug in any employee while performing Agency business or while in the SEIRPC office is prohibited. Action Taken When a supervisor suspects an employee of violating this prohibition, they will notify the Executive Director or his designee. The Executive Director will take action as he deems appropriate. When the employee is convicted of any criminal drug statute violation occurring in the work place, they shall notify their employer no later than five (5) days after such conviction. The employer must notify the funding source for the program in which the violation occurred within ten (10) days after receiving notice from the employee of such conviction. Any employee convicted of the unlawful manufacture, distribution, or dispensing of a controlled substance in the work place shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate Agency. Persons Employees refusing to participate in such a program shall be terminated. Persons Employees who successfully complete a program of rehabilitation as defined by the assisting program, shall be reinstated to their original position, providing that all actions taken by the Executive Director have priority. The policy is in effect for all employees, but does not take precedent over any policy required by a program which incorporates stricter compliance rules or punishment for violators.

SECTION EIGHT: COMPLAINT PROCEDURE Purpose The purpose of this complaint procedure is to provide employees a systematic means of obtaining further consideration of problems after every reasonable effort through discussion has failed to resolve them; to provide that the complaint be settled as close as possible to the point of origin; and to promote improved and positive staff relations.

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Misunderstandings, conflicts, problems, or other questions about your job can arise in any workplace. To ensure effective working relations, it is important that such matters be resolved before serious problems develop. If your concern relates to sexual harassment or another type of workplace harassment, follow the procedure in the sexual harassment policy contained in this handbook. For other complaints, the Agency has adopted the following procedure to respond to your concerns. Procedure 1. An employee shall present the complaint in writing within ten working days of the incident giving rise to the complaint to his or her immediate supervisor, unless the grievance respects that individual, and then to the next higher supervisor. 2. The person to whom the written complaint has been submitted will meet informally with the affected employee and will render a decision within five working days of receipt of the written complaint. A copy of the decision will be provided to the Executive Director. 3. If the employee is not satisfied with the resolution of the complaint, he or she may present the complaint, in writing, to the Executive Director within five working days of receipt of the decision. 4. The Executive Director will meet to discuss the grievance with the employee and immediate supervisor and will render a written decision within five working days of the meeting. 5. If the employee is not satisfied with the resolution of the complaint, the employee will have five working days to file a written request for a hearing with the Executive Committee at the next scheduled meeting of the Board of Directors. The employee, immediate supervisor, and Executive Director will be present at the meeting of the Executive Committee. The decision of the Executive Committee will be final, and will be reported in writing to the employee within ten working days of the meeting.

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DISCLAIMER This handbook is provided for informational purposes only. The Agency may revise the policies, procedures, benefits, and plans described in the handbook at any time without prior notice. The Agency retains the exclusive right to change, add to, eliminate, or modify any of the policies in the handbook at any time at its discretion, with or without notice. Any promises, representations, or actions by an Agency official or employee, other than the Executive Director, which are contrary to this handbook are not the official policy of the Agency, and are of no force or effect. This handbook supersedes and cancels the effect of any previous versions of an Agency employee handbook or personnel policies. This employee handbook is not intended to create any contractual rights in favor of you or the Agency. This handbook is not to be construed as an employment contract, expressed or implied, or as a promise that you will be employed for any specified period of time. Employees may resign their employment at any time and for any reason, and the Agency reserves the same right to terminate any individual’s employment at any time and for any reason. Nothing in this handbook changes the at-will nature of your employment with the Agency.

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EMPLOYEE ACKNOWLEDGMENT OF RECEIPT OF HANDBOOK This form must be signed and returned to Executive Director within three days of receiving the handbook.

I have received my copy of the employee handbook. I understand that the handbook has been provided to me for informational purposes only, and that the Agency has the right to amend or terminate any policies, procedures, or benefit programs at any time. I acknowledge that this handbook is not a contract of employment, express or implied, and that I am not guaranteed employment for any specific duration. Either the Agency or I may terminate my employment at any time with or without cause. Employee’s signature Date

WORKPLACE TECHNOLOGY POLICY ACKNOWLEDGMENT I have received a written copy of the Agency’s Workplace Technology policy. I fully understand the terms of this policy. I understand that the Agency’s computer and electronic communications systems are to be used for business purposes only, and that all information stored in, transmitted or received through the Agency’s systems is the property of the Agency. I realize that the Agency’s security software may record for management use the Internet address of any site that I visit and keep a record of any network activity in which I transmit or receive any kind of file. I acknowledge that any message I send or receive using the Agency’s systems may be recorded and stored in an archive file for management use. I understand that I should have no expectation of privacy when using any of the Agency’s computer and electronic communications systems. I know that any violation of this policy could lead to discipline, up to and including termination. Employee’s Signature Date

DRUG FREE WORKPLACE ACKNOWLEDGEMENT AND LIABILITY RELEASE

I, , an employee of the Southeast Iowa Regional Planning Commission, hereby certify that I have received a copy of the employer’s policy regarding the maintenance of a drug-free workplace. I realize that the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited on this employer’s premises or while conducting the employer’s business. A violation of this policy can subject me to discipline up to and including termination. I realize I must abide by the terms of this policy and that if I am directly engaged in work performed pursuant to a federal grant or contract, as a condition of employment, I must notify the employer of any criminal drug conviction for a violation occurring in the workplace no later than five (5) days after such conviction. I further realize that federal law mandates that the employer communicate this conviction to the federal agency, and I hereby waive any and all claims that may arise for conveying this information to the federal agency. Employee’s signature Date

NB #1

Consent A

genda T

ransit Facility Concepts

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Memo To: SEIRPC Board of Directors



Re: SEIRPC Transit Facility RFQ

After five years in the new office space, it is time to think seriously about transit facility concepts. One of the advantageous of moving to the former IPC facility was the availability of land for a transit facility.

The very general concept for a facility is indoor storage, washing and light

maintenance. SEIRPC last seriously thought about a facility in the 2008 -2009 timeframe when the Burlington Depot was an office possibility.

Staff plans to contact local architectural firms with interest in providing

conceptual design services. This would encompass the conceptual design and preliminary cost estimates.

General steps to designing, funding, constructing the facility:

1. Conceptual design options prepared for review with SEIRPC board to select a preferred alternative.

2. Cost estimates prepared on preferred alternative. 3. Financing, cash and grants worked into funding alternatives. 4. Preferred funding model applied into grant applications, cash outlays and

financing. 5. Building construction process initiated with bid documents and

advertisement, construction timelines and contractor selection. Staff will come back to the board with conceptual design alternatives and recommendations.

Southeast Iowa Regional Planning Commission Executive Board M… · 22-10-2015 · Southeast Iowa...

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Transcript of Southeast Iowa Regional Planning Commission Executive Board M… · 22-10-2015 · Southeast Iowa...