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05/07/2009 - City Council Agenda Location: Council Chambers - City Hall Date: 5/7/2009- 6:00 PM Welcome. We are glad to have you join us. If you wish to speak, please wait to be recognized, then state your name and address. Persons speaking before the City Council shall be limited to three (3) minutes unless otherwise noted under Public Hearings. For other than Citizens to be heard regarding items not on the Agenda, a spokesperson for a group may speak for three (3) minutes plus an additional minute for each person in the audience that waives their right to speak, up to a maximum of ten (10) minutes. Prior to the item being presented, please obtain the needed form to designate a spokesperson from the City Clerk (right-hand side of dais). Up to thirty minutes of public comment will be allowed for an agenda item. No person shall speak more than once on the same subject unless granted permission by the City Council. The City of Clearwater strongly supports and fully complies with the Americans with Disabilities Act (ADA). Please advise us at least 48 hours prior to the meeting if you require special accommodations at 727-562-4090. Assisted Listening Devices are available. Kindly refrain from using beepers, cellular telephones and other distracting devices during the meeting. 1. Call to Order 2. Invocation 3. Pledge of Allegiance 4. Presentations 4.1 APWA National Public Works Week Proclamation Attachments 4.2 EMS Week Proclamation Attachments 4.3 Safe Boating Week Proclamation Attachments 5. Approval of Minutes 5.1 Approve the minutes of the April 15, 2009 City Council Meeting as submitted in written summation by the City Clerk. Attachments 6. Citizens to be Heard re Items Not on the Agenda Public Hearings - Not before 6:00 PM 7. Second Readings - Public Hearing 7.1 Adopt Ordinance No. 8022-09 on second reading, rescinding Ordinance No. 5856-95 and 5857-95 regarding certain property located at 1221 and 1256 Bay Avenue, 323 and 325 Pinellas Street and 1225 Reynolds Avenue. Attachments 7.2 Adopt Ordinance No. 8026-09 on second reading, amending the Community Development Code, Division 11, Public Art and Design Board; providing that City Council shall provide final approval for commission of public artwork. Attachments 7.3 Adopt Ordinance No. 8060-09 on second reading, repealing Articles II and III of Chapter 25, Code of Ordinances relating to taxicabs and public conveyances, renumbering Article IV of Chapter 25, Code of Ordinances; amending Section XII of Appendix A, Code of Ordinances, relating to the fees charged for taxicab and public conveyance permits and vehicular stickers; amending Section XXVIII of Appendix A, Code of Ordinances, relating to the Business Taxes collected for the operation of taxicabs and public conveyances. Attachments 7.4 Adopt Ordinance No. 8068-09 on second reading, relating to the neighborhood and Affordable Housing Advisory Board, Amending Article 2, Division 9A, Sections 2.226 through 2.229, Code of Ordinances, decreasing the number of board members from eleven to seven, to be augmented triennially by appointment of four committee members by resolution; amending the powers and duties of the board; providing for triennial appointment of additional board members to serve as the Affordable Housing Advisory Committee and providing for committee powers and duties; providing for the termination of terms for the additional committee members. Attachments City Manager Reports 8. Consent Agenda 8.1 Declare the list of vehicles and equipment surplus to the needs of the City and authorize sale to the highest bidder at the live auction of Tampa Machinery Auction, Tampa, Florida or GovDeals, Montgomery, Alabama on-line auction service. (consent) Attachments 8.2 Award a contract to Accela, Inc. San Ramon, CA for the purchase and installation of land management software in the amount of $404,981.87 in accordance with Sec. 2.564 (1)(b); and authorize lease purchase financing through Bancorp Bank d/b/a Mears Motor Leasing,Orlando, FL for software licensing in the amount of $146,671.18 and authorize the appropriate officials to execute same. (consent) Attachments 8.3 Approve Memorandum of Understanding and Interlocal Agreement pursuant to the Department of Justice, Bureau of Justice Assistance (DOJ/BJA) Recovery Act/Edward Byrne Memorial Justice Assistance Grant application to be filed by Pinellas County on behalf of the City of Clearwater and other municipalities and authorize the appropriate officials to execute same. (consent) Attachments 8.4 Reappoint David Lawrence Jaye in the Business Owner category and Ryley Jeanne Hunter in the Agengy or Government Representative category to the Brownfields Advisory Board with the term to expire May 31, 2013. (consent) Attachments 8.5 Approve settlement of the case of Mary Albawab v. City of Clearwater, Case No. 08-4093-CI-011. (consent) B Attachments 9. Other Items on City Manager Reports 9.1 Approve supplementing Resolution 09-12 to appoint Assured Guaranty Corporation as the insurer of the Water and Sewer Revenue Bonds, Series 2009A and the Water and Sewer Revenue Refunding Bonds, Series 2009B, approve the form, authorzize the execution of an insurance commitment and adopt Resolution 09-22. Attachments 9.2 Amend Article VII, Solid Waste Management,Section 32.271 through 32.322, Amend Appendix A, Schedule of fees, rates, and charges, Article XXV, Public Works-fees, rates and charges, section; (3)(c) Solid Waste collection rates through Solid Waste Roll-off container or waste receptacle service(5)(b)(ii) (7), and pass Ordinance 8025-09 on first reading. Attachments 9.3 Reappoint Laurel E. Braswell in the Clearwater Resident category and appoint William R. Griffiths in the Employer's Representative category and Linda Kemp in the Banking/Mortgage Industry category to the Neighborhood and Affordable Housing Advisory Board with the term to expire May 31, 2013. A ttQolimPntc 9.4 Appoint one member to the Parks and Recreation Board with the term to expire May 31, 2013. B AttachmPntC Miscellaneous Reports and Items 10. City Manager Verbal Reports 10.1 City Manager Verbal Reports B AttachmPntC 11. Council Discussion Items 11.1 Protection of Shore Birds Attachments 11.2 Beach Parking Garage Attachments 11.3 Rescheduling 2nd Council Meeting in October and Scheduling August Budget Work Sessions Attachments 12. Other Council Action 12.1 Other Council Action Attachments 13. Adjourn City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: APWA National Public Works Week Proclamation SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 1 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: EMS Week Proclamation SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 2 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Safe Boating Week Proclamation SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 3 City Council Agenda Council Chambers - City Hall Meeting Date:5n/2009 SUBJECT / RECOMMENDATION: Approve the minutes of the April 15, 2009 City Council Meeting as submitted in written summation by the City Clerk. SUMMARY: Review Approval: 1) Clerk Cover Memo Item # 4 Attachment number 1 Page 1 of 14 CITY COUNCIL MEETING MINUTES CITY OF CLEARWATER April 15, 2009 Unapproved Present: Frank Hibbard Paul Gibson Carlen Petersen John Doran George N. Cretekos Mayor Vice-Mayor Councilmember Councilmember Councilmember Also present: William B. Horne II Jill S. Silverboard Rod Irwin Pamela K. Akin Cynthia E. Goudeau Rosemarie Call City Manager Assistant City Manager Assistant City Manager City Attorney City Clerk Management Analyst The Mayor called the meeting to order at 6:00 p.m. at City Hall. The invocation was offered by Reverend Donna Oberkreser of Central Christian Church. The Mayor led the Pledge of Allegiance. To provide continuity for research, items are in agenda order although not necessarily discussed in that order. 4 - Presentations 4.1. Clearwater Poetry Dav Proclamation: April 18, 2009 4.2. North American Occupational Safety and Health Week: May 3-9, 2009 4.3. Occupational Safety and Health Professional Day Proclamation: May 6, 2009 4.4. Proclamation: Clearwater and Naaano's 50th Anniversarv as Sister Cities 5 -Approval of Minutes 5.1 Approve the minutes of the April 2, 2009 City Council Meeting as submitted in written summation by the City Clerk. Councilmember Petersen moved to approve the minutes of the April 2, 2009, City Council Meeting as recorded and submitted in written summation by the City Clerk to each Councilmember. The motion was duly seconded and carried unanimously. 6 - Citizens to be Heard re Items Not on the Agenda Charles Johnston - Clearwater Horseshoe Club President reviewed results of 2009 Clearwater Challenge Horseshoe Pitching Pro Tour Tournament. Council 2009-04-15 Item # 4 Attachment number 1 Page 2 of 14 Planning Director Michael Delk, in response to Mr. Jeanis' concerns regarding vehicle signs from the 4/2/09 council meeting, indicated the items in question are not code violations. Public Hearings - Not before 6:00 PM 7 - Administrative Public Hearings 7.1. Amend the Community Development Code, Division 11. Public Art and Design Board - Section 5-1103d: Powers and Duties and pass Ordinance 8026-09 on first reading. Following discussion at the December 1, 2008 Work Session, City Council resolved to amend the Public Art and Design Program to include language establishing that the City Council shall be responsible for final approval of all public art installed on City property, as recommended by the Public Art and Design Board through the Public Art and Design Program. Therefore, staff is recommending that the Community Development Code be amended to reflect the Council's desire to change the approval process. The additions follow in bold font, appended to the original language for matters of clarity. Community Development Code: Division 11. Public Art and Design Board Section 5-1103 d. Related to City construction projects, in concert with City staff, is responsible for working with appropriate department in program planning; designating sites; determining project scope and budget; managing the artist selection process; providing recommendation for the commission of artworks; approving design, execution and placement of artworks; and overseeing the maintenance of the artworks and the process for removal of artworks from the City's public art collection. The Public Art and Design Board will review proposed artwork and prepare a recommendation for commission subject to review and approval by City Council. Approvals for purchase are then guided by City purchasing requirements. Public Art and Design Program Guidelines were amended by the Public Art and Design Board on January 20, 2009. The Community Development Board at their March 17, 2009 meeting unanimously recommended approval of the proposed amendments. Councilmember Cretekos moved to amend the Community Development Code, Division 11. Public Art and Design Board - Section 5-1103d: Powers and Duties. The motion was duly seconded. Upon the vote being taken, Councilmembers Gibson, Doran, Cretekos and Mayor Hibbard voted "Aye," and Councilmember Petersen voted "Nay." Motion carried. Ordinance 8026-09 was presented for first reading and read by title only. Councilmember Gibson moved to pass Ordinance 8026-09 on first reading. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Doran, Cretekos, and Hibbard. "Nays": Petersen. Council 2009-04-15 2 Item # 4 Attachment number 1 Page 3 of 14 Motion carried. 7.2. Approve the SRF water facilities plan as the planning documents for developing the City's expanded water system and improvements projects, certifying all documents necessary to develop the water system expansion and improvement program and to assure compliance with the State Revolving Fund loan requirements and adopt Resolution 09-18. The City identified a list of capital projects as ready-to-go stimulus projects for the expanded water system and improvement program. Florida's Drinking Water State Revolving Fund (DWSRF) Program will receive approximately $88 million from the American Recovery and Reinvestment Act (ARRA) for drinking water infrastructure construction projects. To be eligible under ARRA, projects must secure a place on the DWSRF priority list, meet the DWSRF program's basic funding criteria, and be "shovel-ready" such that they can be under construction before February 17, 2010. The first step in applying for funds is to submit a Request for Inclusion (RFI) form on the DWSRF priority list form. Under ARRA, all DWSRF program requirements remain in effect. All Planning Requirements and Readiness to Proceed Requirements must be met before a project can be placed on the priority list for funding. Projects will be ranked in priority score order and funds will be allocated up to the "segment cap" of approximately $4 million per project until the funds are exhausted. (The segment cap is the maximum amount of money any project can receive in a given year in order to give all sponsors of ready projects a fair opportunity to secure financing.) A priority list adoption hearing has been scheduled for May 13, 2009. All readiness to proceed requirements must be met by April 29, 2009, to qualify for the priority list at that hearing. If all ARRA funds are not obligated at that hearing, additional hearings will be scheduled as needed to obligate the remaining funds. Public Utilities Director Tracey Mercer provided a PowerPoint presentation. In response to questions, Ms. Mercer said use of SRF funds would not negatively impact rates. Finance Director Margie Simmons said the City would move forward with tax exempt bonds as SRF funds were not guaranteed. Councilmember Petersen moved to approve the SRF water facilities plan as the planning documents for developing the City's expanded water system and improvements projects, certifying all documents necessary to develop the water system expansion and improvement program and to assure compliance with the State Revolving Fund loan requirements. The motion was duly seconded and carried unanimously. Resolution 09-18 was presented and read by title only. Councilmember Doran moved to pass and adopt Resolution 09-18 and authorize the appropriate officials to execute same. The motion was duly seconded and upon roll call, the vote was: Council 2009-04-15 3 Item # 4 Attachment number 1 Page 4 of 14 "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. 7.3. Approve the SRF wastewater facilities plan as the planning documents for developing the City's wastewater system improvements projects, certifying all documents necessary to develop the wastewater system improvement program and to assure compliance with the State Revolving Fund loan requirements and adopt Resolution 09-19. The City identified a list of capital projects as ready-to-go stimulus projects for the wastewater system improvement program. Florida's Clean Water State Revolving Fund (CWSRF) Program will receive approximately $132 million from the American Recovery and Reinvestment Act (ARRA) for wastewater and stormwater infrastructure construction projects. To be eligible under ARRA, projects must secure a place on the CWSRF priority list, meet the CWSRF program's basic funding criteria, and be "shovel-ready" such that they can be under construction before February 17, 2010. The first step in applying for funds is to submit a Request for Inclusion (RFI) form on the CWSRF priority list form. Under ARRA, all CWSRF program requirements remain in effect. All Planning Requirements and Readiness to Proceed Requirements must be met before a project can be placed on the priority list for funding. Projects will be ranked in priority score order and funds will be allocated up to the "segment cap" of approximately $10 million per project until the funds are exhausted. (The segment cap is the maximum amount of money any project can receive in a given year in order to give all sponsors of ready projects a fair opportunity to secure financing.) A priority list adoption hearing has been scheduled for May 13, 2009. All readiness to proceed requirements must be met by April 29, 2009 to qualify for the priority list at that hearing. If all ARRA funds are not obligated at that hearing, additional hearings will be scheduled as needed to obligate the remaining funds. Public Utilities Director Tracy Mercer provided a PowerPoint presentation. In response to questions, Finance Director Margie Simmons said the annual SRF cost reflects City borrowing funds at a lower interest rate. SRF funds would lower rate of increase. Councilmember Cretekos moved to approve the SRF wastewater facilities plan as the planning documents for developing the City's wastewater system improvements projects, certifying all documents necessary to develop the wastewater system improvement program and to assure compliance with the State Revolving Fund loan requirements. The motion was duly seconded and carried unanimously. Resolution 09-19 was presented and read by title only. Councilmember Gibson moved to pass and adopt Resolution 09-19 and authorize the appropriate officials to execute same. The motion was duly seconded and upon roll call, the vote was: Council 2009-04-15 4 Item # 4 Attachment number 1 Page 5 of 14 "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. 8 - Quasi-judicial Public Hearings 8.1. Approve a Future Land Use Plan Amendment from the Residential/Office General (R/OG) Classification to the Institutional (1) Classification and a Zoning Atlas Amendment from the Office (O) District to the Institutional (1) District for property located at 303 Pinellas Street (Lots 1, 2 and 17, Block B, Westover Subdivision, Section 21, Township 29 South, Range 15 East), 323 Jeffords Street and 300 Pinellas Street (Lots 22, 23 and 24, and the East 40 feet of Lots 16 and 18, C. Perry Snell's Bluff View Court, Section 21, Township 29 South, Range 15 East), and an unaddressed parcel located east of 323 Jeffords Street on Reynolds Avenue (Lot 8, S.J. Reynolds Subdivision, Section 21, Township 29 South, Range 15 East), together with vacated right-of-way of Pinellas Street, Sadler Street, and Bay Avenue; Pass Ordinance 8022-09 on first reading rescinding Ordinances 5856-95 and 5857-95, and Pass Ordinances 8023-09 and 8024- 09 on first reading. (LUZ2008-11003) This Future Land Use Plan (FLUP) amendment application involves three parcels of land, comprising approximately 1.33 acres in area, located west of South Fort Harrison Avenue in the vicinity of Reynolds and Bay avenues. These parcels, part of the Morton Plant Hospital campus, have a FLUP classification of Residential/Office General (R/OG) and a zoning designation of Office (O). The applicant is requesting to amend the FLUP classification of the site to the Institutional (1) classification and to rezone the property to the Institutional (1) District in order to establish a FLUP classification and zoning district that are consistent with the Future Land Use Map and Zoning Atlas designations of the remainder of the hospital campus. In 1995, the Morton Plant Hospital Association submitted an application to amend the Future Land Use Plan category and zoning designation for a portion of this property to the I land use category and I zoning district. The City Commission adopted Ordinances 5856-95 and 5857-95 on December 7, 1995. The City, however, did not transmit the ordinances to the Florida Department of Community Affairs nor to the Pinellas Planning Council for review. Therefore, the original ordinances are not considered legally effective, and must be rescinded. The amendment to the Future Land Use Plan classification and the accompanying rezoning must be reprocessed as well. The current application includes 0.43 acres more land than in the original application due to the vacation of portions of Pinellas Street, Sadler Street, and Bay Avenue rights-of-way, which occurred in 1996 and 2000. The Planning Department has determined that the proposed future land use plan amendment and rezoning amendment, as recommended, are consistent with the following standards specified in the Community Development Code: 1) The proposed land use plan amendment is consistent with the Comprehensive Plan; 2) The proposed use is compatible with the surrounding area; 3) Sufficient public facilities are available to serve the property; and 4) The applications will not have an adverse impact on the natural environment. Please refer to the land use plan amendment and rezoning (LUZ2008-11003) staff report for the complete analysis. Council 2009-04-15 5 Item # 4 Attachment number 1 Page 6 of 14 In accordance with the Countywide Plan Rules, the land use plan amendment is subject to the approval of the Pinellas Planning Council and the Board of County Commissioners acting as the Countywide Planning Authority. The application is a large-scale amendment and review and approval by the Florida Department of Community Affairs is required. The Community Development Board reviewed this application at its public hearing on March 17, 2009, and unanimously recommended approval of the Future Land Use Plan amendment. Councilmember Petersen moved to approve a Future Land Use Plan Amendment from the Residential/Office General (R/OG) Classification to the Institutional (1) Classification and a Zoning Atlas Amendment from the Office (O) District to the Institutional (1) District for property located at 303 Pinellas Street (Lots 1, 2 and 17, Block B, Westover Subdivision, Section 21, Township 29 South, Range 15 East), 323 Jeffords Street and 300 Pinellas Street (Lots 22, 23 and 24, and the East 40 feet of Lots 16 and 18, C. Perry Snell's Bluff View Court, Section 21, Township 29 South, Range 15 East), and an unaddressed parcel located east of 323 Jeffords Street on Reynolds Avenue (Lot 8, S.J. Reynolds Subdivision, Section 21, Township 29 South, Range 15 East), together with vacated right-of-way of Pinellas Street, Sadler Street, and Bay Avenue. The motion was duly seconded and carried unanimously. Ordinance 8022-09 was presented for first reading and read by title only. Councilmember Doran moved to pass Ordinance 8022-09 on first reading. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. Ordinance 8023-09 was presented for first reading and read by title only. Councilmember Cretekos moved to pass Ordinance 8023-09 on first reading. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. Ordinance 8024-09 was presented for first reading and read by title only. Councilmember Gibson moved to pass Ordinance 8024-09 on first reading. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. City Manager Reports 9 - Consent Agenda - Approved as submitted Council 2009-04-15 6 Item # 4 Attachment number 1 Page 7 of 14 9.1. Authorize the appropriation of $1,000,000 from Central Insurance fund reserves into protect 181-99927 to provide emergency funding capacity for emergency operations cost in advance of the 2009 hurricane season. (consent) 9.2. Award a contract (Blanket Purchase Order) to McMullen Oil Company, Inc. of Clearwater, FL for an amount not to exceed $2,850,000 for the purchase of unleaded and diesel fuel for City Motorized equipment as per Transport award of City of Clearwater RFP 12-05 during the contract period May 1, 2009 through April 30, 2010 and authorize the appropriate officials to execute same. (consent) 9.3. Award a contract (Purchase Order) to Kenworth of Central Florida in the amount of $232.872 for the purchase of one 2009 Autocar ACX64 Cab and Chassis with Labrie Z Automizer Side Loader Body in accordance with Sec. 2.5640)(4), Code of Ordinances - other governmental bid, authorize lease purchase under the City's master lease agreement, authorize Risk Management to send a check to Fleet Maintenance in the amount of $45,757 (Appraised Value) as settlement of the insurance claim, declare G2562 surplus to the needs of the City and sell remaining scrap material to the highest bidder and authorize the appropriate officials to execute same. (consent) 9.4.Approve the Cooperative Funding Agreement (1-703) in the amount of $412,875 with the Southwest Florida Water Management District (SWFWMD) and Pinellas County to share the cost of implementation of the Allen's Creek Channel Improvement protect and authorize the appropriate officials to execute same. (consent) 9.5. Approve the Cooperative Funding Agreement between the Southwest Florida Water Management District (SWFWMD) and the City for the construction of Phase I of the Tropic Hills Drainage Improvements Project with each party funding $1,250,000 of the $2,500,000 construction cost and authorize the appropriate officials to execute same. (consent) 9.6. Approve a contract to Caladesi Construction Company of Largo, Florida, for $1,662,525.45 for the construction of the Lake Bellevue Branch 6A Stormwater Improvement Project (03-0030- EN), which is the lowest responsible bid in accordance with plans and specifications, and authorize the appropriate officials to execute same. (consent) 9.7. Approve amendments to the Stormwater Capital Improvement Program (CIP) by eliminating FY2009 Stormwater Bond Proceeds and reallocating Stormwater Utility Revenue to current projects and restructuring the Stormwater CIP due to reprioritization of projects. (consent) 9.8. Appoint Councilmembers as representatives on Regional and Miscellaneous Boards. 9.9. Authorize City Attorney to hire Bricklemyer Smolker and Bolves, P.A., to represent the City in the matter of PIERCE 100, INC., a Florida Condominium Association, on behalf of its Unit Owners v. City of Clearwater. (consent) 9.10. Reappoint C.W. "Bill" Renfroe to the Board of Trustees, Clearwater Police Supplementary Pension Plan Council 2009-04-15 7 Item # 4 Attachment number 1 Page 8 of 14 Councilmember Doran moved to approve the Consent Agenda as submitted and that the appropriate officials be authorized to execute same. The motion was duly seconded and carried unanimously. 10 - Other Items on City Manager Reports 10.1. Authorize the negotiated sale of not to exceed $72,500,000 Water and Sewer Revenue Bonds, Series 2009A and not to exceed $50,000,000 Water and Sewer Revenue Refunding Bonds, Series 20098, adopt Resolution 09-12 and authorize the appropriate officials to execute same. The City identified a need of approximately $60.1 million in capital projects for the water and sewer system from 2008 through 2009, with bonds to be issued in 2009. A list of $60,133,842 in projects is proposed to be financed from the 2009 bond issue. Resolution 07-28 was adopted on November 1, 2007, which provides for the City to be reimbursed from bond proceeds for expenditures that occurred on these projects prior to issuance of the bonds. This resolution authorizes the negotiated sale of not to exceed $72,500,000 of City of Clearwater, FL, Water and Sewer Revenue Bonds, Series 2009A and authorizes awarding the sale thereof to Wachovia Bank, National Association and the co-managers selected by the City. Only the amount of bonds needed to fund the $60,133,842 in listed project construction and associated debt service reserve and issuance costs will be issued. This resolution also authorizes the negotiated sale of not to exceed $50,000,000 of City of Clearwater, FL Water and Sewer Revenue Refunding Bonds, Series 2009B, and authorizes the awarding the sale thereof to Wachovia Bank, National Association and the co-managers selected by the City. Only the amount of bonds needed to refund the then outstanding balance of City of Clearwater, FL Water and Sewer Revenue Refunding Bonds, Series 1998 and associated issuance costs will be issued. City's debt management policy states, "As a general rule, the present value savings of a particular refunding should exceed 5% ... The current prevailing market interest rates on tax- exempt municipal bond issues make it unlikely a refunding will occur at this time. However, should interest rates decrease at the time of this sale, the threshold for this resolution is reduced to greater than 4% in order not to miss an opportunity to refund due to a few basis points. Present value savings of 4% are approximately $1,800,000. This resolution provides for the option to issue Build America Bonds as authorized by Section 1531 of the American Recovery and Reinvestment Act of 2009. This will only be done if it is financially advantageous to the City. Finance Director Margie Simmons reviewed provisions for Build America Bonds. The Build America Bonds Direct Payment provides a federal interest subsidy of 35% to the City. Staff was still researching bond provisions and would consider option if in City's best interest. Councilmember Petersen moved to authorize the negotiated sale of not to exceed $72,500,000 Water and Sewer Revenue Bonds, Series 2009A and not to exceed $50,000,000 Council 2009-04-15 8 Item # 4 Attachment number 1 Page 9 of 14 Water and Sewer Revenue Refunding Bonds, Series 20098, and authorize the appropriate officials to execute same. The motion was duly seconded and carried unanimously. Resolution 09-12 was presented and read by title only. Councilmember Doran moved to pass and adopt Resolution 09-12 and authorize the appropriate officials to execute same. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. 10.2. Approve amendments to Code of Ordinances, Division 9A, Sections 2.226 through 2.229 regarding the Neighborhood and Affordable Housing Advisory Board, pass Ordinance 8068-09 on first reading, and adopt Resolution 09-20. The City Council passed Ordinance 7981-08 and adopted Resolution 08-15 in June 2008, which appointed the Neighborhood and Affordable Housing Advisory Board (NAHAB) as the Affordable Housing Advisory Committee (AHAC) and added four additional members in order to comply with Florida Statute 420.9076. The AHAC reviewed the City's policies, procedures, and land development regulations and made recommendations to the City Council in a December 2008 report regarding strategies to encourage affordable housing. Subsequent amendments to the City's Local Housing Assistance Plan (LHAP) have been made as a result of the AHAC's report. Now that the AHAC has completed its work for the FY (Fiscal Year) 2008-09 period, the 11-member AHAC can be reduced back to the 7-member NAHAB in order to be more effective with the administration of the advisory board and its duties. Significant changes to the code of ordinances governing the NAHAB include: A) NAHAB will be reduced to seven members in the following categories: 1) Residential home building; 2) Banking or mortgage industry; 3) Advocate for low-income persons; 4) Not-for-profit provider of affordable housing; 5) Real estate professional; 6) City of Clearwater resident; and 7) Employer representative: B) Triennially, the NAHAB will be able to sit separately as the AHAC, augmented by four additional members in the following categories to continue to meet state statute requirements: 1) Representative of labor in connection with home building; 2) For-profit provider of affordable housing; 3) Representative of the local planning agency; and 4) Representative of essential services personnel: and C) Additionally, the ordinance describes the duties of the AHAC: to review the City's policies, procedures, and land development code and present recommendations to the City Council. Duties of the NAHAB will remain the same as before, generally reviewing the City's affordable housing programs and projects and making recommendations to the City Council. Resolution 09-20 acknowledges that the work of the AHAC has been completed and terminates their appointments. The seven NAHAB members will be appointed at the next Council meeting after second reading of Ordinance 8068-09. Council 2009-04-15 9 Item # 4 Attachment number 1 Page 10 of 14 Councilmember Cretekos moved to approve amendments to Code of Ordinances, Division 9A, Sections 2.226 through 2.229 regarding the Neighborhood and Affordable Housing Advisory Board. The motion was duly seconded and carried unanimously. Ordinance 8068-09 was presented for first reading and read by title only. Councilmember Gibson moved to pass Ordinance 8068-09 on first reading. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. Resolution 09-20 was presented and read by title only. Councilmember Petersen moved to pass and adopt Resolution 09-20 and authorize the appropriate officials to execute same. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. 10.3. Approve the City of Clearwater's State Housing Initiatives Partnership Program (SHIP) Local Housing Assistance Plan covering State Fiscal Years 2009-2012, adopt Resolution 09-21 and authorize the appropriate officials to execute same. Florida Statute 420.907-9079 requires counties and cities receiving State Housing Initiatives Partnership (SHIP) funds to develop a 3-year Local Housing Assistance Plan (LHAP) outlining strategies for how funds will be used. The City receives an annual allocation from the State of Florida through the Florida Housing Finance Corporation (FHFC) each year. For fiscal year 2008-2009, the City is expected to receive approximately $975,692. The City expends SHIP funds per the strategies outlined in the LHAP. The City's current LHAP covers state fiscal years 2006-2009. This new LHAP will cover state fiscal years 2009-2012. The strategies outlined in the new LHAP are a continuation of the City's current LHAP. All changes made within the 2009- 2012 LHAP will be retroactive to the 2006-2009 LHAP. The strategies include: 1) Down Payment & Closing Costs Assistance For Newly Constructed Homes - The City will use SHIP funds to provide down payment and closing costs assistance to eligible first time homebuyers purchasing a newly constructed home; 2) Down Payment & Closing Costs Assistance With or Without Rehabilitation - The City will use SHIP funds to provide down payment, closing costs and rehabilitation assistance for existing homes; 3) Replacement Housing - The City will provide SHIP funds for replacement of dilapidated single-family structures for eligible households; 4) Rehabilitation Assistance - The City will provide SHIP funds for the rehabilitation of owner- occupied single-family residences; 5) Foreclosure Prevention Assistance - The City will provide SHIP funds to assist households who are existing program participants that are experiencing mortgage payment delinquency; 6) Multi-Family Housing - The City will provide SHIP loans to support the acquisition, rehabilitation and new construction of rental housing; and 7) Disaster Mitigation - In the case of natural or man-made disasters, this strategy will utilize SHIP funding Council 2009-04-15 10 Item # 4 Attachment number 1 Page 11 of 14 for emergency or interim repairs. Per statute, the City Council is being asked to adopt by resolution the LHAP for state fiscal years 2009-2012. Councilmember Doran moved to approve the City of Clearwater's State Housing Initiatives Partnership Program (SHIP) Local Housing Assistance Plan covering State Fiscal Years 2009-2012. The motion was duly seconded and carried unanimously. Resolution 09-21 was presented and read by title only. Councilmember Cretekos moved to pass and adopt Resolution 09-21 and authorize the appropriate officials to execute same. The motion was duly seconded and upon roll call, the vote was: "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. 10.4. Amend, repeal and renumber specified articles of Chapter 25, Code of Ordinances, relating to taxicabs and other public transportation carriers, amend Sections XIII and XXVIII of ADDendix A and Dass Ordinance 8060-09 on first reading. Articles II and I I I of Chapter 25, Code of Clearwater, regulate the operation of taxicabs and public conveyances in Clearwater; and Section XIII of Appendix A contains provisions authorizing the Clearwater Police Department to collect fees for inspecting taxicabs and public conveyances and issuing permits. Changes in the business environment and in the development of regional taxi and transportation systems have rendered many of the provisions in Articles II and III of Chapter 25, Code of Clearwater, obsolete. The Clearwater Police Department no longer has the resources to conduct physical inspections of taxicabs and public conveyances. No other municipality in the Tampa Bay area conducts physical inspections of taxicabs and public conveyances. The State Department of Agriculture is responsible for conducting inspections and certifying the accuracy of the taximeter. There are currently no major taxicab companies operating with a business address within the City of Clearwater. A 2008 audit by the City Auditor found that the expenses to administer a taxicab and public conveyance inspection and permit process currently exceed the revenue generated by the fees. Based on the above, approval is requested to repeal Articles II and III and renumber Article IV as Article II and to amend Section XIII and Section XXVIII of Appendix A to read as noted in the proposed Ordinance 8060-09. It was stated that the issue would be discussed at the next Pinellas County Metropolitan Planning Organization meeting. Councilmember Gibson moved to amend, repeal and renumber specified articles of Chapter 25, Code of Ordinances, relating to taxicabs and other public transportation carriers, amend Sections XIII and XXVIII of Appendix A. The motion was duly seconded and carried unanimously. Ordinance 8060-09 was presented for first reading and read by title only. Councilmember Petersen moved to pass Ordinance 8060-09 on first reading. The motion was duly seconded and upon roll call, the vote was: Council 2009-04-15 11 Item # 4 Attachment number 1 Page 12 of 14 "Ayes": Gibson, Petersen, Doran, Cretekos, and Hibbard. "Nays": None. 10.5. No Item. 10.6. Approve Supplemental Work Order 2 in the amount of $44,290.37 to Wade-Trim, Inc, Engineer of Record, for engineering, design and construction administration services for the Morningside Neighborhood Traffic Calming Project (Project number 07-0008-EN) and authorize the appropriate officials to execute same. This project involves construction of traffic calming features in the Morningside community envisioned by community residents at the Morningside Traffic Calming Charrette and supported by a petition signed by owners of approximately 65% of the parcels in the project area. At the 60% milestone, the engineering plans were reviewed for faithfulness to the charrette vision by residents belonging to the Morningside Traffic Calming Tech Team. The project includes a roundabout at the intersection of Claiborne Avenue and Harn Boulevard and one at Summerlin Avenue and Ham Boulevard. At the 60% milestone, the engineering plans were sufficiently developed to determine with accuracy that easements or "corner clips" would be needed from owners of several properties adjacent to the two roundabouts; however, most of the property owners declined to sell the easements The work included in this Amendment is necessary to re-design the two roundabouts to fit within the available right-of-way. The re-design will not compromise the roundabouts unacceptably. There is no maintenance component related to the supplemental work order. It was suggested staff design future roundabout projects within existing rights-of-way. Councilmember Doran moved to approve Supplemental Work Order 2 in the amount of $44,290.37 to Wade-Trim, Inc, Engineer of Record, for engineering, design and construction administration services for the Morningside Neighborhood Traffic Calming Project (Project number 07-0008-EN) and authorize the appropriate officials to execute same. The motion was duly seconded and carried unanimously. Miscellaneous Reports and Items 11 - City Manager Verbal Reports County EMS City Manager Bill Horne requested guidance regarding City's strategy on County's intention to reduce funding for two rescue vehicles. Staff directed to meet with County and provide Council with update. Council 2009-04-15 12 Item # 4 Attachment number 1 Page 13 of 14 12 - Council Discussion Items 12.1. EAB (Environmental Advisory Board) Recommendation regarding protecting Shore Birds Audubon of Florida Biologist Ann Paul provided information regarding beach-nesting birds found on North Clearwater Beach and precautionary efforts to avoid further population decline. In response to questions, Environmental Advisory Board Chair Anna Fusari said the EAB conducted the research at the request of the Council. Clearwater Beach is the last stretch in Pinellas County that allows dogs on the beach. Based on research and community support, the Board recommended that Council consider banning dogs in designated ecological corridors on Clearwater Beach year- round. Ms. Fusari said police officers would enforce the ordinance while patrolling the beach area. The survey area was from Pier 60 northward. Ms. Paul said birds have acclimated to people walking near nesting areas but are disturbed when approached by dogs. Discussion ensued. Concerns were expressed regarding resources to enforce the ban and effect ban would have on private beach property owners. Additional scientific information will be provided. Staff directed to place item on next council agenda. 13 - Other Council Action Councilmembers reported on events in which they recently participated and reviewed upcoming events. Councilmember Cretekos congratulated Brian Cross for Coast Guard Citizen of the Year recognition. Councilmember Petersen urged all to adopt hurricane preparedness efforts and understand evacuation levels. Mayor Hibbard congratulated Rhodes Scholars from Florida State University and expressed condolences to survivors of Harry Kalas, Philadelphia Phillies broadcaster. 14 - Adjourn The meeting adjourned at 8:22 p.m. Mayor City of Clearwater Attest: Council 2009-04-15 13 Item # 4 Attachment number 1 Page 14 of 14 City Clerk Council 2009-04-15 14 Item # 4 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Adopt Ordinance No. 8022-09 on second reading, rescinding Ordinance No. 5856-95 and 5857-95 regarding certain property located at 1221 and 1256 Bay Avenue, 323 and 325 Pinellas Street and 1225 Reynolds Avenue. SUMMARY: Review Approval: 1) Clerk Cover Memo Item # 5 Attachment number 1 Page 1 of 1 ORDINANCE NO. 8022-09 AN ORDINANCE OF THE CITY OF CLEARWATER, FLORIDA, RESCINDING ORDINANCE NOS. 5856-95 AND 5857-95; PROVIDING AN EFFECTIVE DATE. WHEREAS, the City of Clearwater previously adopted Ordinance Nos. 5856-95 and 5857-95, effective December 7, 1995, regarding certain property located at 1221 and 1256 Bay Avenue, 323 and 325 Pinellas Street and 1225 Reynolds Avenue; and WHEREAS, said ordinances were not forwarded to the Pinellas Planning Council for Pinellas County processing, and therefore are not considered legally effective; and it is thus necessary to rescind the comprehensive plan amendment/designation and its accompanying zoning designation in order that they be readopted by means of the proposed Ordinances Nos. 8023-09 and 8024-09; now therefore, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF CLEARWATER, FLORIDA: Section 1. Ordinance Nos. 5856-95 and 5857-95 are hereby rescinded, and shall be of no further force and effect. Section 2. This ordinance shall take effect immediately upon adoption. PASSED ON FIRST READING PASSED ON SECOND AND FINAL READING AND ADOPTED Approved as to form: Leslie K. Dougall-Sides Assistant City Attorney Frank V. Hibbard Mayor Attest: Cynthia E. Goudeau City Clerk Ordinance No.I 24915 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Adopt Ordinance No. 8026-09 on second reading, amending the Community Development Code, Division 11, Public Art and Design Board; providing that City Council shall provide final approval for commission of public artwork. SUMMARY: Review Approval: 1) Clerk Cover Memo Item # 6 Attachment number 1 Page 1 of 2 ORDINANCE NO. 8026-09 AN ORDINANCE OF THE CITY OF CLEARWATER, FLORIDA, AMENDING THE COMMUNITY DEVELOPMENT CODE, DIVISION 11, PUBLIC ART AND DESIGN BOARD, SECTION 5-1103, POWERS AND DUTIES; PROVIDING THAT THE PUBLIC ART AND DESIGN BOARD SHALL MAKE RECOMMENDATIONS TO THE CITY COUNCIL FOR THE COMMISSION OF PUBLIC ARTWORK AS REQUIRED IN THE COURSE OF THE CONSTRUCTION OF CITY CAPITAL IMPROVEMENT PROJECTS; FURTHER PROVIDING THAT THE CITY COUNCIL SHALL PROVIDE FINAL APPROVAL OF SUCH COMMISSION OF ARTWORK; PROVIDING AN EFFECTIVE DATE. WHEREAS, City of Clearwater Ordinance No. 7489-05, adopted October 6, 2005, established a Public Art and Design Program and authorized the allocation of certain funds in the construction and renovation of eligible city building projects; and WHEREAS, Ordinance No. 7489-05 ("Ordinance") also established a Public Art and Design Board ("Board") to administer the Public Art and Design Program, including the authority to commission public artwork as required under the Ordinance in the construction and renovation of Eligible City Capital Improvement Projects ("City Projects") as defined therein; and WHEREAS, the City Council of the City of Clearwater now deems it to be in the best interest of the public for the City Council to review recommendations by the Board and provide final approval for the commission of artwork required under the Ordinance for City Projects; now, therefore, BE IT ORDAINED BY THE CITY COUNCIL OF CLEARWTER, FLORIDA: Section 1. Division 11, Public Art and Design Board, Section 5-1103(d) is hereby amended to read as follows: Related to City construction projects, in concert with City staff, is responsible for working with appropriate department in program planning; designating sites; determining project scope and budget; managing the artist selection process; providing recommendation for the commission of artworks; approve design, execution and placement of artworks; and overseeing maintenance of the artworks and the process for removal of artworks from the City's public art collection. The Public Art and Design Board °°'°^+° the _rb.AVA_rl, will review proposed artwork and prepare a recommendation for commission subject to review and approval by City Council. Approvals for purchase are then guided by City purchasing requirements. Section 2. This ordinance shall take effect immediately upon adoption. Ordinance No. %-Q% Attachment number 1 Page 2 of 2 PASSED ON FIRST READING PASSED ON SECOND AND FINAL READING AND ADOPTED Frank V. Hibbard Mayor Approved as to form: Laura Mahony Assistant City Attorney Attest: Cynthia E. Goudeau City Clerk 2 Ordinance No. %-Q% ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Adopt Ordinance No. 8060-09 on second reading, repealing Articles II and III of Chapter 25, Code of Ordinances relating to taxicabs and public conveyances, renumbering Article IV of Chapter 25, Code of Ordinances; amending Section XII of Appendix A, Code of Ordinances, relating to the fees charged for taxicab and public conveyance permits and vehicular stickers; amending Section XXVIII of Appendix A, Code of Ordinances, relating to the Business Taxes collected for the operation of taxicabs and public conveyances. SUMMARY: Review Approval: 1) Clerk Cover Memo Item # 7 Attachment number 1 Page 1 of 2 ORDINANCE NO. 8060-09 AN ORDINANCE OF THE CITY OF CLEARWATER, FLORIDA, REPEALING ARTICLES II AND III OF CHAPTER 25, CODE OF ORDINANCES, RELATING TO TAXICABS AND PUBLIC CONVEYANCES; RENUMBERING ARTICLE IV OF CHAPTER 25, CODE OF ORDINANCES; AMENDING SECTION XIII OF APPENDIX A, CODE OF ORDINANCES, RELATING TO THE FEES CHARGED FOR TAXICAB AND PUBLIC CONVEYANCE PERMITS AND VEHICULAR STICKERS; AMENDING SECTION XXVIII OF APPENDIX A, CODE OF ORDINANCES, RELATING TO THE BUSINESS TAXES COLLECTED FOR THE OPERATION OF TAXICABS AND PUBLIC CONVEYANCES; PROVIDING AN EFFECTIVE DATE. WHEREAS, Articles II and III of Chapter 25, Code of Clearwater, regulate the operation of taxicabs and public conveyances in Clearwater, and Section XIII of Appendix A contains provisions authorizing the Clearwater Police Department to collect fees for inspecting taxicabs and public conveyances and issuing permits; WHEREAS, changes in the business environment and in the development of regional taxi and transportation systems have rendered many of the provisions in Articles II and III of Chapter 25, Code of Clearwater, obsolete; WHEREAS, the Clearwater Police Department no longer has the resources to conduct physical inspections of taxicabs and public conveyances; WHEREAS, no other municipality in the Tampa Bay area conducts physical inspections of taxicabs and public conveyances; WHEREAS, the State Department of Agriculture is responsible for conducting inspections and certifying the accuracy of the taximeter; WHEREAS, there are currently no major taxicab companies operating with a business address within the City of Clearwater; and WHEREAS, a 2008 audit by the City Auditor found that the expenses to administer a taxicab and public conveyance inspection and permit process currently exceed the revenue generated by the fees; now therefore, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF CLEARWATER, FLORIDA Section 1. Articles II and III of Chapter 25, Code of Ordinances, are hereby repealed; and Article IV is renumbered as Article II. Section 2. Section XII I of Appendix A, Code of Ordinances, is amended to read: XIII. POLICE DEPARTMENT: Ordinance No. aINO-09 Attachment number 1 Page 2 of 2 Fees for services provided by the police department: DI IRI VV?IC TRANSPORTATION CARRIERS) ?e nn (1) xi ? 25? permits § 071) / Tsee ? alrvB Tizv ?' \T n,-r T PeFFn+tr-(§ 25.171) (see roe DI-Q IRI= _, IG TRANSPORTATIQN1 GARRIERS) nn ,-- ................... (3) TaviGab/p blip GE)RyeyaRGe VehinlePeFFnit Svtinl`er ............................................. 2.nn (1) {4) Handbill distribution permits (§ 3.41) .........................................................10.00 k5} Amusement machine permits (§§7.26, 7.42) ................................................10.00 {6} Letters of good conduct ............................................................................5.00 (4) {7} Bank employee I.D. processing ..................................................................5.00 {8} Fingerprinting: (a) One card .........................................................................................5.00 (b) Additional cards, each ........................................................................2.00 {9} Auto accident report copies--(Fee as set by Florida Statute) M 49} Event report copies--(Fee as set by Florida Statute) 414 Other report copies--(Fee as set by Florida Statute) 42} Administrative fee for processing background investigation (§29.27) ................50.00 Section 3. Section XXVI II of Appendix A, Code of Ordinances, is amended to read: XXVIII. BUSINESS TAX: Category No. 101.000 TAXICAB first vehicle (See note B 69.80 Plus each additional vehicle 25.20 107.000 TRANSPORTATION SERVICES (public conveyance h, is station - 267.70 ir+c chartered, limousine, sightseeing) (See A?FAAGe With pity I01;vted;31; additional inbred party; note B) Section 4. This ordinance shall take effect immediately upon adoption. PASSED ON FIRST READING PASSED ON SECOND AND FINAL READING AND ADOPTED Approved as to form: Robert J. Surette Assistant City Attorney Frank V. Hibbard Mayor Attest: Cynthia E. Goudeau City Clerk 2 Ordinance No. alWO-09 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Adopt Ordinance No. 8068-09 on second reading, relating to the neighborhood and Affordable Housing Advisory Board, Amending Article 2, Division 9A, Sections 2.226 through 2.229, Code of Ordinances, decreasing the number of board members from eleven to seven, to be augmented triennially by appointment of four committee members by resolution; amending the powers and duties of the board; providing for triennial appointment of additional board members to serve as the Affordable Housing Advisory Committee and providing for committee powers and duties; providing for the termination of terms for the additional committee members. SUMMARY: Review Approval: 1) Clerk Cover Memo Item # 8 Attachment number 1 Page 1 of 5 ORDINANCE NO. 8068-09 AN ORDINANCE OF THE CITY OF CLEARWATER, FLORIDA, RELATING TO THE NEIGHBORHOOD AND AFFORDABLE HOUSING ADVISORY BOARD; AMENDING CODE OF ORDINANCES, ARTICLE 2, DIVISION 9A, SECTIONS 2.226 THROUGH 2.229; DECREASING THE NUMBER OF BOARD MEMBERS FROM ELEVEN TO SEVEN, TO BE AUGMENTED TRIENNIALLY BY APPOINTMENT OF FOUR COMMITTEE MEMBERS BY RESOLUTION; AMENDING POWERS AND DUTIES OF THE BOARD, PROVIDING FOR TRIENNIAL APPOINTMENT OF ADDITIONAL BOARD MEMBERS TO SERVE AS THE AFFORDABLE HOUSING ADVISORY COMMITTEE AND PROVIDING FOR COMMITTEE POWERS AND DUTIES; PROVIDING FOR THE TERMINATION OF TERMS FOR THE ADDITIONAL COMMITTEE MEMBERS; AND PROVIDING AN EFFECTIVE DATE. WHEREAS, Ordinance No. 7981-08 added certain distribution requirements and established the Neighborhood and Affordable Housing Advisory Board as the Affordable Housing Advisory Committee; and WHEREAS, it is advisable to provide that the Affordable Housing Advisory Committee shall be constituted only every three years, as statutorily mandated, and to provide for termination of terms of the Committee following completion of its periodic duties; now therefore, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF CLEARWATER, FLORIDA: Section 1. Code of Ordinances, Division 9A, Sections 2.226 through 2.229, is hereby amended to read as follows: DIVISION 9A. NEIGHBORHOOD AND AFFORDABLE HOUSING ADVISORY BOARD Sec. 2.226. Creation; membership. (1) There is hereby created and established the Neighborhood and Affordable Housing Advisory Board of the City of Clearwater. (2) The board shall consist of a minimum of seven °'p members, and augmented by four members triennially appointed by resolution of the city council pursuant to Section 2.228(4), who are residents of or conduct work in the city. Members shall be appointed by the city council. The board shall include the following: 1. One citizen who is actively engaged in the residential home building industry in connection with affordable housing. Ordinance No.I88-*SB Attachment number 1 Page 2 of 5 2. One citizen who is actively engaged in the banking or mortgage industry in connection with affordable housing. One niti_on YAG is a representative of these mono of lahgr engager! in home building nnnnentinn With affordahle hni icing 3. 4 One citizen who is actively engaged as an advocate for low-income persons in connection with affordable housing. 4. 6. One citizen who is actively engaged as a not-for-profit provider of affordable housing. 5. -7-, One citizen who is actively engaged as a real estate professional in connection with affordable housing. 6. -9. One citizen who resides within the City of Clearwater. 7. 4G. One citizen who represents employers within the City of Clearwater. 11 (lne niti?en Who represents essential SepiineS personnel as definer! in the Inn-al he icing assistanne plan Sec. 2.228. Powers and duties. The heard Shall ha.ie the fGllGWiRg pewero and di sties. The board shall have the following powers and duties: F=YeFy three years the heardd . S?riuhall rreyi the established nelinie S anrrad nrnnrvced? nrdnTinann ?rrv?eS lcand ?varrr-cvr c??rs? a-p ? vrr??n?cr shall submit a r Tepart to the gigs that innL ides rcennmmmendativernS nn and tFieRRially ancrrr?a?r?-? ?vvrrrcr?crarrr? areas; arcc rr (a \ The prgneSSing of annreyals of dey pm ent nrd p a eFG nr nd l?-^?crc - 7 expedited permitting fer affordable hni icing n c r?r vrcr -? ?? rrcr rnientS (b) T-h ndifinatign of impant fee Fe 6Iire m eRtG innli icing r n nr T g o o ?nia icier f fees and a lternative metht : - ' " ? f fee pa ment far Affordahle R e r3 4PllTP? ?ZITTQ l CGTRQ7T?fl f hh n' O i y T /nine allnAnianne of flP_Xihiili? ti___Sf R ddeRG resepiotinn of infrastri inti ire r apa (d) The nr afft9rdahle hte using nit far he icing far ver IGIA' i -- innnme persons Ininnnme persons and m y y nderote innnme persons affordable nessnpi (eThe n?nianne of re ?ential i snits in sidenti al ' ? arrv? ?vca.?v ?gning distrints /finer di in+inn of parking and Setb p& sucr crr crmarzirrrc??rrT cm 1 d ahlc affnr Ats fe Fe 6Ii.F e m a - A r.. g C 'r - - 2 Ordinance No.l8W840s8 Attachment number 1 Page 3 & 5 ewanee of (g\ The all -- - flexible let e enfigi irat i en s innli iding Zern_Int lino - - v v ?? n?? arrv?r nnnfini iratinns for afford rr ? able hei ising arcrc ?T V n? , crv rvr errs (hn) The medifieahen of 0) The ekabliisshMent streee1 -1-1 of a preeess rI - its f b whieh r afferdahle hei the ^'+ ising iders re y adoption pelieies preee that innrease the nGst of di Tres erdin hG ising anees ren t ilatiens er pl an nrn?iicinnc /i; Fe aratien of a print ed pi blip lands p suitable fer" ffa'"'ffe Fdahle hG ising (k\ The of ippert of de - - pm2 W? {?-1 ? ertatien hi b s and ma j or v r rc z ^??cil?pvrr iT?7 emple Ment nepters and v mixed use deVelepm ento 7 °r y preyal b 'S Innal innentiV the heard of the nit The a e strate ies p y y -- ° T ? g rene m ir m a tiye Ye te of a m m e s mu k he made b d strate ies a i nr i t f th. y cvvm rr c ?r z a °r m rr a?crazn?rr-??r- ?--- g of the heard token at a pi blie heahR NehGe of the time da membershi y u J °r c r? te and ploee p g. , nf th e 6lbliGT ?iR of the heard +e adept final hei icing ineenti Ve strate i ft _ p g " ^ ? g DiR?as Gei int Th e o netine must nentain a short and nennioe summar f the heiusiR y y state pi blie plane where -a eerni of the tentadve heard reeemmend atieRs eORbe ? r strategies it will implement In addition the heard mayr * * * * * * * * * * (4) Carry out the duties of an advisory committee when and to the extent that an advisory committee may be required for the various state, federal and county housing and community development programs funin the city receives. Everv three vears. the Board shall sit seaarately as the Affordable Housina Adviso Committee (AHAC) according to Florida Statute 420.9076. In addition to the seven members, four additional committee members will be appointed by resolution of the city council in the following categories: (1) One citizen who is a representative of those areas of labor engaged in home buildina in connection with affordable housina. (2) One citizen who is actively engaged as a for-profit provider of affordable housinq. (3) One citizen who serves on the local planning agency pursuant to F.S. 163.3174. (4) One citizen who represents essential services personnel, as defined in the local housing assistance plan. Ordinance No.l8W8-*sB Attachment number 1 Page 4 of 5 The AHAC shall have the following powers and duties: Review the established policies and procedures, ordinances, land development regulations, and adopted local government comprehensive plan of the city and shall recommend specific actions or initiatives to encourage or facilitate affordable housing while protecting the ability of the property to appreciate in value. The board shall submit a report to the city that includes recommendations on and triennially thereafter evaluates the implementation of affordable housing incentives in the following areas: (a) The processing of approvals of development orders or permits and expedited permitting for affordable housing projects. (b) The modification of impact fee requirements, including reduction or waiver of fees and alternative methods of fee payment for affordable housinq. (c) The allowance of flexibility in densities for affordable housing. (d) The reservation of infrastructure capacity for housing for very-low income persons, low-income persons, and moderate-income persons. (e) The allowance of affordable accessory residential units in residential zoning districts. (f) The reduction of parking and setback requirements for affordable housing. (g) The allowance of flexible lot configurations, including zero-lot line configurations for affordable housing. (h) The modification of street requirements for affordable housing. (i) The establishment of a process by which the city considers, before adoption, policies, procedures, ordinances, regulations, or plan provisions that increase the cost of housing. (0) The preparation of a printed inventory of locally owned public lands suitable for affordable housing. (k) The support of development near transportation hubs and major employment centers and mixed-use developments. The aaaroval by the board of the citv's local incentive strateaies recommendations and its review of local government implementation of previously recommended strategies must be made by affirmative vote of a majority of the membership of the board taken at a public hearing. Notice of the time, date, and place of the public hearing of the board to adopt final housing incentive strategies recommendations must be published in a newspaper of general paid circulation in Pinellas County. The notice must contain a short and concise summary of the housing incentive strategies recommendations to be considered by the board. The notice must state the public place where interested persons can obtain a copy of the tentative board recommendations. Within 90 days after the date of receiat of the housina incentive strateaies recommendations from the board. the city council shall adopt an amendment to its local housing assistance plan to incorporate the housing incentive strategies it will implement. The appointment of these four (4) additional members shall terminate upon the adoption at the end of each three-year review by the City Council of the amendments to the Local Housing Assistance Plan. Ordinance No.I88-*S8 Attachment number 1 Page 5 of 5 Section 2. This ordinance shall take effect immediately upon adoption. PASSED ON FIRST READING PASSED ON SECOND AND FINAL READING AND ADOPTED AS AMENDED Frank V. Hibbard Mayor Approved as to form: Leslie K. Dougall-Sides Assistant City Attorney Attest: Cynthia E. Goudeau City Clerk Ordinance No.l8W8-*58 Attachment number 2 Page 1 of 1 MOTION TO AMEND ORDINANCE NO. 8068-09 ON SECOND READING On page 2, amend the ordinance as follows: The title of Section 2.228 is amended as follows: Sec. 2.228. Powers and duties. The beaFd shall have the Palle ing peweFs and duties: 791- Pamela K. Aki City Attorney May 7, 2009 Item # 8 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Declare the list of vehicles and equipment surplus to the needs of the City and authorize sale to the highest bidder at the live auction of Tampa Machinery Auction, Tampa, Florida or GovDeals, Montgomery, Alabama on-line auction service. (consent) SUMMARY: All vehicles and equipment listed has been replaced as necessary and are no longer needed. The sale will be at the Tampa Machinery Auction, Tampa, Florida, the Pinellas County Purchasing Cooperative Auctioneer of Record or through the on-line auction services of GovDeals, Montgomery, Alabama. Appropriation Code 0566-00000-364413-000-000 Amount Appropriation Comment To Be Determined Sale Proceeds Review Approval: 1) Office of Management and Budget 2) Legal 3) Clerk 4) Assistant City Manager 5) Clerk 6) City Manager 7) Clerk Cover Memo Item # 9 Attachment number 1 Page 1 of 1 Surplus for May 4/7, 2009 REASON FOR ITEM # Asset# YEAR DESCRIPTION SERIAL NUMBER MILEAGE SURPLUS 1 DISPOSAL 1 G0573 1990 King Cutter Scarifier Blade N/A N/A Obsolete Equipment 2 G1193 1993 Case 586E Fork Lift JJG0213054 N/A Age/condition 3 G1388 1984 Onan 350 KW Generator Set B760102184 N/A Age/condition 4 G1921 1998 Monte Carlo 2 dr. sedan 2G1 WW12M6W9268640 75008 Age/condition 5 G1971 1998 Alamo A60B Bush Hog Attachment AG6B-01627 N/A Age/condition 6 G1973 1998 Alamo A60B Bush Hog Attachment AG6B-01629 N/A Age/condition 7 G1974 1998 Alamo A60B Bush Hog Attachment AG6B-01630 N/A Age/condition 8 G2059 1999 Alamo A60B Bush Hog Attachment 1711 N/A Age/condition 9 G2088 1999 Ford Crown Vic Police Cruiser 2FAFP71 W4XX172566 82206 Age/condition 10 G2155 1999 Ford F250 Pick Up Truck 1 FTRF27W7XNB94891 80435 Age/condition 11 G2201 1999 GMC T8500 w/Lightning Loader 1GDP7C1C1XJ519448 85934 Age/condition 12 G2313 2000 Chev Express 15 Pass Van 1 GAHG39R9Y1234699 40519 Surplus Item 13 G2393 2001 Ford Crown Vic Police Cruiser 2FAFP71W21X143591 85196 Age/condition 14 G2433 2001 BobCat 864 Tracked Loader 518913403 N/A Hydraulic/Track Problems 15 G2514 2002 Ford Crown Vic Police Cruiser 2FAFP71W22X134570 88150 Age/condition 16 G2515 2002 Ford Crown Vic Police Cruiser 2FAFP71W52X134580 80825 Age/condition 17 G2533 2002 Ford Crown Vic Police Cruiser 2FAFP71W62X134569 90250 Age/condition 18 G2534 2002 Ford Crown Vic Police Cruiser 2FAFP71W82X134573 80904 Age/condition 19 G2547 2002 Chevrolet 2500 Cargo Van 1 GCGG25R221195500 98167 Age/condition 20 G2682 2003 Ford Crown Vic Police Cruiser 2FAHP71WX3X189195 85036 Age/condition 21 G2729 2002 Chevrolet Suburban 2500 4x4 3GNGK26U82G283526 100882 Age/condition 22 G2790 2004 Ford Crown Vic Police Cruiser 2FAFP71WO3X169741 86686 Bad Transmission 23 G2795 2004 Westward Go-4 Utility Veh 2W9MPH5513PO44260 32347 Bad Transmission 24 1 pallet of 9 strobe lights, lenses, siren speakers and a seat console Obsolete Equipment 25 1 pallet of a Stand-Up Shop Drill Press and Redi-Line Generator Obsolete Equipment 26 Box Bed from Cushman Utility Vehicle Surplus Item 27 1 pallet of 8 Emergency Light Bars Obsolete Equipment 28 Ben Pearson NDL7 9,000 lb Above Ground Auto Lift Age/condition Item # 9 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Meeting Date:5n/2009 Award a contract to Accela, Inc. San Ramon, CA for the purchase and installation of land management software in the amount of $404,981.87 in accordance with Sec. 2.564 (1)(b); and authorize lease purchase financing through Bancorp Bank d/b/a Mears Motor Leasing,Orlando, FL for software licensing in the amount of $146,671.18 and authorize the appropriate officials to execute same. (consent) SUMMARY: The City of Clearwater originally purchased Tidemark, Inc. land management software in 1997 to manage building permits and code inspection activities. In 2002, Tidemark was purchased by Accela, Inc. along with 2 other major land management applications (Kiva and Permits Plus). Accela has spent the past 7 years developing a "best of breed" product called Accela Automation to provide an upgrade path and product merger platform for its various existing customers. Accela plans to "sunset" or discontinue development and support of the Tidemark application platform within the next 2-4 years. The uncertainty of future support of our existing product, combined with both improved functionality within the Accela Automation platform and a window of reduced permitting activity, makes this a excellent time to move to the new and upgraded product. The costs include all product licensing and technical support necessary to move from our existing software version to the upgraded version without loss of functions or service offerings. Of the total project cost ($404,981.87) $146,671.18 is for the Lease Purchase of software licensing. The balance is for services, hardware and maintenance. This upgrade has been a planned CIP expenditure and wll be paid from 3 separate projects (315-94801 Tidemark Upgrade; 315- 94857 Accela Permitting & Code; and 315-94736 Geographic Information Systems). Type: Purchase Current Year Budget?: Yes Budget Adjustment Comments: Current Year Cost: Not to Exceed: 404,981.87 For Fiscal Year: Appropriation Code 315-94801 316-94801 315-94736 315-94857 2009 to 2010 Budget Adjustment: No Annual Operating Cost: 55,000 Total Cost: 404,981.87 Amount Appropriation Comment $154,122.65 Tidemark Upgrade Project, Professional Services and Maintenance Cover Memo $146,671.18 Tidemark Upgrade Project, L/P of Software Item # 10 $79,188.04 GIS Functionality for Land Management $25,000 Accela Permitting &amp;amp;amp;amp; Code Enforcement Bid Required?: No Bid Number: Other Bid / Contract: Bid Exceptions: Sole Source 1) Office of Management and Budget 2) Information Technology 3) Office of Management and Budget 4) Information Review Technology 5) Office of Management and Budget 6) Information Technology 7) Office of Management and Approval: Budget 8) Legal 9) Clerk 10) Purchasing 11) Financial Services 12) Clerk 13) Assistant City Manager 14) Clerk 15) City Manager 16) Clerk Cover Memo Item # 10 Attachment number 1 Page 1 of 23 LICENSE, MAINTENANCE AND SERVICES AGREEMENT 1. Parties ACCELA Accela, Inc. 2633 Camino Ramon, Suite 120 Bishop Ranch 3 San Ramon, California 94583 Attention: Contracts Administration T: 925.659.3200 F: 925.407.2722 e-Mail: contractsedmin@accela.com CUSTOMER City of Clearwater, Florida Municipal Services Building 100 South Myrtle Avenue Clearwater, Florida 33756-4748 Attention: Dan Mayer T: 727.562.4662 F: N/A e-Mall: Daniel.Mayer@myclearwater.com This License, Maintenance and Services Agreement ("Agreement") is intended for the exclusive benefit of the Parties; nothing herein will be construed to create any benefits, rights, or responsibilities in any other parties. 2. Term and Termination 2.1. Term Provided that Customer signs and returns this LA to Accela no later than May 29, 2009, this Agreement is effective as of the date of Customer's signature ("Effective Date") and will continue until terminated as provided herein. Maintenance will continue for a period of seven (7) years. Customer may elect to continue its maintenance coverage for additional annual terms by paying to Accela the fees associated with such terms when these are due; said fees will be calculated as twenty percent (20%) of the then-current list license fees. Should Customer fail to renew its maintenance coverage or pay the applicable fees, Accela reserves the right to withhold all support. If Customer resumes maintenance coverage after one or more periods without such coverage, Customer will pay an amount equivalent to one hundred ten percent (110%) of all maintenance fees attributable to the period(s) without coverage, as such fees are calculated based upon pricing in effect at the time of resumption of maintenance coverage. 2.2. Termination Either party may terminate if the other party materially breaches this Agreement and, after receiving a written notice describing the circumstances of the default, fails to correct the breach within thirty (30) calendar days. Upon any termination or expiration of this Agreement, all rights granted to Customer are cancelled and revert to Accela. 3. Intellectual Property License 3.1. License The software products CSoftware") listed below are protected under the laws of the United States and the individual states and by international treaty provisions. Accela retains full ownership in the Software and grants to Customer a limited, nonexclusive, nontransferable license to use the Software, subject to the following terms and conditions: 3.1.1. The Software is provided for use only by Customer employees. 3.1.2. The Software may be installed on one or more computers but may not be used by more than the number of users for which the Customer has named user licenses. The Software is deemed to be in use when it is loaded into memory in a computer, regardless of whether a user is actively working with the Software. Accela may audit Customers use of the Software to ensure that Customer has paid for an appropriate number of licenses. Should the results of any such audit indicate that Customer's use of the Software exceeds its licensed allowance, Customer agrees to pay all costs of its overuse as determined using AcceWs then-current pricing; any such assessed costs will be due and payable by Customer upon assessment. Customer agrees that Accela's assessment of overuse costs pursuant to this Subsection is not a waiver by Accela of any other remedies available to Accela in law and equity for Customer's unlicensed use of the Software. Lioense Agreement (LA), Version 08272007 Rk" *110 Attachment number 1 Page 2 of 23 3.1.3. Customer may make backup copies of the Software only to protect against destruction of the Software. Customer may copy Accela`s documentation only for internal use by Customer's employees. 3.1.4. Customer may not make any form of derivative work from the Software, although Customer is permitted to develop additional or alternative functionality for the Software using tools and/or techniques licensed to Customer by Accela. 3.1.5. Customer may not obscure, alter, or remove any confidentiality or proprietary rights notices. 3.1.6. Customer is liable to Accela for any losses incurred as the result of unauthorized reproduction or distribution of the Software which occur while the Software is in Customers possession or control. 3.1.7. Customer may use the Software only to process transactions relating to properties within both its own geographical and political boundaries and may not sell, rent, assign, sublicense, lend, or share any of its rights under this Agreement. 3.1.8. Customer is entitled to receive the Software compiled (object) code and is licensed to use any data code produced through implementation and/or normal operation of the Software; Customer is not entitled to receive source code for the Software except pursuant to an Intellectual Property Escrow Agreement, which may be executed separately by the Parties. 3.1.9. All rights not expressly granted to Customer are retained by Accela. 3.2. License Warranties 12.1. Accela warrants that it has full power and authority to grant this license and that, as of the effective date of this Agreement, the Software does not infringe on any existing intellectual property rights of any third party. If a third party claims that the Software does infringe, Accela may, at its sole option, secure for Customer the right to continue using the Software or modify the Software so that it does not infringe. Accela will have the sole right to conduct the defense of any legal action and all negotiations for its settlement or compromise. 12.2. Accela has no obligation for any. claim based upon a modified version of the Software or the combination or operation of the Software with any product, data, or apparatus not provided by Accela. Accela provides no warranty whatsoever for any third-party hardware or software products. 3.2.3. Except as expressly set forth herein, Accela disclaims any and all express and implied warranties, including but not necessarily limited to warranties of merchantability and fitness for a particular purpose. 4. Scope of Maintenance 4.1. Maintenance Services 4.1.1. Telephone Support Accela will provide Customer with a telephone number to contact the Customer Resource Center (CRC), Accela's live technical support facility, which is available from 4:00 a.m. until 5:00 p.m. Pacific time Monday through Friday, excluding Accela's observed holidays. License Agreement (LA), Version 06272007 IOfg 010 Attachment number 1 Page 3 of 23 4.1.2. E-Mail Support Accela will provide Customer with one or more electronic mail addresses to which Customer may submit routine or non-critical support requests, which Accela will address during its regular business hours. 4.1.3. Online Support _ Accela will provide Customer with access to archived software updates and other technical information in Accela's online support databases, which are continuously available. 4.1.4. Remote Support When required to properly resolve a maintenance request, Accela will provide remote assistance to Customer via the WebEXTM Meeting CenterTM environment or another mutually-acceptable remote communications method. 4.1.5. On-Site Support If Customer does not wish for Accela to resolve its maintenance requests remotely, Accela will provide on-site assistance to Customer at Accela's then-current time- and-materials rates. In addition to these charges, Customer will compensate Accela for associated airfare, lodging, rental transportation, meals, and other incidental expenses as such expenses accrue. 4.1.6. Software Updates Accela will provide revisions of and enhancements to maintained software products to Customer as such updates are generally-released by Accela. 4,2. Maintenance Limitations 4.2.1. Limitations General[ The following are not covered by this Agreement, but may be separately available at rates and on terms which may vary from those described herein: a) Services required due to misuse of the Accela-maintained software products; b) Services required due to software corrections, customizations, or modifications not developed or authorized by Accela; c) Services required by Customer to be performed by Accela outside of Accela's usual working hours; d) Services required due to external factors including, but not necessarily limited to, Customer's use of software or hardware not authorized by Accela; e) Services required to resolve or work-around conditions which cannot be reproduced in Accela's support environment; f) Services which relate to tasks other than maintenance of Customer's existing implementation and configuration of the Accela-maintained software products including, but not necessarily limited to, enhancing or adapting such products for specific operating environments; g) Services requested by Customer to implement software updates provided by Accela pursuant to this Agreement; and h) New or additional applications, modules, or functionality released by Accela during the term of this Agreement. 4.2.2. Legacy Releases Accela will provide maintenance support for the current release of each of its maintained software applications and for the release immediately preceding such current release. All other releases are deemed to be "Legacy Releases". Accela will respond to maintenance requests concerning Legacy Releases only using currently-available information. Services requiring additional research, engineering-level support, or coding or programming by Accela will not be provided pursuant to this Agreement, but may be separately available at rates and on terms which may vary from those described herein. 4.3. Maintenance Warranty Accela will commence and complete the maintenance obligations described in this Agreement in a good and workmanlike manner, consistent with the practices and standards of care License Agreement (LA), Version 08272007 RwOP cl 0 Attachment number 1 Page 4 of 23 generally-accepted within and expected of Accela's industry, to ensure that the operation of the maintained software products does not materially differ from documented specifications. Accela may make repeated efforts within a reasonable time period to resolve maintenance requests. When a maintenance request cannot be resolved, Customer's exclusive remedy will be damages in an amount equal to the total of maintenance fees paid to Accela for the defective or non-conforming software products for the twelve (12) calendar months immediately preceding Customer's maintenance request. 5. Professional Services Accela will provide the implementation, data conversion, and/or training services ("Professional Services") described in the Statement of Work ("SOW') attached hereto as Exhibit B. 5.1. Professional Services Warranty Accela will commence and complete the Professional Services in a good and workmanlike manner, consistent with the practices and standards of care generally-accepted within and expected of Accela's industry. 5.2. Acceptance As provided in the SOW, Accela will notify Customer upon completion of those implementation services subject to testing. For a period not to exceed thirty (30) calendar days in duration ("Test Period"), Customer may evaluate the operation of the implemented Accela software deliverables ("Deliverables") in a test environment or using test data. If Customer reasonably determines that its operational use of the Deliverables is substantially impaired by one or more material errors in the Deliverables, it will so notify Accela in writing prior to the completion of the Test Period CAdverse Notification"), specifying in sufficient detail the nature of the error(s). Upon receipt of an Adverse Notification, Accela will correct any identified and reproducible material errors in the Deliverables within a reasonable time and Customer may retest the Deliverables for as many as fifteen (15) additional calendar days. Acceptance will be deemed to occur when a) Customer notifies Accela that the Deliverables have successfully completed Customer's testing; b) the Test Period or subsequent retesting period(s) are completed without an Adverse Notification being received by Accela from Customer; or c) Customer uses the Deliverables in a "live" environment to perform its customary governmental, administrative, or business activities, whichever first occurs ("Acceptance Date"). 5.3. Customer Cooperation As required, Customer agrees to provide Accela with appropriate access to Customer's facilities, personnel, data systems, and other resources. Customer acknowledges that the implementation process described in this Agreement is cooperative in nature and that Customer must complete its designated tasks in a timely manner in order for Accela to proceed with and complete the Professional Services. Customer delays during the implementation period may have adverse collateral effects on Accela's overall work schedule. Although Accela will use its best efforts to immediately resume work following such a delay, Customer acknowledges that schedules for the Professional Services may be delayed by more than the number of days delayed by Customer. Customer agrees that if additional time is required to complete the Professional Services because of Customer delays, such time will be charged to Customer at Accela's then-current time-and-materials rates. 6. Compensation 6.1 License and Maintenance Fees In exchange for the license and maintenance described in the herein, Customer will pay to Accela the amounts indicated in Exhibit A. 6.2 Software Installation Fees In exchange for the Professional Services, Customer will pay to Accela the amounts indicated in Exhibit A according to the payment schedule described in the SOW. The pricing set forth herein reflects information generally known to Accela, supplied to Accela by Customer, and based on Accela's interpretation of the work to be performed. In addition to such amounts, Customer will reimburse Accela for airfare, travel time, lodging, rental transportation, meals, and other miscellaneous expenses at current rates. License Agreement (LA), Version 08272007 RMA 461 0) 0 Attachment number 1 Page 5 of 23 6.3 Payment Terms Amounts are quoted in United States dollars and do not include applicable taxes, if any. Customer will be responsible for payment of all federal, state or provincial, and local taxes and duties, except those based on Accela's income. If Customer is exempt from certain taxes, Customer will provide Accela with an appropriate certificate of exemption. Customer will be invoiced for all amounts as they become due. Customer shall pay all invoices in accordance with the Florida Prompt Payment Act, F.S. Secs. 255.0705-255.078. 7 Confidentiality 7.1 Definitions "Disclosing Party" and "Recipient" refer respectively to the party which discloses information and the party to which information is disclosed in a given exchange. Z=ither Accela or Customer may be deemed Disclosing Party or Recipient depending on the circumstances of a particular communication or transfer of information. "Confidential Information" means all disclosed information relating in whole or in part to non-public data, proprietary data compilations, computer source codes, compiled or object codes, scripted programming statements, byte codes, or data codes, entity-relation or workflow diagrams, financial records or information, client records or information, organizational or personnel information, business plans, or works-in-progress, even where such works, when completed, would not necessarily comprise Confidential Information. The foregoing listing is not intended by the Parties to be comprehensive, and any information which Disclosing Party marks or otherwise designates as "Confidential" or "Proprietary" will be deemed and treated as Confidential Information. Information which qualifies as "Confidential Information" may be presented to Recipient in oral, written, graphic, and/or machine-readable formats. Regardless of presentation format, such information will be deemed and treated as Confidential Information. Notwithstanding, the following specific classes of information are not "Confidential Information" within the meaning of this Section: a) information which is in Recipient's possession prior to disclosure by Disclosing Party; b) information which is available to Recipient from a third party without violation of this Agreement or Disclosing Party's intellectual property rights; c) information disclosed pursuant to Subsection 4.4 below; d) information which is in the public domain at the time of disclosure by Disclosing Party, or which enters the public domain from a source other than Recipient after disclosure by Disclosing Party; e) information which is subpoenaed by governmental or judicial authority; and f) information subject to disclosure pursuant to a state's public records laws. 7.2 Confidentiality Term The obligations described in this Section commence on the Effective Date and will continue until two (2) years following any termination or expiration of this Agreement ("Confidentiality Term"). 7.3 Confidentiality Obligations During the Confidentiality Term, Recipient will protect the confidentiality of Confidential Information using the same degree of care that it uses to protect its own information of similar importance, but will in any case use no less than a reasonable degree of care to protect Confidential Information. Recipient will not directly or indirectly disclose Confidential Information or any part thereof to any third party without Disclosing Party's advance express written authorization to do so. Recipient may disclose Confidential Information only to its employees or agents under its control and direction in the normal course of its business and only on a need-to-know basis. In responding to a request for Confidential Information, Recipient will cooperate with Disclosing Party, in a timely fashion and in a manner not inconsistent with applicable laws, to protect the Confidential Information to the fullest extent possible. 7.4 Publicity During the term of this Agreement, including the term of any amendment hereto, Accela may publicly disclose its ongoing business relationship with Customer. Such disclosures may indicate Customer's identity and the Accela product(s) and services provided or contracted to be provided to Customer, but may not expressly or impliedly indicate Customer's endorsement of Accela's products or services without Customer's prior written authorization. License Agreement 0), Version 08272007 11Ohl010 Attachment number 1 Page 6 of 23 8 Other Terms and Conditions 8.1 Customer Obligations As required, Customer will provide Accela with appropriate access to Customer's facilities, data systems, and other resources. If Security restrictions impair such access, Customer acknowledges that some maintenance services hereunder may not be provided to Customer. It is Customer's sole responsibility to maintain current backup copies of its data and of its implementation of Accela's software products. If Customer's failure to create proper backups substantially increases the difficulties of any remedial actions by Accela hereunder, Accela reserves the right to charge Customer for any extra work reasonably-attributable to such increased difficulty, as calculated at Accela's then-current time-and-materials rates. 8.2 Proprietary Rights The remedial methods, software updates, and product information provided to Customer pursuant to this Agreement are protected under the laws of the United States and the individual states and by international treaty provisions. Accela retains full ownership in such items and grants to Customer a limited, nonexclusive, nontransferable license to use the items, subject to the terms and conditions of this Agreement and other agreements between Accela and Customer. 8.3 Limitation of Liability Accela provides no warranty whatsoever for any third-party hardware or software products. Third-party applications which utilize or rely upon the Application Services may be adversely affected by remedial or other actions performed pursuant to this Agreement; Accela bears no liability for and has no obligation to remedy such effects. Except as set forth herein, Accela provides all Maintenance Services "as W without express or implied warranty of any kind regarding the character, function, capabilities, or appropriateness of such services or deliverables. To the extent not offset by its insurance coverage and to the maximum extent permitted by applicable laws, in no event will Accela's cumulative liability for any general, incidental, special, compensatory, or punitive damages whatsoever suffered by Customer or any other person or entity exceed the fees paid to Accela by Customer during the twelve (12) calendar months immediately preceding the circumstances which give rise to such claim(s) of liability, even if Accela or its agents have been advised of the possibility of such damages. 8.4 Mutual Indemnification Accela agrees to indemnity, defend, and hold Customer and its officers, agents, and employees harmless against any claims, suits, or damages arising out of physical property damage or bodily injury caused by the negligence or misconduct of Accela or its employees or agents while the terms and conditions of this Agreement remain enforceable. Customer agrees to indemnify, defend, and hold Accela and its officers, agents, and employees harmless against any claims, suits, or damages arising out of physical property damage or bodily injury caused by the negligence or misconduct of Customer or its employees or agents while the terms and conditions of this Agreement remain enforceable. 8.5 Insurance Coverage Accela will maintain insurance coverage at its sole cost and expense and will provide certificates of insurance to Customer if so requested. The insurance will not be cancelled or terminated without thirty (30) calendar days' advance written notice to Customer. 8.5 Force Majeure if either party is delayed in its performance of any obligation under this SA due to causes or effects beyond its control, that party will give timely notice to the other party and will act in good faith to resume performance as soon as practicable. 8.7 Dispute Resolution This Agreement is governed according to the ordinances and laws of Pinellas County and the State of Florida. Each party will initially bear its own expenses. The failure of either party to object to a breach of this Agreement will not prevent that party from thereafter objecting to that breach or any other breach of this Agreement. License Agreement (LA), Version 08272007 gtow Ot 0 Attachment number 1 Page 7 of 23 8.8 Assignment Accela may assign its rights and obligations hereunder for purposes of financing or pursuant to corporate transactions involving the sale of all or substantially all of its stock or assets. 8.9 Survival The following provisions will survive the termination or expiration of this Agreement: Section 6 and all subsections thereof, as to Customers obligation to pay any fees accrued or due at the time of termination or expiration; Section 7 and all subsections thereof, and Section 8, and all subsections thereof. 8.10 Alternate Terms Disclaimed The parties expressly disclaim any alternate terms and conditions accompanying drafts and/or purchase orders issued by Customer. 8.11 Severability and Amendment If any particular provision of this Agreement is determined to be invalid or unenforceable, that determination will not affect the other provisions of this Agreement, which will be construed in all respects as if the invalid or unenforceable provision were omitted. No extension, modification, or amendment of this Agreement will be effective unless it is described in writing and signed by the Parties. CITY OF CL.EARWATER, FLORIDA Exhibits Fallow. By: William B. Horne II City Manager Dated: (Month, Day, Year) Countersigned: Frank V. Hibbard Mayor Attest: Cynthia E. Goudeau City Clerk Approved as to form: Assistant City Attorney END OF DOCUMENT License Agreement (LA), Version 08272007 Aw of 0 0 Attachment number 1 Page 8 of 23 EXHIBIT A Dellverables Quantif Fees Accela Automation° Land Management Server License (Includes 5 Named User Licenses 1 $54,995.00 Accela Automation Land Management Additional Famed User Licenses 85 $186,915.00 Accela Citizen AccessT11 Server License 1 $10,995.00 Accela Citizen Access Additional Named User License (Based Upon 107,742 Population) 1 $8,619.36 Accela Citizen Access Module Fee 1 $10,995.00 Accela GIST{' Server License includes 5 Named User Licenses 1 $10,995.00 Accela GIS Additional Named User Licenses 5 $3,295.00 First-Term Annual Maintenance for Accela Automation® Land Management 1 Server License 90 Named User Licenses 1 $48,382.00 First-Term Annual Maintenance for Accela Citizen AccessTM (1 Server License Based Upon 107,742 Population]) 1 $6,121.87 First-Term Annual Maintenance for Accela GISTM (1 Server License and 10 Named User Licenses 1 $2,858.00 Professional Services -- Implementation Estimated 1,712 Hours NIA $304,600.00 Estimated Travel Expenses NIA $43,020.00 Sub Total of Fees $691191.23. Customer Discount' NIA $286,809.36 ?otal of Fees ; $40041.8T' 1 Customer Discount software upgrade from Tidemark Advantage to Accela Automation. Upon contract signing, Customer will be invoiced for Software License, First-Term Annual Maintenance, and pre- paid Implementation fees for a total of $202,490.93 or 50% of total estimated contract cost. Second-Term Annual Maintenance Fees will increase from First-Term Annual Maintenance Fees by an amount equivalent to the then-most-current annual Consumer Price Index for the Tampa-St. Petersburg-Clearwater, Florida Metropolitan Area (CPI-U [Tampa-St. Petersburg-Clearwater, FL)) plus three percent (3%); said Second-Term Annual Maintenance Fees are due on the first anniversary of the Effective Date. Third-Term Annual Maintenance Fees will increase from Second-Term Annual Maintenance Fees by an amount equivalent to the then-most-current annual CPI-U (Tampa-St. Petersburg-Clearwater, FL) plus three percent (3%); said Third-Term Annual Maintenance Fees are due on the second anniversary of the Effective Date." Fourth-Term Annual Maintenance Fees will increase from Third-Term Annual Maintenance Fees by an amount equivalent to the then-most-current annual CPI-U (Tampa-St. Petersburg-Clearwater, FL) plus three percent (3%); said Fourth-Term Annual Maintenance Fees are due on the third anniversary of the Effective Date. Fifth-Term Annual Maintenance Fees will increase from Fourth-Term Annual Maintenance Fees by an amount equivalent to the then-most-current annual CPi-U (Tampa-St. Petersburg-Clearwater, FL) plus three percent (3%); said Fifth-Term Annual Maintenance Fees are due on the fourth anniversary of the Effective Date. Sixth-Term Annual Maintenance Fees will increase from Fifth-Term Annual Maintenance Fees by an amount equivalent to the then-most-current annual CPI-U (Tampa-St. Petersburg-Clearwater, FL) plus three percent (3%); said Sixth-Term Annual Maintenance Fees are due on the fifth anniversary of the Effective Date. License Agreement (LA), Version 08272007 Rt 4 010 Attachment number 1 Page 9 of 23 Seventh-Term Annual Maintenance Fees will increase from Sixth-Term Annual Maintenance Fees by an amount equivalent to the then-most-current annual CPI-U (Tampa-St. Petersburg-Clearwater, FL) plus three percent (3%); said Seventh-Term Annual Maintenance Fees are due on the sixth anniversary of the Effective Date. END OF DOCUMENT License Agreement (LA), Version 08272007 Rted W 10 Attachment number 1 Page 10 of 23 EXHIBIT B Statement of Work (SOWS document follows this page. END OF DOCUMENT License Agreement (LA), Version 08272007 pnem *010 Attachment number 1 Page 11 of 23 ?CCEL/ TruepPoint; Solutions Scope of Services for the Accela Automation Tidemark Upgrade Clearwater, FL April 8th, 2009 Version 5.0 Item # 10 Attachment number 1 Page 12 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL TABLE OF CONTENTS ACCELA AUTOMATION IMPLEMENTATION PROCESS.. - ............ I ..... ...... .......... 3 .............................................SCOPE OF SERVICES ..............................................................................................................................................................................3 PROJECT INITIATION 3 INSTALLATION 4 PROJECT MANAGEMENT 4 CONFIGURATION ANALYIS 5 CONFIGURATION 5 BUILD 6 TRAINING 9 PRODUCTION GO LIVE SUPPORT 9 KEY ASSUMPTIONS AND EXCEPTIONS 9 PROJECT RESOURCES AND LOCATION OF WORK... ........................... ........................................... ............................................... 10 WORK LOCATION 10 ACCELA AND TRUEPOINT RESOURCES 10 CLEARWATER RESOURCES 10 EXPENSES 12 PROPOSED PROJECT DURATION 12 APPENDIX A: CHANGE ORDER FROM .................................................................................................................................................13 Page 2 Item # 10 Attachment number 1 Page 13 of 23 Scope of Services - Accela Automation Implementation ACS L AUTOMATION IMPLEMENTATION PROCESS City of Clearwater, FL TruePoint and Accela are committed not only to providing a superior software solution for Clearwater's current and future needs, but also to assist the City in the successful implementation and deployment of the solution. Accela/TruePoint has over 25 years of providing permitting systems for the public sector and is the only vendor in this market to have successfully installed and deployed a true 3-tier web-based solution. TruePoint will work with City staff to optimize Accela's portfolio of software, and the customer experience to enable the City to successfully deploy its Accela Automation solution and meet its functionality, timing and cost requirements. This is a time and materials project with a projectedlesti mated number of One Thousand Seven Hundred Twelve (1,712) hours, with no cap. The Accela/TruePoint team will communicate with the City's Project Manager on a deliverable by deliverable basis to ensure there are no surprises when it comes to the actual hours worked and billed as the project progresses. All billings will be actual time and expenses as incurred. The following diagram depicts the implementation process, broken down into six project stages: Develop Solution and customizations Review Goals and Analyze and Design Test, Train and Go Live and Post Plan Project Solution Configure System Prepare for Go Live Production Support SCOPE F SERVICES TruePoint proposes a joint team approach to collaboratively configure and implement the Accela Automation software. The system will be implemented using a combination. of resources from the City and TruePoint with some specialty services provided by Accela. This will ensure the City is prepared to maintain the system going forward by having hands on experience during the configuration. The following sections describe the proposed implementation services for the City in detail. The project will include the following modules and add-on products: Implementation of Accela Automation Modules for Land Management to include the following departments: Building Planning Code Enforcement Business Tax Receipts Implementation of the following Accela Add-On products: Accela GIS Accela Citizen Access PROJECT INITIATION During the Project Initiation stage, TruePoint will create a project plan with a critical path summary, as well as review, in conjunction with the City project staff, all project milestones and deliverables that detail the effort described for this Page 3 Item # 10 Attachment number 1 Page 14 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL engagement. The draft of the project plan will be incorporated into a Master Project Plan that will be maintained by TruePoint and the City. A Project Kickoff meeting will also take place during this project stage. Deliverable: Kickoff Meeting and Project Plan. INSTALLATION To successfully install the Accela suite of products, Accela technical staff will work with the City IT managers to ensure that the components for hardware, software, database, network, and Internet are in place for the test and production environments. Accela technical staff will validate the proper installation and configuration of the Accela Automation environment. Specifically, Accela will perform the following tasks: • Perform a remote software check of the installation. • Install Accela software and perform quality assurance checks on the configuration and performance based on acceptance criteria mutually developed by Accela and the City. • Install the Reference Configuration • Demonstrate that the Accela Automation Land Management applications are operational in the City's computing environment. Software Setup will include the installation of the test and production environments. City Responsibilities: • Arrange for the availability of appropriate people for the software installation, setup, testing, and quality assurance throughout the setup process • Order and procure necessary hardware, non-Accela software, and networking infrastructure. • Provide people and physical resources based on the dates outlined in the project schedule. • Prepare the hardware, software, and network in accordance with the specifications provided. • Provide network access for remote installation and testing. Acceptance Criteria,: The Software Setup will be accepted when City representatives agree that the environments for test and production are successfully installed and configured and that the Accela Automation software is operational in the City environment. PROJECT MANAGEMENT TruePoint will perform project management services needed to plan and monitor execution of the project in accordance with deliverables outlined in the Scope of Work. Generally these services include the following: • Project Initiation • Change order management • Issue log management and escalation • Resources management • Meetings management Page 4 Item # 10 Attachment number 1 Page 15 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL Project Management tasks will be shared between the TruePoint Project Manager and the City Project Manager. A project plan will be maintained and monitored using Microsoft Project. CONFIGURATION ANALYIS During the Configuration Analysis stage, TruePoint will conduct interviews with key representatives from City offices involved in the permitting processes for each department. The configuration analysis will be confined to the current permitting processes in the Tidemark system. TruePoint will make recommendation where appropriate on ways to make the current business processes work efficiently with Accela Automation. During these configuration analysis workshops TruePoint will: + Review and chart each business process as a basis for configuration in Accela Automation's workflow tool Review and document intake requirements, forms, and data fields for each permit/business process type o Collect and document output requirements (documents/letterslreports). s Collect and document fees, fee schedules, and collection procedures for each permit/business process type R Collect and document all required inspections and inspection result options for each permit type Deliverable: The deliverable from the Configuration Analysis will be Accela Automation system configuration document. City Responsibilities: Arrange for the availability of appropriate technical computing environment and system analysts to support the Configuration Analysis activities. Make available the appropriate City key users and content experts to participate in the Configuration Analysis and verify the accuracy of the documented workflows, input/output formats, and data elements. o Provide information and data in the formats specified that will be needed for system setup and application configuration. Acceptance Criteria: The Configuration Analysis Document will be accepted when TruePoint and the City agree that each business process has been appropriately documented in the configuration document. Acceptance must be completed prior to beginning System Configuration. CONFIGURATION TruePoint will provide professional services to configure Accela Automation in accordance with requirements established and agreed upon during the System Configuration Analysis effort. Based on the System Configuration Document, TruePoint will configure the CAP (Case/Application/Permit) types in Accela Automation. Each CAP type developed will include all associated workflows, fees, inspections, conditions and other key system features in support of City requirements. Specific CAP types to be developed will be determined during the System Configuration Analysis. Page 5 Item # 10 Attachment number 1 Page 16 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL The deliverable from the System Configuration will be Accela Automation system configured in accordance with the System Configuration Document specifications. Once the base configuration is in place TruePoint will create an administrator and daily user console to be used during testing. City staff will be trained and responsible for creating users, user groups, additional consoles, customized portlets, customized ASI from layouts, and expression editor rules as needed for their configuration. City Responsibilities: • Identify and make available staff members who will work with TruePoint through this process and take responsibility for providing information for and validating the CAP types to be configured. • Arrange the time for qualified decision makers and business experts for the design review/configuration analysis sessions that are critical to project success. • Unit testing and final system testing of the configuration. Acceptance Criteria: The City will test the configured system for purposes of validating the CAP types configured. The CAPS will be accepted when TruePoint and the City agree that all requirements, objectives, and scope have been appropriately defined in each CAP type per the configuration doc. BUILD The Build stage includes development of a Parcel and Owner interface from outside sources, Tidemark conversion, development of Accela Event Scripts to automate business processes, and the installation and configuration of Accela add-on products. Parcel and Owner Interface Definition: Based on a review of the Cities requirements, TruePoint will deliver an interface between the outside agencies and the Accela Automation system to populate Parcel and Owner information (addresses will be maintained in Accela). • The outside agency will create a flat file in the standard Accela format for Parcel and Owner data, which TruePoint will use to update the Accela reference data. This process can be set up to run at whatever frequency the City determines is appropriate. • In addition to the standard data fields the City may choose to add additional parcel attributes to the parcel data in the Land management system. These will be defined as part of the configuration analysis process. City Responsibilities: • Allocate the time for qualified business and technical experts for the interface requirements sessions that are critical to the project success. • Provide problem-free data to the format specified by TruePoint including an accurate data dictionary for the data set. • Assist in the interfaceldata mapping process. • Ensure that the data populates successfully according to the interface requirements document. • Allocate the time for qualified personnel to test the interface for acceptance Acceptance Criteria: The APO interface will be accepted when the City agrees that all data is being created or updated successfully. Page 6 Item # 10 Attachment number 1 Page 17 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL Event Manager Scripts Development TruePoint will develop Event Scripts using Accela Automation's integral Event Manager scripting functionality to automate specific business rules/processes within Accela Automation. Examples of processes to be automated with scripts include: business inspection assignment, or automatic fee creation. Should the City desire that TruePoint develop additional scripts beyond those included in this Statement of Work and Identified in the Project Plan, TruePoint will provide the required professional services following the execution of the Change Order process as described below. City Responsibilities; • Identify and make available staff members who will work with TruePoint through this process and take responsibility for providing information for and validating the Event Manager Scripts to be developed. • Arrange the time for qualified decision makers and business experts for the design review/configu ration analysis sessions that are critical to project success. Acceptance Criteria: The successful demonstration of the developed scripts within the Accela Automation system. Tidemark Conversion The conversion of historic data from the existing database is one of the most significant aspects of a project when migrating from one system to another. The required data mapping effort will be a conducted by City personnel with assistance from TruePoint. Once the data mapping has been defined, TruePoint will ask that a representative of the City sign off on the data maps. True Point will load the data based upon the data maps specification provided by the City using the standard Tidemark to Accela Automation tool. TruePoint will be responsible for the data conversion programs to load data to the Accela Automation database in the Support and Production Environment. TruePoint will provide additional professional services, if required to complete the task, following the execution of the Change Order process as described below. Acceptance Criteria: The successful conversion of the Tidemark data into the Accela Automation system. Reports Development TruePoint will provide custom report development assistance for documents/letters/reports that are identified by the City as required for the new system in this task. This development will be done using Crystal Reports. These custom reports will be deployed in the Report Manager for use within Accela Automation. The Accela Report Manager integration requires Crystal Reports Xi Server, which allows an organization to publish reports to the web. TruePoint will provide additional professional services, if required to complete the task, following the execution of the Change Order process as described below. City Responsibilities: • Make available the appropriate key users and content experts to participate in the report specification development and validation activities. • Provide information and data in the formats specified that will be needed for the report configurations. • Provide Crystal Report expert(s) to work with TruePoint on the reports. • Crystal Report XI Server is required id Crystal is used • Crystal Reports XI will need to be purchased by the City if reports are developed in-house. Page 7 Item # 10 Attachment number 1 Page 18 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL Prior to the development of a report the City will approve a report design specification document that will be created jointly by the City and TruePoint. The approved document will be used as a basis for determining completion and approval of the report. Add-On Product - Accela GIS Accela will install and configure Accela GIS to link and leverage existing City GIS information, including assistance with establishing the map service to be used in conjunction with Accela GIS and configuration one dynamic theme as defined by the City. City Responsibilities: • Arrange for the availability of appropriate people for the system installation, setup, testing, and quality assurance throughout the setup process • Provide people and physical resources based on the dates outlined in the project schedule. • Provide information and data in the formats specified by Accela that will be needed for the GIS implementation. Acceptance Criteria: Acceptance will require the successful demonstration of the GIS module within the Accela system to the City. Add-On Product - Accela Citizen Access AccelalTruePoint will deliver to the City users the specifications and application software for the Accela Citizen Access add-on module. To support these activities AccelalTruePoint will provide the following services: • Install Accela Citizen Access • Create configuration specification for application and console views • Create three on-line processes to research permits, schedule an inspection; and apply for a permit • Create three (3) console views into the database: CitizenlAnonymous Access, Contractor and Management City Responsibilities: • Arrange for the availability of appropriate people for the system installation, setup, testing, and quality assurance throughout the setup process • Procure appropriate online merchant account for processing of online credit card payments. • Provide people and physical resources based on the dates outlined in the project schedule. • Provide information on the services and selected OAPs that the City desires to offer via Accela Citizen Access. Acceptance Criteria: Acceptance will require the successful demonstration of the implemented module within the Accela system along with written sign-off from the City. 3rd Party Product - Tole-Works IVR Inspection scheduling and status features will be leveraged to the public through an interface to Tele-Works IVR. While Accela has an existing relationship with Tele-Works that allows Tele-Works IVR to be integrated with Accela Automation for inspection scheduling and tracking purposes, the responsibility for the maintenance of the interface becomes the responsibility of Tele-Works and the City. Page 8 Item # 10 Attachment number 1 Page 19 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL Note: Additional hardware or software licenses may be required from Tele-Works, City Responsibilities: 0 Arrange for the availability of appropriate people for the software installation, setup, testing, and quality assurance throughout the setup process 0 Order and procure necessary hardware, non-Accela software, and networking infrastructure as specified by Accela, 0 Provide people and physical resources based on the dates outlined in the project schedule. 0 Provide Tele-Works with network access for remote installation and testing. Acceptance Criteria: Acceptance will require the successful demonstration of the Tele-Works 1VR software to the City. The City will be required to provide written sign-off upon acceptance. TRAINING Train the Trainer Training: TruePoint will provide on-site and/or remote WebEx training sessions for the following areas: Daily Activities, Administrator, Event Scripting, Accela GIS, Accela and Citizen Access. Training hours will be distributed among the training categories as mutually agreed by TruePoint and the City project stakeholders. Training will be train-the-trainer or actual administrator training depending on the class. The City Project Manager will identify those individuals to be trained in each of the above categories. These training classes will be scheduled throughout the implementation process as appropriate. TruePoint and City Responsibilities: 0 T Property select and prepare the power-users who will be participating in the training and subsequently training end users. 0 Arrange the time and qualified people for the training who are critical to the project success. Acceptance Criteria: This deliverable will be accepted when 64 hours of training is completed. PRODUCTION C LIVE SUPPORT Production Go Live is defined as the first production use of the system. TruePoint will be on site during the cutover process and provide up support for the City end users and project team. KEY ASSUMPTIONS AND EXCEPTIONS The following assumptions and exceptions apply to this project: ® This is a Time and Materials project. There are 1,712 hours estimated to complete this SOW. Should any additional hours be required to finish this project the customer will be billed at a rate of $178 per hour upon the execution of change orders adding the agreed upon additional hours to complete the tasks. ® Address clean up is NOT part of this SOW. Page 9 Item # 10 Attachment number 1 Page 20 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL • The AccelalTruePoint Team may request deliverable sign-off on a task by task basis. • Travel costs are estimated to be $43,020 by using 18 trips as an estimate. • The AccelalTruePoint Team with work with the City to develop a Project Plan and will update this plan through-out the project. • The City, TruePoint and Accela will be able to commit the time and resources necessary to participate in, and contribute to project activities • The City and TruePoint will use a collaborative approach to ensure implementation success • The City will provide TruePoint and Accela with reasonable access to its equipment, systems, personnel, and facilities to the extent needed to complete the Services. • The City is responsible for purchasing third party hardware and software required for Accela Citizen Access, including but not limited to an online merchant account and all related hardware required by the merchant account provider for the handling of credit cards and/or checks. • TruePoint assumes that all APO data to be migrated will be scrubbed as necessary by City resources prior to import • Change Order process: Should the City identify additional work as a part of this engagement during the. System Configuration Analysis effort or at other points during the project duration, TruePoint will issue a Change Order to reflect the additional costs (if any) associated with the change for review and approval by the City. No additional work will be undertaken without prior consent of the City. See Appendix SOW-A for the Change Order template. If hours are available from tasks that are complete those hours can be used on other tasks with the prior consent of both parties. PROJECT RESOURCES AND LOCATION OF WORK WORK LOCATION Services contracted for under this Scope of Work may be performed remotely and/or at the City on-site facilities as deemed appropriate and reasonable for the successful completion of the Services detailed herein. When on-site activities are required at the City, the TruePoint Project Manager will coordinate with the City Project Manager to secure suitable accommodations to meet the specific engagement requirements. It is anticipated that TruePoint will require, at minimum, facilities to accommodate on-site System Configuration Analysis and Training. TruePoint will also require Internet access during on-site configuration efforts that will occur during the course of the project. ACCEL AND TR JEPOINT RESOURCES Accela and TruePoint wit[ assign key Professional Services resources for this engagement with the City. These individuals are well versed in the Accela Automation application, and are well qualified to lead this effort. It should be understood that TruePoint, at its sole discretion, with appropriate notice to the City, may choose to augment or replace individuals on this team with other qualified team members at any time during the course of this effort. The TruePoint Project Manager shall assume full responsibility for the coordination of this team and its interaction with key City resources assigned to the effort CLEAR WATER RESOURCES The City will provide the following personnel to work together with the TruePoint and Accela Team to deliver the Services as presented in this document, and make additional personnel available as necessary to ensure the success of this engagement. Additionally, the City should identify one or two users of the new system to be trained as administrators or "power users." The following list identifies functional roles required by this project, along with a brief description of their anticipated contribution to the project's success. We suggest that you make the following appointments and share the outlined Page 10 Item # 10 Attachment number 1 Page 21 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL duties with the appropriate appointee. It is critical to the success of your implementation that the team members chosen be available during the implementation cycle, and schedule the time needed to participate fully in the planning and configuration processes, Project Sponsor Responsibilities include the following: • Ultimate responsibility for the success of the project • Creating an environment that promotes project buy-in • Driving the project through all levels of the agency • High-level oversight throughout the duration of the project Project Manager Responsibilities include the overall administration, coordination, communication, and decision-making associated with the implementation. • Planning, scheduling, coordinating and tracking the implementation with TruePoint and across the departments within the agency • Identifying and recruiting the in-house project implementation team • Attending the initial workshop training • Ensuring that the project team stays focused, tasks are completed on schedule, and that the project stays on track Departmental Representatives A user representative for each affected department should be appointed. These critical appointments may well determine the success of the Accela Automation implementation. The departmental representative(s) should have a clear understanding of all the business processes that Accela Automation will affect within their department, and how those business processes cross-departmental boundaries. Ideally, they will have been involved in the initial purchasing decision and have a solid understanding of how the Accela Automation system will interact with departmental business processes. They will be the initial contact person within a department for all Accela Automation issues before, during, and after the implementation. These individuals should be able to make solid business decisions, and have a vested interest in the success of the implementation of the system. Additionally, the ability to effectively communicate with their peers and the project team will be essential. Confidence that the right decisions are being made will promote acceptance by the general user community. Schedule flexibility will be expected of the departmental representatives, as there will be crucial periods in the implementation process that will require dedicated time. Responsibilities include: • Attending the project kick-off and initial workshop training • Willing and able to gather data and make decisions about business processes • Assisting in creating the specifications for custom modifications • Reviewing and testing the completed modifications • Participating in the implementation of the Accela Automation solution Recommended Requirements: • Excellent communication skills • Clear understanding of the users perspective and needs • Clear understanding of the current business processes Page 4t Item # 10 Attachment number 1 Page 22 of 23 Scope of Services - Accela Automation Implementation City of Clearwater, FL EXPENSES Travel Time an all out-of-pocket travel & lodging expenses incurred by TruePoint and Accela resources in the performance of this Scope of Services are inclusive in the Budgetary Estimate. Out-of-pocket travel and living expenses include but are not limited to all travel time, airfare, transportation, lodging, parking, telecommunication and meals. PROPOSED PL®JECT DURATION 'Task Nsrw' ' 3 Duralkw l I I-: Accela Amoniation Implementation i 1242.5 days? 2 Initiation 11 clays 6. M Product Installation (Accela Hosted) i 1 day 10 C+? Business AnalysisAepaitment Prototypes 65 (lays AS M Claerwater Internil Installation - -- - - 24 days? 97 I-+J System contigmation I 61 days 21., - - C} Report Development ---- ---- - E 36 clays 26 1fl Parcel and Owner Data Interface 25 clays 33 M Tidemark Data Conversion E 67 days 39 C+ Training i 222 days 44 U CES 13 days 47 l+ Accela Citizen Access 29 days 52 l7 Production Readiness ? 5 clays S$ G4 Live ?r 1 day S5 __- C Post Productron Suppor# 7.5 days Page 12 Item # 10 Attachment number 1 Page 23 of 23 Scope of Services - Accela Automation Implementation APPENDIX : CHANGE ORDER FROM Change Order Agency: Project: Contract Amendment Lease Agreement SOW #: Initiating Department: Initiated By: Change Category: Priority: ? Product ? Project ? High/Critical ? Medium City of Clearwater, FL CO #: 01 Date: Date: Date: ? Contract ? Low PROJECT CHANGE DESCRIPTIONITASK SUMMARY: 1. <issue name> • issue details I scope impact: • schedule impact: • resource impact: • cost impact: 2. <issue name> • issue details I scope impact: • schedule impact: • resource impact: • cost impact: Total Project Schedule Impact: Total Project Resource Impact: Total Project Cost Impact: DISPOSITION COMMENTS: Disposition: ? Approved Rejected ? Closed ? See Comments Date: Signature and Acceptance The above Services will be performed in accordance with this Change Order/Work Authorization and the provisions of the Contract for the purchase, modification, and maintenance of the Accela systems. The approval of this Change Order will act as a Work Authorization for AccelalTruePoint and/or Agency to perform work in accordance with this Change Order, including any new payment terms identified in this Change Order. This Change Order takes precedent and supersedes all other documents and discussions regarding this subject matter. Page 13 Item # 10 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Approve Memorandum of Understanding and Interlocal Agreement pursuant to the Department of Justice, Bureau of Justice Assistance (DOJBJA) Recovery Act/Edward Byrne Memorial Justice Assistance Grant application to be filed by Pinellas County on behalf of the City of Clearwater and other municipalities and authorize the appropriate officials to execute same. (consent) SUMMARY: • On April 7, 2009, Clearwater Police Department was granted approval by the City's Resource Management Committee to utilize its $383,713 allocation under the federal Recovery Act/Justice Assistance Grant (JAG) program by participating in a countywide project with the Pinellas County Sheriff's Office (PCSO) to implement a Prisoner Transport System. A countywide Prisoner Transport System was one of the recommendations of the Pinellas Assembly in 2004. • The U.S. Department of Justice/Bureau of Justice Assistance (DOJBJA) has designated Pinellas County and the following 12 cities as "disparate": Clearwater, St. Petersburg, Largo, Gulfport, Pinellas Park, St. Pete Beach, Tarpon Springs, Dunedin, Madeira Beach, Oldsmar, Safety Harbor, and Seminole. • This "disparate" allocation exists because multiple cities in the county are collectively eligible to receive four times (400%) more in JAG funds than Pinellas County. • DOJBJA requires that the county must be the single applicant/fiscal agent in this type of disparate situation. A joint application must be filed on behalf of the county and all 12 cities for the total eligible allocation of $3,129,032. • All parties have viewed this grant as an outstanding opportunity to implement a countywide Prisoner Transport System. All of the funds (except $1,303,348 which is to be separately retained by the City of St. Petersburg) will be used to fund a Prisoner Transport System that benefits the cities and the county. Under the Prisoner Transport System, law enforcement officers in the 12 cities will contact PCSO when they have arrested one or more individuals who need to be transported to the county jail. PCSO will pick up the prisoner(s), transport at the time of arrest and book the person(s) into the jail, allowing the municipal police officer to go back into service immediately. • This program has been implemented, on a trial basis at no cost, in Clearwater since March 2009 and has been a huge success, saving police officer time and transportation costs to and from the jail. The Police Department believes that its participation in the Prisoner Transport System is in the best interests of the City and a wise investment of the Recovery Act/JAG funding. • PCSO will file the grant application on behalf of all participants. A signed Memorandum of Understanding and Interlocal Agreement from each city is required for submission to DOJBJA. • There are no additional costs associated with this project such as additional personnel or cash match. At the conclusion of the grant period, if not refunded, the project will terminate without any cost to the participating agencies. • The countywide program is scheduled to start October 1, 2009; however, PCSO has agreed to continue the pilot Prisoner Transport System in Clearwater until that time at no cost. Cover Memo Review 1) Legal 2) Clerk 3) Financial Services 4) Office of Management and Budget 5) Clerk 6) AssistAWAt# 11 Approval: Manager 7) Clerk 8) City Manager 9) Clerk Attachment number 1 Page 1 of 3 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITIES OF ST. PETERSBURG, CLEARWATER, DUNEDIN, MADEIRA BEACH, OLDSMAR, SAFETY HARBOR, SEMINOLE, GULFPORT, LARGO, PINELLAS PARK, ST. PETE BEACH, TARPON SPRINGS, AND THE PINELLAS COUNTY BOARD OF COUNTY COMMISSIONERS RE: U.S. DEPARTMENT OF JUSTICE BUREAU OF JUSTICE ASSISTANCE JUSTICE ASSISTANCE GRANT (JAG) The Cities of St. Petersburg, Clearwater, Dunedin, Madeira Beach, Oldsmar, Safety Harbor, Seminole, Gulfport, Largo, Pinellas Park, St. Pete Beach, and Tarpon Springs (Cities) and the County of Pinellas (County), Florida are units of local government appearing on the FY 2009 Units of Local Government list established by the United States Department of Justice, Bureau of Justice Statistics (BJS) as being eligible to apply for JAG funds. BJS has determined that the Cities and the County have a disparate allocation of JAG funds in that the Cities are scheduled to receive at least 4 times more than the County, while the County bears more than 50% of the costs of incarceration and court security that arise for Part 1 violent crimes reported by the geographically constituent units (i.e. Cities). As a result of the United States Department of Justice disparate jurisdiction certification, the Cities and the County must submit a joint application for the aggregate of JAG funds applicable to all the entities ($3,129,032). The Pinellas County Sheriff's Office, as designated by the Pinellas County Board of County Commissioners, and with the agreement of all the parties hereto, will serve as the Applicant and Fiscal Agent and will submit the required application. The Applicant/Fiscal Agent will ensure that the application is made public through the Applicant's public web site. The parties have agreed that all of the funds, except $1,303,348 which is to be separately retained by the City of St. Petersburg, will be jointly used to supplement and improve the efficiency and effectiveness of the Cities' and the County's delivery of countywide law enforcement services. More specifically, $1,825,684 will be used to fund a new countywide prisoner transportation unit than benefits the Cities and the County. The City of St. Petersburg will have limited access to the countywide prisoner transportation services, as it will retain certain funds as set forth for its unilateral use. Item # 11 Attachment number 1 Page 2 of 3 The Cities will provide the County with information to assist with the development of any fiscal and/or programmatic reports that are required by the JAG program. In acknowledgment and execution of the MEMORANDUM OF UNDERSTANDING REGARDING THE UNITED STATES DEPARTMENT OF JUSTICE, BUREAU OF JUSTICE ASSISTANCE, JUSTICE ASSISTANCE GRANT (JAG), I hereby set my hand this day of 2009: PINELLAS COUNTY SHERIFF'S OFFICE JIM COATS, Sheriff Item # 11 Attachment number 1 Page 3 of 3 In acknowledgment and execution of the MEMORANDUM OF UNDERSTANDING REGARDING THE UNITED STATES DEPARTMENT OF JUSTICE, BUREAU OF JUSTICE ASSISTANCE, JUSTICE ASSISTANCE GRANT (JAG), the parties hereto have set their hands and seals on this day of 2009. Countersigned: Frank V. Hibbard Mayor Approved as to form: Robert J. Surette Assistant City Attorney CITY OF CLEARWATER, FLORIDA By: William B. Horne, II City Manager Attest: Cynthia E. Goudeau City Clerk Item # 11 Attachment number 2 Page 1 of 6 INTERLOCAL AGREEMENT THIS AGREEMENT is made and entered into this day of 20097 by and between the Cities and/or Towns of St. Petersburg, Clearwater, Largo, Gulfport, Pinellas Park, St. Pete Beach, and Tarpon Springs, all Florida municipal corporations ("CITY" or collectively, "CITIES"), and Jim Coats, as Sheriff of Pinellas County, Florida ("SHERIFF"), (collectively referred to herein as the PARTIES). WITNESSETH: WHEREAS, the PARTIES enter into this AGREEMENT pursuant to the provisions of Sections 163.01, et seq., the Florida Interlocal Cooperation Act of 1969; and WHEREAS, the CITIES and the SHERIFF have determined that it is in the best interest of the health, safety and welfare of the citizens to enter into this Agreement as the Parties desire to improve the efficiency and effectiveness of law enforcement services provided to Pinellas County citizens through a countywide prisoner transport unit; and WHEREAS, the CITIES currently transport their own arrestees from their respective municipalities to the Pinellas County Jail, which often times results in several officers being away from their jurisdictions, and assigned patrol areas for extended periods of time. WHEREAS, the SHERIFF, for a reasonable fee to offset the costs of the services provided herein, will transport the CITIES' arrestees to the Pinellas County Jail, or the Pinellas Juvenile Assessment Center through the SHERIFF'S Prisoner Transportation Unit (PTU), resulting in officers spending less time away from their respective jurisdictions and being more readily available for calls for service. NOW THEREFORE, in consideration of the mutual promises and other good and valuable consideration contained herein, given by each party to the other, the receipt and adequacy of which is hereby acknowledged, the PARTIES hereby covenant and agree the following: 1) The purpose of this AGREEMENT is to establish the terms under which the SHERIFF will provide prisoner (arrestee) transportation services for the CITIES from various locations within Pinellas County to the Pinellas County Jail and/or the Pinellas Juvenile Assessment Center. 2) The SHERIFF agrees to make available prisoner transportation services to the CITIES 7 days per week and 20 hours each day. The usual operating hours of the PTU will be from 7:00 a.m. until 3:00 a.m., however the hours maybe adjusted in the SHERIFF'S discretion based upon a review of appropriate staffing levels and with reasonable notice to the CITIES. Item # 11 Attachment number 2 Page 2 of 6 3) The SHERIFF will transport adults and juveniles arrested or detained under the provisions of the Marchman Act by the CITIES' police officers, as well as respond to calls for transportation received from the Florida Probation Offices located in the various CITIES, to the Pinellas County Jail and/or the Pinellas Juvenile Assessment Center, as applicable. The CITIES will bear the cost of transportation from the Probation offices located within their jurisdictions as they now bear that responsibility. 4) Under the SHERIFF'S current "Ask - A - Nurse" program the CITIES' police officers are encouraged to have Jail medical personnel treat their injured or ill arrestees, when appropriate, rather than incur expense to the County for medical treatment of the arrestee at a local hospital. Under circumstances where the CITY'S officer has received clearance from Jail medical personnel that the arrestee can be treated at the Jail, SHERIFF'S PTU deputies will transport the prisoner. However, if the arrestee requires treatment at a hospital, the CITY'S officer will retain custody and responsibility of the prisoner until medically cleared for release and admittance to the Pinellas County Jail. PTU will pick-up the prisoner from the hospital if requested by the CITY. A) If an arrested juvenile requires medical clearance before he or she will be accepted by the Pinellas Juvenile Assessment Center, the arresting officer will retain custody and responsibility of the prisoner until medically cleared for release and admittance to the Pinellas Juvenile Assessment Center. If a PTU transported juvenile is denied admittance to the Juvenile Assessment Center because of an injury or medical condition occurring before coming into the custody of the SHERIFF'S PTU, the arresting agency may be contacted and required to resume custody of the juvenile for the purpose of having the arrestee medically cleared. B) The sole decision whether to take custody of and transport a prisoner shall rest with the SHERIFF, and such discretion shall be exercised reasonably considering the goals and purpose of this Agreement. 5) The CITIES agree to pay the SHERIFF $50.77 for each prisoner transported from a single location. If 2 or more prisoners, from a single agency, are transported from a single location (such as the police station, or a pre-designated pick- up point) the CITIES agree to pay the SHERIFF $80.77 for the transport. This "multiple prisoner" rate is limited to the capacity of a single van or transport vehicle from one location. Further, if any CITY desires PTU services dedicated to its city for a specific/special event, the service will be provided as an off-duty detail and billed at the SHERIFF'S current off-duty detail rate, which is currently $37.00 per hour. There is a 3 hour minimum for this service. A) The SHERIFF will invoice each CITY on a monthly basis for all services rendered under this Agreement and the CITIES agree to pay such invoices in a reasonable period of time. If a CITY has Justice Assistance Grant (JAG) funds available to it that are retained by the SHERIFF as the Applicant/Fiscal Agent for 2009 or 2 Item # 11 Attachment number 2 Page 3 of 6 subsequent JAG funding, the invoice cost will be deducted from the CITY'S balance. The CITY will nonetheless be provided a monthly invoice showing the transfer of its JAG funds. B) The SHERIFF anticipates that services provided under this Agreement will be phased-in and may commence, in full or in part, before the application for JAG funds is approved. The CITIES with JAG fund balances obligation to pay for services set forth herein, except for specific/special event requests, does not commence until the JAG application is approved by the United States Department of Justice, Bureau of Justice Assistance and the CITIES are notified by the SHERIFF of the approval. 6) This Agreement shall become effective on the date of execution first written above and shall remain in effect until December 31, 2011, unless otherwise terminated pursuant to the provisions of this Agreement or extended for a longer term by amendment. Any party hereto may withdraw or cancel such party's participation pursuant to this Agreement without cause, or liability to any other parties hereto by providing written notice of such withdrawal no less than ten (10) days prior thereto. However, the withdrawal from or cancellation of this agreement shall be effective only as to that party and this agreement shall remain in full force and effect as to those remaining parties hereto who have provided no written notice or cancellation or withdrawal. 7) Each party to this Agreement shall bear all court costs, defense costs, and liability for its own law enforcement officers, agents and/or employees for acts undertaken pursuant to this Agreement. Nothing contained herein shall be construed to waive or modify the provisions of F.S. 768.28 or the doctrine of sovereign immunity as to any party hereto. 8) This document embodies the whole Agreement of the Parties. There are no promises, terms, conditions, or allegations other than those contained herein and this document shall supersede all previous communications, representations and/or agreements, whether written or verbal, between the Parties. This Agreement may be modified only in writing, executed by all Parties. This Agreement shall be binding upon the Parties, their successors, assigns and legal representatives. 9) All notices or invoices required by law or by this Agreement to be given by one party to the other, shall be in writing and shall be sent to the party's published address, unless specific written directions to the contrary are provided. IN WITNESS WHEREOF, the Parties hereto have caused these present to be executed by their duly authorized officers, and their official seals hereto affixed, as applicable, the day and year first above written. 3 Item # 11 Attachment number 2 Page 4 of 6 REMAINING PAGE BLANK Item # 11 Attachment number 2 Page 5 of 6 In acknowledgment and execution of the INTERLOCAL AGREEMENT, pages one through eleven inclusive, I hereby set my hand and seal. PINELLAS COUNTY SHERIFF'S OFFICE JIM COATS, Sheriff Item # 11 Attachment number 2 Page 6 of 6 In acknowledgment and execution of the INTERLOCAL AGREEMENT, pages one through eleven inclusive, we hereby set our hand and seal. Countersigned: Frank V. Hibbard Mayor Approved as to form: Robert J. Surette Assistant City Attorney CITY OF CLEARWATER, FLORIDA By: William B. Horne, II City Manager Attest: Cynthia E. Goudeau City Clerk 6 Item # 11 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Reappoint David Lawrence Jaye in the Business Owner category and Ryley Jeanne Hunter in the Agengy or Government Representative category to the Brownfields Advisory Board with the term to expire May 31, 2013. (consent) SUMMARY: APPOINTMENT WORKSHEET BOARD: Brownfields Advisory Board TERM: 4 years APPOINTED BY: City Council FINANCIAL DISCLOSURE: Not Required RESIDENCY REQUIREMENT: ** MEMBERS: 9 CHAIRPERSON: Joyce Gibbs MEETING DATE: As Called PLACE: Determined when called APPTS. NEEDED: 2 STAFF LIAISON: Diane Hufford SPECIAL QUALIFICATIONS: ** Three members will be Clearwater residents who live within or adjacent to the Brownfields Area; Three members will be owners or representatives of businesses operating in the Brownfields area and need not be residents of Clearwater; Three members will be representatives of federal or state agencies or local governments involved with the Brownfields remediation process within Pinellas County and need not be Clearwater residents THE FOLLOWING ADVISORY BOARD MEMBER(S) HAVE TERMS WHICH EXPIRE AND NOW REQUIRE EITHER REAPPOINTMENT FOR A NEW TERM OR REPLACEMENT BY A NEW APPOINTEE. 1. David Lawrence Jaye - 2856 Shady Oak Ct., 33761- Original Appointment 05105105 Interested in Reappointment: Yes (1st term expires 05/31/09) (Business Owner or Rep.) 2. Ryley Jeanne Hunter -10275 62nd Cir. N., Seminole, FL 33772 - Original Appointment 05105105 Office: 4175 E. Bay Dr., Suite 300, 33764 Interested in Reappointment: Yes (1st term expires 05/31/09) (Agency or Gov. Rep.) THE FOLLOWING NAMES ARE BEING SUBMITTED FOR CONSIDERATION TO FILL THE ABOVE VACANCIES: (No other applications on file) Zip codes of current members: 4 at 33755 1 at 33756 1 at 33761 1 at 33764 1 at 33765 1 at 33782 Cover Memo Item # 12 Review Approval: 1) Clerk Cover Memo Item # 12 Attachment number 1 Page 1 of 2 Name: CITY OF CLEARWATER - APPLI, (must be Clea TION FOR ADVISORY BOARDS ater resident) Home Address: zS5(. 5?4 6 - d' C64?[,u'& -eAt PL - zip 33?(o I Telephone: '1 ?? - -7 717 Cell Phone: "? 7?- 0Y - &S Z Z- Office Address: zip Telephone: E-mail Address: b.44 a'j &#W" i LL(om How long a resident of Cle rwater. Occupation: i l A tk Ok_ Employer: ld of Fie 11 , t -'t- Education: " QVJ5 614'e"'INd j )(1 - V ?A Q Cif VJ 6&ry s If retired, former occupation: Other Work EAx'periience: 4-?-4'4 1& ke AM±?t Community Activities: U4,1:Lo &w '55 10 kJ . ILC12' Px, Other Interests: 1 > Board Service (current and past): Sly Board Preference: C4)Y"X1 ?:- , Vil° t0 1'?'? c ?i1tu ua 'RUC 4dyjJ lQ tea" vel ml' ?Additional Comments: Signed: !?j I - Date: See attached list for boards that require financial disclosure at time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. O. Box 4748, Clearwater, FL 33758-4748, or drop off your application at City Hall, 2nd Floor, 112 S. Osceola Avenue. Item # 12 L _ 'T Attachment number 1 Page 2 of 2 BOARD QUESTIONNAIRE 1. What is your understanding of the board's duties and responsibilities? ?1 1,?/r [J1 fJ u"r'G[ O& A)-,-- ? 1 .l An an 2. Have you ever observed a board meeting either in person or on C-View, the City's TV station? LAw 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? 4. Why do you want to serve on this Board? 6-4'n aWVA ?- 0-1 LX?e J ?. Name: 6 Board Name: 3C ?J. Item # 12 Attachment number 2 Page 1 of 2 CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS (must be Clearwater resident) Name: Home Address: t.,,(Na ZS of^? ?r l A- tv, iY? 01? L, Zip 33,77a Telephone: c $ t S) 'Z--70- 02 > S 0 Cell Phone: .So.mne c>,,i.b6v t. Office Address: `-I 11 r, 5 :A-g?30 v _ Ck e-mr 0re'r I F - Zip 33'7 L. Telephone: C7 Z5 Z2 M'jz"Z7 x 1 l s E-mail Address: How long a resident of Clearwater? n l , - j OCAt q 0v e rn f t n,+ re nc'n s e r, ?`V . Za?t Occupation:n y?ro n nne ??a 1 `s-'4?13? Employer: Field of Education: Coorse S Other Work Experience: Nc,o- p MM i 5S)0A td1 SIV1C If retired, former occupation: n /a. Community Activities: Ot-oL 4k rc asCa?cti,liy-s- fn r'' Q fnc.. a-R e lot re. lo,,ttons Other Interests: nv;ra nnn?.n?a.1 anc? ?o ??nl?<. hez. 1-44-\ cSioeT Board Service (current and past): Board Preference: i e.1 d ? ? ?s T c? r? Additional Comments: Signed: Date: y/aa /0 4 See attached list for boards that require financial disclosure at time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. O. Box 4748, Clearwater, FL 33758-4748, or drop off your application at City Hall, 2nd Floor, 112 S. Osceola Avenue. n,, APR 2 2 'AM Item # 12 Attachment number 2 Page 2 of 2 BOARD QUESTIONNAIRE 1. What is your understanding of the board's duties and responsibilities? .„n y,z '-I + T-11 be woe-LiAp- wiih_ike Ci -? ?! ?? b n `I d N1 CIA n C? h ? V T? 1CJ fC1 WTI e- ro C e.) 'S.7 "? 3 + ?? d 2 S 1 f. Y?C. *on ??• r??"• ?•• re C.T? V? ?l??? M e h jA Ad^(^Lg r?b t fyl TO a e- 2. Have you ever observed a board meeting either in person or on C-View, the City's TV station? ` huvL ?k) secvedL 1'(40 prSzn 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? I nn 4Z nti. l %G, r ik) 1 Ajk r•ek (\ 1-a fv,,. V* n. ri'Y i Q4t 01,f,4, C-43MMUWAV Ctrncerns ?bo?r} .0 2nV??onry?cn? 4. Why do you want to serve on this Board? C- I Name: ??. Hun4ty Board Name: af??.zn ?.?r?S Ao Isar V (S OCL CA- + a-1' 6 nv i r6n nA t rn.4-& 1- pro?-U?o +kfouc, k Item # 12 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Approve settlement of the case of Mary Albawab v. City of Clearwater, Case No. 08-4093-CI-011. (consent) SUMMARY: Action was brought against the City for injuries to the plaintiff, Mary Albawab, resulting from a collision between her vehicle and a City vehicle. Per Court order, the parties participated in mediation on April 8, 2009. The proposed settlement provides for a cash payment of $37,500.00 to the plaintiff to compensate her for her injuries and damages in exchange for a full release from all past, present, and future liability. Type: Operating Expenditure Current Year Budget?: Yes Budget Adjustment Comments: Current Year Cost: Not to Exceed: For Fiscal Year: $37,500 $37,500 10/01/08 to 09/30/09 Budget Adjustment: No Annual Operating Cost: Total Cost: $37,500 Appropriation Code Amount Appropriation Comment 590-07000-545900-519000 $37,500 Bid Required?: No Bid Number: Other Bid / Contract: Bid Exceptions: Review Approval: 1) Office of Management and Budget 2) Legal 3) Clerk 4) Clerk None Cover Memo Item # 13 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Approve supplementing Resolution 09-12 to appoint Assured Guaranty Corporation as the insurer of the Water and Sewer Revenue Bonds, Series 2009A and the Water and Sewer Revenue Refunding Bonds, Series 2009B, approve the form, authorzize the execution of an insurance commitment and adopt Resolution 09-22. SUMMARY: City Council adopted Resolution 09-12 on April 15, 2009, authorizing the negotiated sale of Water and Sewer Revenue Bonds, Series 2009A; and Water and Sewer Revenue Refunding Bonds, Series 2009B. Resolution 09-22 supplements that resolution by appointing Assured Guaranty Corporation as the insurer, approving the form, and authorizing the execution of an insurance commitment. Bond Council has advised that it is in the City's best interest to adopt this resolution since we have now received the insurance commitment and wish to clarify the required terms and conditions provided by the bond insurer. Type: Debt-Bond Current Year Budget?: No Budget Adjustment: None Budget Adjustment Comments: Current Year Cost: Annual Operating Cost: Not to Exceed: Total Cost: For Fiscal Year: to Review Approval: 1) Office of Management and Budget 2) Legal 3) Clerk 4) Assistant City Manager 5) Clerk 6) City Manager 7) Clerk Cover Memo Item # 14 Attachment number 1 SLJRED Page 1 of 19 GUARANTY ENDURING FINANCIAL STRENGTH April 29, 2009 Ms. Margaret L. Simmons City of Clearwater, Florida Municipal Services Building, 3rd Floor 100 S. Myrtle Avenue Clearwater, FL 33756 Re: Not to Exceed $70,000,000 City of Clearwater, Florida Water and Sewer Revenue Bonds, Series 2009A and Not to Exceed $46,495,000 City of Clearwater, Florida Water and Sewer Revenue Refunding Bonds, Series 2009B Dear Ms. Simmons: Enclosed please find the original of the revised commitment letter (the 'Commitment ) of Assured Guaranty Corp. ("Assured Guarar" ) pertaining to the prospective issuance of its financial guaranty insurance policy (the "Poli(4") with respect to the above captioned obligations (the "ObljgAtj="). The Commitment duty executed by the addressee should be delivered to Assured Guaranty Corp., 1325 Avenue of the Americas, New York, New York 10019, Attention: Legal Department - Public Finance and a copy thereof held by or on behalf of the addressee. To the extent that the Commitment is not accepted as contemplated thereby, the original should be promptly destroyed or returned to Assured Guaranty. An executedcopyofthrs Comm&;entsha//be returned to Assured Guaranty no later than the mail/ng date of the prekmffmyOf kw/ Statement, or rN) the fina/pmng dace for the Ob?/gahaw ashenwhaRerde&wd Enclosed with the Commitment you will find the Assured Guaranty Closing Package, which contains the Assured Guaranty Disclosure language to be inserted into the preliminary Official Statement and the final Official Statement, the legend to appear on the Obligations, the specimen Policy, the form of opinion of counsel to Assured Guaranty, the form of Assured Guaranty tax, disclosure and no default certificate, and the form of instructions for wiring the insurance premium to the account of Assured Guaranty at closing. The mformatii7n m Nre Assured Guaranty Closing Padrage may also be dbwn/oa" fi m Assured Guaranty's webs/le at wwwassuredguardnty com/closirrgdocuments. Upon acceptance and satisfaction of the conditions of the Commitment, the following must occur in order for Assured Guaranty to complete its review of applicable disclosure and legal documents in advance of the closing date, and timely issue its Policy: • The financing schedule and a distribution list should be forwarded to the attention of the Closing Coordinator listed below. • A copy of (i) the preliminary Official Statement and the final Official Statement, each of which shall include the disclosure provided by Assured Guaranty and the specimen Policy and any other references to Assured Guaranty, and (ii) the Obligations, together with the legend to be affixed to such Obligations must be delivered to the Closing Coordinator by fax or e-mail in order that Assured Guaranty may confirm its accuracy. Once determined, the final debt service schedule for the Obligations should be delivered to the Closing Coordinator, by fax and/or e-mail in order that we may confirm the premium to be paid for the Policy. To access the Assured Guaranty logo, please contact the Closing Coordinator. The Assured Guaranty logo may only be used in preparation of the preliminary Official Statement or the final Official Statement. All other uses are strictly prohibited. In addition, as noted in the Commitment, the rating agencies assess separate fees in connection with the issuance of rating letters with respect to the Obligations. Such fees must be paid by or on behalf of the Issuer, and questions with respect thereto should be addressed to the applicable agency. Please include the following people on the distribution list for this transaction: Matthew Sinni, Assistant Vice President Natalie Woodruff, Director, Counsel Nicole DiMarco, Closing Coordinator Assurod 6w anly tap. 1325 Avenue of the Americas New York, NY 10019 main 212 974 0100 fax 212 581 3268 Telephone (212) 261-5573 E-mail msinni@assuredguaranty.com Fax (212) 581-3268 Telephone (212) 261-5553 E-mail nwoodruff@assuredguaranty.com Fax (212) 445-8705 Telephone (212) 261-5593 E-mail ndimarco@assuredguaranty.com Fax (212) 445-8705 info@assuredguaranty.com www.assuredguaranty.com Item # 14 Attachment number 1 Page 2 of 19 If you have any questions, please do not hesitate to contact us at the contact information listed above. We appreciate the opportunity to insure this transaction and look forward to a successful closing. Very truly yours, cc: Clement Vericker, City of Clearwater Keith Bush, City of Clearwater Pam Akin, City of Clearwater Tracy Mercer, City of Clearwater Robert Reid, Esq., Bryant Miller Olive Lisa Morgan, Bryant Miller Olive Alicia Ingram , Esq., Bryant Miller Olive Grace Dunlap, Esq., Bryant Miller Olive Matt Sansbury, Raymond James & Associates, Inc. Peter Lamar, Raymond James & Associates, Inc. Alex Bugallo, Raymond James & Associates, Inc. David Thornton, Wachovia Securities Molly Clark, Wachovia Securities Mark Raymond, Esq. Holland & Knight Julie Santamaria, RBC Capital Markets Richard Montalbano, RBC Capital Markets Helen Ewin, RBC Capital Markets Patti Garrett, Bank of America / Merrill Lynch Glenn Gough, Bank of America / Merrill Lynch Rawn Williams, Bank of America / Merrill Lynch Kristi Jacobs, Bank of America / Merrill Lynch John White, Fifth Third Securities, Inc. Sherrie Stumbo, John White, Fifth Third Securities, Inc. Enclosures ASSURED GU NTY B John T han Managin Director -2- 605 (Negotiated CL) Item # 14 ASSURED GUARANTY s ENDURING FINANCIAL STRENGTH Attachment number 1 Page 3 of 19 Commitment to Issue Financial Guaranty Insurance Pol ftfty j Issuer: City of Clearwater, Florida Obligor. City of Clearwater, Florida Commitment Date: April 29, 2009 Expiration Date: June 22, 2009 Obligations: Not to Exceed $70,000,000 City of Clearwater, Florida Water and Sewer Revenue Bonds, Series 2009A ("Series A Obligations' and Not to Exceed $46,495,000 City of Clearwater, Florida Water and Sewer Revenue Refunding Bonds, Series 2009B ("Series B Obligations' Insurance Premium: On the date of issuance of the Obligations, the Issuer will pay, or cause to be paid, to Assured Guaranty a non-refundable premium in an amount equal to (i) 70 basis points times the total principal and interest on the Series A Obligations and (ii) 55 basis points times the total principal and interest on the Series B Obligations. On the terms and subject to the conditions set forth herein and in Exhibit A attached hereto, and upon compliance with the procedures set forth in the letter delivered herewith (this commitment, such Exhibit A and such letter hereinafter, collectively, the "Commitment"), Assured Guaranty Corp., a Maryland insurance corporation ("Assured Guaranty °), hereby commits to issue a financial guaranty insurance policy (the "Policy") relating to the Obligations referenced above, which Policy shall be substantially in the form included in the Assured Guaranty Closing Package referred to in the accompanying letter (the "Assured Guaranty Closing Package"). Unless accepted by the Obligor, this Commitment shall expire, and be of no further force and effect, at 5:00 p.m., Eastern Time, on the Expiration Date, unless extended in writing by Assured Guaranty in its sole discretion. Any request by the Obligor for any such extension must be made to Assured Guaranty prior to 5:00 p.m., Eastern Time, on the Expiration Date. "Business Da v", for all purposes hereof, shall mean any day other than (i) a Saturday or Sunday, (ii) any day on which the offices of the Trustee or Paying Agent (as defined in the Policy) or Assured Guaranty are closed, or (iii) any day on which banking institutions are authorized or required by law, executive order or governmental decree to be closed in New York City or in the States of Maryland or New York. Upon the acknowledgment and acceptance by the Obligor, this Commitment shall constitute a binding agreement between the parties hereto, with respect to the subject matter hereof, enforceable against each such party in accordance with its terms; provided; however, that this Commitment shall expire, and be of no further force and effect, to the extent that Assured Guaranty shall not have issued the Policy as contemplated hereby on or prior to the Expiration Date. Upon the execution and acceptance of this Commitment by the parties hereto and in consideration of the issuance of this Commitment by Assured Guaranty, the Obligor hereby agrees that it will not enter into any discussions or negotiations with, or seek any commitment from, any financial guarantor or credit enhancer other than Assured Guaranty, for the issuance of a financial guaranty insurance policy or other credit enhancement facility, with respect to the Obligations, provided further, that, the Obligor may determine prior to the Expiration Date not to issue Obligations that are guaranteed with a financial guaranty insurance policy or credit enhancement by any financial guarantor or credit enhancer, in which case the Obligor agrees to notify Assured Guaranty immediately after making such determination. An executed cnpyof&,,& Commitment shah be m&vned to Assured Guaranty no /star than the mailing date of the preliminary OAkra/ Sitaheme+d as herelwflerde&wd! Capitalized terms not defined herein shall have the meanings ascribed to such terms as set forth in the Assured Guaranty Closing Package. The issuance of the Policy by Assured Guaranty is subject to the satisfaction or waiver by Assured Guaranty of the following conditions, and the Obligor hereby further agrees as follows: Guaranteed Obligations. The Policy will guaranty the timely payment of scheduled principal and interest on the Obligations. Offering Documents and Other Legal Documentation. Assured Guaranty shall be provided with: Executed copies of all financing documents (including documentation evidencing the Issuer's or Obligor's, as applicable, ability and intent to comply with the Internal Revenue Code of 1986, as amended, and certified copies of the ordinance/resolutionstindenture relating to the approval and issuance of the Obligations), any official statements (or any other disclosure documents) with respect to the Obligations (any and all such disclosure, collectively, the "Official Statement") and all legal opinions delivered in connection with the issuance and sale of the Obligations. Such legal opinions shall include all opinions as are customary for financings of the type contemplated, including without limitation the unqualified approving opinion of bond counsel rendered by a nationally approved bond counsel firm ("Bond Counsel °). Bond Counsel shall opine substantially to the effect that (i) the Obligations are exempt from federal income taxation, if applicable, (ii) the Obligations have been validly issued, (iii) the Obligations and the financing documents are enforceable, and (iv) the ordinancerindenturetresolution creates a valid lien in the trust estate. Such opinions shall be addressed to Alswsd 6uaraMy Corp. 1325 Avenue of the Americas main 212 974 0100 info@assuredguaranty.com www.assuredguaranty.com New York, NY 10019 fax 212 581 3268 Item # 14 Attachment number 1 Page 4 of 19 Assured Guaranty or, if not so addressed, letters shall be provided to Assured Guaranty expressly providing that Assured Guaranty is entitled to rely on such opinions as if such opinion, were addressed to Assured Guaranty. b. In the event that the Obligations are issued in connection wjth a refunding, Assured Guaranty shall receive and approve the following: (i) the escrow agreement, if applicable; (ii) an opinion addressed to Assured Guaranty regarding the validity and enforceability of the escrow agreement, if applicable; (iii) a verification by a nationally- recognized certified public accounting firm acceptable to Assured Guaranty; and (iv) a defeasance opinion of Bond Counsel addressed to Assured Guaranty. c. A copy of any insurance policy, surety bond, guaranty, indemnification, or any other policy, contract or agreement, which provides for the payment of all or any portion of the Obligations, or in any way secures, insures or enhances the cash flow available to pay the Obligations. d. Confirmation that an amount equal to the insurance premium to be paid to Assured Guaranty upon issuance of the Policy has been deposited to the account of Assured Guaranty. Assured Guaranty Disclosure Must be Approved. A "Statement of Insurance", in the form contained in the Assured Guaranty Closing Package, shall be printed on, or attached to, the Obligations. The Obligations, the preliminary Official Statement (as applicable) and the Official Statement shall contain no reference to (i) Assured Guaranty, (ii) the Policy, or (iii) the financial guaranty insurance evidenced thereby, except as expressly approved by Assured Guaranty. BOND PROOFS SHALL BE APPROVED BY ASSURED GUARANTY PRIOR TO PRINTING. No Material Adverse Change. On the date hereof and on the closing date pertaining to the issuance of the Obligations (the "Closing Date°), there shall have been no material adverse change in or affecting the Issuer and/or the Obligor, as applicable, or the Obligations (including, without limitation, the security for the Obligations or the proposed debt service schedule of the Obligations), the Official Statement, the financing documents to be executed and delivered with respect to the Obligations (the "Financing Documents"), the legal opinions to be executed and delivered in connection with the issuance and sale of the Obligations, or any other information submitted to Assured Guaranty with respect to the referenced transaction, or the Obligations, from that previously delivered or otherwise communicated to Assured Guaranty. No Event Affecting Purchase of Obligations. No event shall have occurred which would permit any otherwise committed purchaser of the Obligations to elect not to purchase the Obligations on the date scheduled for the issuance and delivery thereof. No Untrue Statement or Omission. The Official Statement, the Financing Documents and all information submitted to Assured Guaranty with respect to the Obligations, including information relating to the Issuer and/or the Obligor, as applicable, shall not contain any untrue or misleading statement of material fact, nor omit to state a material fact necessary in order to make the information contained therein not misleading. Assured Guaranty shall receive a certificate of an authorized officer of the Issuer and/or the Obligor, as applicable, confirming the same. Final Documents. Assured Guaranty shall have received the substantially final forms of all Financing Documents (including, without limitation, legal opinions, schedules and exhibits), incorporating Assured Guaranty's comments in a manner acceptable to Assured Guaranty, on or prior to the fifth (5th) Business Day prior to the proposed Closing Date and such Financing Documents shall contain for the benefit of Assured Guaranty as bond insurer, such rights as are customary for financings of the type contemplated. Offering Documents; Closing Transcript. Assured Guaranty shall be provided with at least three (3) copies of each of the preliminary Official Statement and the final Official Statement as soon as they are printed and available (and in any event prior to the Closing Date). As a condition of delivery of the Policy, duplicate originals of the primary Financing Documents and legal opinions shall be immediately delivered by hand, sent via overnight mail or by e-mail for delivery no later than the Closing Date. Within thirty (30) days after the Ching Date, Assured Guaranty will be provided with three (3) complete sets of executed documents, preferably on CD-ROM or, If CD-ROM's are not available, an unbound copy of the transcript. Inspection Rights; Financial Statements. The Obligor must allow Assured Guaranty or its agent access to all non- confidential records. The Obligor must provide to Assured Guaranty such records and notices as reasonably may be requested by Assured Guaranty, including without limitation the following: financial reports, operational statistics and strategic plans, if any, and any other records or notices to be provided to the Trustee or the Paying Agent pursuant to the terms of the ordinance, resolution, trust indenture or other financing documentation or relating to the Obligations. Rating Agency Fees. Each rating agency rating the Obligations assesses fees with respect to such rating, which fees are payable by the Issuer directly to each such rating agency. Questions with respect to such fees should be addressed by the Issuer directly to the applicable rating agency. -2- Item # 14 Attachment number 1 Page 5 of 19 Legal Fees. Assured Guaranty will be responsible for its own attorneys' fees and expenses incurred in connection with the issuance of the Policy. Execution and Delivery of Commitment. This Commitment may be executed in counterpart by the parties hereto. Very truly yours, ASSURED GUARANTY CORP. John ahan Mana ng Director The undersigned Obligor hereby accepts the commitment of Assured Guaranty Corp. to issue its Policy with respect to the captioned Obligations, on the terms and subject to the conditions set forth in the Commitment with respect thereto issued by Assured Guaranty Corp. on the Commitment Date set forth above. Acknowledged, accepted and agreed to as of by: CITY OF CLEARWATER, FLORIDA By: Name: Title: 615 (Neg.-Commitm(nt) -3- Item # 14 Attachment number 1 Page 6 of 19 EXHIBIT A Assured Guaranty Corp. Additional Terns and Conditions Financial Guaranty Insurance Policy The Commitment is subject to the terms and conditions set forth below and in Schedule 1 hereto pertaining to the financing documents and any other documentation for the Obligations (the "Financing Documents"), all of which shall be in form and substance satisfactory to Assured Guaranty, in its sole discretion, and shall contain such representations, warranties, covenants, events of default and rights, for the benefit Assured Guaranty,. as bond insurer, as are customary for financings of the type contemplated. The following terms and conditions are subject in all respects to modification and supplement based on review of the Financing Documents and other materials by Assured Guaranty and its counsel. 1. Terms. Terms not otherwise defined herein shall have the meanings as set forth in the draft preliminary Official Statement delivered to Assured Guaranty in connection with its review of the transaction. 2. Security. The Obligations shall be obligations of the Obligor payable from and secured by (i) Net Revenues of the System, and (ii) the amounts on deposit in the funds and accounts (excluding the rebate account) established under the Ordinance. 3. Rate Covenant. The Obligor shall fix, establish and maintain such rates and collect such fees, rentals and other charges for the services and facilities of the System and revise the same from time to time whenever necessary, as will always provide Gross Revenues in each Fiscal Year sufficient to pay the Cost of Operation and Maintenance of the System in such Fiscal Year, one hundred fifteen per centum (115%) of the Bond Service Requirement becoming due in such Fiscal Year on the Outstanding Parity Bonds, on the outstanding Bonds and on all outstanding Additional Bonds, plus one hundred per centum (100%) of all reserve and other payments required to be made pursuant. Such rates, fees, rentals and other charges shall not be reduced so as to be insufficient to provide Gross Revenues for such purposes. 4. Additional Bonds. The Obligor shall be permitted to issue Additional Bonds, payable on a parity with the Obligations provided: (a) there shall have been obtained and filed with the Clerk a certificate of the Finance Director stating: (a) that the books and records of the Obligor relative to the System have been audited by a qualified and recognized firm of independent certified public accountants; (b) based on such audited financial statement, the adjusted Net Revenues derived for the Fiscal Year preceding the date of issuance of the proposed Additional Bonds or for any twelve (12) consecutive months during the eighteen (18) months immediately preceding the date of issuance of the Additional Bonds with respect to which such certificate is made, are at least equal to 120% of the Maximum Bond Service Requirement becoming due in any Fiscal Year thereafter on all Panty Bonds and the Bonds issued under the Ordinance, if any, then Outstanding, and on the bonds proposed to be issued. Upon recommendation of the Consulting Engineers, the Net Revenues certified pursuant to (b) in the previous paragraph may be adjusted by including: (a) 100% of the additional Net Revenues which in the opinion of the Consulting Engineer would have been derived by the Obligor from rate increases adopted before the Additional Bonds are issued, if such rate increases had been implemented before the commencement of the period for which such Net Revenues are being certified, and (b) 100% of the additional Net Revenues estimated by the Consulting Engineer to be derived during the first full twelve month period after the facilities of the System are extended, enlarged, improved or added to with the proceeds of the Additional Bonds with respect to which such certificate is made. The adjustments described in (b) of this paragraph may only be made if the Net Revenues as adjusted under (a) of the prior paragraph for the period for which such Net Revenues are being certified equals at least 1.00 times the Maximum Bond Service Requirement becoming due in any Fiscal Year thereafter on (i) all Bonds then outstanding; and (ii) on the Additional Bonds with respect to which such certificate is made. Insurance. The Obligor shall maintain insurance covering risks (including, without limitation, property and casualty general liability and professional liability), if available and affordable, in amounts as customarily maintained by Florida coastal municipal owed utility systems of similar size and conducting similar operations of the Obligor. The Obligor currently self insures and may continue to self insure, in whole or in part, provided that the Obligor's self insurance plan provides for (i) the maintenance of a self-insurance fund funded in an amount determined (initially and on at least an annual basis) by an independent actuary employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. The Obligor shall timely deposit any amount necessary to cause such self insurance fund to be funded in the amount determined by such actuary. Debt Service Reserve Fund. The debt service reserve fund will be required to be funded in an amount equal to maximum annual debt service on all outstanding bonds, including the Obligations,. Unless otherwise agreed to by Assured Guaranty a surety will not be deemed to be an acceptable substitute. No Purchase in Lieu of Redemption. Without the prior written consent of Assured Guaranty, no Obligations insured by Assured Guaranty shall be purchased by the Obligor, or any of its affiliates] in lieu of redemption, unless such Obligations are redeemed, defeased or cancelled. Item # 14 Attachment number 1 Page 7 of 19 8. Interest Rate Exchange Agreement. Any interest rate exchange agreement (an "Interest Rate Exchange AAgreement") entered into by the Obligor in connection with the Obligations and any parity obligations subsequent to the date hereof (so long as any Obligations insured by Assured Guaranty remain outstanding) shall meet the following conditions: (i) the Interest Rate Exchange Agreement must be entered into to manage interest costs related to, or a hedge against (a) assets then held, or (b) debt then outstanding, or (c) debt reasonably expected to be issued within the next twelve (12) months, and (ii) the Interest Rate Exchange Agreement shall not contain any leverage element or multiplier component greater than 1.0x unless there is a matching hedge arrangement which effectively off-sets the exposure from any such element or component. Unless otherwise consented to in writing by Assured Guaranty, any uninsured net settlement, breakage or other termination amount then in effect shall be subordinate to debt service on the Obligations and on any debt on parity with the Obligations. The Obligor shall not terminate Interest Rate Exchange Agreement unless it demonstrates to the satisfaction of Assured Guaranty prior to the payment of any such termination amount that such payment will not cause the Obligor to be in default under the Financing Documents, including but not limited to, any monetary obligations thereunder. All counterparties or guarantors to any Interest Rate Exchange Agreement must have a rating of at least "A-= and "A3" by Standard & Poors ("°) and Moody's Investors Service ("Mgodv's"). If the counterparty or guarantor's rating falls below "A-" or "A3" by either S&P or Moody's, the counterparty or guarantor shall execute a credit support annex to the Interest Rate Exchange Agreement, which credit support annex shall be acceptable to Assured Guaranty. Unless otherwise consented to by Assured Guaranty, if the counterparty or the guarantor's long term unsecured rating falls below "Baal" or "BBB+" by either Moody's or S&P, a replacement counterparty or guarantor, acceptable to Assured Guaranty, shall be required. 9. Reporting Requirements. in addition to the items required in Schedule 1 hereto, the Obligor will furnish, or cause to be furnished, to Assured Guaranty: (a) the fiscal year budget of the Obligor within thirty (30) days after adoption of such budget; (b) annual audits prepared by an independent certified public accountant, within two hundred ten (210) days of the completion of the Obligor's fiscal year together with a certificate of the Obligor stating that no event of default has occurred or is continuing under the Financing Documents; (c) prior to issuing additional debt secured on parity with the Obligations, any disclosure document or financing agreement pertaining to such additional debt, which disclosure document or financing agreement shall include, without limitation, the applicable maturity schedule, interest rate or rates, redemption and security provisions pertaining to any such additional debt; and (d) within thirty (30) days following any litigation or investigation that may have a material adverse affect on the financial position of the System notice of such litigation. 10. Opinions. Assured Guaranty shall be addressed or entitled to rely upon the following opinions of counsel, which opinions shall include all opinions as are customary for financings of the type contemplated and otherwise shall be in form and content acceptable to Assured Guaranty: a. the approving opinion, supplemental opinion (but only to the extent such supplemental opinion covers matters beyond customary disclosure and securities law opinions) and defeasance opinion (if any) of Bond Counsel; and b. the opinion of counsel to any other party, the obligations of which are material to the security for the Obligations. Item # 14 Attachment number 1 Page 8 of 19 Schedule 1 • '?... ??. , -0 7ATRI A. Notices and Other Information. The Financing Documents must provide that: 1. Any notice that is required to be given to holders of the Obligations (the "Bondholders"), nationally recognized municipal securities information repositories or state information depositories pursuant to Rule 15c2-12(b)(5) adopted by the Securities and Exchange Commission or to the Trustee pursuant to the Financing Documents shall also be provided to Assured Guaranty, simultaneously with the sending of such notices. In addition, to the extent that the Issuer or the Obligor has entered into a continuing disclosure agreement, covenant or undertaking with respect to the Obligations, all information furnished pursuant to such agreements shall also be provided to Assured Guaranty, simultaneously with the furnishing of such information. 2. All demands, notices and other information required to be given to Assured Guaranty under the Financing Documents shall be in writing and shall be mailed by registered or certified mail or personally delivered or telecopied to the recipient as follows: Assured Guaranty Corp. 1325 Avenue of the Americas New York, New York 10019 Attn: Risk Management Department (Re: Policy No. [ ]) Telecopy No.: (212) 581-3268 Confirmation: (212) 974-0100 Email: riskmanagementdept a assuredguaranty.com (In each case in which notice or other communication refers to an Event of Default, a claim on the Policy or any event with respect to which failure on the part of Assured Guaranty to respond shall be deemed to constitute consent or acceptance, then such demand, notice or other communication shall be marked to indicate 'URGENT MATERIAL ENCLOSED" and shall also be sent to the attention of the General Counsel at the same address and telecopy number above or at generalcounse[O)assuredguaranty.com.) 3. Assured Guaranty shall have the right to receive such additional information as it may reasonably request. 4. The Issuer and the Obligor will permit Assured Guaranty to discuss the affairs, finances and accounts of the Issuer and the Obligor or any information Assured Guaranty may reasonably request regarding the security for the Obligations with appropriate officers of the Issuer and the Obligor and will use commercially reasonable efforts to enable Assured Guaranty to have access to the facilities, books and records of the Issuer and the Obligor on any business day upon reasonable prior notice. 5. The Trustee shall notify Assured Guaranty of any failure of the Issuer or the Obligor to provide notices, certificates and other information under the Financing Documents. B. Defeasanco. In the event that the principal and/or interest due on the Obligations shall be paid by Assured Guaranty pursuant to the Policy, the Obligations shall remain outstanding for all purposes, not be defeased or otherwise satisfied and not be considered paid by the Issuer, and the assignment and pledge of the trust estate and all covenants, agreements and other obligations of the Issuer to the registered owners shall continue to exist and shall run to the benefit of Assured Guaranty, and Assured Guaranty shall be subrogated to the rights of such registered owners including, without limitation, any rights that such owners may have in respect of securities law violations arising from the offer and sale of the Obligations. In addition, the defeasance section of the Financing Documents shall require the following items: a. An opinion of Bond Counsel to the effect (i) that the defeasance will not adversely impact the exclusion from gross income for federal income tax purposes of interest on the Obligations or refunded bonds and (ii) that the Obligations are no longer "Outstanding" under the Financing Document; S-1 Item # 14 Attachment number 1 Page 9 of 19 b. A refunding trust or escrow agreement (the "EscM Agreement") and an opinion of counsel regarding the validity and enforceability of the Escrow Agreement; and c. The Escrow Agreement shall provide that: Any substitution of securities shall require verification by an independent certified public accountant and the prior written consent of Assured Guaranty. The Issuer will not exercise any optional redemption of Obligations secured by the Escrow Agreement or any other redemption other than mandatory sinking fund redemptions unless (i) the right to make any such redemption has been expressly reserved in the Escrow Agreement and such reservation has been disclosed in detail in the official statement for the refunding bonds, and (ii) as a condition of any such redemption there shall be provided to Assured Guaranty a verification of an independent certified public accountant as to the sufficiency of escrow receipts without reinvestment to meet the escrow requirements remaining following such redemption. iii. The Issuer shall not amend the Escrow Agreement or enter into a forward purchase agreement or other agreement with respect to rights in the escrow without the prior written consent of Assured Guaranty. C. Trustee (or Paying Agent). The Financing Documents must include the following provisions: 1. Assured Guaranty shall receive prior written notice of any name change of the Trustee (or Paying Agent) or the removal or resignation of the Trustee (or Paying Agent). 2. No removal or resignation of the Trustee (or Paying Agent) shall take effect until a successor, acceptable to Assured Guaranty, shall be appointed. 3. The Trustee (or Paying Agent) may be removed at any time, at the request of Assured Guaranty, for any breach of its obligations under the Financing Documents. 4. Notwithstanding any other provision of such Financing Document, in determining whether the rights of Bondholders will be adversely affected by any action taken pursuant to the terms and provisions thereof, the Trustee (or Paying Agent) shall consider the effect on the Bondholders as if there were no Policy. D. A etn ndmgnts_and Supplements. With respect to amendments or supplements to the Financing Documents which do not require the consent of the Bondholders, Assured Guaranty must be given prior written notice of any such amendments or supplements. With respect to amendments or supplements to the Financing Documents which do require the consent of the Bondholders, Assured Guaranty's prior written consent is required. All Financing Documents must contain a provision that requires that copies of any amendments or supplements to such documents which are consented to by Assured Guaranty shall be sent to the rating agencies that have assigned a rating to the Obligations. E. Assured Guaraoty as ThiEd Day geneficiarv. To the extent that the Financing Documents confer upon or give or grant to Assured Guaranty any right, remedy or claim under or by reason of the Financing Documents, the Financing Documents must contain a provision which states that: "Assured Guaranty is explicitly recognized as being a third party beneficiary hereunder and may enforce any such right, remedy or claim conferred, given or granted hereunder. F. Control Rights. Assured Guaranty shall be deemed to be the holder of all of the Obligations for purposes of (a) exercising all remedies and directing the Trustee to take actions or for any other purposes following an Event of Default (as defined in the resolution, indenture or ordinance), and (b) granting any consent, waiver, direction or approval or taking any action permitted by or required under the indenture, resolution or ordinance, as the case may be, to be granted or taken by the holders of such Obligations. G. Consent Rights of Assured. Guaranty. The Financing Documents shall include the following consent provisions: S-2 Item # 14 Attachment number 1 Page 10 of 19 Consent ofAssured Guaranty. Any provision of this Financing Document expressly recognizing or granting rights in or to Assured Guaranty may not be amended in any manner that affects the rights of Assured Guaranty hereunder without the prior written consent of Assured Guaranty. 2. Consent of Assured Guaranty in Addition to Bondholder Consent. Wherever the Financing Documents require the consent of Bondholders, Assured Guaranty's prior written consent shall also be required. 3. Consent of Assured Guaranty in the Event of Insolvency. Any reorganization or liquidation plan with respect to the Obligor must be acceptable to Assured Guaranty. In the event of any such reorganization or liquidation, Assured Guaranty shall have the right to vote on behalf of all Bondholders who hold Obligations guaranteed by Assured Guaranty absent a payment default by Assured Guaranty under the Policy. [In transactions for which acceleration is not a remedy for an event of default, the following provision is to be included in the Financing Documents.] 4. Consent of Assured Guaranty Upon Default. Anything in this Financing Document to the contrary notwithstanding, upon the occurrence and continuance of an event of default as defined herein, Assured Guaranty shall be entitled to control and direct the enforcement of all rights and remedies granted to the Bondholders or the Trustee for the benefit of the Bondholders under this Financing Document. [In transactions for which acceleration is a remedy for an event of default, the following two provisions are to be included in the Financing Documents in lieu of the provision 4 above.] 4. Consent of Assured Guaranty Upon Default. Anything in this Financing Document to the contrary notwithstanding, upon the occurrence and continuance of an event of default as defined herein, Assured Guaranty shall be entitled to control and direct the enforcement of all rights and remedies granted to the Bondholders or the Trustee for the benefit of the Bondholders under this Financing Document, including, without limitation, (i) the right to accelerate the principal of the Obligations as described in this Financing Document and (ii) the right to annul any declaration of acceleration. Assured Guaranty also shall be entitled to approve all waivers of events of default. 5. Acceleration Rights. Upon the occurrence of an event of default as defined herein, the Trustee may, with the prior written consent of Assured Guaranty, and shall at the direction of Assured Guaranty or the Bondholders with the prior written consent of Assured Guaranty, by written notice to the Issuer and Assured Guaranty, declare the principal of the Obligations to be immediately due and payable, whereupon that portion of the principal of the Obligations thereby coming due and the interest thereon accrued to the date of payment shall, without further action, become and be immediately due and payable, anything in this Financing Document or the Obligations to the contrary notwithstanding. H. R imPabut Mat Obligations. The principal Financing Document governing the Obligor's obligations in respect of the transaction shall include the following provisions: 1. The Obligor hereby agrees to pay or reimburse Assured Guaranty (A) all amounts paid by Assured Guaranty under the Policy, and (B) to the extent permitted by law, any and all charges, fees, costs and expenses which Assured Guaranty may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, in connection with (i) any accounts established to facilitate payments under the Policy, (ii) the administration, enforcement, defense or preservation of any rights in respect of this Financing Document or any other Financing Document, including defending, monitoring or participating in any litigation or proceeding (including any bankruptcy proceeding in respect of the Obligor or any affiliate thereof) relating to this Financing Document or any other Financing Document, any party to this Financing Document or any other Financing Document or the transaction contemplated by the Financing Documents, (iii) the foreclosure against, sale or other disposition of any collateral securing any obligations under this Financing Document or any other Financing Document, or the pursuit of any remedies under this Financing Document or any other Financing Document, to the extent such costs and expenses are not recovered from such foreclosure, sale or other disposition, or (iv) any amendment, waiver or other action with respect to, or related to, this Financing Document or any other Financing Document whether or not executed or s-3 Item # 14 Attachment number 1 Page 11 of 19 completed; costs and expenses shall include a reasonable allocation of compensation and overhead attributable to time of employees of Assured Guaranty spent in connection with the actions described in clauses (ii) - (iv) above. In addition, Assured Guaranty reserves the right to charge a reasonable fee as a condition to executing any amendment, waiver or consent proposed in respect of this Financing Document or any other Financing Document. The Obligor will pay interest on the amounts owed in this paragraph from the date of any payment due or paid, at the per annum rate of interest publicly announced from time to time by JP Morgan Chase Bank, National Association at its principal office in New York, New York as its prime lending rate (any change in such prime rate of interest to be effective on the date such change is announced by JPMorgan Chase Bank, National Association) plus three percent (3%) per annum (the "Reimbursement g"). The Reimbursement Rate shall be calculated on the basis of the actual number of days elapsed over a 360-day year. In the event JPMorgan Chase Bank ceases to announce its prime rate publicly, the prime rate shall be the publicly announced prime rate or base lending rate of such national bank, as Assured Guaranty shall specify. 2. In addition to any and all rights of reimbursement, subrogation and any other rights pursuant hereto or under law or in equity, the Obligor agrees to pay or reimburse Assured Guaranty, to the extent permitted by law, any and all charges, fees, costs, claims, losses, liabilities (including penalties), judgments, demands, damages, and expenses which Assured Guaranty or its officers, directors, shareholders, employees, agents and each Person, if any, who controls Assured Guaranty within the meaning of either Section 15 of the Securities Act of 1933, as amended, or Section 20 of the Securities Exchange Act of 1934, as amended, may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, of any nature in connection with, in respect of or relating to the transactions contemplated by this Financing Document or any other Financing Document by reason of: a. any omission or action (other than of or by Assured Guaranty) in connection with the offering, issuance, sale, remarketing or delivery of the Obligations; b. the negligence, bad faith, willful misconduct, misfeasance, malfeasance or theft committed by any director, officer, employee or agent of the Issuer or the Obligor in connection with any transaction arising from or relating to this Financing Document or any other Financing Document; C. the violation by the Issuer or the Obligor of any law, rule or regulation, or any judgment, order or decree applicable to it; d. the breach by the Issuer or the Obligor of any representation, warranty or covenant under this Financing Document or any other Financing Document or the occurrence, in respect of the Issuer or the Obligor, under this Financing Document or any other Financing Document of any "event of default" or any event which, with the giving of notice or lapse of time or both, would constitute any "event of default; or e. any untrue statement or alleged untrue statement of a material fact contained in any official statement relating to the Obligations, if any, or any omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, except insofar as such claims arise out of or are based upon any untrue statement or omission in information included in an official statement, if any, and furnished by Assured Guaranty in writing expressly for use therein. EgyMeat Procedure Under the Poli . The Financing Documents shall include the following provisions: At least two (2) Business Days prior to each payment date on the Obligations, the Trustee will determine whether there will be sufficient funds to pay all principal of and interest on the Obligations due on the related payment date and shall immediately notify Assured Guaranty or its designee on the same Business Day by telephone or electronic mail, confirmed in writing by registered or certified mail, of the amount of any deficiency. Such notice shall specify the amount of the anticipated deficiency, the Obligations to which such deficiency is applicable and whether such Obligations will be deficient as to principal or interest or both. If the deficiency is made up in whole or in part prior to or on the payment date, the Trustee shall so notify Assured Guaranty or its designee. S-4 Item # 14 Attachment number 1 Page 12 of 19 2. The Trustee shall, after giving notice to Assured Guaranty as provided above, make available to Assured Guaranty and, at Assured Guaranty's direction, to any Fiscal Agent, the registration books of the Issuer maintained by the Trustee and all records relating to the funds maintained under the Financing Documents. 3. The Trustee shall provide Assured Guaranty and any Fiscal Agent with a list of registered owners of Obligations entitled to receive principal or interest payments from Assured Guaranty under the terms of the Policy, and shall make arrangements with Assured Guaranty, the Fiscal Agent or another designee of Assured Guaranty to (i) mail checks or drafts to the registered owners of Obligations entitled to receive full or partial interest payments from Assured Guaranty and (ii) pay principal upon Obligations surrendered to Assured Guaranty, the Fiscal Agent or another designee of Assured Guaranty by the registered owners of Obligations entitled to receive full or partial principal payments from Assured Guaranty. 4. The Trustee shall, at the time it provides notice to Assured Guaranty of any deficiency pursuant to clause 1. above, notify registered owners of Obligations entitled to receive the payment of principal or interest thereon from Assured Guaranty (i) as to such deficiency and its entitlement to receive principal or interest, as applicable, (ii) that Assured Guaranty will remit to them all or a part of the interest payments due on the related payment date upon proof of its entitlement thereto and delivery to Assured Guaranty or any Fiscal Agent, in form satisfactory to Assured Guaranty, of an appropriate assignment of the registered owner's right to payment, (iii) that, if they are entitled to receive partial payment of principal from Assured Guaranty, they must surrender the related Obligations for payment first to the Trustee, which will note on such Obligations the portion of the principal paid by the Trustee and second to Assured Guaranty or its designee, together with an appropriate assignment, in form satisfactory to Assured Guaranty, to permit ownership of such Obligations to be registered in the name of Assured Guaranty, which will then pay the unpaid portion of principal, and (iv) that, if they are entitled to receive full payment of principal from Assured Guaranty, they must surrender the related Obligations for payment to Assured Guaranty or its designee, rather than the Trustee, together with the an appropriate assignment, in form satisfactory to Assured Guaranty, to permit ownership of such Obligations to be registered in the name of Assured Guaranty. 5. In addition, if the Trustee has notice that any holder of the Obligations has been required to disgorge payments of principal or interest on the Obligations previously Due for Payment pursuant to a final non- appealable order by a court of competent jurisdiction that such payment constitutes an avoidable preference to such holder within the meaning of any applicable bankruptcy laws, then the Trustee shall notify Assured Guaranty or its designee of such fact by telephone or electronic notice, confirmed in writing by registered or certified mail. 6. The Trustee will be hereby irrevocably designated, appointed, directed and authorized to act as attorney-in-fact for holders of the Obligations as follows: a. If and to the extent there is a deficiency in amounts required to pay interest on the Obligations, the Trustee shall (a) execute and deliver to Assured Guaranty, in form satisfactory to Assured Guaranty, an instrument appointing Assured Guaranty as agent for such holders in any legal proceeding related to the payment of such interest and an assignment to Assured Guaranty of the claims for interest to which such deficiency relates and which are paid by Assured Guaranty, (b) receive as designee of the respective holders (and not as Trustee) in accordance with the tenor of the Policy payment from Assured Guaranty with respect to the claims for interest so assigned, and (c) disburse the same to such respective holders; and b. If and to the extent of a deficiency in amounts required to pay principal of the Obligations, the Trustee shall (a) execute and deliver to Assured Guaranty, in form satisfactory to Assured Guaranty, an instrument appointing Assured Guaranty as agent for such holder in any legal proceeding related to the payment of such principal and an assignment to Assured Guaranty of the Obligation surrendered to Assured Guaranty in an amount equal to the principal amount thereof as has not previously been paid or for which moneys are not held by the Trustee and available for such payment (but such assignment shall be delivered only if payment from Assured Guaranty is received), (b) receive as designee of the respective holders (and not as Trustee) in accordance with the tenor of the Policy payment therefore from Assured Guaranty, and (c) disburse the same to such holders. S-5 Item # 14 Attachment number 1 Page 13 of 19 7. Payments with respect to claims for interest on and principal of Obligations disbursed by the Trustee from proceeds of the Policy shall not be considered to discharge the obligation of the Issuer with respect to such Obligations, and Assured Guaranty shall become the owner of such unpaid Obligation and claims for the interest in accordance with the tenor of the assignment made to it under the provisions of this subsection or otherwise. 8. Irrespective of whether any such assignment is executed and delivered, the Issuer and the Trustee hereby agree for the benefit of Assured Guaranty that: a. they recognize that to the extent Assured Guaranty makes payments directly or indirectly (e.g., by paying through the Trustee), on account of principal of or interest on the Obligations, Assured Guaranty will be subrogated to the rights of such holders to receive the amount of such principal and interest from the Issuer, with interest thereon as provided and solely from the sources stated in the Financing Documents and the Obligations; and b. they will accordingly pay to Assured Guaranty the amount of such principal and interest, with interest thereon as provided in the Financing Documents and the Obligations, but only from the sources and in the manner provided herein for the payment of principal of and interest on the Obligations to holders, and will otherwise treat Assured Guaranty as the owner of such rights to the amount of such principal and interest. 9. Assured Guaranty shall be entitled to pay principal or interest on the Obligations that shall become Due for Payment but shall be unpaid by reason of Nonpayment (as such terms are defined in the Policy) and any amounts due on the Obligations as a result of acceleration of the maturity thereof in accordance with this agreement, whether or not Assured Guaranty has received a Notice (as defined in the Policy) of Nonpayment or a claim upon the Policy. 10. In addition, Assured Guaranty shall, to the extent it makes any payment of principal or interest on the Obligations become subrogated to the rights of the recipients of such payments in accordance with the terms of the Policy, and to evidence such subrogation (i) in the case of claims for interest, the Trustee shall note Assured Guaranty's rights as subrogee on the registration books of the Issuer maintained by the Trustee, upon receipt of proof of payment of interest thereon to the registered holders of the Obligations, and (ii) in the case of claims for principal, the Trustee, if any, shall note Assured Guaranty's rights as subrogee on the registration books of the Issuer maintained by the Trustee, upon surrender of the Obligations together with receipt of proof of payment of principal thereof. s-s Item # 14 Attachment number 1 Page 14 of 19 Schedule 1 GENERAL DOCUMENT PR II5l!2NS A. Notices and Other Information. The Financing Documents must provide that: 1. Any notice that is required to be given to holders of the Obligations (the °BBo dh Iders"), nationally recognized municipal securities information repositories or state information depositories pursuant to Rule 15c2-12(b)(5) adopted by the Securities and Exchange Commission or to the Trustee pursuant to the Financing Documents shall also be provided to Assured Guaranty, simultaneously with the sending of such notices. In addition, to the extent that the Issuer or the Obligor has entered into a continuing disclosure agreement, covenant or undertaking with respect to the Obligations, all information furnished pursuant to such agreements shall also be provided to Assured Guaranty, simultaneously with the furnishing of such information. 2. All demands, notices and other information required to be given to Assured Guaranty under the Financing Documents shall be in writing and shall be mailed by registered or certified mail or personally delivered or telecopied to the recipient as follows: Assured Guaranty Corp. 1325 Avenue of the Americas New York, New York 10019 Attn: Risk Management Department (Re: Policy No. [ Telecopy No.: (212) 581-3268 Confirmation: (212) 974-0100 Email: riskmanagementde taassuredguaranty.com (In each case in which notice or other communication refers to an Event of Default, a claim on the Policy or any event with respect to which failure on the part of Assured Guaranty to respond shall be deemed to constitute consent or acceptance, then such demand, notice or other communication shall be marked to indicate "URGENT MATERIAL ENCLOSED" and shall also be sent to the attention of the General Counsel at the same address and tlecopy number above or at generalcounsel(@assuredauaranty.com.) 3. Assured Guaranty shall have the right to receive such additional information as it may reasonably request. 4. The Issuer and the Obligor will permit Assured Guaranty to discuss the affairs, finances and accounts of the Issuer and the Obligor or any information Assured Guaranty may reasonably request regarding the security for the Obligations with appropriate officers of the Issuer and the Obligor and will use commercially reasonable efforts to enable Assured Guaranty to have access to the facilities, books and records of the Issuer and the Obligor on any business day upon reasonable prior notice. 5. The Trustee shall notify Assured Guaranty of any failure of the Issuer or the Obligor to provide notices, certificates and other information under the Financing Documents. B. Def nce. In the event that the principal and/or interest due on the Obligations shall be paid by Assured Guaranty pursuant to the Policy, the Obligations shall remain outstanding for all purposes, not be defeased or otherwise satisfied and not be considered paid by the Issuer, and the assignment and pledge of the trust estate and all covenants, agreements and other obligations of the Issuer to the registered owners shall continue to exist and shall run to the benefit of Assured Guaranty, and Assured Guaranty shall be subrogated to the rights of such registered owners including, without limitation, any rights that such owners may have in respect of securities law violations arising from the offer and sale of the Obligations. In addition, the defeasance section of the Financing Documents shall require the following items: a. An opinion of Bond Counsel to the effect (i) that the defeasance will not adversely impact the exclusion from gross income for federal income tax purposes of interest on the Obligations or refunded bonds and (ii) that the Obligations are no longer "Outstanding" under the Financing Document; S-1 Item # 14 Attachment number 1 Page 15 of 19 b. A refunding trust or escrow agreement (the "Esgro v Agreement") and an opinion of counsel regarding the validity and enforceability of the Escrow Agreement; and c. The Escrow Agreement shall provide that: i. Any substitution of securities shall require verification by an independent certified public accountant and the prior written consent of Assured Guaranty. ii. The Issuer will not exercise any optional redemption of Obligations secured by the Escrow Agreement or any other redemption other than mandatory sinking fund redemptions unless (i) the right to make any such redemption has been expressly reserved in the Escrow Agreement and such reservation has been disclosed in detail in the official statement for the refunding bonds, and (ii) as a condition of any such redemption there shall be provided to Assured Guaranty a verification of an independent certified public accountant as to the sufficiency of escrow receipts without reinvestment to meet the escrow requirements remaining following such redemption. iii. The Issuer shall not amend the Escrow Agreement or enter into a forward purchase agreement or other agreement with respect to rights in the escrow without the prior written consent of Assured Guaranty. C. Tru§tee & Paying_Agen ). The Financing Documents must include the following provisions: 1. Assured Guaranty shall receive prior written notice of any name change of the Trustee (or Paying Agent) or the removal or resignation of the Trustee (or Paying Agent). 2. No removal or resignation of the Trustee (or Paying Agent) shall take effect until a successor, acceptable to Assured Guaranty, shall be appointed. 3. The Trustee (or Paying Agent) may be removed at any time, at the request of Assured Guaranty, for any breach of its obligations under the Financing Documents. 4. Notwithstanding any other provision of such Financing Document, in determining whether the rights of Bondholders will be adversely affected by any action taken pursuant to the terms and provisions thereof, the Trustee (or Paying Agent) shall consider the effect on the Bondholders as if there were no Policy. D. ACIl&dd6(ll eels god Supplements. With respect to amendments or supplements to the Financing Documents which do not require the consent of the Bondholders, Assured Guaranty must be given prior written notice of any such amendments or supplements. With respect to amendments or supplements to the Financing Documents which do require the consent of the Bondholders, Assured Guaranty's prior written consent is required. All Financing Documents must contain a provision that requires that copies of any amendments or supplements to such documents which are consented to by Assured Guaranty shall be sent to the rating agencies that have assigned a rating to the Obligations. E. P MQ QUafgglygThird Party Beneficiary. To the extent that the Financing Documents confer upon or give or grant to Assured Guaranty any right, remedy or claim under or by reason of the Financing Documents, the Financing Documents must contain a provision which states that: "Assured Guaranty is explicitly recognized as being a third party beneficiary hereunder and may enforce any such right, remedy or claim conferred, given or granted hereunder." F. QgntEQl.Blyl3t§. Assured Guaranty shall be deemed to be the holder of all of the Obligations for purposes of (a) exercising all remedies and directing the Trustee to take actions or for any other purposes following an Event of Default (as defined in the resolution, indenture or ordinance), and (b) granting any consent, waiver, direction or approval or taking any action permitted by or required under the indenture, resolution or ordinance, as the case may be, to be granted or taken by the holders of such Obligations. G. Consent aigl,j§ of Assured Guaranty. The Financing Documents shall include the following consent provisions: S-2 Item # 14 Attachment number 1 Page 16 of 19 Consent ofAssured Guaranty. Any provision of this Financing Document expressly recognizing or granting rights in or to Assured Guaranty may not be amended in any manner that affects the rights of Assured Guaranty hereunder without the prior written consent of Assured Guaranty. 2. Consent of Assured Guaranty in Addition to Bondholder Consent. Wherever the Financing Documents require the consent of Bondholders, Assured Guaranty's prior written consent shall also be required. 3. Consent of Assured Guaranty in the Event of Insolvency. Any reorganization or liquidation plan with respect to the Obligor must be acceptable to Assured Guaranty. In the event of any such reorganization or liquidation, Assured Guaranty shall have the right to vote on behalf of all Bondholders who hold Obligations guaranteed by Assured Guaranty absent a payment default by Assured Guaranty under the Policy. [In transactions for which acceleration is not a remedy for an event of default, the following provision is to be included in the Financing Documents j 4. Consent of Assured Guaranty Upon Default. Anything in this Financing Document to the contrary notwithstanding, upon the occurrence and continuance of an event of default as defined herein, Assured Guaranty shall be entitled to control and direct the enforcement of all rights and remedies granted to the Bondholders or the Trustee for the benefit of the Bondholders under this Financing Document. [In transactions for which acceleration is a remedy for an event of default, the following two provisions are to be included in the Financing Documents in lieu of the pro vision 4 above.] 4. Consent of Assured Guaranty Upon Default. Anything in this Financing Document to the contrary notwithstanding, upon the occurrence and continuance of an event of default as defined herein, Assured Guaranty shall be entitled to control and direct the enforcement of all rights and remedies granted to the Bondholders or the Trustee for the benefit of the Bondholders under this Financing Document, including, without limitation, (i) the right to accelerate the principal of the Obligations as described in this Financing Document and (ii) the right to annul any declaration of acceleration. Assured Guaranty also shall be entitled to approve all waivers of events of default. 5. Acceleration Rights. Upon the occurrence of an event of default as defined herein, the Trustee may, with the prior written consent of Assured Guaranty, and shall at the direction of Assured Guaranty or the Bondholders with the prior written consent of Assured Guaranty, by written notice to the Issuer and Assured Guaranty, declare the principal of the Obligations to be immediately due and payable, whereupon that portion of the principal of the Obligations thereby coming due and the interest thereon accrued to the date of payment shall, without further action, become and be immediately due and payable, anything in this Financing Document or the Obligations to the contrary notwithstanding. H. E mbursement Obligations. The principal Financing Document governing the Obligor's obligations in respect of the transaction shall include the following provisions: 1. The Obligor hereby agrees to pay or reimburse Assured Guaranty (A) all amounts paid by Assured Guaranty under the Policy, and (B) to the extent permitted by law, any and all charges, fees, costs and expenses which Assured Guaranty may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, in connection with (i) any accounts established to facilitate payments under the Policy, (ii) the administration, enforcement, defense or preservation of any rights in respect of this Financing Document or any other Financing Document, including defending, monitoring or participating in any litigation or proceeding (including any bankruptcy proceeding in respect of the Obligor or any affiliate thereof) relating to this Financing Document or any other Financing Document, any party to this Financing Document or any other Financing Document or the transaction contemplated by the Financing Documents, (iii) the foreclosure against, sale or other disposition of any collateral securing any obligations under this Financing Document or any other Financing Document, or the pursuit of any remedies under this Financing Document or any other Financing Document, to the extent such costs and expenses are not recovered from such foreclosure, sale or other disposition, or (iv) any amendment, waiver or other action with respect to, or related to, this Financing Document or any other Financing Document whether or not executed or S-3 Item # 14 Attachment number 1 Page 17 of 19 completed; costs and expenses shall include a reasonable allocation of compensation and overhead attributable to time of employees of Assured Guaranty spent in connection with the actions described in clauses (ii) - (iv) above. In addition, Assured Guaranty reserves the right to charge a reasonable fee as a condition to executing any amendment, waiver or consent proposed in respect of this Financing Document or any other Financing Document. The Obligor will pay interest on the amounts owed in this paragraph from the date of any payment due or paid, at the per annum rate of interest publicly announced from time to time by JP Morgan Chase Bank, National Association at its principal office in New York, New York as its prime lending rate (any change in such prime rate of interest to be effective on the date such change is announced by JPMorgan Chase Bank, National Association) plus three percent (3%) per annum (the "ftimburseerne "). The Reimbursement Rate shall be calculated on the basis of the actual number of days elapsed over a 360-day year. In the event JPMorgan Chase Bank ceases to announce its prime rate publicly, the prime rate shall be the publicly announced prime rate or base lending rate of such national bank, as Assured Guaranty shall specify. 2. In addition to any and all rights of reimbursement, subrogation and any other rights pursuant hereto or under law or in equity, the Obligor agrees to pay or reimburse Assured Guaranty, to the extent permitted by law, any and all charges, fees, costs, claims, losses, liabilities (including penalties), judgments, demands, damages, and expenses which Assured Guaranty or its officers, directors, shareholders, employees, agents and each Person, if any, who controls Assured Guaranty within the meaning of either Section 15 of the Securities Act of 1933, as amended, or Section 20 of the Securities Exchange Act of 1934, as amended, may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, of any nature in connection with, in respect of or relating to the transactions contemplated by this Financing Document or any other Financing Document by reason of: a. any omission or action (other than of or by Assured Guaranty) in connection with the offering, issuance, sale, remarketing or delivery of the Obligations; b. the negligence, bad faith, willful misconduct, misfeasance, malfeasance or theft committed by any director, officer, employee or agent of the Issuer or the Obligor in connection with any transaction arising from or relating to this Financing Document or any other Financing Document; C. the violation by the Issuer or the Obligor of any law, rule or regulation, or any judgment, order or decree applicable to it; d. the breach by the Issuer or the Obligor of any representation, warranty or covenant under this Financing Document or any other Financing Document or the occurrence, in respect of the Issuer or the Obligor, under this Financing Document or any other Financing Document of any "event of default" or any event which, with the giving of notice or lapse of time or both, would constitute any "event of default"; or e. any untrue statement or alleged untrue statement of a material fact contained in any official statement relating to the Obligations, if any, or any omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, except insofar as such claims arise out of or are based upon any untrue statement or omission in information included in an official statement, if any, and furnished by Assured Guaranty in writing expressly for use therein. EaJX1411(11w PX rg Under the Policv. The Financing Documents shall include the following provisions: At least two (2) Business Days prior to each payment date on the Obligations, the Trustee will determine whether there will be sufficient funds to pay all principal of and interest on the Obligations due on the related payment date and shall immediately notify Assured Guaranty or its designee on the same Business Day by telephone or electronic mail, confirmed in writing by registered or certified mail, of the amount of any deficiency. Such notice shall specify the amount of the anticipated deficiency, the Obligations to which such deficiency is applicable and whether such Obligations will be deficient as to principal or interest or both. If the deficiency is made up in whole or in part prior to or on the payment date, the Trustee shall so notify Assured Guaranty or its designee. S-4 Item # 14 Attachment number 1 Page 18 of 19 2. The Trustee shall, after giving notice to Assured Guaranty as provided above, make available to Assured Guaranty and, at Assured Guaranty's direction, to any Fiscal Agent, the registration books of the Issuer maintained by the Trustee and all records relating to the funds maintained under the Financing Documents. 3. The Trustee shall provide Assured Guaranty and any Fiscal Agent with a list of registered owners of Obligations entitled to receive principal or interest payments from Assured Guaranty under the terms of the Policy, and shall make arrangements with Assured Guaranty, the Fiscal Agent or another designee of Assured Guaranty to (i) mail checks or drafts to the registered owners of Obligations entitled to receive full or partial interest payments from Assured Guaranty and (ii) pay principal upon Obligations surrendered to Assured Guaranty, the Fiscal Agent or another designee of Assured Guaranty by the registered owners of Obligations entitled to receive full or partial principal payments from Assured Guaranty. 4. The Trustee shall, at the time it provides notice to Assured Guaranty of any deficiency pursuant to clause 1 above, notify registered owners of Obligations entitled to receive the payment of principal or interest thereon from Assured Guaranty (i) as to such deficiency and its entitlement to receive principal or interest, as applicable, (ii) that Assured Guaranty will remit to them all or a part of the interest payments due on the related payment date upon proof of its entitlement thereto and delivery to Assured Guaranty or any Fiscal Agent, in form satisfactory to Assured Guaranty, of an appropriate assignment of the registered owner's right to payment, (iii) that, if they are entitled to receive partial payment of principal from Assured Guaranty, they must surrender the related Obligations for payment first to the Trustee, which will note on such Obligations the portion of the principal paid by the Trustee and second to Assured Guaranty or its designee, together with an appropriate assignment, in form satisfactory to Assured Guaranty, to permit ownership of such Obligations to be registered in the name of Assured Guaranty, which will then pay the unpaid portion of principal, and (iv) that, if they are entitled to receive full payment of principal from Assured Guaranty, they must surrender the related Obligations for payment to Assured Guaranty or its designee, rather than the Trustee, together with the an appropriate assignment, in form satisfactory to Assured Guaranty, to permit ownership of such Obligations to be registered in the name of Assured Guaranty. 5. In addition, if the Trustee has notice that any holder of the Obligations has been required to disgorge payments of principal or interest on the Obligations previously Due for Payment pursuant to a final non appealable order by a court of competent jurisdiction that such payment constitutes an avoidable preference to such holder within the meaning of any applicable bankruptcy laws, then the Trustee shall notify Assured Guaranty or its designee of such fact by telephone or electronic notice, confirmed in writing by registered or certified mail. 6. The Trustee will be hereby irrevocably designated, appointed, directed and authorized to act as attorney-in-fact for holders of the Obligations as follows: a. If and to the extent there is a deficiency in amounts required to pay interest on the Obligations, the Trustee shall (a) execute and deliver to Assured Guaranty, in form satisfactory to Assured Guaranty, an instrument appointing Assured Guaranty as agent for such holders in any legal proceeding related to the payment of such interest and an assignment to Assured Guaranty of the claims for interest to which such deficiency relates and which are paid by Assured Guaranty, (b) receive as designee of the respective holders (and not as Trustee) in accordance with the tenor of the Policy payment from Assured Guaranty with respect to the claims for interest so assigned, and (c) disburse the same to such respective holders; and b. If and to the extent of a deficiency in amounts required to pay principal of the Obligations, the Trustee shall (a) execute and deliver to Assured Guaranty, in form satisfactory to Assured Guaranty, an instrument appointing Assured Guaranty as agent for such holder in any legal proceeding related to the payment of such principal and an assignment to Assured Guaranty of the Obligation surrendered to Assured Guaranty in an amount equal to the principal amount thereof as has not previously been paid or for which moneys are not held by the Trustee and available for such payment (but such assignment shall be delivered only if payment from Assured Guaranty is received), (b) receive as designee of the respective holders (and not as Trustee) in accordance with the tenor of the Policy payment therefore from Assured Guaranty, and (c) disburse the same to such holders. S-5 Item # 14 Attachment number 1 Page 19 of 19 7. Payments with respect to claims for interest on and principal of Obligations disbursed by the Trustee from proceeds of the Policy shall not be considered to discharge the obligation of the Issuer with respect to such Obligations, and Assured Guaranty shall become the owner of such unpaid Obligation and claims for the interest in accordance with the tenor of the assignment made to it under the provisions of this subsection or otherwise. 8. Irrespective of whether any such assignment is executed and delivered, the Issuer and the Trustee hereby agree for the benefit of Assured Guaranty that: a. they recognize that to the extent Assured Guaranty makes payments directly or indirectly (e.g., by paying through the Trustee), on account of principal of or interest on the Obligations, Assured Guaranty will be subrogated to the rights of such holders to receive the amount of such principal and interest from the Issuer, with interest thereon as provided and solely from the sources stated in the Financing Documents and the Obligations; and b. they will accordingly pay to Assured Guaranty the amount of such principal and interest, with interest thereon as provided in the Financing Documents and the Obligations, but only from the sources and in the manner provided herein for the payment of principal of and interest on the Obligations to holders, and will otherwise treat Assured Guaranty as the owner of such rights to the amount of such principal and interest. 9. Assured Guaranty shall be entitled to pay principal or interest on the Obligations that shall become Due for Payment but shall be unpaid by reason of Nonpayment (as such terms are defined in the Policy) and any amounts due on the Obligations as a result of acceleration of the maturity thereof in accordance with this agreement, whether or not Assured Guaranty has received a Notice (as defined in the Policy) of Nonpayment or a claim upon the Policy. 10. In addition, Assured Guaranty shall, to the extent it makes any payment of principal or interest on the Obligations become subrogated to the rights of the recipients of such payments in accordance with the terms of the Policy, and to evidence such subrogation (i) in the case of claims for interest, the Trustee shall note Assured Guaranty's rights as subrogee on the registration books of the Issuer maintained by the Trustee, upon receipt of proof of payment of interest thereon to the registered holders of the Obligations, and (ii) in the case of claims for principal, the Trustee, if any, shall note Assured Guaranty's rights as subrogee on the registration books of the Issuer maintained by the Trustee, upon surrender of the Obligations together with receipt of proof of payment of principal thereof. s-s Item # 14 Attachment number 2 Page 1 of 13 EXHIBIT B ESCROW DEPOSIT AGREEMENT This ESCROW DEPOSIT AGREEMENT, dated as of 2009, by and between the CITY OF CLEARWATER, FLORIDA, a municipal corporation of the State of Florida (the "Issuer"), and U.S. Bank National Association, a national banking association organized under the laws of the United States of America, as Escrow Holder (the "Escrow Holder"); WITNESSETH: WHEREAS, the Issuer has previously authorized and issued obligations of the Issuer as hereinafter set forth defined as the "Refunded Bonds", as to which the Aggregate Debt Service (as hereinafter defined) is set forth on Schedule A; and WHEREAS, the Issuer has determined to provide for payment of the Aggregate Debt Service of the Refunded Bonds by depositing with the Escrow Holder pursuant to the provisions hereof, cash and Federal Securities (as defined herein), the principal of and interest on which will be at least equal to the Aggregate Debt Service; and WHEREAS, in order to obtain the funds needed for such purpose, the Issuer has authorized and is, concurrently with the delivery of this Agreement, issuing the Series 2009B Bonds more fully described herein; and WHEREAS, the Issuer has determined that the amount to be on deposit from time to time in the Escrow Account, as defined herein, will be sufficient to pay the Aggregate Debt Service; NOW THEREFORE, in consideration of the mutual covenants and agreements herein contained, the Issuer and the Escrow Holder agree as follows (provided however that the Escrow Holder in agreeing to the foregoing shall not be held or deemed responsible in any manner whatsoever for the recitals made herein or in the Ordinance, or the adequacy or sufficiency of the Escrow Requirement): Section 1. Definitions. As used herein, the following terms mean: (a) "Aggregate Debt Service" means, as of any date, the sum of all present and future Annual Debt Service payments then remaining unpaid with respect to the respective Series of the Refunded Bonds. (b) "Agreement" means this Escrow Deposit Agreement. Item # 14 Attachment number 2 Page 2 of 13 (c) "Annual Debt Service" means, with respect to the redemption date for the Refunded Bonds, the principal of, premium, and interest on the Refunded Bonds coming due on the redemption date as shown on Schedule A attached hereto. (d) "Bonds" or "Series 2009B Bonds" means the Water and Sewer Revenue Refunding Bonds, Series 2009B of the Issuer, authorized by the Ordinance, as herein defined. (e) "Call Date" shall mean (f) "Escrow Account" means the account established and held by the Escrow Holder pursuant to this Agreement, in which cash and investments will be held for payment of the Refunded Bonds. (g) "Escrow Holder" means U.S. Bank National Association, Orlando, Florida a national banking association organized under the laws of the United States of America. (h) "Escrow Requirement" means, as of any date of calculation, the sum of an amount in cash and principal amount of Federal Securities in the Escrow Account which, together with the interest due on the Federal Securities, will be sufficient to pay, as the installments thereof become due, the Annual Debt Service. (i) "Federal Securities" means direct obligations of the United States of America and obligations the principal of or interest on which are fully guaranteed by the United States of America, none of which permit redemption prior to maturity at the option of the obligor. 0) "Irrevocable Instruction and Authorization to Redeem Bonds" means a certificate executed by the Issuer which provides for redemption of the Refunded Bonds on the Call Date, irrevocably instructs the Paying Agent to give notice of such redemption and directs the Paying Agent to pay the Refunded Bonds and the interest thereon upon surrender thereof on their Call Date, whichever is earlier. (k) "Issuer" means the City of Clearwater, Florida. (1) "Ordinance" means Ordinance No. 3674-84 enacted by the Issuer on August 2, 1984, as amended and supplemented by Ordinance 6915-01, enacted November 15, 2001. (m) "Paying Agent" shall mean U.S. Bank National Association, the Paying Agent for the Refunded Bonds, whose address is 225. E. Robinson Street, Suite 250, Orlando, Florida 32801. Item # 14 Attachment number 2 Page 3 of 13 (n) "Refunded Bonds" shall mean the Series 1998 Bonds maturing on and after (o) "Series 1998 Bonds" shall mean the Issuer's Water and Sewer Refunding Revenue Bonds, Series 1998. Section 2. Deposit of Funds. The Issuer hereby deposits $ with the Escrow Holder in immediately available funds, to be held in irrevocable escrow by the Escrow Holder and applied solely as provided in this Agreement. The Issuer represents that: (a) Such funds are all derived as follows: (1) $ from the net proceeds of the Bonds; (2) $ transferred from the Sinking Fund held for the payment of the Refunded Bonds; and (3) $ transferred from the Reserve Account held for the Refunded Bonds. (b) Such funds, when applied pursuant to Section 3 below, will at least equal the Escrow Requirement as of the date hereof. Section 3. Use and Investment of Funds. The Escrow Holder acknowledges receipt of $ and agrees. (a) to hold the funds in irrevocable escrow during the term of this Agreement, (b) to deposit the sum of $ representing the $ of funds from the Sinking Fund for the Refunded Bonds, $ of funds from the Reserve Account for the Refunded Bonds and $ from the proceeds of the Bonds, in cash from the amount received by the Issuer in the Escrow Account, and, hold such funds in cash until the redemption date of the outstanding Series 2009B Bonds, (c) to immediately invest $ of such funds derived from the proceeds of the Bonds by the purchase of the Federal Securities set forth on Schedule B-1 attached hereto, and to immediately invest $ of such funds held for the Refunded Bonds by the purchase of the Federal Securities set forth on Schedule B-2, and 3 Item # 14 Attachment number 2 Page 4 of 13 (d) to deposit in the Escrow Account, as received, the receipts of maturing principal of and interest on the Federal Securities in the Escrow Account. Section 4. Payment of Refunded Bonds. (a) Refunded Bonds. On the Call Date for each the Refunded Bonds, the Escrow Holder shall pay to the Paying Agent, from the cash and proceeds of the Federal Securities on hand in the Escrow Account, a sum sufficient to pay the Annual Debt Service for the Refunded Bonds coming due on such date, as shown on Schedule A and as demonstrated on Exhibit C hereto. (b) Surplus. On the last redemption date for the Refunded Bonds, after making the payments from the Escrow Account described in Subsection 4(a), the Escrow Holder shall pay to the Issuer any remaining cash in the Escrow Account in excess of the Escrow Requirement, to be used for any lawful purpose of the Issuer. (c) Priorit,, of Payments. The holders of the Refunded Bonds shall have an express first lien on the funds and Federal Securities in the Escrow Account until such funds and Federal Securities are used and applied as provided in this Agreement. If the cash on hand in the Escrow Account is ever insufficient to make the payments required under Subsection 4(a), all of the payments required under Subsection 4(a) shall be made when due before any payments shall be made under Subsections 4(b). (d) Fees and Expenses of Escrow Holder. On the date hereof, the Escrow Holder acknowledges receipt of its fees to serve as Escrow Holder in the amount of $ (which amount includes reimbursement of any out of pocket expenses incurred by the Escrow Holder in performing its services hereunder), and further acknowledges that the Escrow Holder does not have a lien on or claim against any funds held hereunder for reimbursement of such expenses. Section 5. Reinvestment. (a) Except as provided in Section 3 hereof, and in this Section, the Escrow Holder shall have no power or duty to invest any funds held under this Agreement or to sell, transfer or otherwise dispose of or make substitutions of the Federal Securities held hereunder. (b) At the written request of the Issuer and upon compliance with the conditions hereinafter stated, the Escrow Holder shall sell, transfer, otherwise dispose of or request the redemption of any of the Federal Securities acquired hereunder and shall either apply the proceeds thereof to the full discharge and satisfaction of the Refunded Bonds or substitute other Federal Securities for such Federal Securities. The Issuer will not request the Escrow Holder to exercise any of the powers described in the preceding sentence in any manner which would 4 Item # 14 Attachment number 2 Page 5 of 13 cause any Bonds to be "arbitrage bonds" within the meaning of the Internal Revenue Code of 1986, as amended, and the Regulations thereunder. The transactions may be effected only if (i) an independent certified public accountant shall certify to the Escrow Holder that the cash and principal amount of Federal Securities remaining on hand after the transactions are completed, together with the interest due thereon, will be not less than the Escrow Requirement, and (ii) the Escrow Holder shall receive an unqualified opinion from a nationally recognized bond counsel or tax counsel to the effect that the transactions will not cause such Bonds to be "arbitrage bonds" within the meaning of the Internal Revenue Code of 1986, as amended, and the regulations thereunder in effect on the date of the transactions and applicable to transactions undertaken on such date. Section 6. No Redemption or Acceleration of Maturity. Except as provided in the Irrevocable Instruction and Authorization to Redeem Bonds, the Issuer will not accelerate the maturity or due date of the Refunded Bonds. Section 7. Responsibilities of Escrow Holder. The Escrow Holder and its respective successors, assigns, agents and servants shall not be held to any personal liability whatsoever, in tort, contract, or otherwise, in connection with the execution and delivery of this Agreement, the establishment of the Escrow Account, the acceptance of the funds deposited therein, the purchase of the Federal Securities, the retention of the Federal Securities or the proceeds thereof or any payment, transfer or other application of money or securities by the Escrow Holder in any non-negligent act, non-negligent omission or non-negligent error of the Escrow Holder made in good faith in the conduct of its duties. The Escrow Holder shall, however, be liable to the Issuer for its negligent or willful acts, omissions or errors which violate or fail to comply with the terms of this Agreement. The duties and obligations of the Escrow Holder shall be determined by the express provisions of this Agreement. The Escrow Holder may consult with counsel, who may or may not be counsel to the Issuer, and in reliance upon the opinion of such counsel shall have full and complete authorization and protection in respect of any action taken, suffered or omitted by it in good faith in accordance therewith. Whenever the Escrow Holder shall deem it necessary or desirable that a matter be proved or established prior to taking, suffering or omitting any action under this Agreement, such matter may be deemed to be conclusively established by a certificate signed by an authorized officer of the Issuer. The Escrow Holder has no duty to determine or inquire into the happening or occurrence of any event or contingency where the performance or the failure of performance of the Issuer with respect to arrangements or contracts with others, the Escrow Holder's sole duty and responsibility hereunder being to safeguard the Escrow Account and dispose of and deliver the same strictly in accordance with this Agreement. Section 8. Resignation of Escrow Holder. The Escrow Holder may resign and thereby become discharged from the duties and obligations hereby created, by notice in writing given to the Issuer and published once in a newspaper of general circulation published in the territorial 5 Item # 14 Attachment number 2 Page 6 of 13 limits of the Issuer, and in a daily newspaper of general circulation or a financial journal published or circulated in the Borough of Manhattan, City and State of New York, not less than sixty (60) days before such resignation shall take effect. Such resignation shall take effect immediately upon the appointment of a successor Escrow Holder hereunder and payments of all amounts due the resigning Escrow Holder. Section 9. Removal of Escrow Holder. (a) The Escrow Holder may be removed at any time by an instrument or concurrent instruments in writing, executed by the holders of not less than fifty-one per centum (51%) in aggregate principal amount of each series of Refunded Bonds then outstanding, such instruments to be filed with the Issuer, and notice in writing given by such holders to all of the registered holders of each series of the Refunded Bonds and published once in a newspaper of general circulation published in the territorial limits of the Issuer, and in a daily newspaper of general circulation or a financial journal published or circulated in the Borough of Manhattan, City and State of New York, not less than sixty (60) days before such removal is to take effect as stated in such instrument or instruments. A photographic copy of any instrument filed with the Issuer under the provisions of this paragraph shall be delivered by the Issuer to the Escrow Holder. (b) The Escrow Holder may also be removed at any time for any breach of trust or for acting or proceeding in violation of, or for failing to act or proceed in accordance with, any provisions of this Agreement with respect to the duties and obligations of the Escrow Holder, by the Issuer or by the holders of not less than twenty-five per centum (25%) in aggregate principal amount of each series of the Refunded Bonds then outstanding. (c) No such removal shall take effect until a successor Escrow Holder shall be appointed hereunder. Section 10. Successor Escrow Holder. (a) If at any time hereafter the Escrow Holder shall resign, be removed, be dissolved or otherwise become incapable of acting, or shall be taken over by any governmental official, agency, department or board, the position of Escrow Holder shall thereupon become vacant. If the position of Escrow Holder shall become vacant for any of the foregoing reasons or for any other reason, the Issuer shall appoint a successor Escrow Holder to fulfill the duties of Escrow Holder hereunder. The Issuer shall publish notice of any such appointment once in each week for four (4) successive weeks in a newspaper of general circulation published in the territorial limits of the Issuer and in a daily newspaper of general circulation or a financial journal published or circulated in the Borough of Manhattan, City and State of New York, and, before the second publication of such notice shall mail a copy thereof to the original purchaser or purchasers of the Refunded Bonds. 6 Item # 14 Attachment number 2 Page 7 of 13 (b) At any time within one year after such vacancy shall have occurred, the holders of a majority in principal amount of each series of Refunded Bonds then outstanding, by an instrument or concurrent instruments in writing, executed by all such bondholders and filed with the governing body of the Issuer, may appoint a successor Escrow Holder, which shall supersede any Escrow Holder theretofore appointed by the Issuer. Photographic copies of each such instrument shall be delivered promptly by the Issuer, to the predecessor Escrow Holder and to the Escrow Holder so appointed by the bondholders. (c) If no appointment of a successor Escrow Holder shall be made pursuant to the foregoing provisions of this section, the holder of any Refunded Bonds then outstanding, or any retiring Escrow Holder may apply to any court of competent jurisdiction to appoint a successor Escrow Holder. Such court may thereupon, after such notice, if any, as such court may deem proper and prescribe, appoint a successor Escrow Holder. Section 11. Term. This Agreement shall commence upon its execution and delivery and shall terminate when the Refunded Bonds have been paid and discharged in accordance herewith, and all amounts held by the Escrow Holder hereunder have been applied in accordance herewith. Section 12. Severabilitv. If any one or more of the covenants or agreements provided in this Agreement on the part of the Issuer or the Escrow Holder to be performed should be determined by a court of competent jurisdiction to be contrary to law, such covenant or agreements herein contained shall be null and void and shall be severed from the remaining covenants and agreements and shall in no way affect the validity of the remaining provisions of this Agreement. Section 13. Counterparts. This Agreement may be executed in several counterparts, all or any of which shall be regarded for all purposes as duplicate originals and shall constitute and be but one and the same instrument. Section 14. Governing Law. This Agreement shall be construed under the laws of the State of Florida. Section 15. Security for Accounts and Funds. All accounts and funds maintained or held pursuant to this Agreement shall be continuously secured in the same manner as other deposits of municipal funds are required to be secured by the laws of Florida. IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their duly authorized officers and their official seals to be hereunto affixed as of the date first above written. 7 Item # 14 Attachment number 2 Page 8 of 13 THE CITY OF CLEARWATER, FLORIDA (SEAL) ATTEST: City Clerk Approved as to Form, Sufficiency and Correctness: City Attorney Mayor-Commissioner City Manager 8 Item # 14 Attachment number 2 Page 9 of 13 (SEAL) U.S. Bank, National Association, as Escrow Holder By:_ Its: Escrow Deposit Agreement c \ program files \ neevia.com\ document converter\ temp \ pdfconvertprod.9006.1.escrow_deposit_agreement_exhibit_b_for_res_09- 22.doc Item # 14 Attachment number 2 Page 10 of 13 Schedule A (Aggregate Debt Service; Semi-Annual Debt Service; Annual Debt Service; Description of Refunded Bonds) Series 1998 Bonds Item # 14 Attachment number 2 Page 11 of 13 Schedule B-1 (Federal Securities for Investment) Item # 14 Attachment number 2 Page 12 of 13 Schedule B-2 (Federal Securities for Investment) Item # 14 Attachment number 2 Page 13 of 13 Schedule C Escrow Cash Flow Item # 14 Attachment number 3 Page 1 of 14 RESOLUTION NO. 09-22 A RESOLUTION SUPPLEMENTING RESOLUTION NO. 09-12 OF THE CITY OF CLEARWATER ADOPTED APRIL 15, 2009 AUTHORIZING THE ISSUANCE OF THE CITY OF CLEARWATER, FLORIDA WATER AND SEWER REVENUE BONDS, SERIES 2009A AND THE CITY OF CLEARWATER, FLORIDA WATER AND SEWER REVENUE REFUNDING BONDS, SERIES 200913; APPOINTING ASSURED GUARANTY CORP. AS THE INSURER WITH RESPECT TO THE SERIES 2009 BONDS; APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF AN INSURANCE COMMITMENT; AND PROVIDING AN EFFECTIVE DATE. WHEREAS the City Council of the City of Clearwater, Florida (the "Issuer") has, by Ordinance No. 3674-84 enacted by the City Council of the Issuer on August 2, 1984 (the "Original Ordinance"), as amended and supplemented from time to time, as particularly amended and supplemented by Ordinance 6915-01 enacted by the City Council of the Issuer on November 15, 2001 (collectively the 'Bond Ordinance"), as supplemented by Resolution No. 09- 12 adopted by the City council of the Issuer on April 15, 2009 (the "Series 2009 Resolution"), and as further supplemented hereby, authorized the issuance of not to exceed $72,500,000 City of Clearwater, Florida Water and Sewer Revenue Bonds, Series 2009A (the "Series 2009A Bonds") and not to exceed $50,000,000 City of Clearwater, Florida Water and Sewer Revenue Refunding Bonds, Series 2009B (the "Series 2009B Bonds" and collectively with the Series 2009A Bonds, the "Series 2009 Bonds"); and WHEREAS the Issuer has since received a Commitment to issue a Financial Guaranty Insurance Policy, attached hereto as Exhibit A (the "Insurance Commitment") from Assured Guaranty Corp. (the "Insurer"); WHEREAS it is in the best financial interest of the Issuer that the Issuer accept the Insurance Commitment; and WHEREAS capitalized terms used herein and not otherwise defined shall be defined as provided in the Bond Ordinance and the Series 2009 Resolution. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF CLEARWATER, FLORIDA: SECTION 1. ACCEPTANCE OF INSURANCE COMMITMENT; BOND INSURANCE POLICY COVENANTS AND AGREEMENTS. The Finance Director in consultation with Bond Co sel the Financial Advisor and the underwriter for the Series 2009 Bonds is hereby authorized to determine whether it is in the best financial interest of the Issuer to purchase the Bond Insurance Policy, which guarantees the payment of principal and interest Item # 14 Attachment number 3 Page 2 of 14 The Issuer hereby makes the following covenants and agreements for the benefit of the Insurer but the provisions of this Section 1 shall only apply so long as (i) the Series 2009 Bonds remain Outstanding, (ii) the Financial Guaranty Insurance Policy is a valid and binding obligation and remains in full force, (iii) the Insurer has not repudiated its obligations under the Financial Guaranty Insurance Policy, and (iv) proceedings have not been filed under applicable bankruptcy, insolvency or other similar laws as to the Insurer or the Insurer generally has not failed to pay its claims or debts as they become due to creditors: A. No Purchase in Lieu of Redemption. Without the prior written consent of the Insurer, no Series 2009 Bonds insured by the Insurer shall be purchased by the Issuer, or any of its affiliates, in lieu of redemption, unless such Series 2009 Bonds are redeemed, defeased or cancelled. B. Interest Rate Exchange Agreement. Any interest rate exchange agreement (the "Interest Rate Exchange Agreement") entered into by the Issuer in connection with the Series 2009 Bonds and any Parity Bonds issued subsequent to the date hereof shall meet the following conditions: (i) the Interest Rate Exchange Agreement must be entered into to manage interest costs related to, or a hedge against (a) assets then held, or (b) debt then outstanding, or (c) debt reasonably expected to be issued within the next twelve (12) months; and (ii) the Interest Rate Exchange Agreement shall not contain any leverage element or multiplier component greater than 1.Ox unless there is a matching hedge arrangement which effectively off-sets the exposure from any such element or component. Unless otherwise consented to in writing by the Insurer, any uninsured net settlement, breakage or other termination amount then in effect shall be subordinate to debt service on the Series 2009 Bonds and on any debt on parity with the Series 2009 Bonds. The Issuer shall not terminate the Interest Rate Exchange Agreement unless it demonstrates to the satisfaction of the Insurer prior to the payment of any such termination amount that such payment will not cause the Issuer to be in default under the Bond Ordinance, 2 Resolution IfteW#-214 Attachment number 3 Page 3 of 14 including but not limited to, any monetary obligations thereunder. All counterparties or guarantors to any Interest Rate Exchange Agreement must have a rating of at least "A-" and "A3" by Standard & Poor's ("S&P") and Moody's Investors Service ("Moody's"). If the counterparty or guarantor's rating falls below "A-" or "A3" by either S&P or Moody's, the counterparty or guarantor shall execute a credit support annex to the Interest Rate Exchange Agreement, which credit support annex shall be acceptable to the Insurer. If the counterparty or the guarantor's long term unsecured rating falls below "Baal" or "BBB+" by either Moody's or S&P, a replacement counterparty or guarantor, acceptable to the Insurer, shall be required. C. Notices, Reports and Other Information. (1) Any notice that is required to be given to Bondholders of the Series 2009 Bonds, nationally recognized municipal securities information repositories or state information depositories pursuant to Rule 15c2-12(b)(5) adopted by the Securities and Exchange Commission or to the Paying Agent shall also be provided to the Insurer, simultaneously with the sending of such notices. In addition, all information furnished pursuant to the Continuing Disclosure Agreements shall also be provided to the Insurer, simultaneously with the furnishing of such information. (2) All demands, notices and other information required to be given to the Insurer shall be in writing, contain the policy number for the Series 2009 Bonds and shall be mailed by registered or certified mail or personally delivered or telecopied as follows: Assured Guaranty Corp. 1325 Avenue of the Americas New York, New York 10019 Attn: Risk Management Department Telecopy No.: (212) 581-3268 Confirmation: (212) 974-0100 Email: riskmanagementdeptCassuredguaranty.com In each case in which notice or other communication refers to an Event of Default, a claim on the Bond Insurance Policy or any event with respect to which failure on the part of the Insurer to respond shall be deemed to constitute consent or acceptance, then such demand, notice or other communication shall be marked to indicate "URGENT MATERIAL ENCLOSED" and shall also be sent to the attention of the General Counsel at the same address and telecopy number above or at generalcounselCassuredguaranty.com. (3) The Insurer shall have the right to receive such additional information as it may reasonably request. (4) The Issuer will permit the Insurer to discuss the affairs, finances and accounts of the Issuer or any information the Insurer may reasonably request regarding the security for the 3 Resolution IfteW#-214 Attachment number 3 Page 4 of 14 Series 2009 Bonds with appropriate officers of the Issuer and will use commercially reasonable efforts to enable the Insurer to have access to the facilities, books and records of the Issuer on any business day upon reasonable prior notice. (5) The Paying Agent shall notify the Insurer of any failure of the Issuer to provide any required notices, certificates and other information. (6) The Issuer shall provide to the Insurer: (a) the printed fiscal year budget of the Issuer within seventy five (75) days after adoption of such budget; (b) annual audits prepared by an independent certified public accountant, within two hundred ten (210) days of the completion of the Issuer's fiscal year together with a certificate of the Issuer stating that no event of default has occurred or is continuing under the Bond Ordinance; (c) Prior to issuing Parity Bonds, any disclosure document or financing agreement pertaining to such additional debt, which disclosure document or financing agreement shall include, without limitation, the applicable maturity schedule, interest rate or rates, redemption and security provisions pertaining to any such additional debt; and (d) Within thirty (30) days following any litigation or investigation that may have a material adverse affect on the financial position of the System notice of such litigation. D. Defeasance of Series 2009 Bonds. (i) In the event that the principal and/or interest due on the Series 2009 Bonds shall be paid by the Insurer pursuant to the Bond Insurance Policy, the Series 2009 Bonds shall remain outstanding for all purposes, not be defeased or otherwise satisfied and not be considered paid by the Issuer, and the assignment and pledge of the trust estate and all covenants, agreements and other obligations of the Issuer to the Bondholders shall continue to exist and shall run to the benefit of the Insurer, and the Insurer shall be subrogated to the rights of such Bondholders including, without limitation, any rights that such Bondholders may have in respect of securities law violations arising from the offer and sale of the Series 2009 Bonds. (ii) Additionally, the following shall be required for a defeasance of the Series 2009 Bonds in addition to the requirements of Section 22 of the Bond Ordinance: 4 Resolution IfteW#-214 Attachment number 3 Page 5 of 14 (a) An opinion of Bond Counsel to the effect (i) that the defeasance will not adversely impact the exclusion from gross income for federal income tax purposes of interest on the Series 2009 Bonds and (ii) that the Series 2009 Bonds are not longer "Outstanding" under the Bond Ordinance. (b) The escrow agreement shall be in place (the "Escrow Agreement") and an opinion of counsel shall be provided regarding the validity and the enforceability of the Escrow Agreement; and (c) The Escrow Agreement shall provide that: i. Any substitution of securities shall require verification by an independent certified public accountant and the prior written consent of the Insurer. ii. The Issuer will not exercise any optional redemption of the Series 2009 Bonds secured by the Escrow Agreement or any other redemption other than mandatory sinking fund redemptions unless (i) the right to make such redemption has been expressly reserved in the Escrow Agreement and such reservation has been disclosed in detail in the official statement for the refunding bonds and (ii) as a condition of any such redemption there shall be provided to the Insurer a verification of an independent certified public accountant as to the sufficiency of escrow receipts without reinvestment to meet the escrow requirements remaining following such redemption. The Issuer shall not amend the Escrow Agreement or enter into a forward purchase agreement or other agreement with respect to rights in the escrow without the prior written consent of the Bond Insurer. E. Amendments and Supplements. With respect to amendments to the Bond Ordinance or the Series 2009 Resolution or to this Resolution which do not require the consent of the Series 2009 Bondholders, the Insurer must be given prior written notice of such amendments and supplements. With respect to amendments to Bond Ordinance or the Series 2009 Resolution or to this Resolution which do require the consent of the Series 2009 Bondholders, the Insurer's prior written consent is required. Copies of any amendments or supplements which are consented to by the Insurer shall be sent to the rating agencies which have then assigned ratings to the Series 2009 Bonds. F. The Insurer as Third Party Beneficiary. The Insurer is explicitly recognized as being a third party beneficiary hereunder and may enforce any such right, remedy or claim 5 Resolution IfteW#-214 Attachment number 3 Page 6 of 14 conferred, given or granted hereunder or under the Bond Ordinance and the Insurer is designated a "Bond Insurer" under the Original Ordinance. G. Control Rights. The Insurer shall be deemed to be the holder of all of the Series 2009 Bonds for purposes of (a) exercising all remedies and directing the Paying Agent to take actions or for any other purposes following an Event of Default, and (b) granting any consent, waiver, direction or approval or taking any action permitted hereunder to be granted or taken by the holders of such Series 2009 Bonds. H. Consent Rights of the Insurer. (1) Any provision hereof expressly recognizing or granting rights in or to the Insurer may not be amended in any manner that affects the rights of the Insurer. (2) Any material reorganization or liquidation plan with respect to the Issuer must be acceptable to the Insurer. In the event of any such reorganization or liquidation, the Insurer shall have the right to vote on behalf of all Bondholders who hold Series 2009 Bonds guaranteed by the Insurer absent a payment default by the Insurer. (3) Anything herein to the contrary notwithstanding, upon the occurrence and continuance of an event of default as defined herein, the Insurer shall be entitled to control and direct the enforcement of all rights and remedies granted to the Bondholders or the Paying Agent for the benefit of the Bondholders under the Bond Ordinance or Series 2009 Resolution. (4) The Insurer shall have the right to consent to the provision of any surety bond to be deposited in lieu of cash funding of the Reserve Account for the Additional Bonds or the Series 2009 Bonds. Reimbursement Obligations. (1) The Issuer hereby agrees to pay or reimburse the Insurer, but only to the extent permitted by law (A) all amounts paid by the Insurer under the Bond Insurance Policy, and (B) any and all charges, fees, costs and expenses which the Insurer may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, in connection with (i) any accounts established to facilitate payments under the Bond Insurance Policy, (ii) the administration, enforcement, defense or preservation of any rights in respect hereof or any other financing document, including defending, monitoring or participating in any litigation or proceeding (including any bankruptcy proceeding in respect of the Issuer or any affiliate thereof) relating hereto or any other financing document, any party hereto or any other financing document or the transaction contemplated by the financing documents, (iii) the foreclosure against, sale or other disposition 6 Resolution IfteW#-214 Attachment number 3 Page 7 of 14 of any collateral securing any obligations hereunder or any other financing document, or the pursuit of any remedies hereunder or any other financing document, to the extent such costs and expenses are not recovered from such foreclosure, sale or other disposition, or (iv) any amendment, waiver or other action with respect to, or related hereto or any other financing document whether or not executed or completed; costs and expenses shall include a reasonable allocation of compensation and overhead attributable to time of employees of the Insurer spent in connection with the actions described in clauses (ii) - (iv) above. In addition, the Insurer reserves the right to charge a reasonable fee as a condition to executing any amendment, waiver or consent proposed in respect hereof or any other financing document. The Issuer will pay interest on the amounts owed in this paragraph from the date of any payment due or paid, at the per annum rate of interest publicly announced from time to time by JP Morgan Chase Bank, National Association at its principal office in New York, New York as its prime lending rate (any change in such prime rate of interest to be effective on the date such change is announced by JPMorgan Chase Bank, National Association) plus three percent (3%) per annum (the "Reimbursement Rate"). The Reimbursement Rate shall be calculated on the basis of the actual number of days elapsed over a 360-day year. In the event JPMorgan Chase Bank ceases to announce its prime rate publicly, the prime rate shall be the publicly announced prime rate or base lending rate of such national bank, as the Insurer shall specify. (2) In addition to any and all rights of reimbursement, subrogation and any other rights pursuant hereto or under law or in equity, the Issuer agrees to pay or reimburse the Insurer, but only to the extent permitted by law, any and all charges, fees, costs, claims, losses, liabilities (including penalties), judgments, demands, damages, and expenses which the Insurer or its officers, directors, shareholders, employees, agents and each Person, if any, who controls the Insurer within the meaning of either Section 15 of the Securities Act of 1933, as amended, or Section 20 of the Securities Exchange Act of 1934, as amended, may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, of any nature in connection with, in respect of or relating to the transactions contemplated hereby or any other financing document by reason of: (a) any omission or action by the Issuer in connection with the offering, issuance, sale, remarketing or delivery of the Series 2009 Bonds; (b) the negligence, bad faith, willful misconduct, misfeasance, malfeasance or theft committed by any director, officer, employee or agent of the Issuer in connection with any transaction arising from or relating hereto or any other financing document; (c) the violation by the Issuer of any law, rule or regulation, or any judgment, order or decree applicable to it; (d) the breach by the Issuer of any representation, warranty or covenant hereunder or any other financing document or the occurrence, in respect of the Issuer, hereunder or any 7 Resolution IfteW#-214 Attachment number 3 Page 8 of 14 other financing document of any "event of default" or any event which, with the giving of notice or lapse of time or both, would constitute any "event of default"; or (e) any untrue statement or alleged untrue statement of a material fact contained in any official statement relating to the Series 2009 Bonds by the Issuer, if any, or any omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading by the Issuer, except insofar as such claims arise out of or are based upon any untrue statement or omission in information included in an official statement, if any, and furnished by the Insurer in writing expressly for use therein. (3) Any amounts payable hereunder shall only be payable from Net Revenues. J. Payment Procedure Under the Bond Insurance Polio. (1) At least two (2) Business Days prior to each payment date on the Series 2009 Bonds the Issuer shall provide the amounts due on the Series 2009 Bonds to the Paying Agent and the Paying Agent will determine whether there will be sufficient funds to pay all principal of and interest on the Series 2009 Bonds due on the related payment date and shall immediately notify the Insurer or its designee on the same Business Day by telephone or electronic mail, confirmed in writing by registered or certified mail, of the amount of any deficiency. Such notice shall specify the amount of the anticipated deficiency, the Series 2009 Bonds to which such deficiency is applicable and whether such Series 2009 Bonds will be deficient as to principal or interest or both. If the deficiency is made up in whole or in part prior to or on the payment date, the Paying Agent shall so notify the Insurer or its designee. (2) The Paying Agent shall, after giving notice to the Insurer as provided above, make available to the Insurer and, at the Insurer's direction, to any fiscal agent, if any, the registration books of the Issuer maintained by the Paying Agent and all records relating to the funds maintained under the Financing Documents. (3) The Paying Agent shall provide the Insurer and its fiscal agent, if any, with a list of registered owners of Series 2009 Bonds entitled to receive principal or interest payments from the Insurer under the terms of the Bond Insurance Policy, and shall make arrangements with the Insurer, or another designee of the Insurer to (i) mail checks or drafts to the registered owners of Series 2009 Bonds entitled to receive full or partial interest payments from the Insurer and (ii) pay principal upon Series 2009 Bonds surrendered to the Insurer, or another designee of the Insurer by the registered owners of Series 2009 Bonds entitled to receive full or partial principal payments from the Insurer. (4) The Paying Agent shall, at the time it provides notice to the Insurer of any deficiency pursuant to clause (1) above, notify registered owners of Series 2009 Bonds entitled to receive the payment of principal or interest thereon from the Insurer (i) as to such deficiency and its entitlement to receive principal or interest, as applicable, (ii) that the Insurer will remit to 8 Resolution 4teW#-214 Attachment number 3 Page 9 of 14 them all or a part of the interest payments due on the related payment date upon proof of its entitlement thereto and delivery to the Insurer or any fiscal agent, in form satisfactory to the Insurer, of an appropriate assignment of the registered owner's right to payment, (iii) that, if they are entitled to receive partial payment of principal from the Insurer, they must surrender the related Series 2009 Bonds for payment first to the Paying Agent, which will note on such Series 2009 Bonds the portion of the principal paid by the Paying Agent and second to the Insurer or its designee, together with an appropriate assignment, in form satisfactory to the Insurer, to permit ownership of such Series 2009 Bonds to be registered in the name of the Insurer, which will then pay the unpaid portion of principal, and (iv) that, if they are entitled to receive full payment of principal from the Insurer, they must surrender the related Series 2009 Bonds for payment to the Insurer or its designee, rather than the Paying Agent, together with the an appropriate assignment, in form satisfactory to the Insurer, to permit ownership of such Series 2009 Bonds to be registered in the name of the Insurer. (5) In addition, if the Paying Agent has notice that any holder of the Series 2009 Bonds has been required to disgorge payments of principal or interest on the Series 2009 Bonds previously Due for Payment (as defined in the Bond Insurance Policy) pursuant to a final non- appealable order by a court of competent jurisdiction that such payment constitutes an avoidable preference to such holder within the meaning of any applicable bankruptcy laws, then the Paying Agent shall notify the Insurer or its designee of such fact by telephone or electronic notice, confirmed in writing by registered or certified mail. (6) The Paying Agent will be hereby irrevocably designated, appointed, directed and authorized to act as attorney-in-fact for holders of the Series 2009 Bonds as follows: (a) If and to the extent there is a deficiency in amounts required to pay interest on the Series 2009 Bonds, the Paying Agent shall (a) execute and deliver to the Insurer, in form satisfactory to the Insurer, an instrument appointing the Insurer as agent for such holders in any legal proceeding related to the payment of such interest and an assignment to the Insurer of the claims for interest to which such deficiency relates and which are paid by the Insurer, (b) receive as designee of the respective holders (and not as Paying Agent) in accordance with the tenor of the Bond Insurance Policy payment from the Insurer with respect to the claims for interest so assigned, and (c) disburse the same to such respective holders; and (b) If and to the extent of a deficiency in amounts required to pay principal of the Series 2009 Bonds, the Paying Agent shall (a) execute and deliver to the Insurer, in form satisfactory to the Insurer, an instrument appointing the Insurer as agent for such holder in any legal proceeding related to the payment of such principal and an assignment to the Insurer of the Series 2009 Bonds surrendered to the Insurer in an amount equal to the principal amount thereof as has not previously been paid or for which moneys are not held by the Paying Agent and available for such payment (but such assignment shall be delivered only if payment from the Insurer is received), (b) receive as designee of the respective holders (and not as Paying 9 Resolution IfteW#-214 Attachment number 3 Page 10 of 14 Agent) in accordance with the tenor of the Bond Insurance Policy payment therefore from the Insurer, and (c) disburse the same to such holders. (7) Payments with respect to claims for interest on and principal of Series 2009 Bonds disbursed by the Paying Agent from proceeds of the Bond Insurance Policy shall not be considered to discharge the obligation of the Issuer with respect to such Series 2009 Bonds, and the Insurer shall become the owner of such unpaid Series 2009 Bonds and claims for the interest in accordance with the tenor of the assignment made to it under the provisions of this subsection or otherwise. (8) Irrespective of whether any such assignment is executed and delivered, the Issuer and the Paying Agent hereby agree for the benefit of the Insurer that: (a) they recognize that to the extent the Insurer makes payments directly or indirectly (e.g., by paying through the Paying Agent), on account of principal of or interest on the Series 2009 Bonds, the Insurer will be subrogated to the rights of such holders to receive the amount of such principal and interest from the Issuer, with interest thereon as provided and solely from the sources stated in the and the Series 2009 Bonds; and (b) they will accordingly pay to the Insurer the amount of such principal and interest, with interest thereon as provided in the Bond Ordinance and the Series 2009 Bonds, but only from the sources and in the manner provided herein for the payment of principal of and interest on the Series 2009 Bonds to holders, and will otherwise treat the Insurer as the owner of such rights to the amount of such principal and interest. (9) The Insurer shall be entitled to pay principal or interest on the Series 2009 Bonds that shall become Due for Payment but shall be unpaid by reason of Nonpayment (as such terms are defined in the Bond Insurance Policy) and any amounts due on the Series 2009 Bonds as a result of acceleration of the maturity thereof in accordance with this agreement, whether or not the Insurer has received a Notice (as defined in the Bond Insurance Policy) of Nonpayment or a claim upon the Bond Insurance Policy. (10) In addition, the Insurer shall, to the extent it makes any payment of principal or interest on the Series 2009 Bonds become subrogated to the rights of the recipients of such payments in accordance with the terms of the Bond Insurance Policy, and to evidence such subrogation (i) in the case of claims for interest, the Paying Agent shall note the Insurer's rights as subrogee on the registration books of the Issuer maintained by the Paying Agent, upon receipt of proof of payment of interest thereon to the registered holders of the Series 2009 Bonds, and (ii) in the case of claims for principal, the Paying Agent, if any, shall note the Insurer's rights as subrogee on the registration books of the Issuer maintained by the Paying Agent, upon surrender of the Series 2009 Bonds together with receipt of proof of payment of principal thereof. 10 Resolution IfteW#-214 Attachment number 3 Page 11 of 14 K. Insurance. The Issuer shall maintain insurance covering risks (including, without limitation, property and casualty general liability and professional liability), if available and affordable, in amounts as customarily maintained by Florida coastal municipal owed utility systems of similar size and conducting similar operations of the Issuer. The Issuer currently self insures and may continue to self insure, in whole or in part, provided that the Issuer's self insurance plan provides for (i) the maintenance of a self-insurance fund funded in an amount determined (initially and on at least an annual basis) by an independent actuary employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. The Issuer shall timely deposit any amount necessary to cause such self insurance fund to be funded in the amount determined by such actuary. SECTION 2. PRIOR RESOLUTIONS. All prior resolutions of the Issuer inconsistent with the provisions of this resolution are hereby modified, supplemented and amended to conform with the provisions herein contained and except as otherwise modified, supplemented and amended hereby shall remain in full force and effect. SECTION 3. ESCROW DEPOSIT AGREEMENT. The Issuer confirms U.S. Bank, National Association as the escrow agent for the refunding of the Series 1998 Bonds and the Issuer is hereby authorized to and will enter into the escrow deposit agreement in substantially the form attached hereto as Exhibit B with the escrow agent and shall comply with all defeasance requirements for the refunding of the Series 1998 Bonds, upon the refunding of the Series 1998 Bonds SECTION 4. EFFECTIVE DATE. This resolution shall become effective immediately upon its adoption. Passed and adopted by the City Council of the City of Clearwater, Florida, this day of May, 2009. CITY OF CLEARWATER, FLORIDA By: Frank V. Hibbard Mayor 11 Resolution IfteW#-214 Attachment number 3 Page 12 of 14 Approved as to form: Attest: Pamela K. Akin City Attorney J: \ wdox \ Docs \ CHents\ 25341 \ 003 \ AGRMNT \ 00348248.DOC Cynthia E. Goudeau City Clerk 12 Resolution Ift#-214 Attachment number 3 Page 13 of 14 EXHIBIT A INSURANCE COMMITMENT Item # 14 Attachment number 3 Page 14 of 14 EXHIBIT B ESCROW DEPOSIT AGREEMENT Item # 14 Attachment number 4 Page 1 of 14 RESOLUTION NO. 09-22 A RESOLUTION SUPPLEMENTING RESOLUTION NO. 09-12 OF THE CITY OF CLEARWATER ADOPTED APRIL 15, 2009 AUTHORIZING THE ISSUANCE OF THE CITY OF CLEARWATER, FLORIDA WATER AND SEWER REVENUE BONDS, SERIES 2009A AND THE CITY OF CLEARWATER, FLORIDA WATER AND SEWER REVENUE REFUNDING BONDS, SERIES 200913; APPOINTING ASSURED GUARANTY CORP. AS THE INSURER WITH RESPECT TO THE SERIES 2009 BONDS; APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF AN INSURANCE COMMITMENT; AND PROVIDING AN EFFECTIVE DATE. WHEREAS the City Council of the City of Clearwater, Florida (the "Issuer") has, by Ordinance No. 3674-84 enacted by the City Council of the Issuer on August 2, 1984 (the "Original Ordinance"), as amended and supplemented from time to time, as particularly amended and supplemented by Ordinance 6915-01 enacted by the City Council of the Issuer on November 15, 2001 (collectively the 'Bond Ordinance"), as supplemented by Resolution No. 09- 12 adopted by the City council of the Issuer on April 15, 2009 (the "Series 2009 Resolution"), and as further supplemented hereby, authorized the issuance of not to exceed $72,500,000 City of Clearwater, Florida Water and Sewer Revenue Bonds, Series 2009A (the "Series 2009A Bonds") and not to exceed $50,000,000 City of Clearwater, Florida Water and Sewer Revenue Refunding Bonds, Series 2009B (the "Series 2009B Bonds" and collectively with the Series 2009A Bonds, the "Series 2009 Bonds"); and WHEREAS the Issuer has since received a Commitment to issue a Financial Guaranty Insurance Policy, attached hereto as Exhibit A (the "Insurance Commitment") from Assured Guaranty Corp. (the "Insurer"); WHEREAS it is in the best financial interest of the Issuer that the Issuer accept the Insurance Commitment; and WHEREAS capitalized terms used herein and not otherwise defined shall be defined as provided in the Bond Ordinance and the Series 2009 Resolution. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF CLEARWATER, FLORIDA: SECTION 1. ACCEPTANCE OF INSURANCE COMMITMENT; BOND INSURANCE POLICY COVENANTS AND AGREEMENTS. The Finance Director in consultation with Bond Counsel, the Financial Advisor and the underwriter for the Series 2009 Bonds is hereby authorized to determine whether it is in the best financial interest of the Issuer to purchase the Bond Insurance Policy, which guarantees the payment of principal and interest Item # 14 Attachment number 4 Page 2 of 14 on the Series 2009 Bonds. In the event that is so determined, the Bond Insurance Policy is hereby authorized to be purchased from the Insurer in accordance with the Insurance Commitment attached hereto as Exhibit A, subject to the terms hereof, and payment for such insurance is hereby authorized from the proceeds of the Series 2009 Bonds. The Insurance Commitment is hereby approved in substantially the form attached hereto with such changes and additions as shall be approved by the Finance Director in consultation with Bond Counsel, the Financial Advisor and the underwriter for the Series 2009 Bonds, and, the Finance Director is hereby authorized to determine whether to execute such Insurance Commitment in consultation with Bond Counsel, the Financial Advisor and the underwriter for the Series 2009 Bonds. To the extent of any inconsistency between the provisions of the Insurance Commitment and provisions otherwise contained in this Resolution, the Series 2009 Resolution or the Bond Ordinance, the provisions of this Resolution, the Series 2009 Resolution and the Bond Ordinance shall prevail. A statement of insurance is hereby authorized to be printed on or attached to the Series 2009 Bonds for the benefit and information of the Series 2009 Bondholders, if the Insurance Commitment is executed. The Issuer hereby makes the following covenants and agreements for the benefit of the Insurer but the provisions of this Section 1 shall only apply so long as (i) the Series 2009 Bonds remain Outstanding, (ii) the Financial Guaranty Insurance Policy is a valid and binding obligation and remains in full force, (iii) the Insurer has not repudiated its obligations under the Financial Guaranty Insurance Policy, and (iv) proceedings have not been filed under applicable bankruptcy, insolvency or other similar laws as to the Insurer or the Insurer generally has not failed to pay its claims or debts as they become due to creditors: A. No Purchase in Lieu of Redemption. Without the prior written consent of the Insurer, no Series 2009 Bonds insured by the Insurer shall be purchased by the Issuer, or any of its affiliates, in lieu of redemption, unless such Series 2009 Bonds are redeemed, defeased or cancelled. B. Interest Rate Exchange Agreement. Any interest rate exchange agreement (the "Interest Rate Exchange Agreement") entered into by the Issuer in connection with the Series 2009 Bonds and any Parity Bonds issued subsequent to the date hereof shall meet the following conditions: (i) the Interest Rate Exchange Agreement must be entered into to manage interest costs related to, or a hedge against (a) assets then held, or (b) debt then outstanding, or (c) debt reasonably expected to be issued within the next twelve (12) months; and (ii) the Interest Rate Exchange Agreement shall not contain any leverage element or multiplier component greater than 1.Ox unless there is a matching hedge arrangement which effectively off-sets the exposure from any such element or component. Unless otherwise consented to in writing by the Insurer, any uninsured net settlement, breakage or other termination amount then in effect shall be subordinate to debt service on the Series 2009 Bonds and on any debt on parity with the Series 2009 Bonds. The Issuer shall not terminate the Interest Rate Exchange Agreement unless it demonstrates to the satisfaction of the Insurer prior to the payment of any such termination amount that such payment will not cause the Issuer to be in default under the Bond Ordinance, 2 Resolution IfteW#-214 Attachment number 4 Page 3 of 14 including but not limited to, any monetary obligations thereunder. All counterparties or guarantors to any Interest Rate Exchange Agreement must have a rating of at least "A-" and "A3" by Standard & Poor's ("S&P") and Moody's Investors Service ("Moody's"). If the counterparty or guarantor's rating falls below "A-" or "A3" by either S&P or Moody's, the counterparty or guarantor shall execute a credit support annex to the Interest Rate Exchange Agreement, which credit support annex shall be acceptable to the Insurer. If the counterparty or the guarantor's long term unsecured rating falls below "Baal" or "BBB+" by either Moody's or S&P, a replacement counterparty or guarantor, acceptable to the Insurer, shall be required. C. Notices, Reports and Other Information. (1) Any notice that is required to be given to Bondholders of the Series 2009 Bonds, nationally recognized municipal securities information repositories or state information depositories pursuant to Rule 15c2-12(b)(5) adopted by the Securities and Exchange Commission or to the Paying Agent shall also be provided to the Insurer, simultaneously with the sending of such notices. In addition, all information furnished pursuant to the Continuing Disclosure Agreements shall also be provided to the Insurer, simultaneously with the furnishing of such information. (2) All demands, notices and other information required to be given to the Insurer shall be in writing, contain the policy number for the Series 2009 Bonds and shall be mailed by registered or certified mail or personally delivered or telecopied as follows: Assured Guaranty Corp. 1325 Avenue of the Americas New York, New York 10019 Attn: Risk Management Department Telecopy No.: (212) 581-3268 Confirmation: (212) 974-0100 Email: riskmanagementdeptCassuredguaranty.com In each case in which notice or other communication refers to an Event of Default, a claim on the Bond Insurance Policy or any event with respect to which failure on the part of the Insurer to respond shall be deemed to constitute consent or acceptance, then such demand, notice or other communication shall be marked to indicate "URGENT MATERIAL ENCLOSED" and shall also be sent to the attention of the General Counsel at the same address and telecopy number above or at generalcounselCassuredguaranty.com. (3) The Insurer shall have the right to receive such additional information as it may reasonably request. (4) The Issuer will permit the Insurer to discuss the affairs, finances and accounts of the Issuer or any information the Insurer may reasonably request regarding the security for the 3 Resolution IfteW#-214 Attachment number 4 Page 4 of 14 Series 2009 Bonds with appropriate officers of the Issuer and will use commercially reasonable efforts to enable the Insurer to have access to the facilities, books and records of the Issuer on any business day upon reasonable prior notice. (5) The Paying Agent shall notify the Insurer of any failure of the Issuer to provide any required notices, certificates and other information. (6) The Issuer shall provide to the Insurer: (a) the printed fiscal year budget of the Issuer within seventy five (75) days after adoption of such budget; (b) annual audits prepared by an independent certified public accountant, within two hundred ten (210) days of the completion of the Issuer's fiscal year together with a certificate of the Issuer stating that no event of default has occurred or is continuing under the Bond Ordinance; (c) Prior to issuing Parity Bonds, any disclosure document or financing agreement pertaining to such additional debt, which disclosure document or financing agreement shall include, without limitation, the applicable maturity schedule, interest rate or rates, redemption and security provisions pertaining to any such additional debt; and (d) Within thirty (30) days following any litigation or investigation that may have a material adverse affect on the financial position of the System notice of such litigation. D. Defeasance of Series 2009 Bonds. (i) In the event that the principal and/or interest due on the Series 2009 Bonds shall be paid by the Insurer pursuant to the Bond Insurance Policy, the Series 2009 Bonds shall remain outstanding for all purposes, not be defeased or otherwise satisfied and not be considered paid by the Issuer, and the assignment and pledge of the trust estate and all covenants, agreements and other obligations of the Issuer to the Bondholders shall continue to exist and shall run to the benefit of the Insurer, and the Insurer shall be subrogated to the rights of such Bondholders including, without limitation, any rights that such Bondholders may have in respect of securities law violations arising from the offer and sale of the Series 2009 Bonds. (ii) Additionally, the following shall be required for a defeasance of the Series 2009 Bonds in addition to the requirements of Section 22 of the Bond Ordinance: 4 Resolution IfteW#-214 Attachment number 4 Page 5 of 14 (a) An opinion of Bond Counsel to the effect (i) that the defeasance will not adversely impact the exclusion from gross income for federal income tax purposes of interest on the Series 2009 Bonds and (ii) that the Series 2009 Bonds are not longer "Outstanding" under the Bond Ordinance. (b) The escrow agreement shall be in place (the "Escrow Agreement") and an opinion of counsel shall be provided regarding the validity and the enforceability of the Escrow Agreement; and (c) The Escrow Agreement shall provide that: i. Any substitution of securities shall require verification by an independent certified public accountant and the prior written consent of the Insurer. ii. The Issuer will not exercise any optional redemption of the Series 2009 Bonds secured by the Escrow Agreement or any other redemption other than mandatory sinking fund redemptions unless (i) the right to make such redemption has been expressly reserved in the Escrow Agreement and such reservation has been disclosed in detail in the official statement for the refunding bonds and (ii) as a condition of any such redemption there shall be provided to the Insurer a verification of an independent certified public accountant as to the sufficiency of escrow receipts without reinvestment to meet the escrow requirements remaining following such redemption. The Issuer shall not amend the Escrow Agreement or enter into a forward purchase agreement or other agreement with respect to rights in the escrow without the prior written consent of the Bond Insurer. E. Amendments and Supplements. With respect to amendments to the Bond Ordinance or the Series 2009 Resolution or to this Resolution which do not require the consent of the Series 2009 Bondholders, the Insurer must be given prior written notice of such amendments and supplements. With respect to amendments to Bond Ordinance or the Series 2009 Resolution or to this Resolution which do require the consent of the Series 2009 Bondholders, the Insurer's prior written consent is required. Copies of any amendments or supplements which are consented to by the Insurer shall be sent to the rating agencies which have then assigned ratings to the Series 2009 Bonds. F. The Insurer as Third Party Beneficiary. The Insurer is explicitly recognized as being a third party beneficiary hereunder and may enforce any such right, remedy or claim 5 Resolution IfteW#-214 Attachment number 4 Page 6 of 14 conferred, given or granted hereunder or under the Bond Ordinance and the Insurer is designated a "Bond Insurer" under the Original Ordinance. G. Control Rights. The Insurer shall be deemed to be the holder of all of the Series 2009 Bonds for purposes of (a) exercising all remedies and directing the Paying Agent to take actions or for any other purposes following an Event of Default, and (b) granting any consent, waiver, direction or approval or taking any action permitted hereunder to be granted or taken by the holders of such Series 2009 Bonds. H. Consent Rights of the Insurer. (1) Any provision hereof expressly recognizing or granting rights in or to the Insurer may not be amended in any manner that affects the rights of the Insurer. (2) Any material reorganization or liquidation plan with respect to the Issuer must be acceptable to the Insurer. In the event of any such reorganization or liquidation, the Insurer shall have the right to vote on behalf of all Bondholders who hold Series 2009 Bonds guaranteed by the Insurer absent a payment default by the Insurer. (3) Anything herein to the contrary notwithstanding, upon the occurrence and continuance of an event of default as defined herein, the Insurer shall be entitled to control and direct the enforcement of all rights and remedies granted to the Bondholders or the Paying Agent for the benefit of the Bondholders under the Bond Ordinance or Series 2009 Resolution. (4) The Insurer shall have the right to consent to the provision of any surety bond to be deposited in lieu of cash funding of the Reserve Account for the Additional Bonds or the Series 2009 Bonds. Reimbursement Obligations. (1) The Issuer hereby agrees to pay or reimburse the Insurer, but only to the extent permitted by law (A) all amounts paid by the Insurer under the Bond Insurance Policy, and (B) any and all charges, fees, costs and expenses which the Insurer may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, in connection with (i) any accounts established to facilitate payments under the Bond Insurance Policy, (ii) the administration, enforcement, defense or preservation of any rights in respect hereof or any other financing document, including defending, monitoring or participating in any litigation or proceeding (including any bankruptcy proceeding in respect of the Issuer or any affiliate thereof) relating hereto or any other financing document, any party hereto or any other financing document or the transaction contemplated by the financing documents, (iii) the foreclosure against, sale or other disposition 6 Resolution IfteW#-214 Attachment number 4 Page 7 of 14 of any collateral securing any obligations hereunder or any other financing document, or the pursuit of any remedies hereunder or any other financing document, to the extent such costs and expenses are not recovered from such foreclosure, sale or other disposition, or (iv) any amendment, waiver or other action with respect to, or related hereto or any other financing document whether or not executed or completed; costs and expenses shall include a reasonable allocation of compensation and overhead attributable to time of employees of the Insurer spent in connection with the actions described in clauses (ii) - (iv) above. In addition, the Insurer reserves the right to charge a reasonable fee as a condition to executing any amendment, waiver or consent proposed in respect hereof or any other financing document. The Issuer will pay interest on the amounts owed in this paragraph from the date of any payment due or paid, at the per annum rate of interest publicly announced from time to time by JP Morgan Chase Bank, National Association at its principal office in New York, New York as its prime lending rate (any change in such prime rate of interest to be effective on the date such change is announced by JPMorgan Chase Bank, National Association) plus three percent (3%) per annum (the "Reimbursement Rate"). The Reimbursement Rate shall be calculated on the basis of the actual number of days elapsed over a 360-day year. In the event JPMorgan Chase Bank ceases to announce its prime rate publicly, the prime rate shall be the publicly announced prime rate or base lending rate of such national bank, as the Insurer shall specify. (2) In addition to any and all rights of reimbursement, subrogation and any other rights pursuant hereto or under law or in equity, the Issuer agrees to pay or reimburse the Insurer, but only to the extent permitted by law, any and all charges, fees, costs, claims, losses, liabilities (including penalties), judgments, demands, damages, and expenses which the Insurer or its officers, directors, shareholders, employees, agents and each Person, if any, who controls the Insurer within the meaning of either Section 15 of the Securities Act of 1933, as amended, or Section 20 of the Securities Exchange Act of 1934, as amended, may reasonably pay or incur, including, but not limited to, fees and expenses of attorneys, accountants, consultants and auditors and reasonable costs of investigations, of any nature in connection with, in respect of or relating to the transactions contemplated hereby or any other financing document by reason of: (a) any omission or action by the Issuer in connection with the offering, issuance, sale, remarketing or delivery of the Series 2009 Bonds; (b) the negligence, bad faith, willful misconduct, misfeasance, malfeasance or theft committed by any director, officer, employee or agent of the Issuer in connection with any transaction arising from or relating hereto or any other financing document; (c) the violation by the Issuer of any law, rule or regulation, or any judgment, order or decree applicable to it; (d) the breach by the Issuer of any representation, warranty or covenant hereunder or any other financing document or the occurrence, in respect of the Issuer, hereunder or any 7 Resolution IfteW#-214 Attachment number 4 Page 8 of 14 other financing document of any "event of default" or any event which, with the giving of notice or lapse of time or both, would constitute any "event of default"; or (e) any untrue statement or alleged untrue statement of a material fact contained in any official statement relating to the Series 2009 Bonds by the Issuer, if any, or any omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading by the Issuer, except insofar as such claims arise out of or are based upon any untrue statement or omission in information included in an official statement, if any, and furnished by the Insurer in writing expressly for use therein. (3) Any amounts payable hereunder shall only be payable from Net Revenues. J. Payment Procedure Under the Bond Insurance Polio. (1) At least two (2) Business Days prior to each payment date on the Series 2009 Bonds the Issuer shall provide the amounts due on the Series 2009 Bonds to the Paying Agent and the Paying Agent will determine whether there will be sufficient funds to pay all principal of and interest on the Series 2009 Bonds due on the related payment date and shall immediately notify the Insurer or its designee on the same Business Day by telephone or electronic mail, confirmed in writing by registered or certified mail, of the amount of any deficiency. Such notice shall specify the amount of the anticipated deficiency, the Series 2009 Bonds to which such deficiency is applicable and whether such Series 2009 Bonds will be deficient as to principal or interest or both. If the deficiency is made up in whole or in part prior to or on the payment date, the Paying Agent shall so notify the Insurer or its designee. (2) The Paying Agent shall, after giving notice to the Insurer as provided above, make available to the Insurer and, at the Insurer's direction, to any fiscal agent, if any, the registration books of the Issuer maintained by the Paying Agent and all records relating to the funds maintained under the Financing Documents. (3) The Paying Agent shall provide the Insurer and its fiscal agent, if any, with a list of registered owners of Series 2009 Bonds entitled to receive principal or interest payments from the Insurer under the terms of the Bond Insurance Policy, and shall make arrangements with the Insurer, or another designee of the Insurer to (i) mail checks or drafts to the registered owners of Series 2009 Bonds entitled to receive full or partial interest payments from the Insurer and (ii) pay principal upon Series 2009 Bonds surrendered to the Insurer, or another designee of the Insurer by the registered owners of Series 2009 Bonds entitled to receive full or partial principal payments from the Insurer. (4) The Paying Agent shall, at the time it provides notice to the Insurer of any deficiency pursuant to clause (1) above, notify registered owners of Series 2009 Bonds entitled to receive the payment of principal or interest thereon from the Insurer (i) as to such deficiency and its entitlement to receive principal or interest, as applicable, (ii) that the Insurer will remit to 8 Resolution 4teW#-214 Attachment number 4 Page 9 of 14 them all or a part of the interest payments due on the related payment date upon proof of its entitlement thereto and delivery to the Insurer or any fiscal agent, in form satisfactory to the Insurer, of an appropriate assignment of the registered owner's right to payment, (iii) that, if they are entitled to receive partial payment of principal from the Insurer, they must surrender the related Series 2009 Bonds for payment first to the Paying Agent, which will note on such Series 2009 Bonds the portion of the principal paid by the Paying Agent and second to the Insurer or its designee, together with an appropriate assignment, in form satisfactory to the Insurer, to permit ownership of such Series 2009 Bonds to be registered in the name of the Insurer, which will then pay the unpaid portion of principal, and (iv) that, if they are entitled to receive full payment of principal from the Insurer, they must surrender the related Series 2009 Bonds for payment to the Insurer or its designee, rather than the Paying Agent, together with the an appropriate assignment, in form satisfactory to the Insurer, to permit ownership of such Series 2009 Bonds to be registered in the name of the Insurer. (5) In addition, if the Paying Agent has notice that any holder of the Series 2009 Bonds has been required to disgorge payments of principal or interest on the Series 2009 Bonds previously Due for Payment (as defined in the Bond Insurance Policy) pursuant to a final non- appealable order by a court of competent jurisdiction that such payment constitutes an avoidable preference to such holder within the meaning of any applicable bankruptcy laws, then the Paying Agent shall notify the Insurer or its designee of such fact by telephone or electronic notice, confirmed in writing by registered or certified mail. (6) The Paying Agent will be hereby irrevocably designated, appointed, directed and authorized to act as attorney-in-fact for holders of the Series 2009 Bonds as follows: (a) If and to the extent there is a deficiency in amounts required to pay interest on the Series 2009 Bonds, the Paying Agent shall (a) execute and deliver to the Insurer, in form satisfactory to the Insurer, an instrument appointing the Insurer as agent for such holders in any legal proceeding related to the payment of such interest and an assignment to the Insurer of the claims for interest to which such deficiency relates and which are paid by the Insurer, (b) receive as designee of the respective holders (and not as Paying Agent) in accordance with the tenor of the Bond Insurance Policy payment from the Insurer with respect to the claims for interest so assigned, and (c) disburse the same to such respective holders; and (b) If and to the extent of a deficiency in amounts required to pay principal of the Series 2009 Bonds, the Paying Agent shall (a) execute and deliver to the Insurer, in form satisfactory to the Insurer, an instrument appointing the Insurer as agent for such holder in any legal proceeding related to the payment of such principal and an assignment to the Insurer of the Series 2009 Bonds surrendered to the Insurer in an amount equal to the principal amount thereof as has not previously been paid or for which moneys are not held by the Paying Agent and available for such payment (but such assignment shall be delivered only if payment from the Insurer is received), (b) receive as designee of the respective holders (and not as Paying 9 Resolution IfteW#-214 Attachment number 4 Page 10 of 14 Agent) in accordance with the tenor of the Bond Insurance Policy payment therefore from the Insurer, and (c) disburse the same to such holders. (7) Payments with respect to claims for interest on and principal of Series 2009 Bonds disbursed by the Paying Agent from proceeds of the Bond Insurance Policy shall not be considered to discharge the obligation of the Issuer with respect to such Series 2009 Bonds, and the Insurer shall become the owner of such unpaid Series 2009 Bonds and claims for the interest in accordance with the tenor of the assignment made to it under the provisions of this subsection or otherwise. (8) Irrespective of whether any such assignment is executed and delivered, the Issuer and the Paying Agent hereby agree for the benefit of the Insurer that: (a) they recognize that to the extent the Insurer makes payments directly or indirectly (e.g., by paying through the Paying Agent), on account of principal of or interest on the Series 2009 Bonds, the Insurer will be subrogated to the rights of such holders to receive the amount of such principal and interest from the Issuer, with interest thereon as provided and solely from the sources stated in the and the Series 2009 Bonds; and (b) they will accordingly pay to the Insurer the amount of such principal and interest, with interest thereon as provided in the Bond Ordinance and the Series 2009 Bonds, but only from the sources and in the manner provided herein for the payment of principal of and interest on the Series 2009 Bonds to holders, and will otherwise treat the Insurer as the owner of such rights to the amount of such principal and interest. (9) The Insurer shall be entitled to pay principal or interest on the Series 2009 Bonds that shall become Due for Payment but shall be unpaid by reason of Nonpayment (as such terms are defined in the Bond Insurance Policy) and any amounts due on the Series 2009 Bonds as a result of acceleration of the maturity thereof in accordance with this agreement, whether or not the Insurer has received a Notice (as defined in the Bond Insurance Policy) of Nonpayment or a claim upon the Bond Insurance Policy. (10) In addition, the Insurer shall, to the extent it makes any payment of principal or interest on the Series 2009 Bonds become subrogated to the rights of the recipients of such payments in accordance with the terms of the Bond Insurance Policy, and to evidence such subrogation (i) in the case of claims for interest, the Paying Agent shall note the Insurer's rights as subrogee on the registration books of the Issuer maintained by the Paying Agent, upon receipt of proof of payment of interest thereon to the registered holders of the Series 2009 Bonds, and (ii) in the case of claims for principal, the Paying Agent, if any, shall note the Insurer's rights as subrogee on the registration books of the Issuer maintained by the Paying Agent, upon surrender of the Series 2009 Bonds together with receipt of proof of payment of principal thereof. 10 Resolution IfteW#-214 Attachment number 4 Page 11 of 14 K. Insurance. The Issuer shall maintain insurance covering risks (including, without limitation, property and casualty general liability and professional liability), if available and affordable, in amounts as customarily maintained by Florida coastal municipal owed utility systems of similar size and conducting similar operations of the Issuer. The Issuer currently self insures and may continue to self insure, in whole or in part, provided that the Issuer's self insurance plan provides for (i) the maintenance of a self-insurance fund funded in an amount determined (initially and on at least an annual basis) by an independent actuary employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. The Issuer shall timely deposit any amount necessary to cause such self insurance fund to be funded in the amount determined by such actuary. SECTION 2. PRIOR RESOLUTIONS. All prior resolutions of the Issuer inconsistent with the provisions of this resolution are hereby modified, supplemented and amended to conform with the provisions herein contained and except as otherwise modified, supplemented and amended hereby shall remain in full force and effect. SECTION 3. ESCROW DEPOSIT AGREEMENT. The Issuer confirms U.S. Bank, National Association as the escrow agent for the refunding of the Series 1998 Bonds and the Issuer is hereby authorized to and will enter into the escrow deposit agreement in substantially the form attached hereto as Exhibit B with the escrow agent and shall comply with all defeasance requirements for the refunding of the Series 1998 Bonds, upon the refunding of the Series 1998 Bonds SECTION 4. EFFECTIVE DATE. This resolution shall become effective immediately upon its adoption. Passed and adopted by the City Council of the City of Clearwater, Florida, this day of May, 2009. CITY OF CLEARWATER, FLORIDA By: Frank V. Hibbard Mayor 11 Resolution IfteW#-214 Attachment number 4 Page 12 of 14 Approved as to form: Attest: Pamela K. Akin City Attorney J: \ wdox \ Docs \ CHents\ 25341 \ 003 \ AGRMNT \ 00348248.DOC Cynthia E. Goudeau City Clerk 12 Resolution Ift#-214 Attachment number 4 Page 13 of 14 EXHIBIT A INSURANCE COMMITMENT Item # 14 Attachment number 4 Page 14 of 14 EXHIBIT B ESCROW DEPOSIT AGREEMENT Item # 14 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Amend Article VII, Solid Waste Management,Section 32.271 through 32.322, Amend Appendix A, Schedule of fees, rates, and charges, Article XXV, Public Works-fees, rates and charges, section; (3)(c) Solid Waste collection rates through Solid Waste Roll- off container or waste receptacle service(5)(b)(ii)(7), and pass Ordinance 8025-09 on first reading. SUMMARY: The proposed amendments to this Ordinance and Appendix A include the recommendation for exclusivity for the City's roll-off operation and various wording changes meant to clarify, update, or strengthen the current Ordinance and Appendix. Article VII, Solid Waste Management Update Language and added definitions Solid Waste to Solid Waste/General Services Solid Waste Director to Solid Waste/General Services Director City Commission to City Council Definitions added Containerized service - collection of solid waste or recyclables in city-approved containers Contamination - when more than de minimis non-recyclable items are included with recyclables, or two or more types of recyclables are commingled. Eviction or move-out refuse - refuse left for collection resulting from an eviction or move-out. E-waste - inoperative or discarded electronic components. Late payment - means any payment remitted after the required due date. Recovered materials dealer - person or entity who handles, purchases, receives, recovers, sells, or is an end-user of recovered materials. Roll-off container - large capacity container used for commercial, industrial service, or special purposes, including but not limited to, containers with capacities between (10) and (40) cubic yards and which is transported with its contents to a solid waste disposal site. Servicing - interaction with Solid Waste/General Services with regards to installing, cleaning, deodorizing, pulling, removing, or repairing damage to waste receptacles. Waste receptacle - vehicle or container used to collect, transfer or haul solid waste or construction debris. Strengthen Enforcement Capabilities - Language added to Sec. 32.276 that designated solid waste personnel have the "authority to exercise limited police powers to enforce provisions of this chapter." Cover Memo Appendix A, Schedule of fees, rates and charges Item # 15 Establish Rates Solid Waste curbside collection rates for customers outside the city limits (Agreements To Annex) - add a 125% monthly surcharge to provide curbside service to accounts outside city limits. Dumpster cleaning charges of $100 per receptacle after two free cleanings per year Annual maximum of yard waste per dwelling - four complimentary pick ups beyond the once-weekly yard waste collection per 12- month period not to exceed 40 cubic yards in the 12-month period. Exclusivity for Roll-Off Operations The provision of roll-off and compactor service in the City of Clearwater is currently open to all private roll-off haulers and the City's Solid Waste Department. Exclusivity would prohibit private haulers from doing roll-off business within the City limits. This recommendation is based on the following: - Revenue Opportunity: Current City roll-off operation has the capacity to absorb additional business without adding full-time equivalent postions (FTEs) or equipment. - Savings: Staff costs and hours necessary (approximately 1,200 hours) to enforce collection of the 15% franchise fee from private haulers. - Customer Service: Continue high level of customer service (service same day or next, deodorize and clean containers, etc.) - Efficiency: Area of operation within the City limits allows for a short turn-around to service. - Location: Transfer Station is centrally located with the City and has the capacity to for additional refuse. There are eight FTEs assigned to the roll-off operation. The operation also includes six roll-off trucks providing service five days a week. Type: Other Current Year Budget?: Yes Budget Adjustment: None Budget Adjustment Comments: Current Year Cost: Annual Operating Cost: Not to Exceed: Total Cost: For Fiscal Year: to Review Approval: 1) Financial Services 2) Office of Management and Budget 3) Legal 4) Clerk Cover Memo Item # 15 LO E (1) 4 r ?C C r--? LO yT.? ^E W Lo E In E a) LO r E r a? III IIII IIIII ?- Lo E LO E (1) 4 Attachment number 2 Page 1 of 27 ORDINANCE NO. 8025-09 AN ORDINANCE OF THE CITY OF CLEARWATER, FLORIDA, RELATING TO THE SCHEDULE FOR SOLID WASTE COLLECTION SERVICES; AMENDING ARTICLE VII, SOLID WASTE MANAGEMENT, SECTIONS 32.271 THROUGH 32.322, APPENDIX A, SCHEDULE OF FEES, RATES AND CHARGES, ARTICLE XXV, PUBLIC WORKS-FEES, RATES AND CHARGES, SECTION; (3)(c) SOLID WASTE COLLECTION RATES THROUGH SOLID WASTE ROLL-OFF CONTAINER OR WASTE RECEPTACLE SERVICE (5)(b)(ii)(7), CLEARWATER CODE OF ORDINANCES; PROVIDING AN EFFECTIVE DATE. WHEREAS, it is determined to be fair and reasonable to establish fees, rates and service charges based on the cost to serve the various classes of customers; now therefore, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF CLEARWATER, FLORIDA: Section 1. Article VII, Solid Waste Management, Section 32.271 through Section 32.322, Clearwater Code of Ordinances, is hereby amended as follows: DIVISION 1. GENERALLY ********** Sec. 32.2715. Definitions. As used in this chapter: (1) Commercial container means any container approved by the Solid Waste/General Services Department 6o'0Q' e d°p°FtmeRt and serviced by a commercial collection vehicle. (2) Commercial establishment means a property or properties zoned or used for commercial or industrial uses, or used by an entity exempt from federal income taxation under section 501(c)(3) of the Internal Revenue Code. The term excludes property or properties zoned or used exclusively for single-family residential or multi family residential uses of four units or less. (3) Compactor means any mechanical hydraulic or electrical machine designed and used specifically for compacting refuse or recyclables. (4) Compacted means refuse eF gaFbage condensed by a compactor. (5) Construction debris means discarded building materials and rubble including but not limited to earth, cement, brick, wire, cans, flooring materials, lumber, plaster, roofing materials and any other waste resulting from construction, remodeling, repair or demolition of any structure or pavement. Such construction debris may be either commercial or residential in character. Ordinance No.IOW540915 Attachment number 2 Page 2 of 27 (6) Containerized service means collection of solid waste or recyclables in city= approved containers. (7) Contamination means when more than de mininis non-recyclable items (such as trash, food waste, glass, putrescible garbage) are included with recvclables, or when two or more different types of recvclables are commingled in a container intended for one. M{6}Customer means owner, occupant, tenant, or other person having control of the improved real property. (9) Eviction or move-out refuse means any refuse that is left for collection resulting from an eviction or a move-out. (10) E-Waste means inoperative or discarded electronic equipment including, but not limited to televisions, computer CPUs, monitors and peripherals, and handheld and desktop telecommunications equipment. L11 I{ 4 Hazardous material means material which is radioactive, volatile, flammable, explosive, infectious, toxic or otherwise hazardous, including but not limited to material designated as hazardous in any Federal, Florida, Pinellas County, or Clearwater she law or ordinance; also that waste which is determined to be hazardous by the United States Environmental Protection Agency, or any other federal agency. (12) Late payment means any payment remitted after the required due date. (13)(8}Materials recovery facility means a solid waste management facility that provides for the extraction from solid waste of recyclable materials, materials suitable for use as a fuel or soil amendment, or any combination of such materials. f141{g}Putrescible waste garbage means household or commercial solid waste that will putrefy. (15)494 Recovered materials means metal, fiber, gaper, glass, plastic, textile or rubber materials that have known recycling potential, can be feasibly recycled, and have been diverted and source-separated or have been removed from the solid waste stream for sale, use, or reuse as raw materials, whether or not the materials require subsequent processing or separation from each other, but does not include materials destined for any use that constitutes disposal. Recovered materials are not solid waste. L16144} Recovered materials dealer means any person or entity who handles, purchases, receives, recovers, sells, or is an end-user of recovered materials. L171424 Recovered materials processing facility means a facility engaged solely in the receiving, storage, processing, resale or reuse of recovered materials. Such a facility is not a solid waste management facility if it meets the definitions of section 403.7045(l)(f), Florida Statutes. f181424 Recyclable means those materials which are capable of being recycled and which would otherwise be processed or disposed of as solid waste. 2 Ordinance No.18W540915 Attachment number 2 Page 3 of 27 JL9144} Recycling means the collection, processing, marketing, reprocessing and resale or reuse of any material which would otherwise be processed or disposed of as solid waste. 145}Recycling bin means any container issued by the city for the purpose of recycling. 14&) Refuse means all putrescible and non-putrescible solid waste. L? 1 f?2 1474 Residential refuse container means a city issued automated container and/or a city-approved 32-gallon container or other container approved by the director of Solid Waste/General Services sA Cj ?^4°1; +° (23) Roll-off container means any large capacity container used for commercial or industrial service, or for special purposes, including but not limited to, containers with capacities between (10) ten and forty (40) cubic yards and which are transported with their contents by vehicle to a solid waste disposal site. (24) Servicing means any interaction with Solid Waste/General Services with regards to including, but not limited to, installing cleaning, deodorizing, pulling, removing, or repairing damage to waste receptacles (25)4?4 Solid waste means sludge not regulated under the Federal Clean Water Act or Clean Air Act; sludge from a waste treatment works, water supply treatment plant, or air pollution control facility; or garbage, rubbish, refuse, special waste, or other discarded material, including solid, liquid, semisolid or contained gaseous material resulting from domestic, industrial, commercial, mining, agricultural or governmental operations. The term does not include recovered materials as defined in this section or in section 403.703(7), Florida Statutes. (26)(2-04 Solid Waste/General Services Se4d waste director means the person authorized to exercise and enforce the provisions of this ordinance. fL7149}Solid waste management means the process by which solid waste is collected, transported, stored, separated, processed or disposed of according to an orderly, purposeful and planned program which includes closure and long-term maintenance. 194?Solid waste management facility means any solid waste disposal area, volume f?8 reduction plant, transfer station, materials recovery facility or other facility, the purpose of which is resource recovery or the disposal, recycling, processing or storage of solid waste. The term does not include recovered materials processing facilities which meet the requirements of Section 403.7046(4), Florida Statutes, except the portion of such facilities, if any, that is used for the management of solid waste. jk22}Source-separated means that recovered materials are separated from solid f?9 waste where the recovered materials and solid waste are generated. The term does not require that various types of recovered materials be separated from each other and recognizes that de minimis solid waste, in accordance with industry standards and practices, may be included in the recovered materials. 3 Ordinance NOOW540915 Attachment number 2 Page 4 of 27 LqQJQ3}Special wastes means solid waste that can require special handling and management, including, but not limited to, white goods, waste tires, used oil, lead-acid batteries, construction and demolition debris, ash residue, e-waste, paint yard trash, and biological wastes. fL11{24Trash means any waste accumulation of paper, sweepings, rags, bedding or other matter of any kind, other than garbage, which is usually attendant to housekeeping, except recyclables. (32) Waste receptacle means any vehicle or container, but is not limited to trailers, roll-off containers, compactors or any other functionally equivalent containers, used to collect, transfer or haul solid waste or construction debris from one location to another. (33)(2,}White goods means inoperative and discarded refrigerators, ranges= water heaters, freezer{s4 and other similar domestic and commercial large appliances of any color. (34){2A)-Yard waste means vegetative matter resulting from landscaping and maintenance. Sec. 32.272. Collection by city; exceptions. (1) Generally. All refuse accumulated in the city shall be collected, conveyed and disposed of by the city government. Following receipt and referral by the City Council Gemmiccinn of annexation petitions, the city shall, upon request by the petitioners, collect refuse accumulated on properties being annexed by the city. Any residential, commercial, or industrial property within the City that is being constructed, is occupied, or is capable of being occupied, shall be presumed to be generating solid waste for collection. (2) Exception for commercial establishments. This chapter shall not prohibit the actual producers of solid waste or the owners of premises upon which solid waste has accumulated, from personally collecting, conveying and disposing of such solid waste provided such producers or owners comply with the provisions of this chapter and with all other governing laws and ordinances. This paragraph shall not be construed to provide for or as allowing collection by subcontract. An owner or producer of refuse or recyclable materials may sell or donate these materials but may not enter into any disposal agreement whereby the owner or producer pays for the use of the container or for hauling. (3) Exception for outside collectors. This chapter shall not prohibit solid waste collectors from outside of the city from hauling such solid waste over city streets prescribed by the director of public works provided such collectors comply with the provisions of this chapter and all other governing laws and ordinances. (4) Exception for private collectors with roll-off containers, compactors or waste receptacles. Thi° Ghapt all net prehihit a private Geller-ter heldine a permit from Oho ? ?ipy he Gity that the Gity dGec RGt GhPtA_ Gellert and appreves fer Gellertien by ei itside r_Ancrtr? rc'rct A private collector who currently holds a city issued permit for placing 4 Ordinance No.18W540915 Attachment number 2 Page 5 of 27 and servicing roll-off containers, compactors, or waste receptacles for commercial and industrial waste, may continue to provide said service for the duration of all existing customer contracts. The private collector shall provide the city with evidence of all such contracts. This exception shall only apply to contracts entered into on or before May 7, 2009. Moreover, the City may honor an existing private refuse contract for existing development which annexes into the City for the remainder of the contract term or for five (5) years from the date of annexation, whichever is shorter. (5) Exception for bulky items. The city has the right to refuse garbage service of any unusual or extremely bulky item or to require the owner or producer of waste to reduce it to such size and weight as can be handled by city equipment. Sec. 32.273. Director of Solid Waste/General Services Warmt°; powers; appeals from action. M All solid waste and recyclables accumulated in the city shall be collected, conveyed, and disposed of or otherwise managed by the city under the supervision of the director of Solid Waste/General Services °^'" - waste. (2) The director of Solid Waste/General Services °^'" waste. shall have the authority to establish the type of container, the frequency of collection, location of container, amount of solid waste and recycling collection or disposal service needed, so long as such change does not fall below any minimum standards set forth by Federal and Florida law or local ordinance. Sec. 32.274. Unlawful practices generally. It is hereby declared unlawful and a violation of this chapter for any person to do or permit to be done any of the following acts or practices: (1) To deposit on or bury in, or cause to be deposited in or buried in, any property, public or private, and any street, alley, the waters of Clearwater Bay, or any creek, watercourse, storm sewer, or ditch within the corporate limits of the city, any solid waste or other noxious, malodorous or offensive matter; (2) To fail or neglect to keep or cause to be kept clean and sanitary or tightly covered and in good state of repair all containers and trash receptacles; (3) To place or allow to be placed upon the streets, alleys, curbs, bicycle paths or sidewalks of the city any rubbish, sweepings, debris, trash or waste materials of any kind, which constitutes a menace to traffic, both vehicular and pedestrian, or a health or aesthetic problem, or which impairs the proper operation of the city's sewer or drainage system; (4) To remove recyclables or any marketable materials from solid waste placed out for collection. Such an act is declared "scavenging" and is punishable by a fine of $500.00 per incident. An incident is deemed to be the removal of such materials from a single premises; 5 Ordinance No.18W540915 Attachment number 2 Page 6 of 27 (5) To dispose of any paint, hazardous material, acid, explosive material, Inflammable liquids, burning substance or any dangerous or highly corrosive material, used oil or biohazardous wastes in any refuse container which might be detrimental or harmful to any person or persons. The city will not be responsible for the collection or disposal of these materials or of special industrial wastes. Damage to city-owned containers as a result of the above will be repaired at the expense of the user; er (6) To place or deposit or cause to be placed or deposited upon any of the streets, sidewalks, parkways, thoroughfares, public parks, or other public places of the city, any tree trunks or limbs, any trash, debris, papers, litter, solid waste, or other discarded matter of whatever kind, except as specifically provided within the rules and regulations-- (7) To bring any solid waste into the city from outside the city limits, or transfer solid waste originating from one party to another party within the city, for the purpose of collection and removal by Solid Waste/General Services; or (8) It shall be unlawful for any third party or contractor to create or leave construction debris, yard waste or refuse subsequent to the performance of any work on private property for the city to collect. No materials from such operations shall be placed in any residential container, commercial container, waste receptacle or set out curbside for collection by the City without prior authorization by the Solid Waste/General Services director. Sec. 32.275. Prohibited materials. (1) Building materials. Except for roll-off container or waste receptacle services, the city shall not be responsible for the collection of dirt, rock, sod, plaster, lumber, metal or other construction or building material originating from private property preliminary to, during or subsequent to the construction of new buildings, or alterations or additions to existing buildings. Such material shall be removed by the owner of the property or by the contractor. No certificate of occupancy shall be issued until such material has been removed by the owner or contractor. ) Cen ieus efisease Gelid waste. he r m^y-Al A-f nlGthiRg h ddiRg 9F tether iselliGI rnllon+od by Gelid waste PePSGnn°I jQk34Inflammable or explosive materials. Highly flammable or potentially explosive materials or toxic substances shall not be placed in containers for regular collections, but shall be disposed of as directed by the director of Solid Waste/General Services se4d wee at the expense of the owner or possessor thereof. f?J{4) Prohibited materials. Biohazardous waste, flammable liquids, motor oil, pesticides, herbicides and other hazardous materials shall not be placed for collection, and shall not be collected by solid waste personnel. 6 Ordinance NOOW540915 Attachment number 2 Page 7 of 27 Sec. 32.276. Enforcement. The director of Solid Waste/General Services S^'"i ?.Mast° is authorized to exercise limited police powers to enforce the provisions of this chapter. These limited police powers shall include the authority to issue a notice of violation of a provision of this chapter and, following a reinspection after the time specified in the notice for corrective action, if there has not been substantial compliance with the notice of violation, or if the violation has been corrected but reoccurs, the director of Solid Waste/General Services s^'o-Waste may cause a summons to be issued by a sworn police officer, code enforcement officer, or designated Solid Waste/General Services employee of the city for appearance in county court, or may notify the code enforcement board and request a hearing pursuant to sections 7-102 of the Clearwater Community Development Code 2.212- and 2.219. A notice of violation shall describe the nature of the violation, the corrective action necessary to cure the violation, and the time within which corrective action shall be taken. A notice of violation shall be served in the manner set forth in section 162.12,_2-.24-& Florida Statutes. Personnel E""'?rrr leyee.°. authorized by the city manager or designee as code enforcement officers or solid waste personnel are hereby designated as the investigating and enforcing authority pursuant to this article. The code enforcement officers or solid waste personnel are authorized and directed to receive all complaints, make inspections to determine if a violation of this article exists, gather all relevant information concerning such complaints, conduct field investigations and inspections of real property, and enter upon real property, with or without a warrant as required by law, in the conduct of official business pursuant to this article. It shall be unlawful for any person to interfere, harass, or otherwise impede a city code enforcement officers or solid waste personnel employee who are +s carrying out or acting within the scope of his/her duties. A law enforcement official shall have the authority to arrest an individual in violation of Article VII this seet;en Sec. 32.277. Penalties. (1) Any person or entity found to be in violation of the provisions of this article shall be prosecuted as provided in section 1.12. (2) Imposition of a penalty or fine does not prevent the ee P-Rfercemen+?,-r--h appropriate City designee from proceeding or from revoking or suspending a license or perm it. (3) In addition to the penalties provided in subsection (a) of section 1.12, any condition caused or permitted to exist in violation of any of the provisions of this Code can be deemed a public nuisance, and may be abated by the city as provided by law. If action to remedy the condition is taken by the city, the actual costs of such action plus administrative costs of up to $200.00 shall be owed by the owner to the city and shall constitute a lien against the property until paid. (4) If a customer has not removed extra or nonconforming solid waste or other industrial waste, hazardous waste or noncombustible refuse within 24 hours after notification by solid waste, the director of Solid Waste/General Services °^'"-ste may order such removal and all costs incurred shall be placed against the customer's utility account. 7 Ordinance No.18W540915 Attachment number 2 Page 8 of 27 (5) Failure to remove a container tagged with a warning by the Solid Waste/General Services Department 68`'x° d° eRt within the specified period of time subjects the customer to a fine of $10.00 per day, which is placed on the customer's utility bill. Repeat offenders, at the discretion of the director of Solid Waste/General Services WARt° may be placed on side or rear yard premium service at the appropriate fee. (6) In the event a roll-off container or waste receptacle becomes a danger or nuisance, the roll-off container or waste receptacle shall be impounded and owner given notice, if reasonably possible, and owner shall be responsible for claiming such roll-off container or waste receptacle at owner's own expense as detailed in subsection 7. (7) Roll-offs containers and/or waste receptacles located on city property and/or rights-of-way that are not registered shall be hauled to a city site and an initial fee of $300.00 and a $50.00 a day storage fee shall be assessed against the owner of such equipment. If such equipment is not recovered after thirty (30) days, after the City has gone through reasonable efforts to provide the owner notice, then such equipment may be disposed of. (8) Roll-off container and/or waste receptacle Permittee shall incur a 1% penalty charge on the total amount of remittance, as specified in Appendix A of this code and referred to in section 32.290(2)(b) of this division, for every month that the remittance is past due. Furthermore, Permittee shall incur a 1% penalty charge on the total amount of remittance for every month that the Permittee fails to provide invoice copies and monthly service reports, as required by section 32.290(2)(b). Failure to comply with the permit submission requirements may result in revocation or denial of issuance or renewal of a permit. Sec. 32.278. Service fees and charges. (1) The fact that any place of abode or any place of business is occupied shall be prima facie evidence that refuse is being produced and accumulated upon such premises and that fees for the collection and disposal thereof are due the city. (2) See Appendix A for solid waste management system deposits, fees, service charges, and rate schedules. (3) The solid waste collection and disposal charges are applicable until all municipal utilities including lawn (water) meters are disconnected. (4) For accounts payable, see section 32.066. (5) Additional service charges may be levied at the discretion of the director of Solid Waste/General Services solid ate. Sec. 32.279. Duty of property owner to supply receptacle; exception. 8 Ordinance No.18W540915 Attachment number 2 Page 9 of 27 It shall be the duty of all owners of residences, businesses, professional offices, and other commercial establishments in the city to supply each of such establishments with set+d waste receptacles ^^^+? except where furnished by the city. Sec. 32.280. Duty of property owner; precollection practices. (1) Preparation of solid waste. (a) Garbage. All garbage shall be drained of liquid and shall be wrapped or bagged in paper or plastic before being placed in any container for collection. (b) Trash. All trash shall be drained of liquid before being deposited for collection. (c) Recyclables. Recyclables shall be prepared for collection in accordance with existing policies pregraF4?. that of the city provides. as port ^f the eE„^Ig ed, n (d) Yard waste. Loose yard waste shall be placed inside a container, other than the city-issued container, approved by the city and placed f^r r^^.,^lin^ ^^II^^+i^^ at curbside, separate from other trash. Such containers shall not be filled above the rim of the container. Single articles such as palm fronds, tree branches and limbs shall be cut or broken into pieces which are less than four (4) inches in diameter and four (4) feet long and shall be stacked at curbside for FeGYGIORg collection. It shall not be the responsibility of the solid waste personnel to clean up de minimis debris resulting from standard collection. LaFgeF aFtideG ybe-sell,?ed--by sp niGk in i Innn req lost aRd approval by the rliro^?nr of cnlir! W;;1;to (e) Scrap metal and appliances. Scrap metal and appliances shall be placed at the curb for recycling collection separate from other trash. Freezers, refrigerators, clothes washers, clothes dryers, dishwashers or similar airtight units shall have the doors removed or secured before being placed for collection. All stand-up items shall be laid flat. Scrap metal such as poles, pipes and antennas shall be cut or bent into pieces not longer than six (6) feet. (f) Crates and cardboard boxes. Crates and cardboard boxes shall be collapsed prior to being placed for collection. (g) Dangerous material. All dangerous material collected manually such as broken glass, light bulbs, and razor blades, ^^d fl, ,^r ^n+ +. ,h shall be deposited in a disposable container and placed at curbside for collection. (h) None of the above may be placed out prior to twenty-four (24) ferty eight hours in advance of a scheduled pick-up. (2) Containers. (a) Duty to provide and maintain in sanitary condition. Except in the case of containers provided by the city. all containers shall be provided by the owner, tenant, or occupant of the premises. Containers shall be maintained in good condition and shall be subject to inspection and approval of conditions by city code enforcement inspectors and others having jurisdiction. Routine maintenance of can{s4, carts,, and g Ordinance NOOW540915 Attachment number 2 Page 10 of 27 waste receptacles d i rs in a sanitary manner is the responsibility of the user. Any container that does not conform to the provisions of this chapter or that may have ragged or sharp edges or any other defect liable to hamper or injure the person collecting the contents thereof, shall be promptly replaced by the customer upon written notice by the city. The director of Solid Waste/General Services RA"Ci ? shall have the authority to discontinue collection service for failure to comply. In the event of damage to a container provided by the city caused by a user of the container, the cost of repair or replacement shall be charged to the customer's account. (b) Specifications. Containers shall be made of durable plastic or metal, equipped with suitable handles and tight-fitting covers, and shall be water-tight. Except in the case of containers provided by the city, each container shall have a capacity of not more than thirty-two (32) gallons, and shall weigh not more than sixty 1601 pounds when full. (c) Commercial trash bins. No commercial trash bins or trash rooms shall be used without written permission of the director of Solid Waste/General Services se4d wee. No existing bin shall continue to be used, and no new bin shall be permitted for use, unless it is completely enclosed and watertight. (d) Commercial containers. Containers shall be of such size and shape as to be capable of being lifted and emptied into city collection vehicles. Commercial front end containers provided by the owner and used in conjunction with compactors shall first be approved by the director of Solid Waste/General Services Gelid such approval to relate to the ability of the city to service such equipment. (3) Storing of solid waste. (a) Public places. No person shall place any solid waste in any street, alley or other public place or upon any private property whether owned by such person or not, unless it is in containers for collection. No person shall place any solid waste at the curb for collection except on his or her property, and such placement shall be behind the curb or where the curb should be. Any person having a corner lot may use the side yard curb, subject to the director of Solid Waste/General Services' se4d s approval. No person shall throw or deposit any solid waste in any ditch, stream or body of water. (b) Unauthorized accumulation. Any unauthorized accumulation of solid waste on any lot or premises is hereby declared to be a nuisance and is prohibited. Failure to remove any accumulation of solid waste following notice to the owner or tenant and a reasonable opportunity to take corrective action shall be deemed a violation of this chapter. (c) Reserved. (d) Commercial establishments. All commercial establishments shall secure solid waste accumulated upon the premises so as to eliminate wind-driven debris and unsightly litter conditions in and about the establishment. 10 Ordinance NOOW540915 Attachment number 2 Page 11 of 27 (e) Public parking lots. All public parking lots shall be provided with containers in sufficient quantity so that there shall be at least one container for every 50 parking spaces. This requirement shall apply to parking lots with a capacity in excess of 25 spaces. It shall be the responsibility of the owner or the manager of the parking lot to collect the material deposited in the containers and deposit the material in a container for collection. As used in this subsection the term "public parking lot" shall mean a privately owned lot open to the general public. (f) Construction sites. All construction sites shall use "+i city-approved waste receptacles trash nnn+oinorc the number of which shall be determined according to the size of the job at the discretion of the director of the building division. Construction sites shall be kept clean and orderly at all times and the building director may suspend or red tag a construction job until the premises are brought up to a satisfactory sanitary condition. Any waste receptacle used to collect refuse that is not supplied by the City shall be required to be registered with the director of Solid Waste/General Services. (4) Waste receptacles, compactors, roll-off containers and baling machines. (a) Registration. Prior to the placement of compactors, roll-off containers, waste receptacles, and baling machines such equipment shall be registered with the director of Solid Waste/General Services ;n'iCJ ? A 4; z. (b) Storage of compacted trash. Compacted cardboard, trash or by-products thereof as described in this section which have been compacted into bales shall be stored in fireproof structures or buildings at all times unless awaiting transport to ultimate disposal. (c) Transporting compacted or roll-off trash. No person shall transport compacted trash or recyclable materials, collected within the City of Clearwater, over streets and roadways in the corporate city limits without prior registration with the director of Solid Waste/General Services r, Sec. 32.281. Duty of property owner; collection practices. (1) Frequency of collection. (a) Residential and small businesses. Solid waste accumulated by residences and small businesses shall be collected twice each week on regularly scheduled days except Saturdays, Sundays and holidays. (b) Commercial. Motels, hotels, restaurants, supermarkets, hospitals, schools and other establishments may have daily collection services to fit their respective needs at the regular rates charged. +h°?e. Where necessary to protect the public health, the director of Solid Waste/General Services setid waste or an authorized health department official may require more frequent collections. (c) Special collections. Restaurants and all other establishments having putrescible waste ?"i„r"-"?s?T°na-ednr ,.nns+i+, ,+o aar,,T?shall be collected, at minimum, once a week. If the waste becomes offensive in odor or becomes a nuisance, it shall be collected as often as deemed necessary to 11 Ordinance NOOW540915 Attachment number 2 Page 12 of 27 address the offensive odor or nuisance, at the discretion of aRd u pen the a evalef the director of Solid Waste/General Services Selir! WARte All waste receptacles within the city limits that contain putrescible refuse shall, at the discretion of the Solid Waste/General Services Director, be required to have a minimum of one collection per week. (2) Collection locations. (a) Curbside icku 1.2 (G) Side eF neaF . Solid waste containers shall be placed for collection on the ground at the curbline, immediately in front of and contiguous to owner's property and at least ten (10) feet away from any permanent structure or vehicle and cannot obstruct pedestrian passage. Solid waste containers shall be placed for collection at ground level on the property, not within the right-of-way of a street or alley, and shall be accessible without entering into a building or shelter of any type. Exceptions may be granted with the approval of the director of Solid Waste/General Service ;A CJ tP. (b) Handicapped and elderly. Any person who has been certified by a physician as being unable to place a solid waste container at the curb shall be entitled to have the solid waste collected at the side or rear of the building at no extra charge. u Side or rear yard premium servic2 bU#G#Pg ee#eegen. A fee as stated in ADDendix A will be charaed to customers who wish to have the containers pulled out and placed back for them by solid waste personnel. Selod waste eent?iners shall he planed far nellentien at gFG IRd le\/el en the erGeert y nr)t YVith in the right _ef_way of a street er alley, enolear--rUP-sRsihle ?.Mithei it P-Aterine inte b iildinn er shelter of aR y type. -Ne selir! e shllall be rVellon4od i Alooo r-Aptainoro are readily aGGeSSible by selid waste perst9pn°I ?.Mithni it i inlnnLinn a deep gate ether ehstAnle ITG?t1G lTtherr m_a?i he appi:eyed in ?eiritine by the y ?M_;;Gte nQed that on additinnol payment fer the extra sa a is agreed i IPGR h?i heth parties (3) Container placement and removal. (a) Residential refuse and/or recycling containers and yard waste placed near the curb, street or alley shall be placed there no earlier than 7:00 p.m. on the evening preceding the collection day and must be removed to a point at the side or rear of the structure by 7:00 a.m. of the following day. Any container not removed will be tagged by the Solid Waste/General Services Department sed'e enfernement/sG4d waste dement with a warning. Second violators will be subject to a fine of $10.00 per day, which will be placed on the customer's utility bill. Repeat offenders will be placed on side or rear yard premium service at the stipulated rate. (4) Eviction/Move Out Refuse. The property owner shall be responsible for time and material charges as stated in Appendix A for any refuse clean up resulting from an eviction or move out. 12 Ordinance No.18W540915 Attachment number 2 Page 13 of 27 Sec. 32.282. Yard waste/bulk collections. (1) It is the responsibility of all tree surgeons, nurseries, lawn care services and landscaping contractors, or any individual or company doing work on private property, to remove from the premises all residue and rubbish resulting from said work. Failure to comply will result in a fine in the amount of not less than the existing cost for removal plus an administrative fee not to exceed $200.00, for the first infraction. A second infraction may result in the loss of the occupational license. (2) All white goods' doors must be removed or secured before being set out for collection. (3) Items for collection should be placed out no earlier than 24 4S hours in advance of a scheduled pick-up and should not present a health or safety hazard to the general public. ********** Sec. 32.284. Waste receptacle D er enclosures/storage of containers. (1) Enclosure required. (a) Customers who receive containerized service and who are not subject to the requirements of paragraph 5 subsection (b) of this section shall meet the following requirements with respect to waste receptacle Dumpste enclosures. (b) The enclosure will be constructed and maintained in such a manner as to ensure that the waste receptacle n is not visible from ground level. (c) The enclosure shall have a gate that is of sufficient width so that the waste receptacle ?2r is easily accessible by a front-end loading refuse collection truck. Said truck requires 12 feet of unobstructed access. (d) The base of the enclosure shall contain a six-inch-thick reinforced concrete pad of a size suitable for the waste receptacle Dumpste in use at that location. (2) Those customers whose site receives containerized service and whose use of or improvement to the service site requires site plan approval or approval of minor change of use, shall also comply with the rules and regulations regarding enclosure dimensions, materials, location, and other physical attributes, as may be promulgated and amended from time to time by the director of Solid Waste/General Services Selig WARt (3) Every rnn+°in°ri_customer who receives containerized service shall assume all risk and shall indemnify, defend, and save harmless the City of Clearwater from and against all loss, damage, cost or expense for the enclosure which is not due to the negligence of the City of Clearwater. (4) No final building inspection shall be undertaken nor certificate of occupancy issued for any site which has not complied with the enclosure requirements contained in this section. 13 Ordinance NOOW540915 Attachment number 2 Page 14 of 27 (a) Any residential customer obtaining service for any multiple-family residence, and who is not otherwise subject to the requirements of section 32.321, shall provide an enclosure for recycling containers. These recycling enclosures shall be located so that the recycling containers are easily accessible by the residents, and by the refuse collectors, using front-end rearleadiig vehicles. The enclosures shall be constructed so that the recycling containers are not visible from any public right-of-way. In addition, the director of Solid Waste/General Services selid or designee shall have the authority to review the proposed location and construction of such enclosures to ensure that they meet the criteria of this section, and also to ensure that any applicable building and safety code provisions are complied with. (5) The Solid Waste/General Services se-lid te director shall have the authority to waive some or all requirements of this section, except those relating to accessibility and location, in those cases in which the customer demonstrates that: (a) The waste receptacle Der or recycling container would not be visible at ground level from any adjacent right-of-way or property, due to the existences of walls, fences, or other screening on site in compliance with this Code; or (b) Enforcement of this section would result in extreme hardship. (6) All enclosures are required to be constructed in accordance with the City of Clearwater specifications. (7) Placement of containers. Subscribers or private collectors authorized to provide services under this article shall not place any container or receptacle for solid waste or recycling outside of any building or structure without first having obtained permission from the City approving location of such container. Sec. 32.285. Collection and disposal by commercial establishments, private individuals and outside collectors. (1) Requirement for vehicles. All transported refuse shall be containerized or tarped, and vehicles used for hauling shall be licensed by the city and approved by the director of Solid Waste/General Services °^'" - waste. The actual producers of solid waste or the owners of premises upon which solid waste is accumulated who desire personally to collect and dispose of such solid waste, persons who desire to dispose of waste material not included in the definition of solid waste and solid waste collectors from outside of the city who desire to haul solid waste over the streets of the city, shall use a water-tight vehicle provided with a tight cover and shall operate the vehicle so as to prevent offensive odors escaping +"erefre m and materials from being blown, dropped or spilled. (2) Rules and regulations. The director of Solid Waste/General Services s^'tP shall have the authority to adopt reasonable and necessary regulations concerning private collection and disposal and the hauling of solid waste over city streets by outside collectors. ********** 14 Ordinance No.18W540915 Attachment number 2 Page 15 of 27 DIVISION 2. PERMIT FOR ROLL-OFF CONTAINER AND/OR WASTE RECEPTACLE SERVICE Sec. 32.288. Required. nr+ntainers YVhether installed permanently 9F tempe Fa Fily Within the nit y Pursuant to section 32.272(1), it shall be unlawful for any party, other than the City, to engage in the business of collecting, removing, or disposing of construction or demolition debris and commercial or industrial waste. However, a sole proprietor or corporate entity placing or servicing a roll-off container or waste receptacle for the purpose mentioned in this section shall be required to procure a permit to legally continue such business activity without penalty, and hereinafter be known as Permittee, only under the following conditions: (1) yearly application of an already existing permit, so long as Permittee has adhered by all the permit application requirements in section 32.289 or (2) a permit may be issued when, pursuant to section 32.293(3), the City first determines that it is unable or unwilling to collect, remove or dispose of a particular type or volume of refuse. Sec. 32.289. Application. Every sole proprietor or corporate entity PeFGGR required to procure the permit for roll- off container, or waste receptacle service provided for in section 32.288 shall submit an application for such permit to the city manager or designee. The application shall: (1) Be a written statement upon forms provided by the City. Such application form shall include an affidavit to be sworn to by the applicant before a notary public of the state. (2) Require the disclosure of all information necessary in compliance with this division. (3) Be accompanied by a permit fee in the amount set out in appendix A to this Code. (4) Be submitted to the city manager or designee together with all pertinent information required in this division, in order that a determination can be made by the city manager or designee. ( ete r iintinns a °nnrr! of all arrests oar! GAP ainst the applicant oad er eve aFtReF g licant fer yiplatieps ref aR aRd all 'Awf; Apci ter of the a direr . r- p , pp y ? - nrdinonnes of the pity, nni u into, rc stuate n vrrf iern-rmrcer-rcnt -T ?cn-n. f§j{&}Contain the names of employees responsible for the operation of applicant's business, meaning those who will manage, administer and supervise the business under the permit when issued. n^I„rlir,n the AMA1-lAt GTeXpeFiegse possess°?? ass" 1. an hm a hanLgrei inrl in?iesti ph P;4 t der eath )R, fiRgerPrints etegFaph aRd Mk7-}Contain the following additional information: 15 Ordinance NoJOW540915 Attachment number 2 Page 16 of 27 (a) Number, type and size of waste collection vehicles in use; (b) Number of employees assigned to each waste collection vehicle; (c) Name and location of every establishment in the city, including short-term construction sites, where roll-off containers or waste receptacles are placed and serviced by the applicant. (7) Be accompanied by copies of all contracts or options for the servicing or placing of roll-off containers or waste receptacles within the City of Clearwater. For permitting purposes only, the City shall honor existing private servicing contracts for the remainder of the contract term or for five (5) years from the date of execution, whichever is shorter, provided that such contract or option was in effect on or before May 7, 2009. If the applicant is unable to provide copies of contracts or options, as required by this section, applicant shall be ineligible to obtain a permit. (8) Disclose all previous business names, current subsidiaries, parent companies or any successors. Sec. 32.290. Prerequisites to issuance. In determining whether GF reef a permit for the placement or servicing of a roll-off container or waste receptacle should be issued, the city manager or designee shall consider and base 4ims the decision on the following: (1) A review of the material submitted pursuant to section 32.289; (2) A Fevfew of -II nerniintieno of the appline ti-r?ntThr re -A.Ad- the r_epc?cree fr the applinon+ s bseq lent to rolooco• ^^ff (3) The linence histery of each applicant' (2) 04The certificate of approval of the city manager or designee to the effect that the applicant has satisfied the following: (a) The adequacy of the equipment to be used, as used in this subsection, adeauacv of eauiament shall mean that the roll-off container and/or waste receptacle does not present a danger or nuisance, is structurally sound, and has markings identifying the current owner of such equipment, such markinas shall include the sole Droarietor or coraorate entitv name. Dhone number, and container number; (b) The applicant has agreed to remit to the city each month a fee of 15% of the monthly gross revenue billed by Permittee, as set out in Appendix A to this Code, accomaanvina the remittance. the Permittee shall suaDly invoice cosies corroborating the monthly gross revenue derived from servicing locations within the City of Clearwater. apd the applinon+ has agreed +e furnish a d plino+e nGPY of the applinant"o mGnthly billing; Moreover, a Permittee shall also provide to the director of Solid Waste/General Services a monthly report identifying collections made within the City, together with the appropriate service 16 Ordinance NOOW540915 Attachment number 2 Page 17 of 27 addresses for such collections. The report, remittance, and invoice copies are due no later than the last business day of the following month; (c) The applicant has agreed to make all books and records applicable to the business conducted under the permit required by section 32.288 available to the city for inspection and audit; (d) The applicant has provided a copy of a certificate of insurance demonstrating that the applicant's employees performing work pursuant to the permit are covered by workers' compensation insurance. Sec. 32.292. Liability insurance. ********** The holder of a permit for roll-off container and/or waste receptacle service issued pursuant to this division shall maintain in effect at all times public liability insurance in the minimum amounts of $500,000.00 single limit for personal injuries arising out of one occurrence and $100,000.00 property damage, and shall furnish the city a certificate evidencing such insurance. The city shall be named as an additional insured under such insurance. The permit holder shall furnish a certificate of insurance demonstrating compliance with the requirements of this section. Sec. 32.293. Roll-off and/or waste receptacle permit application, termination, denial rnnPlAfai- -c? (1) All permits for roll-off container and/or waste receptacle service issued pursuant to this division shall be valid for not more than one year and shall terminate on December 31St September of each year. Regardless of date of issuance, issuance fee shall be the full amount as stated in Appendix A. (2) Applicants Fa^h peFmi+ hnlrlor shall complete make a written application fer repewal on forms provided by the city manager or designee on or before January 1 of each calendar year. The application shall be accompanied by the fee as stated in Appendix A. ?.Mh?rvhirv TTe-Re al appli^otinn shall update the infnrmotinn nreyided by the (3)(4) No permits required by this division shall be TeReWed, and n^ neW p shall - -1 issued to any sole proprietor or corporate entity PeFSGR unless the city manager or designee determines that the city is unable or unwilling to collect, remove or dispose of a particular type or volume of refuse.r-ertairt garbage, h and -Ather 141{5} Such permit may be terminated or denied by the city manager but only after the procedure set out in section 29.41(2) has been followed. Notwithstanding the procedure set out in section 29.41(2), appeal of the city manager's decision to terminate or deny a flew permit ^r r°aT shall be to the city council. ^nmmissinn 17 Ordinance NOOW540915 Attachment number 2 Page 18 of 27 (5) {6} The granting Ar reAPWA' of a permit pursuant to this division shall not be construed as a grant of a franchise or of vested rights. (6) No permit shall be issued to any applicant who is delinquent in remittance of franchise fees, penalties, or interest. (7) The permit issued to the applicant shall not be transferable. (8) No permit shall be issued after all Permitee's contracts or options to service or place roll-off containers and/or waste receptacles within the City of Clearwater have terminated or such contracts cease to be enforceable. Sec. 32.294. Revocation or suspension. The city manager or designee, after affording the Permittee helder „f ° permit for roll-off container or waste receptacle service notice of the charges and opportunity to be heard with respect to any revocation proceedings, may, if the city manager finds this article to have been violated or that false statements were made on any application er application fnr renoniol or on any submittal required by this division by the Permittee peFmi+ hel.Jor agent or employee, revoke the permit in its entirety, suspend the permit for a stated period of time, place the Permittee peFmi+ hel.Jor on probation, or place other conditions thereon as the city manager or designee finds necessary. Sec. 32.295. Rates. Rates for roll-off container and or waste receptacle service are listed in Appendix A - Schedule of Fees, Rates and Charges, Section XXV, Public Works Utility Fees, Rates and Charges. Sec. 32.296. Prohibition. No hazardous or medical waste shall be placed in City of Clearwater roll-off containers and/or waste receptacles Hazardous and/or medical waste shall be disposed of by authorized contractors in compliance with federal, state and local laws and regulations. DIVISION 3. RECOVERED MATERIALS DEALERS* Sec. 32.311. Required. (1) Af e-F February 1, 199 A recovered materials dealer shall provide to the Solid Waste/General Services °^li'- ^ _aste director ^f +m-- e City a copy of the certification required by F.S. § 403.7046, prior to engaging in business within the city. In addition, a recovered materials dealer shall register with the Solid Waste/General Services setid waste director of +h-Gity prior to engaging in business within the city. (2) Recovered materials generated at commercial establishments within the city shall be source-separated at the premises of the commercial establishment. 18 Ordinance No.IOW540915 Attachment number 2 Page 19 of 27 Sec. 32.312. Prohibition. (1) Any person,, sole proprietor or corporate entity not certified under F.S. § 403.7046, as required is expressly prohibited from doing business as a recovered materials dealer within the city. (2) The city expressly reserves the right to provide for the exclusive collection, transportation and processing of recovered materials from single-family or multi family residential properties or to enter into an exclusive franchise for such services to these properties, or any combination thereof, at the option of the city. (3) Certified recovered materials dealers are limited to providing service to commercial establishments only. (4) Only recovered materials may be removed from the commercial solid waste stream. Sec. 32.313. Recovered Materials Dealer registration, termination, denial. Every sole proprietor PeFSGR or corporate entity hauling, collecting, receiving, and/or processing recovered materials shall be required to register as a recovered materials dealer shall register with the director of Solid Waste/General Services. Celid ,.,rite The registration shall: (1) Include a completed written registration on the forms provided by the city manager or designee on or before October 1 of each year. _RP_ a aver ccrt 6t_AtP_.M.eRt 61PG ' forms rrg.,iled by the ^i+., Such registration forms shall include an affidavit to be sworn to by the registrant before a notary public. Regardless of issuance date, issuance fee shall be the full amount as stated in Appendix A. (21) Req ii the di e rr?nf-Al' inft9rmatir9n nenessar" in Gemplianne ?n,ith this . (2) (3) Be accompanied by a registration fee in the amount set out in Appendix A to this Code. (4) Be si ihmi++ed try the nit" manager by the rlirontAr of snli,^I Waste together with all Pertinent infnrmatinn req firer! in this di?,isinn in order that a determination non he made by the nit" manager (3) {5} Contain the name of the dealer, including the owner or operator of the dealer, its general and limited partners if a partnership, its corporate officers and directors if a corporation, its permanent place of business, evidence of certification under F.S. §403.7046, and a certification that the recovered materials will be processed at a recovered materials processing facility satisfying the requirements of F.S. §403.7046. (4) Registration may be terminated or denied by the director of Solid Waste/General Services upon compliance with the procedure set forth in section 29.41 (2). 19 Ordinance No.IOW540915 Attachment number 2 Page 20 of 27 (5) Registration pursuant to this division shall not be construed as a grant of a franchise or vested interest. (6) Registration shall not be transferable. Sec. 32.314. Reporting. Each certified recovered materials dealer registered with the city shall provide to the director of Solid Waste/General Services snliC'te a quarterly report identifying the types and tonnages of recovered materials from the City of Clearwater that were collected, recycled, or used during the reporting period; the approximate percentage of recovered materials reused, stored or delivered to a recovered materials processing facility or disposed of in the solid waste disposal facility; and the locations where any recovered materials were disposed of as solid waste. Each quarterly report shall be due not later than the last business day of the month following the end of each calendar quarter. Ses. 32.3155. Tnr ? inn deniica , renewal. yrolid fn-.r net mr-re 4h-An ene yeaF ill rm0n;;4o ran rlonoGm?or21 A-rpr,nh yGaF nrrvvided by the Gof c JGnlir! WARtP Works An nr h re QGtAh?f n olenrlor II,?LTf-ITJCV PPVT'ITJ?TTD'T!7 V1VT7 GTfQRr by a fee in the ni ink r°cquT??rlca?vi -n?i+rici diren4r-r of Gelid ?e4n046 i pen GGRgPli-Anne YVith the PFGGedl ire oo+ fA-Ah in oen4ien 29.41(2). Sec. 32.3156. Revocation or suspension. The city manager or designee, after affording the registrant notice of the charges and an opportunity to be heard with respect with to any revocation proceedings, may, if the city manager finds this article to have been violated or that false statements were made on any report, application nr application fer reneni?l or on any submittal required by this division by the applicant, agent or employee, revoke the registration in its entirety, suspend the registration for a stated period of time, place the registrant on probation or place other conditions thereon as the city manager or designee finds necessary. 20 Ordinance No.18W540915 Attachment number 2 Page 21 of 27 DIVISION 4. RECYCLING BY CITY Sec. 32.320. Curbside. (1) Curbside recycling shall be provided made available to residential, office, and hotel/motel units which are served by rearloader or sideloader solid waste collection and a fee shall be assessed in the amount set out in Appendix A to this Code. (2) Curbside recycling collection will be once weekly. A recycling container will be furnished by the city along with instructional materials providing the necessary information for proper participation to include the designation of the collection day. (3) Curbside recycling containers placed near the curb, street or alley shall be placed there no earlier than 7:00 p.m. on the evening preceding the collection day and must be removed to a point at the side or rear of the structure by 7:00 a.m. of the following day. Any container not removed will be tagged by the Solid Waste/General Services Department r-Ade en#eree a se'i,? e depar+'' eRt with a warning. Repeat violators will be subject to a fine in the amount set forth in section 32.281(3)(a), which will be placed on the customer's utility bill. Sec. 32.321. Multi family recycling. Multi family recycling shall be provided eiill be nff^r^,? to complexes within the city. The nrnnrom niill be phased OR by ho cnlir! WAste department (1) A #?e-fee shall be assessed in the amount set out in sr__hed Flo fn-.r m, iltifomi y r^^y^lin^ Will be pFeyi' e Appendix A to this Code. (2) Multi family recycling may be will he tailored to the needs of each complex and is 4 be integrated into a full-service solid waste management program. (3) Repeated contamination of the recyclable materials collected by the Solid Waste/General Services Department will result in a resection of service, and the recipient of said service shall still be responsible for paving all applicable fees as stated in Appendix A to this code. Sec. 32.322. Commercial recycling. Commercial recycling may wi 4 be provided by the Ssolid Wwaste/General Services Ddepartment in competition with certified recovered materials dealers registered with the city. The Solid Waste/ General Services Ddepartment °^'id- ?^4^°+^ will provide customized recycling service to commercial establishments tailored to the needs of the establishment and integrated into a total solid waste management program. Commercial recycling base rates will be set out in Appendix A to this Code, and such base rates may be amended from time to time by resolution adopted by the city council ^^mmi°°inr, The city manager or designee may adjust the rates upwards or downwards in order to be cost-competitive Gempete eff^ with private recovered materials dealers operating within the city. ********** 21 Ordinance NoJOW540915 Attachment number 2 Page 22 of 27 Section 2. Appendix A, Article XXV Public Works - Fees, Rates and Charges is hereby amended as follows: (c) Solid waste collection rates. ********** 1. Monthly charges for twice-weekly collection of solid waste in prescribed containers. a. Single-family and multiple-family dwellings. (i) Curbside pickup: One 90-gallon container will be provided for automated service for each living unit. Additional 90-gallon containers will be provided at the discretion of the director of Solid Waste/General Services ';^'md WARte at the rate specified below. Where routes are automated, automated service shall be the only option. TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 Each living unit, $21.48 $22.55 $23.68 $24.86 $26.10 minimum Each additional 21 48 22 55 23 68 24 86 26 10 container . . . . . (ii) Side or rear yard premium service : Manual pickup has a limit of two containers per living unit, each having a capacity no larger than 32 gallons. For each additional 32-gallon or smaller container for rear yard pickup, the fee specified below will be charged for side or rear building collection of each 90-gallon container. TABLE INSET: Effective 10/1/2007 10/1/2008 10/1/2009 10/1/2010 10/1/2011 Each living unit $42.96 $45.10 $47.36 $49.72 $52.20 Each additional 14 99 15 74 16 53 17 36 18 23 container . . . . . (iii) Base charge: The base charge will be included in the monthly charge for active accounts as specified below. Dormant accounts will be assessed the base charge for each account. TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 Each account, $7.14 $7.50 $7.88 $8.28 $8.70 minimum (iv) Service outside of the municipal limits. Accounts outside the City limits shall be assessed 125% of the citv's monthly charaes for curbside service for twice-weekly collection for each unit. b. Motels, apartment motels, or apartments renting by day or week; all containers serving the premises shall be centrally located at one collection point. (i) Curbside pickup: First living unit, minimum 22 Ordinance No.IOW540915 Attachment number 2 Page 23 of 27 TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $21.48 $22.55 $23.68 $24.86 $26.10 All additional living units, per unit TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $11.25 $11.82 $12.41 $13.03 $13.68 (ii) Side or rear yard premium service buildiRg First living unit, minimum TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $42.96 $45.10 $47.36 $49.72 $52.20 All additional living units, per unit TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $21.48 $22.55 $23.68 $24.86 $26.10 c. Motels, apartment motels, or apartments renting by day or week with commercial containers. In accordance with the schedule in subsection (3)(c)2.a. of this section. d. Commercial buildings of all types such as stores, hotels, factories, filling stations, service establishments and the like with separate water metering for twice weekly collection. (i) Curbside pickup, minimum TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $21.48 $22.55 $23.68 $24.86 $26.10 (ii) Side or rear yard premium service Two containers, minimum TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $42.96 $45.10 $47.36 $49.72 $52.20 Each additional container TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $14.99 $15.74 $16.53 $17.36 $18.23 (iii) Commercial containers: In accordance with the schedule in subparagraph (3)(c)2.c of this section. e. Each building containing four or more separate business or professional offices and one common water meter. 23 Ordinance No.18W540915 Attachment number 2 Page 24 of 27 (i) Curbside pickup: First eight containers TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $89.88 $94.38 $99.10 $104.06 $109.26 Each container in excess of eight TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $13.19 $13.85 $14.55 $15.28 $16.05 (ii) Side or rear yard premium service . First eight containers TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $179.76 $188.76 $198.20 $208.12 $218.52 Each container in excess of eight TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $26.36 $27.68 $29.06 $30.51 $32.04 (iii) Commercial containers: In accordance with the schedule in subparagraph (3)(c)2.c. of this section. 2. Monthly charges for daily commercial (except Saturday, Sunday and holidays) collection for solid waste in prescribed containers. a. Curbside pickup: (i) One container, minimum TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $56.19 $59.00 $61.95 $65.05 $68.30 (ii) Each additional container TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $56.19 $59.00 $61.95 $65.05 $68.30 b. Side or rear yard premium service . (i) One container, minimum ********** 4. The charges set forth above shall be subject to adjustment for increases or decreases in the dump fee. Uniform increases or decreases shall be recommended by the director of Solid Waste/General Services °v^' ?rra-w=caste and approved by the city manager, and a copy 24 Ordinance No.IOW540915 Attachment number 2 Page 25 of 27 of the adjusted charges shall be filed with the city clerk. Other increases or decreases shall be subject to approval by the adoption of an ordinance by the city council ^nmmiccinn- upon the recommendation of the city manager. 5. Each single-family or multi-family dwelling customer will be allowed up to 4 (four) additional complimentary yard waste pick-ups beyond the once-weekly yard waste collection implicit in 32.2810)(a), per 12-month period providing the combined yardage of the 4 (four) pick-ups does not exceed a total of 40 (forty) cubic yards during that 12 month period. 6. Waste receptacles excluding residential refuse containers shall be eligible for two cleanings per year at no charge. Any subsequent cleaning shall incur a $100.00 per waste receptacle charge . (d) Recycling. 1. Recovered materials dealer annual application fee (effective 10/1/2007) ... $57.50 2. Curbside recycling: a. Monthly charges for curbside service for once-weekly collection for each unit: TABLE INSET: Fiscal Year Beginning October 1, 2007 2008 2009 2010 2011 $2.01 $2.07 1 $2.13 $2.19 $2.44 b. Charge for additional curbside recycling bins or replacement of bins lost or damaged due to negligence shall be: Cost plus $1.15 (effective 10/1/2007) handling charge per bin (one- time charge per delivery). G. GhaFge fer -A ni irbside FeGyGlinnbiR hall ho: Gest pl s $1.15 (effen+iye. I n11 Y2nn7) handling nhorno LcL4. Special collection of recyclables where cGity services a bin at the residence or carries bin to curb, without physician's certification of medical necessity, shall be: Twice the curbside recycling charge. u?. Service outside of the municipal limits. Accounts outside the City limits shall be have 110% of a ten-peFGePA 66 1rnhaFge -assessod ever -Anr! -A -h the city's monthly charges for curbside service for once weekly collection for each unit. 3. Monthly charges for multi-family collection of prescribed service initiated before January 1, 1996: a. Service with semi-automated carts: Multi-family complexes serviced with one compartmentalized container cluster of four equates to one three cubic-yard Ddumpster. 4. Monthly charges for once-weekly collection of recyclables at each multi-family complex offered after January 1, 1996, will be for each living unit: TABLE INSET: Effective 10/1/2008 10/1/2009 10/1/2010 10/1/2011 10/1/2007 $1.49 $1.54 $1.59 $1.64 $1.82 25 Ordinance No.IOW540915 Attachment number 2 Page 26 of 27 Billing for recycling service offered before June 1996, will commence June 1, 1996. Billing for service offered after June 1, 1996, will commence in the appropriate billing cycle of the month following. 5. Monthly charges for commercial collection represents the target level of commercial recycling from which the Solid Waste/General Services Department ,N°S+o ?0N4i6;i^^ will flex up or down to be cost-competitive with certified recovered materials dealers (private recycling companies) operating within Clearwater. a. The target level charge for service with semi-automated carts shall be charged on the same basis as rates included in 3.a. b. The target level charge for service with non-compacted commercial containers shall be the same as rates included in 3.b. above. (5) Other miscellaneous charges: ********** (b) Solid waste roll-off container or waste receptacle service. (i) Private service fees. 1. Permit fee to place or service roll-off containers or waste receptacles (§ 32.292(3)), (effective 10/1/2007) ................................................. $56.50 2. Monthly fee of 15 percent of the gross revenue billed by permit h^ld°r Permittee for #GM the installation, pull, disposal or any servicing of roll-off containers or waste receptacles within the city for the preceding month i^^', di^^ r^"-^ff n^^toi^orc installed permanently or aPA temporarily. For the purposes of this section gross revenues shall include but not be limited to fuel surcharge, overweight or any other charges excluding penalty and/or late charges. (§ 32.293(4)(b)). (ii) Public service fees. 1. Monthly fee of 15 percent of the gross revenue billed by permit held&F the City for #9+;4 the installation, pull, disposal or any servicing of roll-off containers or waste receptacles within the city for the preceding month i^^', 1doRg Fell A-ff nr_^+_Ai^pro installed permanently or ap,d temporarily. For the purposes of this section, gross revenues shall include but not be limited to fuel surcharge, overweight or any other charges excluding penalty and/or late charges. 2. Pull charges. A pull being the hauling, dumping and returning of a roll-off container or waste receptacle one round trip: In the City of Clearwater ********** 3. Deposits. a. Roll-off container/and or waste receptaclesempaster. A $400.00 deposit will be charged for each roll-off and/or waste receptacle sempaster. Open t9p nrB^4-Ai^^r. Z $400.00 depesi+ will be nhaFged f^r GpeR t9p rr-ll ^ff nrn4?inpro Service charges will be assessed against the deposit until it is insufficient to cover the next pull and disposal bill. At that time the customer will be required to make a payment on account or replenish the deposit in order to cover the next service billing. bs. The initial deposit may be set at less than the normal two-month level upon determination of being in business for two years or more or otherwise providing satisfactory credit worthiness and by executing a special deposit/payment agreement approved by the director 26 Ordinance No.IOW540915 Attachment number 2 Page 27 of 27 of Solid Waste/General Services which provides for a more rapid payment schedule than normal. 4. Billing. Roll-off containers and/or waste receptacle service will be billed for a combination of the pull charge, disposal fee and any other relke# services rendered. 5. Other service charges. a. Rental. A $3.40 (effective 10/1/2007) per day rental charge will be assessed for containers not pulled and dumped a minimum of once each month. b. Rinse and deodorize (effective 10/1/2007) .............................. $24.57 c. Overload charge for any container loaded above the rim (effective 10/1/2007) ...$56.50 d. Damage. Damage to container will be assessed at actual cost of repair. e. Enforcement. Any charges assessed against a city roll-off vehicle for overweight or overloading will be paid by the customer to whom the container service is provided. f. Malfunction. Containers that are damaged and/or not maintained properly and cannot be dumped will be returned to the owner for repair and a pull charge assessed for the trip. After repair, a second pull charge will be assessed for the pull along disposal fee and other appropriate charges. g. Premium service. Any roll-off container or waste receptacle service required after duty hours or on weekends or holidays where overtime must be paid will be billed to the customer at time and one-half or 150 percent of the established charge. h. Placement or retrieval. A $56.50 (effective 10/1/2007) charge will be assessed for the placement or retrieval of a container requested and not used or returned without an associated pull charge. i. Lease and service rates. Lease and service rates for compactors will be based upon the size, type and installation requirements of the compactor as determined by the director of Solid Waste/General Services °^'" d' ?^V"°+° 6. Charges for roll-off container or waste receptacle service represents the target level of charges for the services rendered from which the Ssolid Wwaste/General Services Ddepartment will flex up or down to be cost-competitive effc fer-rive while providing the most economical service to customers. Section 3. This ordinance shall take effect immediately upon adoption. PASSED ON FIRST READING PASSED ON SECOND AND FINAL READING AND ADOPTED Approved as to form: Camilo A. Soto Assistant City Attorney Frank V. Hibbard Mayor Attest: Cynthia E. Goudeau City Clerk 27 Ordinance No.IOW540915 ?- Meeting Date:5n/2009 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Reappoint Laurel E. Braswell in the Clearwater Resident category and appoint William R. Griffiths in the Employer's Representative category and Linda Kemp in the Banking/Mortgage Industry category to the Neighborhood and Affordable Housing Advisory Board with the term to expire May 31, 2013. SUMMARY: APPOINTMENT WORKSHEET BOARD: Neighborhood and Affordable Housing Advisory Board (NAHAB) TERM: 4 years APPOINTED BY: City Council FINANCIAL DISCLOSURE: Not Required RESIDENCY REQUIREMENT: N/A (See Special Qualifications) MEMBERS: 7 CHAIRPERSON: Donald F. Brackett MEETING DATE: As Called PLACE: Determined when called APPTS. NEEDED: 3 STAFF LIAISON: Michael Holmes SPECIAL QUALIFICATIONS: Board to have I member in each: Real Estate Professional in Connection with Affordable Housing; Clearwater Resident; Residential Home Building Industry; Advocate for Low Income Housing; Not For-Profit Provider of Affordable Housing; Banking/Mortgage Industry; Employer's Representative. THE FOLLOWING ADVISORY BOARD MEMBER(S) HAVE TERMS WHICH EXPIRE AND NOW REQUIRE EITHER REAPPOINTMENT FOR A NEW TERM OR REPLACEMENT BY A NEW APPOINTEE. 1. Laurel E. Braswell - 1609 N. Myrtle Ave., 33755 - Homemaker Original Appointment - 07/12/01 Interested in Reappointment: Yes (I't term expires 04/30/09) (0) Absences in the past year Clearwater Resident THE FOLLOWING CATEGORIES REQUIRE APPOINTMENTS: Employer's Representative Banking/Mortgage Industry THE FOLLOWING NAMES ARE BEING SUBMITTED FOR CONSIDERATION TO FILL THE ABOVE VACANCIES: 1. William R. Griffiths - WorkNet Pinellas, 13805 58th St. N., Suite 2-140, Clearwater, FL 33760 - Director of Public Affairs Employer's Representative 2. Linda Kemp - 4225 38th Ave. S., Unit 63-G, St. Petersburg, FL 33711 - Mortgage Banker Office: Wells Fargo Home Mortgage 5959 Central Ave., St. Petersburg, FL 33710 cover Memo Banking/Mortgage Industry Item # 16 Zip codes of current members: 1- 33755 1- 33759 1- 33764 1- 33765 1- 33767 Review Approval: 1) Clerk Cover Memo Item # 16 Attachment number 1 Page 1 of 2 CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS / (must be Clearwater resident) Name: ZXZ-- 'z7-' ' Home Address: Office Address: zip Telephone: 172 2 w Zip Telephone: Cell Phone: E-mail Address: How long a resident of Clearwater? 2J ? Occupation: y"'Ie YI Employer: Field of Edu?ca?tion Other Work Experience: If retired, former occupation: Community Activities: - ? .? ?4-1 '/V; -)6 Other Interests: Board Service (current and past): ZLIzL? Additional Comments: d Board Preference: o ?? f Signed: - f ate: D See attached list for boards that require financial disclosure 7t time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. O. Box 4748, Clearwater, FL 33758-4748, or drop off your appli t. City Hall, 2nd Floor, 112 S. Osceola Avenue.Y MAR 10 210M OFFICIAL RECORDS AND Item # 16 LEGISLATIVE SRVCS DEPT Attachment number 1 Page 2 of 2 BOARD QUESTIONNAIRE 1. What is our understanding of the board's duties and responsibilities? A p AR v,?i -- ? ? .l 2. Have you ever observed a board meeting either in persona or on C-View, the City's TV station? r 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? 4. Why do you want to serve on this Board? Yv--al x)? i / Name: Board Name: Item # 16 Attachment number 2 Page 1 of 2 CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS Name: William R. Griffiths Home Address: 1595 Pinellas Barmy S Tierra Verde FL 33715 Telephone: (727) 906-4685 Cell Phone: (727) 424-5693 Office Address: 13805 58"' St. N Clearwater, FL 33760 Telephone: (,727) 507-4300 Ext 3777 E-mail Address:b iffiths(a),worknetpinellas.org How lone a resident of Clearwater? N/A Occupation: Director of Public Affairs Employer: WorkNet Pinellas, Inc. Field of Education: Other Work Experience: BS , United States Military Academy U.S. Army Armored Cavalry Commander MA, Rice University If retired, former occupation: Community Activities: Tierra Verde Community Association, Pinellas County Transportation LCB Pinellas Opportunity Council, Homeless Leadership Network, Midtown Advisory Committee Other Interests: Golf, History, Veteran Service Organizations Board Service (current and past): Board Preference: Additional Comments: I have served on ad hoc committees to review and approve Clearwater Housing Budget Signed: William R. Griffiths Date: 4/28/09 K, C r v Fb APR 2 7 :'_009 Item # 16 Attachment number 2 Page 2 of 2 BOARD QUESTIONNAIRE 1 What is your understanding of the board's duties and responsibilities? Oversight of operations, budget and funding the Economic and Housing Department 2 Have you ever observed a board meeting either in person or on C-View, the City's TV station? Yes 3 What background and/or qualifications do you have that you feel would qualify you to serve on this Board? Service on City County and Military Boards and panels. 4. Why do you want to serve on this Board? It is legally and operationally necessary for the Regional Workforce Board to actively participate In Economic Development and workforce housing matters. It is an honor to be asked to represent WorkNet Pinellas in this capacity. Name: William R. Griffiths Board Name: Neighborhood and Affordable Housing Advisory Board Item # 16 Attachment number 3 Page 1 of 2 CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS Name Home Addres : Office Address: 63 - i zi 1 Telephone: 7'?O '. 3 (`y Telephoner Cell Phone: oc1 E-mail Address rji p, C6 m How long a resident of Clearwater? Occupation: Field o Education. & dP X i?'? If retired, former occu Community Activities: Employer: Other Work Experience: Other Interests: Service (curre Additional Comments: nd past): Board Preference: 1101JAIJ11- AI ,? Signed: Date: c l _6 C? See attached list for boards that require financial disclosure at time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. 0. Box 4748, Clearwater, FL 33758-4748, or drop off your application at City Hall, 2nd Floor, 112 S. Osceola Avenue. P4 c e.c v.¢.Q APR 2 3 .OM Item # 16 Attachment number 3 Page 2 of 2 BOARD QUESTIONNAIRE 1. What is your understanding of the board's duties and responsibilities? M 2. Have you ever observed a board meeting either in person or on C-View, the City's TV station? 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? M re 4. Why do you want to serve on this Board? Name:` Board Name: Item # 16 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Appoint one member to the Parks and Recreation Board with the term to expire May 31, 2013. SUMMARY: APPOINTMENT WORKSHEET BOARD: Parks and Recreation Board TERM: 4 years APPOINTED BY: City Council FINANCIAL DISCLOSURE: Not Required RESIDENCY REQUIREMENT: City of Clearwater SPECIAL QUALIFICATIONS: None MEMBERS: 7 CHAIRPERSON: Ray Shaw MEETING DATES: Quarterly TBD PLACE: MSB Conference Room 130 APPTS. NEEDED: 1 Meeting Date:5n/2009 THE FOLLOWING ADVISORY BOARD MEMBER(S) HAVE TERMS WHICH EXPIRE AND NOW REQUIRE EITHER REAPPOINTMENT FOR A NEW TERM OR REPLACEMENT BY A NEW APPOINTEE. 1. Thomas Fletcher - 1875 Sunset Point Rd., #712, 33765 - Original Appointment 05/17/01 (2) Absences in the past year Interested in Reappointment: Yes (2nd Term expires 05/31/09) THE FOLLOWING NAMES ARE BEING SUBMITTED FOR CONSIDERATION TO FILL THE ABOVE VACANCIES: 1. Candace Gardner - 736 Island Way, Apt. 305, 33767 - Guidance Counselor 2. Gerald J. Thompson - 2666 Cascade Court, 33761 Owner/Coast Brothers Inc./Business Management Zip codes of current members on board: 2 at 33755 1 at 33761 2 at 33764 1 at 33765 1 at 33767 Review Approval: 1) Clerk Cover Memo Item # 17 Attachment number 1 Page 1 of 2 Nam CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS (must be Clearwater resident) Home Address: 161 5 sun <_&? f A- (Z-b G?eLlrWcj-2r,yL Zip 3 Telephone: Cell Phone: _ 43 How long a resident of Clearwater? G Occupation: ?a 1 ?-e? -rnln?u Field of Education: -evj 't° 10A V Vl 1 tit If retired, former occupation: ComMunity Activities: I-- C? fa U-N. _ C Other Interests: Board Service (current and past : -er- Pl-zrre4,,.?o Additional Comments: Signed: Office Address: Zip Telephone: E-mail Address: Employer: Other Work Experience: S Board Preference: GteafWCA4L ?kv-ksi garea_00 Date: J O See attaPed list for boards that require financial disclosure at time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. O. Box 4748, Clearwater, FL 33758-4748, or drop off your application at City Hall, 2nd Floor, 112 S. Osceola Avenue. APR (4 208 4 a1oD q (Item # 17 Attachment number 1 Page 2 of 2 BOARD QUESTIONNAIRE 1. What is your understanding of the board's duties and responsibilities? n-0 ?, 4 ? ? , WN ee iA (I -, ? JA? I- (Xi+ :;i V1 V) 1 11 (A 1\! i? ?'?' ea a iph 2. Have you ever observed a board meeting either in person or on C-View, the City's TV station? ?- 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? - IV S>YP3(-+5 C L,) 4. Why do you want to serve on this Board? )) q :I,re, me C4 -,9 %4LA PC I CO V) A?LM C4 y C? V) A-? l? !?i 7111, ovpl? rx. s C,ltw?e -iv 1--" Name: ?oyy\-q Board Name: T"frk5 r,4 Item # 17 Attachment number 2 Page 1 of 2 e CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS (must be Clearwater resident) Name: Home Address: ?34 -_r_SLn Nt1 W14y, 8Pre 0`5 0_L1EA1W(+T16P_j FL. zip-337&f Telephone: 7A!Z-- V41,7-00.71Z Cell Phone: How long a resident of Clearwater? Occupation: C,14,,Aj4SIC, Vz? C,0 Lt h c,, jg Lo IZ Office Add Ms. Candace Gardner 736 Island Way. Apt. 305 Clearwater. FL 33767-1817 Zip (727) 447-0074 E-mail Address: 122 N A y -2 LCUI " OL- C.oVM Field of Education: Other Work Experience: 3C_J7&-&z -4? ^ i5 M S-E K s' [A lE G 1R tE>6 - G u1 KEN C. Co P-L If retired ormer occupation: t Community Activities: ga'aly-4 c.et it _1 Other I Board Service (current an past): Board Preference: f,,, l= Comhnu nt-KJ RE&Ff 6 h`3 N-r E R `f? iz. V 61 w - 01rn m C aG G? Additional Comments: L.ci ng ! F, r 'C'F_ K, ?onVjL.., o4 ,r a U ST S - ISEP4h-gieRymn k3n r?Rb Signed: Cct,'7'7C&,"A+JtP.lrY? Date: See attached list for boards that require financial disclosure at time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. O. Box 4748, Clearwater, FL 33758-4748, or drop off your application at City Hall, 2nd Floor, 112 S. Osceola Avenue. f c *vcd?! APR 2 3 AN Item # 17 Attachment number 2 Page 2 of 2 !' BOARD QUESTIONNAIRE 1. What is your understanding of the board's duties and responsibilities? 0 (3? u 2. Have you ever observed a board meeting either in person or on C-View, the City's TV station? 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? 4 Why do you want to serve on this Board? V U _?c9Qit0???c?iizP Q? Name: Board Na a 7 ?'A ?C.e,, 6LA?& Item # 17 U ?- Attachment number 3 Page 1 of 2 CITY OF CLEARWATER - APPLICATION FOR ADVISORY BOARDS (must be Clearwater resident) Name Gerald J. Thompson Home Address: 2666 cascade ct Clearwater fl. Telephone: 727-791-6231 Office Address: Zip 33761 6511 43rd St. Pinellas Park Fl. Zip33781 Cell Phone: 727-639-9584 E-mail Address: jerrya@coastbrothers.com How long a resident of Clearwater? 19 years Occupation: owner Employer: Coast Brothers Inc. PWE D -OFFICIAL RLCO:t-i. S;NND Field of Education: business management 4 degree Other Work Experience: computer development, Business valuation & development If retired, former occupation: Community Activities: Little league baseball, home owner association Other Interests: trap & sheet shooting Board Service (current and past): Board Preference: Park & recreation --'"-"? Additional Comments: Signed: Gerald J Thompson Date: 12-11-2008 See attached list for boards that require financial disclosure at time of appointment. Please return this application and board questionnaire to the Official Records & Legislative Services Department, P. O. Box 4748, Clearwater, FL 33758-4748, or drop off your application at City Hall, 2nd Floor, 112 S. Osceola Avenue. Item # 17 Attachment number 3 Page 2 of 2 BOARD QUESTIONNAIRE 1. What is your understanding of the board's duties and responsibilities? -Monthly meetings, advise/valuate on information that is presented to board. 2. Have you ever observed a board meeting either in person or on C-View, the City's TV station? yes 3. What background and/or qualifications do you have that you feel would qualify you to serve on this Board? Development success business. Work within youth organizations. Interested in continued growth of the parks & rec. in the city. 4. Why do you want to serve on this Board? To be involved in my city and growth of Clearwater and Parks & recreation facilities for the future generations. Name: Board Name: 4a---ks i ? Item # 17 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: City Manager Verbal Reports SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 18 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Protection of Shore Birds SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 19 b 1 0 1 0 g y Biol. Lett. ette rs doi:10.1098/rsb1.2007.0374 Published online Animal behaviour Four-legged friend or foe? Dog walking displaces native birds from natural areas Peter B. Banks* and Jessica V. Bryant School of Biological, Earth and Environmental Sciences, University of New South Wales, Kensington, New South Wales 2052, Australia "`Author for correspondence (p. banks@unsw. edu. on). Dog walking is among the world's most popular recreational activities, attracting millions of people to natural areas each year with diverse benefits to human and canine health. But con- servation managers often ban dog walking from natural areas fearing that wildlife will see dogs as potential predators and abandon their natural habitats, resulting in outcry at the restricted access to public land. Arguments are passionate on both sides and debate has remained subjec- tive and unresolved because experimental evi- dence of the ecological impacts of dog walking has been lacking. Here we show that dog walking in woodland leads to a 35% reduction in bird diversity and 41% reduction in abundance, both in areas where dog walking is common and where dogs are prohibited. These results argue against access by dog walkers to sensitive con- servation areas. national parks and reserves. However, these bans induce strong protest from dog-walking lobbyists who cite a lack of evidence because multispecies responses Attachment number 1 of wildlife to dog walking are unknown. Page 1 of 3 In this study we experimentally manipulated dog walking at 90 sites in woodland on the urban fringe of Sydney, Australia and monitored the responses of multispecies bird assemblages, one of the key fauna groups at risk from disturbance (Hill et al. 1997). We used three treatments; walkers with dogs, walkers with- out dogs and a control (no walkers or dogs), and then counted birds seen and heard along 250 m transects for 10 min after treatments were applied. To test whether habituation to dog walking may occur, we surveyed in sites where dog walking was permitted and frequent, and in national park sites where dog walking was prohibited. To control for variation in dog behaviour, we also used a range of dog sizes and breeds and a range of different walkers, and dogs were kept on leads. 2. MATERIAL AND METHODS The study was conducted at 90 sites located on urban fringe woodland of the Hornsby-Berowra-Cowan region, approximately 35 km north of Sydney. The vegetation is classified broadly as (Hawkesbury) sandstone woodland with Sydney sandstone gully and Sydney sandstone ridge top. In these types of habitat in eastern Australia, birds occur in 9.5% of scats of wild dogs, which include hybrids of domestic dogs and dingoes (Canis lupus dingo), Australia's native dog (Mitchell & Banks 2005). This area was chosen because it contains large remnants of woodland with trails that are either frequently dog walked or where dog walking is prohibited, and the use of the area is coming under increased pressure from residents of neighbouring suburbs. Frequently dog-walked sites (n=45) occurred on Crown land, council land and regional parkland around three suburbs where off-the-lead dog walking was prohibited. Infrequently dog-walked sites (n=45) occurred in two national parks. Dog- walking activity at frequented sites was on average 10 dog walkers and 12 walkers per hour in the morning (07.30-09.30 hours) and 6 dog walkers and 7 walkers in the afternoon (14.30-16.30 hours). Keywords: habituation; human disturbance; Only two walkers in total were seen during all surveys of ecotourism; predation risk; domestic dog unfrequented sites and no dog walking was observed. Native birds were surveyed along 250 m transects along well- established fire trails (width 3-5 m) randomly chosen from 1 : 25 000 maps of the area, allowing at least 150 m from forest 1. INTRODUCTION edge to prevent edge effects. Each site received only one of the three treatments randomly allocated and no sites within 1 km of For thousands of years, dogs (Canis lupus familiaris) another were surveyed on any one day. have been a favoured pet of human societies around The dog-walking treatment involved a person walking a the world (Serpell 1996). In the twenty-first century, domestic dog on lead along the trail; the human-walking treatment dog ownership is as popular as ever, and dog walking was a procedural control in which a person alone walked along the trail; and the control treatment was where no treatment was is a major motivator for outdoor recreational activity imposed upon the site. The dogs were from a variety of breeds (and (Wood et al. 2005) with diverse benefits to human and therefore temperaments, sizes and shapes) and ages, and each dog canine health (Bauman et al 2001): it is even a legal was used only a maximum of four times randomly allocated to . treatments. A variety of walkers of various heights were also used, requirement for animal welfare in some European allocated at random to replicate surveys. cities. Dogs, or their close ancestors, have also evolved Dog walker and walker subjects walked at the pace at which as top predators in many ecosystems and hunt a wide they would normally walk a dog and moved beyond the transect end to prevent concentration of the treatment effect. Immediately range of fauna (Macdonald & Sillero-Zubiri 2004). It following the `treatment' (commencing 20 s after the walker/dog is poorly known whether wildlife perceives domestic walker had set off), the transect was surveyed for birds over 10 min dogs as a predation risk and they may even habituate by a single observer (JB). All birds seen or heard within 50 m of the trail were included as the maximum likely zone of influence of a to such risk if threats are frequent and not realized dog; birds flying overhead were excluded. We recorded the position (Lima & Bednekoff 1999). Recent extensive research in the strata (canopy, understorey or ground) and distance from has shown that human walkers (without dogs) can trail (0-10, 10-20 and 20-50 m) ensuring that double counts were induce anti-predator responses in birds including minimized. Surveying was confined to fine weather (no rain and wind less than 10 km h-1), and we also recorded temperature (°C vigilance and early flight, which may lead to a cascade and wind speed (kmh-1) and scored cloud cover on a 1-10 scale. of related responses that negatively affect birds Surveys were conducted in the periods around dawn and dusk, (Blumstein & Daniel 2005). Off-lead dog walking can between 07.30 and 10.00 hours, and then 14.00 and 16.30 hours when birds are generally most active. also disturb some species of breeding shorebirds from A priori power analysis from pilot study samples indicated that their nests (Lord et al. 2001). Cautious conservation at least 13 replicates would be required to detect an effect size of managers and government legislation therefore typi- 20% between treatment and control, deemed a reasonably subtle effect of dog walking likely to be of concern to land managers. This cally ban domestic dogs from sensitive areas such as sample size was increased to 15 replicate surveys of each treatment. Received 13 July 2007 ??FIrstCIte' This journal is ©2007 The1ROyaI Socie Accented 14 August 2007 F1 e-publishing 2 P. B. Banks & J. V. Bryant Dog walking impacts on wildlife Because walkers alone induced an effect on birds intermediate to that caused by the addition of dogs, we then tested whether two persons walking would also cause a greater response in birds compared with one person walking alone (Beale & Monaghan 2004). This experiment used identical protocols to those described above using only two treatments; one walker or two walkers, of a range of sizes and body shapes and randomly allocated to surveys. We surveyed 30 sites in frequently dog-walked areas and 30 sites in infrequently dog-walked areas; 15 sites for each treatment. In the tests for dog-walking effects, neither temperature nor cloud cover showed a relationship to the number of bird species (diversity) or individuals (abundance) observed (p>0.25) and so were excluded from analyses. As expected, diversity and abundance showed a negative relationship with wind speed (km h-1), and wind speed was included as a covariate in an ANCOVA for treatment and history effects. Normality was confirmed by visual analysis of distributions and normal quantile plots and homogeneity of variances confirmed using Levene's test in JMP (v. 6; SAS Institute, Inc., Cary, NC, 1989-2005). Homogeneity of slopes was confirmed by initially running models with all possible interactions between the covariate and main effects, and any terms with p> 0.25 were dropped from the model. Changes in the distribution of birds in the forest due to treatment effects were examined in two ways: first, using the proportion of the total number of bird individuals observed (seen and heard), detected at a distance of 0-10m from the trail, and second, by the proportion of the total number of bird individuals detected in the canopy layer. This approach was used to avoid problems of independence associated with multiple categories in proportional data, but targeted the key predictions of a response to dog threat. Single linear regressions confirmed that the distribution variable was not related to any of the weather covariates. The test for multiple walker effects followed the same protocols except that no weather covariates were associated with bird diversity or abundance, so ANOVA's were used. 3. RESULTS Dog walking caused a 41% reduction in the numbers of bird individuals detected (F2,83=14.73, p<0.001) and a 35% reduction in species richness (F2,83= 10.76, p<0.001) compared with untreated controls (figure 1). Humans walking alone also induced some disturbance but typically less than half that induced by dogs (Tukey's post hoc test: dog walkingGwalk- ing G control for diversity and abundance). Notably, there was no interaction between dog-walking treat- ments and prior access by dog walkers. Ground dwelling birds appeared most affected; 50% of the species recorded in control sites were absent from dog-walked sites. For birds which did not flee the site, there were 76% fewer individuals within 10 m of the trail (F2,83 =13.72, p G 0.001) when dog walking occurred compared with control sites, suggesting that birds were seeking refuge away from the immediate vicinity of the threat. In the experiment testing bird responses to single and multiple walkers without dogs, bird abundance (F1,56=0.04, p=0.83) and diversity (F1,56=0.14, p=0.70) did not change with the addition of another human. This confirms that birds responded uniquely and additively when dogs accompany walkers. 4. DISCUSSION These results reveal that even dogs restrained on leads can disturb birds sufficiently to induce displace- ment and cause a depauperate local bird fauna. These effects were in excess of significant impacts caused by human disturbance, which also caused to decline in diversity and abundance. Responses to transient human disturbance are well known Biol. Lett. (a) 12 D conORhchment number 1 wafkaW 2 of 3 10- T dog-walking 0 8- 6- b 4 b (b) 6 U 4 o. 3 a -0 2 7 Figure 1. Dog walking in natural areas reduces (a) bird abundance and (b) bird diversity. Ninety sites were treated with either walkers with dogs on leads (black bars), walkers alone (grey bars) or no treatment (white bars). Half the sites were in areas where dog walking was permitted and the other where dogs were prohibited. Values represent least- squared means ±s.e. from an ANCOVA which included significant wind effects. (Blumstein et al. 2005) and predicted to lead to population-level impacts on some birds species (Hill et al. 1997). We found no net difference in bird diversity or abundance between areas with and with- out regular dog walking receiving the same treatment, suggesting that long-term impacts in this area may be small. That the effects of dogs occurred even where dog walking was frequent suggests further that local wild- life does not become habituated to continued disturb- ance. Foraging theory predicts that risk-aversive behaviour will be lost if cues to predation risk are not spatially or temporally variable, or if they are not reinforced (Blumstein & Daniel 2005; but see Blumstein 2006; Blumstein et al. 2006). Factors inducing habituation to predation risk in wild animals are relatively understudied, but there is evidence that some birds in urban areas habituate to disturbance by humans when risk is not realized (Keller 1989). In our study areas, it is unlikely that predation risk from dog walking is frequently realized because off-the-lead dog walking is not allowed, although it did occur occasionally. It is probable though that roaming domestic dogs maintain predation pressure on birds, even though their numbers would be very low compared with the intensity of use by dog walkers. The dramatic reduction in bird diversity and abundance in response to dog walking has immediate implications for other popular recreational activities Item # 19 dogs allowed dogs prohibited Dog walking impacts on wildlife P. B. Banks & J. V. Bryant 3 pursued by humans. This includes bird watching and ecotourism where visitor satisfaction shows a strong relationship to numbers of species seen (Naidoo & Adamowicz 2005). Wildlife surveys, which are used throughout the world to map bird distributions and factors affecting spatial patterns (e.g. Blackburn et al. 1999), could also be compromised if conducted when and where dog walking had recently occurred. It is also possible that the particular sensitivity of ground dwelling birds to dog walking (Blumstein et al. 2005) may lead to a cascade of potential behavioural changes in birds with implications for their local conservation (Hill et al. 1997). Our results therefore support the long-term prohibition of dog walking from sensitive conservation areas. Surveys were conducted with approval from the UNSW Animal Care and Ethics Committee. We thank NSW NPWS and Ken Blade for access to conservation areas and the many volunteer dogs and walkers, particularly Glenice and Robert Bryant. Bauman, A. E., Russell, S. J., Furber, S. E. & Dobson, A. J. 2001 The epidemiology of dog walking: an unmet need for human and canine health. Med. ? Aust. 175, 632-634. Beale, C. M. & Monaghan, P. 2004 Human disturbance: people as predation-free predators? ? Appl. Ecol. 41, 335-343. (doi:10.1111/j.0021-8901.2004.00900.x) Blackburn, T. M., Gaston, K. J., Quinn, R. M. & Gregory, R. D. 1999 Do local abundances of British birds change with proximity to range edge? ? Biogeogr. 26, 493-505. (doi:10.1046/j.1365-2699.1999.00298.x) Blumstein, D. T. 2006 The multipredator hypothesis and the evolutionary persistence of antipredator behavior. Ethology 112, 209-217. (doi:10.1111/j.1439-0310.2006.01209.x) Blumstein, D. T. & Daniel, J. C. 2005 The loss of anti- predator behaviour following isolation on islands. Proc. R. Soc. B 272, 1663-1668. (doi: 10. 1 098/rspb.2005.3147) Biol. Lett. Blumstein, D. T., Fernandez-Juricic, E., Zoll e'. A & Garity, S. C. 2005 Inter-specific variati?trfac meritan tuber 1 ?ag?3 6'? responses to human disturbance. ? Appl. Ecol. 42, 943-953. (doi:10.1111/j.1365-2664.2005.01071.x) Blumstein, D. T., Bitton, A. & DaVeiga, J. 2006 How does the presence of predators influence the persistence of antipredator behavior? ? Theor. Biol. 239, 460-468. (doi:10.1016/j.jtbi.2005.08.011) Hill, D., Hockin, D., Price, D., Tucker, G., Morris, R. & Treweek, J. 1997 Bird disturbance: improving the quality and utility of disturbance research. ? Appl. Ecol. 34, 275-288. (doi:10.2307/2404876) Keller, V. 1989 Variations in the response of great crested grebes Podiceps cristatus to human disturbance-a sign of adaptation? Biol. Conserv. 49, 31-45. (doi:10.1016/0006- 3207(89)90111-0) Lima, S. L. & Bednekoff, P. A. 1999 Temporal variation in danger drives antipredator behavior: the predation risk allocation hypothesis. Am. Nat. 153, 649-659. (doi:10. 1086/303202) Lord, A., Waas, J. R., Innes, J. & Whittingham, M. J. 2001 Effects of human approaches to nests of northern New Zealand dotterels. Biol. Conserv. 98, 233-240. (doi:10. 1016/S0006-3207 (00) 00158-0) Macdonald, D. W. & Sillero-Zubiri, C. 2004 Biology and conservation of wild canids. Oxford, UK: Oxford University Press. Mitchell, B. D. & Banks, P. B. 2005 Do wild dogs exclude foxes? Evidence for competition from dietary and spatial overlaps. Aust. Ecol. 30, 581-591. (doi:10.1111/j.1442- 9993.2005.01473.x) Naidoo, R. & Adamowicz, W. L. 2005 Economic benefits of biodiversity exceed costs of conservation at an African rainforest reserve. Proc. Natl Acad. Sci. USA 1025 16 712-16 716. (doi:10.1073/pnas.0508036102) Serpell, J. 1996 In the company of animals: a study of human-animal relationships. Cambridge, UK: Cambridge University Press. Wood, L., Giles-Corti, B. & Bulsara, M. 2005 The pet connection: pets as a conduit for social capital? Soc. Sci. Med. 61, 1159-1173. (doi:10.1016/j.socscimed. 2005.01.017) Item # 19 Attachment number 2 Page 1 of 2 Dog walks 'prompting bird flight' Taking your dog for a walk could be having an impact on local birdlife, a study suggests. An Australian team found dog-walking was prompting birds to take flight, causing numbers to plummet by 41%. The researchers, writing in the Royal Society journal Biology Letters, said the birds were fleeing because they viewed the dogs as potential predators. Charity Birdlife International said the longer-term effects of the dogs' presence now needed to be looked at. Peter Banks, the lead author of the paper from the University of New South Wales, said: "There is an obvious link between people wanting to walk their dogs and the potential disturbance effect on wildlife, and there has been a lot of debate around this, so we wanted to resolve this issue." Surprising magnitude The researchers looked at 90 woodland trails a few kilometres north of Sydney, half regularly used by dog-walkers and half where the animals were prohibited. Dogs were walked, on leads, along the 250m-long (820ft) trails, followed 20 seconds later by an observer who counted the birds seen and heard. The experiment was repeated for walkers without dogs and for a control scenario where there were neither walkers nor dogs. Dr Banks said: "The key finding is that dog-walking certainly does have an impact on birds - and we were quite surprised by the magnitude of the impact." The team found that dog-walking was causing bird numbers to drop by an average of 41% at each site and the numbers of species counted fell by 35%. The results were similar in sites often frequented by dog-walkers and those where the practice was prohibited, suggesting that birds did not get used to the dogs' presence, despite frequent encounters. 'Clear aversion' Humans walking alone also caused a disturbance to bird numbers, but on average less than half of that caused by dog-walking. The team also found that two humans walking together without a dog had no more impact on the birds than a lone walker without a dog, suggesting that birds were responding uniquely to the presence of dogs. Item # 19 Attachment number 2 Page 2 of 2 This is not a surprising result; there is already evidence that dogs can disturb birdlife Martin Fowlie Dr Banks said: "The birds were clearly showing an aversion to dogs - they clearly perceived dogs as a potential predator." The team is now planning to look at how long the birds stay away for, but Dr Banks said that even if it was a short period of time this could have a potential impact on nesting and feeding. The researcher added that the results of the study could be useful for conservation and wildlife management, and although the work was carried out in Australia, the results were applicable to other areas around the world. Future study He said: "We hope that this information will be useful when people are weighing up decisions about access by people and by people with their dogs. "For example, in places where there is a very high value conservation area, perhaps dogs really shouldn't be allowed there; but there may be other areas where those conservation issues are not as great and maybe those are where dog-walking can be allowed." Martin Fowlie, a spokesman for Birdlife International, said the study confirmed what conservationists already suspected. He said: "This is not a surprising result; there is already evidence that dogs can disturb birdlife, but it is interesting that someone has now quantified it. "It would now be really interesting to see how long those reductions in bird numbers last, to see whether it is a few minutes, hours or days." Story from BBC NEWS: http://news.bbc.co.uk/go/pr/fr/-/I/hi/sci/tech/6978272.stm Published: 2007/09/04 23:08:50 GMT © BBC MMVII Item # 19 Attachment number 3 Page 1 of 6 Environmental Conservation 31 (4): 283-288 © 2004 Foundation for Environmental Conservation doi:10.1017/S0376892904001626 The effect of human activities on migrant shorebirds: successful adaptive management JOANNA BURGER'*, CHRISTIAN JEITNERI, KATHLEEN CLARK2 AND LAWRENCE J. NILE S2 'Department of Biological Sciences, 604 Allison Road, Rutgers University, Piscataway, New yersq, 08854-8082, USA and 'Endangered and Nongame Species Program, New yersey Division offish and Wildlife, PO Box 400, Trenton, New yersq,, 08625-0400, USA Date submitted: 4 February 2004 Date accepted: 12 October 2004 SUMMARY The effect of human disturbance on migrant birds is a conservation issue of international importance, as is determining if disruption has long-term population effects. Disruptions can occur during migration, wintering, breeding and foraging. Thousands of shorebirds migrate through Delaware Bay (Atlantic Coast of North America) in a four-week period each spring; this is the largest concentration of shorebirds in the continental USA. Ecotourists come to see them, creating the potential for disruption. Data available on shorebird/human interactions at a migratory stopover over a 20-year period were used to describe the interactions of shorebirds and people from 1982-- 2002 and examine trends in human disruptions and shorebird behaviour during this time. The rate of disruptions caused by people increased during the 1980s, declined slightly by the early 1990s, and declined sharply by 2002. The decline in human activity along the beach was directly related to the conservation efforts of the New Jersey Endangered and Nongame Species Program, New Jersey Audubon, and others interested in preserving the shorebirds. In the 1980s, birdwatchers concentrated on the beaches on which it was easy to walk and which had the highest shorebird counts, because there were no restrictions on human behaviour. During this time, the average disturbance duration was over 10 min, regardless of the type of intruder, and shorebirds were often disrupted for over 40 min hr-1. Even though the number of disruptions declined over the study period, the percentage of shorebirds that flew away (and did not return within 10 min) did not change during the 1980s, and increased in 2002. The average time that shorebirds were disrupted per hour by people declined during this period (mainly because there were fewer people on the beaches). The Endangered and Nongame Species Program placed signs on shorebird foraging beaches, restricted access, built viewing platforms to contain ecotourists, and eventually patrolled key beaches and issued summonses for infractions. These activities were so effective that only one bird watcher disturbed the birds in 2002. Education was also vital to encouraging local residents not to walk or fish along these beaches during the spring migratory stopover, and to keep their dogs on a leash. These data support the importance of actions on the part of state agencies and conservation organizations to limit disruptions to foraging shorebirds during critical migratory stopovers, a problem faced by shorebirds in many temperate regions of the world. Keywords: disruptions, foraging, human disturbance, mi- grants, shorebirds, stopover, temporal patterns INTRODUCTION People in diverse cultures enjoy and appreciate observing wildlife in natural settings, particularly unusual or spectacular concentrations. In the USA, thousands of shorebirds migrate through Delaware Bay during a two-week period each spring (Clark et al. 1993; Burger et al. 1997). This is the largest concentration of shorebirds in the continental USA; in a critical three-week period in late May-early June, over one million shorebirds migrate through the bay (Senner & Howe 1984; Clark et al. 1993). Shorebirds congregate here because of the abundance of horseshoe crab (Limulus polyphemus) eggs (Botton et al. 1994; Tsipoura & Burger 1999; Botton & Loveland 2000; Piersma & Baker 2000). Although the horseshoe crabs come up on the beach primarily at high tide, the beaches are often littered with spawning horseshoe crabs. Fifteen species of shorebirds feed on horseshoe crab eggs in the spring, but three species of shorebirds depend more heavily on them than do other species, including red knot Calidris canutus, ruddy turnstone Arenaria interpres, and san- derling Calidris alba (Myers et al. 1987; Castro & Myers 1989; Tsipoura & Burger 1999). All the shorebirds that migrate through Delaware Bay have generally shown a decline in abun- dance over time (AT Baker, personal communication 1999; Morrison et al. 2001), but knots and turnstones are especially vulnerable because their foraging is more limited to Delaware Bay beaches than is the foraging of the other species (Burger et al. 1997). Similar habitat restrictions could occur with these same, or other species, in other migratory stopover areas. The spectacle of shorebirds and spawning horseshoe crabs draws hundreds of bird watchers to these beaches during the 'Correspondence: Dr Joanna Burger Tel: +1 732 445 4318 Fax: 1 732 445 4870 e-mail: burger@biology.rutgers.edu Item # 19 Attachment number 3 Page 2 of 6 284 _71 Burger et al. spring migratory stopover (Burger et al. 1995). The beaches are also vulnerable to the usual beach activities, such as walking, jogging, fishing and dog-walking. The presence of people on beaches where shorebirds congregate in foraging flocks is likely to be disruptive. There are four key questions with respect to the interactions of shorebirds and people. (1) Does the presence of people result in changes in shorebird behaviour? (2) Has human use of these beaches changed over the period when declines in shorebirds have occurred? (3) Is there reason to believe that human disruptions might have ecological consequences? (4) Has management of the beaches by the Endangered and Nongame Species Program of the State of New Jersey reduced the impact of ecotourists? We addressed these questions by examining data collected in 1982, 1987, 1992 and 2002 on Delaware Bay beaches. There are social, economic and recreational costs and benefits of ecotourism involving shorebirds along Delaware Bay that extend far beyond the bird watchers and photographers themselves, including restaurants, hotels, gas stations, and birding/photographic equipment, apparel and other paraphernalia (such as books, postcards and flags). Wildlife biologists are interested in both preserving the wildlife resource, in this case migrant shorebirds, and in providing adequate and meaningful wildlife experiences for ecotourists who will presumably contribute to the local economy and to the conservation of these species in the future. Thus, it is advantageous to prevent conflicts, allow birds to forage and enhance the experience for ecotourists. Making information available on the interactions and outcomes between these two groups is important for continued conservation (Kenchington 1989). While potential predators, and competition from laughing gulls Larus atricilla (Burger & Gochfeld 1991) also pose a problem for the foraging shorebirds, direct human disruptions and declines in horseshoe crab eggs are the primary conservation issues (Burger & Gochfeld 1991; Burger et al. 1995). The relationship between human disruptions and ecological consequences bears examination because such a relationship is usually only inferred. Gill et al. (1996, 2001x, b) have suggested that response to humans is not equivalent to ecological effects. They used a prey depletion model with godwits Limosa limosa to elegantly demonstrate that there was no evidence that human presence affected the prey supply at any spatial scale. These landmark studies are models for our understanding of the potential long-term effects of human disruptions on birds, and bear consideration in the current study. However, the foraging situation on Delaware Bay is different from the usual shorebird tidal mudflat for two key reasons: (1) shorebirds have less time to forage on a migratory stopover when individual birds may be present for only four weeks, as compared to wintering activities, and (2) the intertidal foraging habitat may be linear along the tide line, and is only 1-3 in wide on Delaware Bay. Thus foraging space is the limiting resource, and not prey (although prey could also be limiting). Management of human/shorebird interactions Management of the shorebird habitat along Delaware Bay varied markedly during the 20 years of this study. In the early 1980s, there were three groups of users on the beaches, namely horseshoe crab collectors, bird watchers and other people (fishers, walkers and joggers). In 1982, there was no management of the beaches, and there were no restrictions on bird watchers or others along the beaches (except for those implied by the USA/Canadian/Mexican Migratory Bird Treaties). At this time, fisherfolk who walked the beaches to collect the horseshoe crabs as bait for eel and conch also disturbed migrant shorebirds. While there was unrestricted take of horseshoe crabs during the 1980s, by the early 1990s there were restrictions (crabs could be taken only during the night when shorebirds did not forage). In the late 1990s, the taking of horseshoe crabs from the beaches was forbidden and strictly enforced, and there were other restrictions to reduce the effect of this exploitation on the foraging shorebirds. When bird watchers first discovered the shorebird spectacle (mid-1980s) and began to increase in numbers, local residents at Reed's Beach complained about them and their cars. In 1989, the state constructed a viewing platform and a parking lot for bird watchers to reduce the disturbance to local residents. By the early 1990s, however, it was clear that bird watchers walking along the beach could present a problem to the foraging shorebirds themselves, and the state instituted restrictions on access to the prime beaches where shorebirds foraged. Bird watchers were restricted to the viewing platforms. By 2002, the final year of this study, bird watchers were restricted to viewing platforms or the edges of beaches, interns patrolled the beaches from behind the dunes to prevent human disruptions and enforcement occurred. METHODS We made our observations at Reed's Beach North and South on the New Jersey side of Delaware Bay in 1982, 1987, 1992 and 2002 (Fig. 1). Additional beaches were surveyed in 1982 and 1987 to understand the potential for variation in human and avian use among beaches. Delaware Bay is located between New Jersey and Delaware, and is separated from the Atlantic Ocean by 10 km of upland habitat. Delaware Bay habitat includes sandy beaches, sod banks, and creek and river inlets, backed by tidally-flooded salt marshes (Spartina alterniflora). Because of concern for declining shorebird numbers, many of the beaches are closed to human activity during the migratory season, but enforcement is not complete at all beaches. Disruptions were recorded by type and frequency at Reed's Beach at all times of the day, and at all tide times, during the peak four weeks of shorebird migration. Observations were made on 12-20 days each year, for 6-10 h per day, depending upon the tides. People who came on the beaches Item # 19 Attachment number 3 Page 3 of 6 Effect ofhuman activities on migrant shorebirds 285 New Jersey Moore's Beach Fortescue Delaware Thom son p Beach Reed's .Beach Delaware Bowers BeachO-, Bay Nor bury y Mispillon River Prime Hook Beach Cape May 10 km, Figure 1 Map of Delaware Bay showing the major beaches where the interactions of shorebirds and people were observed in 1982, 1987-1988 and 2002. were classified as bird watchers (holding binoculars and looking intently at the birds), walkers, fishers (with poles) and sunbathers. We also recorded the behaviour of the birds: no response (did not fly), flew and returned within 10 min, and flew and did not return within 10 min. In most cases, shorebirds in the last category flew to other beaches or flew over the water as if to cross Delaware Bay to the Delaware side. Examination of the effect of people on shorebirds is in depth for 1982 (Burger et al. 1995) and 2002 U. Burger, unpublished data 2002). J. Burger and K. Clark (unpublished data) made additional observations in 1987 and 1992. Since the number of bird watchers who walked on the beaches was highest in 1987, some of the information from that year is presented in more detail. The data were analysed by t tests and X 2 contingency tables, as appropriate. RESULTS The total number of disruptions per hour increased slightly during the 1980s, but had declined sharply by 2002 for Reed's Beach (Table 1, two-tailed t = 4.5, p < 0.001). In the early 1980s (when the shorebird concentration was first discovered by bird watchers), the percentage of people on the beaches who were bird watchers was small (8 of 428 disruptions). Walking on the beaches was the most common activity. By the late 1980s, bird watchers made up one-third of the people on the beaches (110 of 350 disruptions), but with intense management (Fig. 2, X2 = 113, p < 0.001) this declined to so- (a) 1982 70 60 50 40 30 20 10- 0 ......... a? 0 a? a 0 C N 2 a 50 (c) 2002 40 30 20 10 o' Birders Walkers Fishers Sunbathers Activity Figure 2 Activities of human intruders on Delaware Bay beaches (Reed's Beach North and South) where shorebirds were foraging in (ca)1982, (b) 1987-1988 and (c) 2002. Table 1 Frequencv of shorebird disruptions as a function of management and horseshoe crab harvest. Year Management of bird Horseshoe crab harvest Mean disruption %Bird matchers Mean time disturbed matchers and management rate (hr 1) disrupting birds (min hr 1) 1982 None Unlimited take 4.7 2 32.9 1987 Restrictive signs, Unlimited take 5.6 30 53.0 no enforcement 1992 Viewing platform Unlimited take, 4.5 44 42.0 on Reed's Beach, restrictions on no restrictions timing of take 2002 Signs, viewing platform No harvest 0.4 0 3.6 on Reed's Beach, enforcement, patrols Item # 19 Attachment number 3 Page 4 of 6 286 J. Burger et al. 10 8 i g a) a m 4 2 0 i a> 20 a Q p 10 Z 0 3000 rn 2000 m 1000 0 U) L a> ?n U) U) U) U) _F_ _F_ a> rn ? ? U> d N o_ °o J, a) > Z U a1 N M_ O V n3 c- a W 0 z O CC N u50 ) LL C5 O O a a?i Cn F Sites Figure 3 Total number of bird watchers and non-bird watchers on 17 Delaware Bay beaches in 1987-1988, along with peak shorebird counts. one person in 2002 (1 of 49 disruptions). Bird watchers were a significantly higher proportion of the disruptions in 1987 and 1992 than in 1982 and 2002 (X2 = 158, p < 0.0001). Dogs (alone or with people), which mimic a fox or coyote predator, were present in all years, and in 2002 they constituted over 15% of disruptions. In 1987, both the number of intruders and the types of intruders varied by beach (Fig. 3). Bird watchers concentrated on Cooks, Moore's and Reed's Beach North, which were easy to access and did not require a long walk. The potential for disruption varied among the beaches, and was not always correlated with shorebird activity (Fig. 3). Shorebirds responded to the intrusions by remaining (continuing to forage), by flying but returning within 10 min, or by flying away and not returning. The percentage of shorebirds that flew away varied by beach (Fig. 4, X2 6.3, p < 0.016) and year (Fig. 5, X2 = 7.5, p < 0.01). For example, on Reed's Beach South the percentage that flew away increased each year, but on Reed's Beach North the percentage decreased in 1987. When Reed's Beach North and South are considered together, a higher percentage of birds flew away when exposed to a human disturbance in 2002 than did so in the earlier years. This suggests that the birds are not adapting to the presence of people by habituation. The total too- 1982 90 1987 80- 2002 70_. 0 60- 3: a 3 so-° a5 3 40 _N LL 30. 20.., 10 0 Reed's South Reed's North Norbury Moore's Fortescue Beach Figure 4 Percentage of shorebirds that flew away in response to human intrusions by year and beach. 70 60 (a) 1982 50 40 30 20 10 0 70 60 50 40 30 20 10 Q 0 1 Response Flew away Figure Mean response of shorebirds to human disruptions on Reed's Beach, Delaware Bay, in (ca) 1982, (b) 1987-1988 and ((-) 2002. time per hour that foraging shorebirds were disrupted by the activities of people increased from 1982 to 1987, but declined in 2002 (t = 6.37, p < 0.001) (Table 1). (b) 1987 Item # 19 Remained Flew and returned Attachment number 3 Page 5 of 6 Effect ofhuman activities on migrant shorebirds 287 DISCUSSION This study indicates that: (1) the rate of disruption caused by people increased during the 1980s, declined slightly by the early 1990s, and declined sharply by 2002; (2) the number of bird watchers disturbing the birds decreased to one by 2002; (3) in the 1980s, bird watchers tended to concentrate on the beaches that were easy to walk to and had the highest shorebird counts; (4) in the 1980s, the average disruption was over 10 min, regardless of the type of intruder, and shorebirds were often disturbed for over 40 min hr 1; and (5) the percentage of shorebirds that flew away (and did not return within 10 min) remained the same during the 1980s, but increased in 2002. The decrease in the rate of occurrence of people on the Delaware Bay beaches is a direct result of management by the Endangered and Nongame Program of the State of New Jersey. When the number of bird watchers began to increase in the mid-1980s, partly because of increased publicity in birding magazines, the Program placed signs on shorebird foraging beaches, restricted access, built viewing platforms to contain ecotourists, and eventually patrolled key beaches and issued summonses for infractions. The New Jersey Audubon Society also implemented an extensive educational programme aimed at bird watchers, reinforcing the importance of not disturbing foraging shorebirds during migration. Education was also vital to encouraging local residents not to walk or fish along these beaches during the spring migratory stopover, and to keep their dogs on a leash. These restrictions have not been followed all the time, as some residents (and others) still allow their dogs free access to the beaches. While previous studies on Delaware Bay have indicated that dogs can be an important disturbance (Burger 1986; Burger et al. 1995), work in 2002 indicated that they are currently the prime and most important factor disturbing the shorebirds at protected beaches along Delaware Bay (J. Burger, unpublished data 2002). While the number of disruptions caused by people declined from the 1980s to 2002, the number of bird watchers walking on the beaches declined to one, largely because of educational programmes, signage and viewing platforms, and peer pressure. The number of bird watchers on the beaches in 1982 was low; this was before bird watchers learned of the major concentrations of shorebirds on the Bay. The numbers of bird watchers increased in the mid-1980s because of an abundance of popular accounts (Dunne et al. 1982; Myers 1986, 1989). The increase in bird watcher numbers was followed by restrictions on their use of the beaches by the Endangered and Nongame Species Program. The decline in migrant shorebirds using Delaware Bay then received considerable attention in the popular press and in birding magazines. The combination of viewing platforms, education and enforcement curbed the behaviour of bird watchers, especially on beaches that are patrolled. Bird watchers still congregate at the beaches with the largest concentrations of shorebirds, where the likelihood of an `unusual' or `rare' bird is highest, but they remain off the beaches themselves and view the birds through binoculars. With the elimination of crab pickers from the beach and in- tertidal waters, and the severe reduction in disruptions by bird watchers, the shorebirds were disrupted for far less time (less than 5 min hr-1, compared to over 50 min hr-1 in the mid- 1980s). This allowed shorebirds to spend more time foraging actively. Since many of the species nearly double their weight in the two-three weeks they spend on Delaware Bay (Castro & Myers 1989; Tsipoura & Burger 1999) during good food years, any reduction in the available time for foraging could be severe. There is controversy surrounding the ability of these shorebirds to double their weight; data from the Endangered and Nongame Program suggest that some species of shorebirds are no longer doubling their weight in the allotted stopover time (L. Niles, unpublished data 2004). The effect of intruders including humans and dogs on the beaches can be disruptive, especially when human activity is intense, or people are on the beaches for long periods of time. The percentage of birds flying away completely in response to human activity remained the same during the 1980s, and increased in 2002, indicating that the birds were not habituating. Birds were disturbed for less total time in 2002 compared to the 1980s. CONCLUSIONS The data from this study clearly show that there is a relationship between human activity on Reed's Beach and shorebird foraging. Birds flew away and did not return to forage in response to 58% or more of the human disruptions. The studies of Gill and colleagues on godwits (Gill et al. 2001x; Smart & Gill 2003) have suggested that such human disturbances might not have long-term ecological consequences. These elegant studies rather convincingly showed that for wintering godwits, human disturbance did not alter their access to prey, as shown by prey-depletion models. The case with migrant shorebirds that forage on a limited area around high tide (in the case of Delaware Bay, a horizontal range of only 1-3 m) may differ somewhat from this. We suggest that when migrant shorebirds have a limited period of time at a stopover place, with limited foraging space, behavioural disruptions during foraging have consequences in terms of needed weight gain. The management implications are clear. Shorebird foraging is disrupted by the presence of people and dogs on their foraging beaches, and they respond by flying away. When there were no restrictions (in the 1980s), the birds were disturbed for over half of the time. When there were disruptions on all beaches, the shorebirds often returned to the same beaches. When most beaches were protected (2002), the shorebirds had nearby beaches to move to when they were disrupted. The management of the beaches by the Endangered and Nongame Species Program has been effective in removing the vast majority of disruptions from the beaches on the New Jersey side of Delaware Bay. Horseshoe crab eggs make up 50-90% of the diet of all the migrant shorebirds on Delaware Item # 19 Attachment number 3 Page 6 of 6 288 J. Burger et al. Bay (Tsipoura & Burger 1999). Since there is a decline in the availability of eggs for foraging shorebirds (Botton & Loveland 2000), it is desirable to reduce human activity as much as possible so that the birds can have sufficient uninterrupted time to obtain enough horseshoe crab eggs to gain sufficient weight for their northward migration and subsequent breeding in the Arctic. There is currently some evidence that some shorebirds are leaving Delaware Bay without gaining as much weight as they did in the 1990s (A.J. Baker, personal communication 1999; L. Niles, unpublished data 2004). If this proves to be the case, then human disturbance may be a prime cause for concern. ACKNOWLEDGEMENTS We thank S.A. Carlucci, S. Burke and M. Gochfeld for help and advice throughout the work, and R. Ramos for graphics. 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(1987) Conservation strategy for migratory species. American Soentist75: 19-26. Piersma, T. & Baker, A.F. (2000) Life history characteristics and the conservation of migratory shorebirds. Conservation Biology Series 2: 103-124. Senner, S.E. & Howe, M.A. (1984) Conservation of nearctic shorebirds. In: Behavior ofMetrine Animals, Volume S: Shorebirds: Populations and Breeding Behavior, ed. J. Burger & B. Olta, pp. 378-421. New York, NY, USA: Plenum Press. Smart, J. & Gilt, J.A. (2003) Non-intertidal habitat use by shorebirds: a reflection of inadequate intertidal resources? Biological Conservation 111: 359-369. Tsipoura, N. & Burger, J. (1999) Shorebird diet during spring migration stopover on Delaware Bay. Condor 101: 635-644. Item # 19 Attachment number 4 Page 1 of 8 I Journal of Coastal Research 23 5 1159-1166 West Palm Beach, Florida September 2007 Habitat Choice, Disturbance, and Management of Foraging Shorebirds and Gulls at a Migratory Stopover Joanna Burger', Stacy A. Carlucci', Christian W. Jeitner', and Larry Niles' tDivision of Life Sciences, tEndangered and Nongame Rutgers University, Species Program, 604 Allison Road, Piscataway, New Jersey Division of Fish NJ 08854-8082, U.S.A. and Wildlife, PO Box 400, Trenton, NJ 08625-0400, U.S.A. III1I118. BURGER, D; CARLUCCI, S.A.; JEITNER, C.W., and NILES, L., 2007. Habitat choice, disturbance, and management ,1066000600• of foraging shorebirds and gulls at a migratory stopover. Journal of Coastal Research, 23(5), 1159-1166. West Palm • • ' Beach (Florida), ISSN 0749-0208. 7rnfT .. Habitat choice and interactions of foraging shorebirds and gulls were studied at a migratory stopover in Delaware r Bay, New Jersey. Foraging, vigilance, aggressive behavior, and habitat choice of shorebirds were affected by the presence of gulls. There were significant differences in the time each species devoted to actively feeding; knots spent significantly less time foraging than did the other species. Birds congregated in the habitats where their foraging rates were the highest. When turnstones and laughing gulls fed in larger conspecific flocks, they had higher foraging times. Red knots were most aggressive toward laughing gulls, turnstones were most aggressive toward herring gulls, sanderlings were most aggressive toward turnstones, and semipalmated sandpipers were most aggressive toward knots. There were significant differences in habitat use: 1) Gulls and turnstones were more abundant along the tide line, 2) turnstones were more abundant on the upper beach, 3) semipalmated sandpipers and turnstones were more abun- dant on sandbars, 4) only gulls fed on the beach mud, and 5) laughing gulls and semipalmated sandpipers were more common along creeks than were the other species. Within 5 minutes of a human disturbance, gulls returned to predisturbance levels, while the shorebirds did not. Shorebirds responded most strongly to the presence of dogs than to other disturbances and did not return to beaches following a disturbance by a dog. These observations suggest that there may be some competition for foraging space among foraging species, especially between the shorebirds and the larger gulls, that human disturbance affects shore- birds more strongly than gulls, and that shorebirds and gulls use the habitats differently. The data can be used to manage human disturbance and to protect habitats where the shorebirds have the highest foraging rates, but the least exposure to gulls. ADDITIONAL INDEX WORDS: Foraging, vigilance, aggression, competition for space, habitat, shorebirds. INTRODUCTION Foraging birds often form groups to reduce their risk of predation while decreasing the costs of vigilance (BEDNE- KOFF and LIMA, 1998; HAMILTON, 1971). As group size in- creases, scanning rates or vigilance decreases (ELGAR, 1989; ROBERTS, 1996). However, some species form groups because of resource location; they forage together because the food is clumped or prey densities are higher in some places than oth- ers. When large groups of birds forage in the same place, competition can result, either for the prey itself or for access to the prey (STILLMAN, 2000). Competition occurs when feed- ing rate is negatively related to competitor density and when the presence of an individual impedes the access of another individual to a resource (CRESSWELL, 2001; SCHOENER, 1983; TRIPLET, STILLMAN, and GOSS-CUSTARD, 1999). Al- though feeding rate may decline, aggressive interactions may be relatively rare (YATES, STILLMAN, and Goss-CUSTARD, 2000). Aggression should occur only when individuals can in- crease their share of resources that are concentrated by being aggressive (BEAUCHAMP, 1998). Increasing spatial clumping of resources, such as prey, can lead to increased competition (SCHMIDT et al., 1998). Migrating shorebirds provide an opportunity to study be- havioral interactions among species for both prey and forag- ing space because they often forage in dense flocks, concen- trating along relatively narrow tide lines (BOER and LON- GAMANE, 1996). Further, because they often forage in mixed species flocks, behavioral interactions among species can be examined in relation to habitat selection. This paper focuses on foraging behavior of four shorebird species and two gull species at a shorebird migratory stopover site in Delaware Bay, New Jersey, U.S.A. All species were preying on the eggs of horseshoe crabs. One key question is whether interactions between the shorebirds and gulls have an adverse effect on the time that shorebirds can devote to foraging. Another fac- tor that could play an important role in habitat use is the DOI.10.2112104-0393.1 received 10 October 2005; accepted in re- vision 23 June 2005. Partial support for this project came from the New Jersey Non- game and Endangered Species Program and the Department of En- vironmental Protection. Item # 19 Attachment number 4 Page 2 of 8 1160 Burger et al. New Jersey l r? r Fariescue ? Delaware ampo _ Beach Moo,es Reeds Beech BeP Delaware Bay Bowors Beach Vlllas W Cape Shore N - ape May 5'.oughier Bach Prime Hook Beach Figure 1. Map of Delaware Bay showing the study sites. effect of human disturbance on the shorebird-gull interac- tions. Our main interest was in determining whether there were species differences in habitat use or exclusion that might aid managers in protecting declining shorebird num- bers, especially in the face of increasing gull populations. We examined three questions to determine if there are ad- verse behavioral interactions among the species. The ques- tions were designed to determine whether there was compe- tition for foraging space or habitats among these species. In- teractions with the gulls are of particular interest because they are several times larger than the shorebirds, giving them a distinct advantage. 1. Does the time devoted to foraging differ among the species and does it vary in different habitats? 2. Does each species spend equivalent amounts of time in the different foraging microhabitats, and does the time devot- ed to foraging (vigilance, and aggression) differ among the microhabitats for each species? 3. Does the time required to return to foraging after a human disturbance vary among species or as a function of the type of disturbance. One of the largest spring concentrations of migrating shorebirds in the continental United States occurs in Dela- ware Bay each spring, when over a million shorebirds use the bay during a 3-week period in late May and early June (Fig- ure 1, BURGER, NILES, and CLARK, 1997; CLARK, NILES, and BURGER, 1993). The shorebirds are drawn to the bay because of the superabundance of horseshoe crab eggs; Delaware Bay is the center of horseshoe crab breeding (BOTTON, LOVE- LAND, and JACOBSEN, 1994). Delaware Bay is critical for these migrating shorebirds because of the abundance of eggs, high energy content of the eggs, and absence of other suffi- cient resources en route (PIERSMA and BAKER, 2000). Be- cause the eggs do not move, as do some other prey (BACK- WELL, O'HARA, and CHRISTY, 1998), they are not difficult to capture, providing an opportunity to examine species inter- actions without considering prey behavior. Foraging shorebirds are exposed to a decline in availability of their primary prey (horseshoe crab eggs) in Delaware Bay. With declining prey availability (BOTTON and LOVELAND, 2000), it is critical to know whether the shorebirds are being displaced from their preferred foraging habitat by the much larger gulls and whether there are interspecific differences in the effects of human disturbance. With this information, managers could impose additional measures to reduce the effects of human disturbance and con- sider measures to limit interactions between the shorebirds and gulls. The latter might take the form of increased pro- tection of habitats where shorebirds can feed and where there are few gulls. Understanding the stresses birds face when migrating between breeding and wintering grounds, such as competition for foraging space, habitat use, predation, and human disturbance, is essential for sound management of mi- gratory stopovers. As foraging habitats dwindle in many mi- gratory stopovers, managers must focus on protecting the habitats and microhabitats that are most critical for species whose numbers are declining. Such protection requires a clear understanding of the factors that contribute to lowered foraging success. STUDY AREA AND METHODS In 2002 observations were made at several beaches at Vil- las, Reeds Beach, Moores Beach, Thompson Beach, and For- tescue on the New Jersey side of Delaware Bay (Figure 1). On the Cape May peninsula, shorebirds use a range of hab- itats including the Atlantic Ocean beaches, marshes, tidal mudflats, or back beaches (BURGER, NILES, and CLARK, 1997). The Delaware Bay is separated from the Atlantic Ocean by 10 km of upland habitat. The habitat on Delaware Bay includes sandy beaches, sod banks, and creek and river inlets, backed by tidally flooded salt marshes (Spartina al- terniflora). The prime foraging sites are along a relatively narrow belt at the high tide line (CLARK, NILES, and BUR- GER, 1993), creating the potential for competition for both food and space to forage. Further, although the greatest num- ber of eggs is consistently available at the tide line, there are other habitats where eggs concentrate, such as sandbars, jet- ties, and creeks. Thus, within the "beach habitat" there are microhabitats. Because of concern for declining shorebird numbers, many of the beaches are closed to human activity during the migratory season, but enforcement is not com- plete. The overall study included three types of data collection: 1) observations on focal animals that were actively foraging, 2) censuses of the composition of foraging birds in 10-m sec- tions of the habitat, and 3) observations of disturbances. Ob- servations required three observers and were made every day from May 19, 2002, to June 6, 2002, which is the peak of the shorebird migration. 1. Time devoted to foraging. The foraging behavior of focal shorebirds was observed following a similar protocol used Journal of Coastal Research, Vol. 23, No. 5, 2007 Item # 19 Attachment number 4 Page 3 of 8 Competition and Habitat Use in Shorebirds and Gulls 1161 for foraging piping plover (Charadrium melodus, BURGER, 1994), sanderlings (Calidris alba, BURGER and GocH- FELD, 1991b), and laughing gulls (BURGER and GocH- FELD, 1991a). The daily protocol was to go to one of the designated beaches at first light, and begin collecting data on foraging shorebirds by selecting a focal bird on the edge of the flock; flocks were generally oriented horizontally along the tide line, and we selected a bird at the right or left end of the flock. Then another individual shorebird about 1 m from the initial bird was selected for observa- tion, and this procedure was followed until the birds moved or were no longer individually observable. In gen- eral, birds were not disturbed during our observations, and we were able to sample the entire flock. The focal bird chosen was actively foraging, and if it left before the end of 30 seconds, it was eliminated from the study. Each focal bird was observed for 30 seconds. Before beginning to take data on a focal bird, the following data were recorded: ob- server, time of day, flood state, hours before low tide, hab- itat (sand bar, tide line, upper beach, creek, beach mud), and species of shorebird. Data taken on the focal bird dur- ing the 30 seconds included: seconds devoted to foraging, vigilance, and aggression; number of pecks at the sand for eggs; number of aggressive interactions; and who won. Vigilance was defined as the bird looking up or around, rather than at the water where it was foraging (by peck- ing). Time in different foraging microhabitats. To examine the use of habitat by the mixed-species flocks of shorebirds and gulls, we recorded the number of each species present in randomly selected 10-m sections of the beach (653 cen- suses). A tide line transect included the upper beach. These data were taken every 15 minutes throughout the day. The habitat was divided into tide line (within 2 m of water line), upper beach (area 2 m above the tide line), sand bar (a sandy area separated from the main tide line by water), beach mud (a cul-de-sac near a jetty where mud and an abundance of horseshoe crab eggs were trapped), and creek (the interior sandy beaches along any creek leading into the bay). Effect of disturbances. Observers were able to see whole stretches of beach and could observe approaching people, dogs, and vehicles. Although these disturbances were against the law, they occurred nonetheless. Whenever ob- servers saw an approaching person (or dog or vehicle), they recorded the number of birds (by species) in the 30- m stretch where the person would intersect the beach. In all cases, all birds flew up when faced with a person, dog, or vehicle. Observers then recorded the number of birds by species returning to the beach 30 seconds, 1 minute, 2 minutes, 5 minutes, and 10 minutes after the disturbance had passed. Statistics Kruskal-Wallis nonparametric one way analysis of vari- ance (SAS Proc NPARIWAY-Wilcoxon option) was used to distinguish significant differences among species (SAS, 1995). We used Kendall tau correlations to determine relationships 30- 25 Foraging - lay ?y 20- l 15- s 4 Vigilance 3 1tt1 r4 z 1 6 1 Pt,4 Aggression 0.8- M- 0.4- O.2- 0- Laughing gull Red knot Turnstone Sanderling Semipalmated Sandpiper Figure 2. Time (mean ± standard error) devoted to foraging, vigilance, and aggression for laughing gulls and shorebirds foraging along Delaware Bay. An * indicates there are significant differences (X2 tests in text). among behaviors (SAS 1995). In all cases we test the null hypothesis of no differences among species in foraging behav- ior or habitat use. We used a significance level of 0.05. Arith- metic means and standard errors are given in the text and tables. RESULTS Foraging and Habitat Use On the migratory stopover at Delaware Bay, shorebirds spent time foraging, roosting, or resting (preening and other activities). There were significant differences in the time each species devoted to actively feeding (Figure 2). Based on the 30 seconds foraging data of focal birds, knots spent signifi- cantly less time foraging than did the other species (X2 = 68.1, p < 0.0001), largely because they devoted more time being vigilant, but less time to actual aggression. Similarly, there were significant differences between spe- cies in time devoted to vigilance and aggression (X2 = 58. 1, p < 0.001; X2 = 43.7, p < than 0.001, Figure 2). There were also differences in time devoted to vigilance as a function of their nearest neighbor for all species except herring gulls and sanderlings (Table 1). Red knots were most aggressive to- ward laughing gulls, turnstones were most aggressive toward herring gulls, sanderlings were most aggressive toward turn- stones, and semipalmated sandpipers were most aggressive toward knots (Table 1, X2 tests). Within a species, there were significant differences in hab- itat use (Table 2): 1) Gulls and turnstones were more abun- dant along the tide line than other species, 2) turnstones were more abundant on the upper beach than other species, 3) laughing gulls and turnstones were more abundant on sandbars, 4) only gulls fed on the beach mud, and 5) semi- palmated sandpipers were more common along creeks than were the other species. These numbers largely reflect abun- dance in the foraging flocks generally. Over half of the for- Journal of Coastal Research, Vol. 23, No. 5, 2007 Item # 19 Attachment number 4 Page 4 of 8 1162 Burger et al. Table 1. Mean time spent aggressive for gulls and shorebirds feeding on Delaware Bay (2002). Observations were of focal birds during 30 s observation Given are means followed by (n) and then the standard error. Closest Species Semipalmated Kruskal-Wallis Focal Species Herring Gull Laughing Gull Red Knot Turnstone Sanderling Sandpiper xz Herring gull 2.17 (6) ± 1.64 1.86 (22) ± 0.84 0.00(2) ± 0.00 0.40 (10) ± 0.40 0.00 (1)* 2.50(2) ± 2.50 3.18 (ns) Laughing gull 2.14 (7) ± 1.06 0.81 (978) ± 0.06 1.25(8) ± 0.82 2.44 (82) ± 0.44 0.33(9) ± 0.24 1.36 (11) ± 0.97 31.5 (0.0001) Red knot 0.50 (2) ± 0.50 1.14 (44) ± 0.38 0.34 (87) ± 0.19 0.39 (133) ± 0.10 0.00 (17) ± 0.00 0.00(8) ± 0.00 16.7 (0.005) Turnstone 1.94 (16) ± 0.76 1.22 (313) ± 0.13 0.57 (14) ± 0.37 0.88 (828) ± 0.07 1.41 (37) ± 0.59 0.65 (34) ± 0.16 12.2 (0.059) Sanderling It 0.63 (16) ± 0.40 0.00(5) ± 0.00 0.88 (60) ± 0.24 0.39 (132) ± 0.09 0.56 (32) ± 0.20 4.87 (ns) Semipalmated sandpiper 0.00 (1)* 0.97 (37) ± 0.37 2.67(3) ± 1.45 1.70 (54) ± 0.34 0.00 (13) ± 0.00 0.90 (294) ± 0.18 25.6 (0.0003) * No standard error because n = 1. t No aggressive interactions were observed between species aging herring gulls were feeding at holes dug up by turn- stones (usually by driving them away) on the upper beach above the tide line and the upper reaches of creek areas. There were significant differences in the time devoted to actively feeding in the different habitats (in the 30 seconds focal animal data set, Table 3). These differences were sig- nificant for laughing gulls, turnstones, sanderlings, and semi- palmated sandpipers. Generally the birds congregated where their foraging rates were the highest. There was also a clear relationship for some species (turnstones, laughing gulls) be- tween the number of conspecifics in flocks and their time de- voted to foraging (Figure 3). When they fed in larger flocks with a higher percent of conspecifics, they had higher forag- ing times. Responses to Disturbances Although many beaches on Delaware Bay have human ac- cess restrictions imposed by the state, people, dogs, and ve- hicles (planes, cars, boats) sometimes disturbed the birds, causing the foraging flocks to fly from the beaches. Vehicles were not on the beaches themselves, but planes could fly low, boats could approach shore, and loud cars sometimes were near the beach. The responses of the gulls and shorebirds differed significantly. In general, within 5 minutes of a dis- turbance the number of gulls had returned to predisturbance levels, while the shorebirds did not return to these levels (Figure 4). The shorebirds responded most strongly to the presence of dogs and did not return to the beach following such a disturbance. There were differences among the shorebirds, both in their response to different types of disturbance stimuli and in their recovery time (Table 4). Within 30 seconds of the cessation of a vehicular disturbance, some shorebirds returned to the beaches, although semipalmated sandpipers did not when the disturbance was a person. Within 5 minutes of the cessation, only half the turnstones had returned, but far fewer of the other species returned. Shorebirds began returning to the beach within a minute of when a human intruder was on the beach; however, only about 20% of the sanderlings returned (Table 4). At 10 min- utes after the disturbance ceased, knots had not yet returned, while some of the other species were returning. For all shore- birds combined, there were significant differences in the number of birds present before a disturbance, and 5 minutes after the disturbance (X2 tests, p < 0.05), but these differ- ences were not significant for laughing gulls (Figure 4). The most severe response of shorebirds was to the presence of dogs (Table 4, Figure 4). Although turnstone numbers be- gan to recover after 2 minutes, by 10 minutes, numbers were still only a quarter of predisturbance numbers. Knots, semi- palmated sandpipers, and sanderlings did not return within 10 minutes of the departure of a dog from the beach. DISCUSSION Foraging and Habitat Use In this study, foraging success was related to both micro- habitat and foraging associations. The birds concentrated in Table 2. Foraging habitats used by shorebirds at Reed's Beach, Delaware Bay (2002). Mean ± SE number foraging in 10 m beach counts (N = 653), of each species observed feeding in different habitats. Refer to Figure 2 for habitats. Herring Gull Laughing Gull Red Knot Turnstone Sanderling Semipalmated Sandpiper N 365 553 189 378 203 146 Feeding at tide line 3.4 ± 0.3 115.8 ± 9.6 22.6 ± 5.7 123.7 ± 15.0 21.3 ± 3.1 22.6 ± 3.4 Feeding at upper beach 6.3 ± 1.7 44.0 ± 5.7 17.3 ± 3.5 111.7 ± 13.7 34.4 ± 17.4 12.4 ± 2.3 Feeding at creek 2.6 ± 0.4 46.2 ± 11.3 13.1 ± 5.8 40.8 ± 11.9 41.1 ± 17.2 88.4 ± 18.8 Feeding at sandbar 15.4 ± 6.1 65.9 ± 32.4 14.7 ± 4.1 105.0 ± 29.0 14.2 ± 5.1 5.6 ± 2.0 Feeding at beach mud It 123.8 ± 37.2 It It It It X2 (p) 5.9 (ns) 56.5 (6.0001) 0.5 (ns) 9.6 (0.02) 3.1 (ns) 37.0 (6.0001) * Number of the 653 censuses that had each species t No birds fed there. Journal of Coastal Research, Vol. 23, No. 5, 2007 Item # 19 Attachment number 4 Page 5 of 8 Competition and Habitat Use in Shorebirds and Gulls 1163 Table 3. Mean ti me gulls and shorebirds on Delaware Bay spent foraging (2002). Data are for focal birds when feeding at tide line, upper beach, creek, sandbar, or beach mud. Given are means ± SE. Semipalmated Herring Gull Laughing Gull Red Knot Turnstone Sanderling Sandpiper N 62 1111 298 12.89 245 440 Tide line 12.6 ± 2.26 24.0 ± 0.27 19.92 ± 0.87 22.3 ± 0.33 21.17 ± 0.78 22.0 ± 0.56 Upper beach 11.7 ± 2.39 22.0 ± 0.70 19.06 ± 0.77 23.73 ± 0.3 20.35 ± 0.98 22.9 ± 0.98 Creek 23.9 ± 1.61 22.09 ± 1.58 22.19 ± 1.46 25.44 ± 1.20 22.3 ± 1.02 Sandbar 17.5 ± 3.37 21.6 ± 0.89 22.17 ± 1.86 23.0 ± 1.4 23.91 ± 1.68 18.5 ± 1.04 Beach mud 26.7 ± 0.44 20.0 t X2 (p) 3.7 (ns) 15.28 (0.004) 4.0 (ns) 12.61 (0.01) 10.63 (0.01) 13.0 (0.005) * No birds fed there. t No standard error because n = 1 different microhabitats: 1) Gulls and turnstones were more abundant along the tide line, 2) turnstones were abundant on the upper beach, 3) semipalmated sandpipers and turn- stones were more abundant on sandbars, 4) only gulls fed on the beach mud, and 5) laughing gulls and semipalmated sandpipers were more common along creeks than were the other species. There were significant differences as a function of microhabitat for laughing gulls, turnstones, and ser l- mated sandpipers. Generally the birds congregated where the birds spent the most time feeding. These data have several implications for understanding their foraging behavior. Firstly, shorebirds seem to be inte- grating food, habitat, and interactions with other species. A given species can maximize its foraging success in certain habitats by feeding mainly with conspecifics, and where they are not in direct competition with larger species (especially gulls) for foraging space. A timid species, such as knots, that had relatively low aggression rates could increase its foraging rate by feeding in locations without the larger gulls (i.e., sand- bars). Second, some species can make use of the foraging abil- ity of others. Herring gulls and sanderlings make use of the 28.0 270 26 0 v 25.0 24.0 0 23.0 22.0 E 21.0 20 0 19.0 180 0 UB i Laughing Gull -1 BM a Red Knot Turnstr n, . sandehing ¦ semipain,ated 60 ?O 1p0 digging ability of turnstones to uncover clutches of eggs bur- ied in the sand. The importance of habitat characteristics in influencing interference competition is a key feature requir- ing more extensive research (see CRESSWELL, SMITH, and RUxTON, 2001), particularly in shorebirds. Aggressive Interactions While considerable attention has been devoted to aggres- sion in monospecific foraging flocks for decades (C ONNORS et al., 1981; HAMILTON, 1959), less attention has been devoted to aggression in mixed-species flocks (BURGER et al., 1979; NORRIS and JOHNSTONE, 1998), partly because of the diffi- culty of tracking individuals and species in such dense groups. Further, in most foraging situations, shorebirds are feeding on prey that are distributed over a relatively large All Shorebirds Laughing Gulls 200 Person 150- 100- 50- - !1 0- 500 r Car or Plane 5 400 300 z 200- 100- 0- 300- Dog 250- '!9 200- 150- 100- 50- 0- Before 5 min after Before 5 min after Figure 4. Number of birds (mean ± standard error) foraging before and 5 min after a disturbance as a function of whether that disturbance was caused by a person walking, or a car, plane, boat, or dog (with or without a person). Following the disturbance of a dog, no shorebirds came back after 5 minutes. Figure 3. Relationship between the percent of conspecifics foraging in a given habitat and the time devoted to foraging along Delaware Bay. CR = creek, SB = sandbar, UB = upper beach, TL = tide line, and BM = beach mud. Journal of Coastal Research, Vol. 23, No. 5, 2007 Item # 19 1G 7P '30 0.o 5? Percent conspecitics in habitat Attachment number 4 Page 6 of 8 1164 Burger et al Table 4. Effects of disturbance on foraging gulls and shorebirds in Delaware Bay (2002). Shown are the number of birds present on beach before and after disturbances (N = 25) on Delaware Bay. Given are means ± SE. Time after Disturbance Before Disturbance -30 s 1 min 2 min 5 min Over 10 min Disturbance = Car or Plane Herring gull 0.4±0.4 0.1±0.1 0.4±0.2 1.7±1.7 1.7±1.7 Laughing gull 41.2 ± 21.4 35.6 ± 14.2 96.0 ± 15.7 145.0 ± 52.7 111.7 ± 19.7 Total shorebirds 478.4 ± 190.4 88.9 ± 88.9 80.2 ± 58.5 0.0 ± 0.0 225.0 ± 141.9 Red knot 25.2±19.3 11.1±11.1 0.2±0.2 0.0±0.0 1.7±1.7 Turnstone 433.0 ± 173.1 66.7 ± 66.7 80.0 ± 58.3 0.0 ± 0.0 223.3 ± 140.3 Sanderling 20.2 ± 20.0 11.1 ± 11.1 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 Semipalmated sandpiper 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 Disturbance = Person Herring gull 6.4±3.0 55.±2.7 8.3±3.8 12.0±5.0 13.7±4.7 16.3±17.5 Laughing gull 44.6 ± 13.4 117.9 ± 32.8 74.2 ± 30.6 64.6 ± 21.3 52.9 ± 19.7 86.3 ± 37.5 Total shorebirds 162.5 ± 60.6 0.0 ± 0.0 7.7 ± 6.8 8.9 ± 6.2 66.7 ± 22.2 95.0 ± 95.0 Red knot 3.6±1.7 0.0±0.0 0.5±0.5 0.0±0.0 0.0±0.0 1.7±1.7 Turnstone 137.3 ± 53.6 0.0 ± 0.0 3.2 ± 3.2 8.3 ± 6.2 58.3 ± 23.3 83.3 ± 83.3 Sanderling 7.5±6.2 0.0±0.0 0.9±0.9 0.0±0.0 0.0±0.0 6.7±6.7 Semipalmated sandpiper 14.1 ± 9.4 0.0 ± 0.0 3.2 ± 2.4 0.6 ± 0.6 8.3 ± 4.1 3.3 ± 3.3 Disturbance = Dog Herring gull 6.0±3.1 0.0±0.0 0.7±0.7 1.3±1.3 1.7±1.2 6.5±3.4 Laughing gull 20.3 ± 7.9 9.0 ± 9.0 33.7 ± 13.3 45.7 ± 15.1 48.3 ± 6.7 43.7 ± 4.3 Total shorebirds 259.0 ± 116.9 0.0 ± 0.0 0.0 ± 0.0 2.3 ± 2.3 16.0 ± 16.0 87.5 ± 87.5 Red knot 4.0±3.1 0.0±0.0 0.0±0.0 0.0±0.0 0.0±0.0 0.0±0.0 Turnstone 235.0 ± 110.9 0.0 ± 0.0 0.0 ± 0.0 2.3 ± 2.3 16.0 ± 16.0 87.5 ± 87.5 Sanderling 10.0±5.8 0.0±0.0 0.0±0.0 0.0±0.0 0.0±0.0 0.0±0.0 Semipalmated sandpiper 10.0 ± 5.8 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 0.0 ± 0.0 area of mudflat, although they may be compressed during high tide. In contrast, the shorebirds feeding on horseshoe crab eggs are concentrated exactly at the tidal line, often on relatively steep beaches that do not provide a wide foraging belt along the tide. On Delaware Bay, the bulk of crab eggs are available in the boiling surf, although some shorebirds (turnstones and their kleptoparasites) have access to the eggs buried in the sand. In this case, because of the small size of the eggs, klep- toparasitism is on the nests with the eggs rather than on shorebirds holding the food (i.e., eggs, see LEEMAN et al., 2001). The aggressive behavior of shorebirds seemed to us to be a function of their foraging methods and habitat choices. Red knots were most aggressive toward laughing gulls when they foraged together along the tide line. Turnstones were most aggressive toward herring gulls, mainly when the gulls tried to take egg masses that the turnstones had dug up on the upper beach. Sanderlings were most aggressive toward turn- stones, mainly on the upper beach, because they were at- tempting to steal the eggs masses the turnstones had dug up. Semipalmated sandpipers were most aggressive toward knots that were trying to displace them from sandbars, where they both congregated in foraging flocks. The behavior observed in the foraging flocks along Dela- ware Bay suggest that aggression rates are dependent upon not only prey, but on competition for space, species compo- sition, and habitat availability. The availability of different microhabitats with sufficient horseshoe crab eggs provides the shorebirds with options where they can minimize com- petition for space and aggressive interactions with other (per- haps larger) species, while making use of their foraging skills. Behavioral Responses to Disturbances Gulls and shorebirds responded differently to the presence of vehicles, people, and dogs. Once the disturbing stimulus had departed, gulls returned within 30 seconds, while shore- birds did not fully return to the beaches even within 10 min- utes. These differences may be partly due to species differ- ences in vulnerability (the gulls are larger), but in reality both people and dogs could take either gulls or shorebirds. The propensity of gulls to return immediately, however, has consequences in terms of interference competition. In many cases, there were more gulls within 5 minutes of a distur- bance than there had been before, indicating that there was some recruitment from flocks resting on nearby sandbars and upper beaches. The increase in the number of gulls would make it more difficult for the smaller shorebirds to enter the foraging flock. Repeated disturbances then might have the effect of increasing interference competition for foraging space, resulting in even fewer shorebirds having access to the best foraging sites. These data further suggest that it is imperative to keep people and dogs off the Delaware beaches when shorebirds are foraging. Increased disturbances may have the effect of giving the competitive advantage to gulls because they return more quickly, filling up the prime habitat where the horse- shoe eggs are most abundant. While previous studies on Del- aware Bay have indicated that dogs can be an important dis- Journal of Coastal Research, Vol. 23, No. 5, 2007 Item # 19 Attachment number 4 Page 7 of 8 Competition and Habitat Use in Shorebirds and Gulls 1165 turbance (BURGER, 1986, BURGER, GOCHFELD, and NILES, 1995), the present study indicates that they are currently the prime and most important factor disturbing the shorebirds at protected beaches. This is partly a function of the protec- tion afforded the beaches by the Endangered and Nongame Species Program of the New Jersey Department of Environ- mental Protection. Whereas they have been successful in low- ering the number of disturbances due to photographers, bird- watchers, and walkers, dogs have been harder to control. Management and Conservation Implications Understanding foraging behavior of the mixed species flocks of shorebirds and the effect of negative interactions between shorebirds and gulls is critical because the spring concentration of shorebirds on Delaware Bay is the largest in the continental United States, and the supply of horseshoe crab eggs may be dwindling (BAKER et al., 1999; BURGER, NILES, and CLARK, 1997; TSIPOURA and BURGER, 1999). The shorebirds do not feed on viable eggs, but rather on excess horseshoe crab eggs that have risen to the surface because of the spawning activity of other female crabs. Thus, the num- ber of spawning horseshoe crabs that is necessary to ensure healthy populations of horseshoe crabs may be insufficient to provide enough excess eggs for foraging shorebirds. An increase in the harvest of spawning horseshoe crabs in recent years has led conservationists to be concerned that there is an insufficient number of breeding horseshoe crabs to produce the excess of eggs necessary to feed the migrating shorebirds (BAKER et al., 1999; TSIPoURA and BURGER, 1999). The availability of eggs in the surface sands has fallen from a high of over 100,000 eggs/m2 in 1990 to 10,000 eggs/ m2 in 2000 (BOTTON and LOVELAND, 2000). The shorebirds and gulls forage where the eggs are most abundant (BOTTON, LOVELAND, and JACOBSEN, 1994; BURGER and GOCHFELD, 1991a). There is little niche differentiation in prey selection, as occurs in most shorebirds at stopover sites (DAVIS and SMITH, 2001), because the horseshoe crab eggs are nearly all the same size. The small size of prey means that there are no handling time differences (JOHNSON, GIRALDEAU, and GRANT, 2001). Although nearly 15 species of shorebirds feed on horseshoe crab eggs in the spring (CLARK NILES, and BURGER, 1993), three species of shorebirds depend more heavily on them, in- cluding red knot (Calidris canutus), ruddy turnstone (Aren- aria interpres), and sanderling (Calidris alba; CASTRO and MYERS, 1989; MYERS et al., 1987; TSIPOURA and BURGER, 1999). The semipalmated sandpiper (Calidris pusilla) is of interest because they are also declining (BURGER, NILES, and CLARK, 1997). All the shorebirds that migrate through Del- aware Bay have generally shown a decline (MORRISON et al., 2001), but knots and turnstones are especially vulnerable be- cause their foraging is more limited to Delaware Bay beaches than is the foraging of the other species (BURGER, NILES, and CLARK, 1997). In this study, foraging success varied among species and among habitats. Foraging rates were not independent of spe- cies composition and density of the flocks, nor of habitats. Species selected those habitats where aggression was mini- mized and foraging rates were highest. The management im- plications of the data on foraging success, habitat use, and human disturbance are clear-state officials should protect large stretches of the Delaware Bay beaches that have a max- imum of different types of microhabitats. This includes not only tide line, but all the places where abundant excess horseshoe eggs can be found, including creeks, mudflats, and sandbars. Further, because the foraging shorebirds are dis- turbed by people and dogs (see the following paragraph), the diversity of habitats should be protected, not just the tide line. That is, beach mud, creek, and upper beach habitats should be equally protected from the effects of disturbance because they serve as a buffer to the tide line foraging, and because they are used for foraging by some shorebirds. Moreover, the competition among gulls and shorebirds for foraging space and the different response to disruptions sug- gests that considerable management attention should be giv- en to the gull-shorebird interactions. These data showed that gulls return following a disturbance, and most shorebirds do not. Thus the shorebirds are displaced from their foraging beaches by disturbances. These data suggest that regulatory agencies should eliminate all disturbances, particularly those of dogs. This may require additional law enforcement to se- verely fine dog owners, thereby deterring others from allow- ing their dogs to wander the beaches. It may also require limiting the effects of scientists by requiring all people to maintain a buffer distance from foraging shorebirds. ACKNOWLEDGMENTS We thank K. Clark and M. Gochfeld for help and advice throughout the study, and R. Ramos for graphics. LITERATURE CITED BACKWELL, P.R.Y.; O'HARA, P.D., and CHRISTY, J., 1998. 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Diets, energy intake, and kleptoparasitism of nonbreeding long- billed curlews in a northern California estuary. Wilson Bulletin, 11, 194-201. MORRISON, R.I.G.; AUBRY, Y.; BUTLER, R.W.; BEYERSBERGEN, G.W.; DOWNES C.; DONALDSON G.M.; GRATTO-TREVOR, C.L.; HICKLIN, P.W.; JOHNSTON, V.H., and Ross, R.K, 2001. Declines in North American shorebird populations. Wader Study Group Bulletin, 94, 4-8. MYERS, J.P.; MORRISON, R.I.G.; ANTAS, P.Z.; HARRINGTON, B.A.; LOVEJOY, T.E.; SALLABERRY, M.; SENNER, S.E., and TARAK, A., 1987. Conservation strategy for migratory species. American Sci- entist, 75, 19-26. NORRIS, K. and JOHNSTONE, I., 1998. Interference competition and the functional response of oystercatchers searching for cockles by touch. Animal Behavior, 56, 69-650. PIERSMA, T. and BAKER, A.F., 2000. Life history characteristics and the conservation of migratory shorebirds. Conservation Biology Se- ries, 2, 10-124. ROBERTS, G., 1996. Why individual vigilance declines as group size increases. 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Con- trasting interference functions and foraging in two species of shorebird (Charadrii). Journal Animal Ecology, 69, 14-22. Journal of Coastal Research, Vol. 23, No. 5, 2007 Item # 19 V .p V CL 00 U) W (Ti CO r U w W CL c O R V 0 J N 0 C J ? N W O K <U2 d' co 00 N 0) C) M a) W CO ? H O O c? M (D > Q ? L L Q m W O C.t ion Q M M-9 12- U) LL J r (n F- a CY) 9 cmOo.cORmya? M ?y C Y C ? y .. YI d dr aYi> ad a °a>a Ez E ?'ouL?u°LE?`?mcE ONV`moowoamo?a? ?a?cwaCN LccV ciC ?U ta0J3ar 0d C W t.2 . L T` G 7? 4fi O, 0 w c -m o« c A o m 13 0 ? E W ?.Q. E 2 N ° C 0 0) r A d « ° y C 01 L A tu°f ° N° °. 7 N N t O W C N C1 N«= 7 °• N .C ° 7 0 U? L C?t ui .AH G? •- P: 0 CL r- o. 0 1,020 0- 50S U 9 S O N N- z°E°?u-tc?m00 o°-v 3 yFu to _ x - . o 0-13 o aw g c? o cw uLL'c o ? wo m'p7 G e' N O w N C D ° 13 .2 w 41 CO ?' N L d N p O)L? oUCL o>;o'? dd a o> o ° o m$ w a 0 t u 7 u z r- m O) V ti (II O O Q' N O? N N. W 0) N L? c m? J E c Z J? N D v co 0) E (p L 7 T M 0? I? 7 N U. Q W C LL O O N Q c0 a`) O O co C c c CU c _ LL U N E (? cn f0 ? O ? L (B LL 0 N ? U L O 00 * m O 7 00) m L O E w y' L f- 3 s ai = R O . C m y Q ? ? (n C c ? t d 01 a O Q) CD L O O J a -1) >2 a Q ?? U. 16- 3 0 L 0 m 5 69 6£fi : Nl PelII I wo-I Xi-ejgll.z?Iul PP!JO[_4 O XI!SJanru(l The Effect of Human Activity on Shorebirds in Two Coastal Bays in Northeastern United States by JOANNA BURGER, M.S.(Comell), Ph.D.(Minnesota) Professor, Department of Biological Sciences and Bureau of Biological Research, Rutgers University, Piscataway, New Jersey 08854, USA. INTRODUCTION Shorebirds are cosmopolitan, nesting on all continents and in many habitats-ranging from wet marshes (Jenni & Betts, 1978) to dry deserts (Hughes, 1979). Although some species nest in temperate or tropical ecobiomes, the vast majority do so in tundra-far from the intense pressures of human settlements. Further, the breeding ranges of most North American shorebirds are broad, and the breeding grounds of many species are relatively undisturbed (Senner & Howe, 1984). However, many shorebirds congregate in large flocks of several hundreds or thousands during the migration and wintering periods (Senner, 1979; Prater, 1981). During these periods, they are often limited geogra- phically to only a few accessible suitable habitats. For many shorebirds the spring migration is short, and species migrating to northern wintering-grounds stop at few locations (see papers in Pitelka, 1979). Thus migratory movements result in extremely large local concentrations of shorebirds for only a few days or weeks at a time. Such `staging areas' are often traditional, and individuals may remain at these sites for a few days to restore lipid reserves for further migration. Recent studies suggest that, of some species, a significant proportion of the total world popu- lation may stop at a particular local site (Senner & Howe, 1984). Thus these staging areas may be critical to the well- being of particular shorebird species, even though they may be used for only a short period. Because shorebirds may thus congregate in flocks of sev- eral thousands at critical staging areas, their relative vul- nerability often remains unrecognized except by biologists who study shorebirds. Further, the beaches that are chosen by shorebirds may be heavily used by people. The impacts of the presence of people, and the effects which particular types of human activity have on shorebirds, have rarely been examined. In 1981, Burger briefly reported on how human activity affected birds, concluding that, of all the groups of waterbirds, shorebirds were most affected by the presence of humans (Burger, 1981). Nonetheless, Burger's study did not examine shorebirds in detail. It the present account, I examine the effects on migrant shorebirds of people using beaches in Raritan and Dela- ware Bays (New Jersey), from 20 April to 26 October 1982. This research was part of an extensive project on shorebird populations and movements within those two bays. Dela- ware Bay is listed as a critical staging area for shorebirds by Senner & Howe (1984), but little information exists regard- ing the importance of Raritan Bay. In the spring, shorebirds Concentrate on Delaware Bay inter alia to feed on the eggs of Horseshoe Crabs (various xiphosurans) (Dunne et al., 1982). METHODS Observations on human disturbance were made at two study-sites in Raritan Bay (South Amboy and Conaskonk Point) and at four study-sites in Delaware Bay (Norbury's Landing, Reed's Beach North, Reed's Beach South, and Moore's Beach) from 20 April to 26 October 1982. Data on human disturbance were taken by personnel on the ground, while overall populations were surveyed aerially.* Ground and aerial surveys were conducted once a week on the same days in both the Bays, to eliminate problems associated with birds moving between the Bays, the nearest parts of which were only 130 km apart. The same people performed the surveys throughout the period at each study-site, and all were experienced in shorebird censuring. Ground surveys to census shorebirds and to assess the effects of human activities were conducted from 0800- 1200 (Delaware Bay) or in the four hours around low-tide (Raritan Bay). At the start of each survey we recorded date, time, survey number, census location, visibility, precipita- tion, wind-speed, wind direction, and hours since low-tide. Throughout each observation period we noted whenever any person, dog, aircraft, or boat, was in the vicinity of the study-site, and we recorded the following information: type of disturbance, number of people, dogs, airplanes, or boats, duration of the disturbance, and the number of birds that remained, flew up but returned, or flew away entirely from the study area. Using these data I then computed the mean number of disturbances per hour, mean duration of disturbance, and responses of the shorebirds. I used stepwise multiple regression procedures to exam- ine the effects of the independent variables on the behav- iour of shorebirds (percentage remaining, flying but return- ing, or flying away). This procedure first selects the variable that contributes the most to the coefficient of determina- tion (R2), and then selects the second variable that gives the greatest increase in R2. The procedure continues until all variables that have not been included are not statistically significant. Thus if two variables were highly correlated, only the variable giving the higher R2 would be added to the model. The model selection procedure determines the best model, gives R2, F values, and levels of significance for * In answer to our query as to the method of this survey, Pro- fessor Burger wrote (in litt. 5 June 1986): `Aerial surveys were conducted by fixed-wing airplane in Delaware Bay and by heli- copter in Raritan Bay. Survey data were only used to estimate population numbers. Two people were required to estimate popu- lation size and percent[age] species composition, and to record the data.'-Ed. Item ; 123 Enrfronmemal Conservation, Vol. 13. No. 2. Summer 1986-9 1986 The Foundation for Environmental Conservation-Printed in Swnzeriand. T t 124 Enriromnental Conservation the model, and also gives the F values and levels of signifi- cance for each significant variable.t RESULTS Population Numbers During the course of the study, 471,055 shorebirds were observed in the aerial censuses of Delaware (New Jersey side) and Raritan Bays. Only 21,116 shorebirds (4.4%) were observed in Raritan Bay. Eight of the 27 species present accounted for 95.4% of the shorebirds: Semipalmated Sandpiper (Charadrius semipalmatus), Ruddy Turnstone (Arenaria interpres), Sanderling (Calidris alba), dowitchers (two species of Limnodromus), Red Knot (Calidris eanu- tus), Dunlin (C. alpina), and Greater Yellowlegs (Tringa totanus). Peak daily counts in Delaware Bay of Semipal- mated Sandpipers (56,251) and Ruddy Turnstone (46,260) give an indication of the importance of Delaware Bay (New Jersey side only) as a stopover area. General population numbers will be presented elsewhere. Types of Hurnan Disturbance People used the beaches for walking, jogging, clamming, walking dogs, or fishing. Over 40% of the disturbances in both bays were of people walking, although fishermen accounted for 10-20% of the disturbances (Fig. 1). Boats were common in Delaware Bay but rare in Raritan Bay, while the reverse was true of off-road vehicles. Surprising- ly, dogs accounted for less than 10% of the disturbances in both bays. The frequency of disturbances varied by month, with peaks in May and June in Delaware Bay and in August in Raritan Bay (Fig. 2). There were significantly (X' test) more disturbances in August in Raritan compared with Dela- ware Bay. Moreover, the level of disturbance varied by type of activity (Fig. 3). In both bays, people walking peaked in May, June, and August-just when shorebirds were using the bays. Both airplanes and fishermen were most common in May in both bays. There were more disturbances in Delaware Bay than in Raritan Bay (Fig. 3). Shorebird Response to Disturbance Shorebirds responded to human disturbance by flying away, by flying up but returning, or by remaining on the beach. Nearly one-third of the shorebirds were relatively undisturbed and did not fly when disturbed (Table I). Significantly more shorebirds flew away when disturbed in Delaware Bay compared with Raritan Bay (X2=516, df=2, P<0.001). Shorebirds responded differently as a function of bay and study-site (Fig. 4). The responses were similar on South Amboy (Raritan Bay) and on Reed's Beach South and Norbury's Beach (both in Delaware Bay). The shore- birds on Conaskonk Point were particularly unresponsive See footnote to Table It.-Ed, Q a -•- Delaware Bay --o-- Raritan Bay FIG. 1. Ttpes ofhtnnan activities in studrsacs on Raritan and Delaware Bars. 30 25 Z 20 s 15 Z 10 FiG. 2. Percentages of disturbance by month on Raritan and Delaware Ba•s. W N O W 0: z W a •\? Q_ 20- z a m J w z O w Cr 2 w w 20 • O N • • A z w • z -c - O O z Y J C 60 /• 3 •// W J • d / O 40 W • EL W O • Cr 20 ___• W • ?/ m ' O z April May June July MONTH August September ocl,)ber FIG. 3. 'ionbers of airplanes,.fishernlell, and people 11 alkilta br month on shores o1 Raritan and Delaware Bars. Item # 19 W.1-g Di g gels People May June July August September October MONTH Burger: The Effect ofHuman Activity on Shorebirds in Two Coastal Bars in Northeastern United States 125 TABLE I Overall Response of Shorebirds in Raritan and Delaware Bays, Summed Over the Season firoin April through October. ResPonsc Shorehfrds Raritan Delaware A (ow A (I'ol Remained ................... 645 (31) 2,442 (30) Flew up and Returned ........ 898 (44) 1.759 (22) Flew Away .................. 506 (25) 3,914 (48) Total ................... 1049 8,115 to the presence of humans, whereas those at Reed's Beach North were disturbed 90% of the time (Fig. 4). The overall pattern of response by month for Raritan (Fig. 5) and Delaware Bays (Fig. 6) indicates that, from late May to late July, few shorebirds remained when disturbed they either flew away or flew up and landed on adjacent beach areas. Birds that flew away presumably flew to other beaches, out of sight of the observers, or else to bay salt- 40 20 0 Co ioo c ° eo `o X 60 40 20 40 Z 20 i0o so r 0 m° 6o- 40 40- 3 20- 20 v 4 40 40- 20- 20 40- 40 20 20- South An South 1A i North Conoskot Point A Moores B Reeds BE (N) Reed's Be (S) Norbury s ' Beach South ,boy k Hoch och och Remained Flew Flew and away Returned RESPONSE (All birds) Fig. 4. Response of shorebirds to disturbance as a.function of study site. I ioo 5horeblyd, (Ra YVan Bay) Flew a 50 0 401 H 30 Al, r I- - s< <mn<, ooioo<, MONTH FIG. 5. Responses of shorebirds to disturbance in Raritan Ba_v as a function of month. iooo 5norebtrds (Delowole ear) ao 0 rw? 0 40 z? o Mor , a <m <, o<<oo<. MONTH Ftc. 6. Responses ofshorebirds to disturbance in Delaware Bar as a function ofinonth. marshes. However, more shorebirds on Delaware Bay than Raritan Bay were displaced by disturbances and flew away from the study sites (Figs 6 and 5, respectively). Relationships Among Study-sites The numbers of disturbances fluctuated less throughout the season than did the numbers of shorebirds (Fig. 7). Peaks in shorebirds occurred in late May-early June and in late July-early August in the study-sites of both bays. In comparing study-sites, those with the highest number of disturbances also had the largest bird populations (Fig. 8 and cf. Table IV), but there was no clear relationship between the number of shorebirds that used a particular site and the number that were present during any given disturbance. The percentage of birds that were present dur- ing the disturbances (of the maximum present for each N 401 w ? DeVaware 0 Z 30- Q I T t M Of 20 - Raritan Z 10 w w 0 m lsoo- w 0 N 1000- w 0 m 500 - z _ -Y -g- aeptember' u<to oer MONTH Fui. 7. Relationship of nrnnber of distw-bances to number Of shorebirds per month in Raritan and Delaware Bars. Item T E 126 Environmental Conservation 50 Z Moore's Beach m 2) ao 0 2 o' 2 30 2 w a m 20 Reeds Beach • o (N) a Norburys Beach Reed's Beach w to • (S) v South Amboy w Conaskonk Point 100 200 300 NUMBER OF DISTURBANCES FIG. 9. Number of disturbances compared with percentage of shorebirds present during the disturbance. 15,( 13,( (n 11,( a W 9,( Fn LL 7,( O W 5,1 W m Z U) W U Z a m 0 LL O Of W co 2 D Z FIG. 8. Numbers of shorebirds compared with the numbers of disturbances for the six census areas. 100 Reed's Beach (N) 75 m >- ¢Q 03 ? ? 50 Moore's Beach Z = w ? v 25 South Amboy • Norburys Beach • Reed's Beach (S) Conaskonk Point 100 200 300 NUMBER OF DISTURBANCES FIG. 10. Percentage of birds thatflew atvay as a junction ofthe number of disturbances. day), however, was negatively related to the number of disturbances (Fig. 9). Thus beaches with a lot of disturb- ance had a lower proportion of their shorebirds there dur- ing the disturbances than had the others. The percentage of birds that flew away (and did not return) was inversely related to the number of disturbances (Fig. 10). Fewer birds flew away from a disturbance when there were many disturbances than when there were few. However, at least for Delaware Bay, the percentage that flew away was also inversely related to population size (c£ Table IV), meaning that birds in smaller flocks tended to be more easily disturbed than those in larger flocks. Nonethe- less, on Delaware Bay from nearly one-third to very many more of the birds flew away from the beaches when dis- turbed. In summary, shorebirds peak in numbers in May and August in both bays, are exposed to disturbances that vary around a mean of 2-15 minutes in duration, encounter more disturbances in May and August than other months, and are affected more adversely by disturbances during May through August compared with April and Septem- ber. Factors Affecting Shorebird Response Multiple regression techniques were used to determine the factors affecting avian response (Table II), these statis, tical procedures being useful in identifying the critical fac- tors affecting behaviour of shorebirds. Each bay was exam- ined separately. On Raritan Bay, 31% of the variability in whether birds remained feeding was explained by date, duration of the disturbance, distance between the disturb' ance and the birds, and the numbers of people watching and of boats. More shorebirds remained undisturbed 0 early and late dates than during intermediate dates, while more also remained as the duration of disturbance in- creased (r=.18, P<.03) and the distance from the disturb- ance increased (r=.20, P<.01). The variability in the nun" ber of birds that flew was explained by the date, duration, number of disturbances, and the number of children involved. When the duration of the disturbances decreased (r=.18, P<.05) but the number of disturbances increased (1=.21, P<.01), more birds than otherwise flew away. On Delaware Bay, 28% of the variability in the number of birds remaining on the beach was explained by the Item # 19 Norbury's Reed's Reed's Moores c:onaslwnx 7aUM Beach Beach Beach Beach Point Amboy (S) (N) -Delaware Bay -Raritan Bay- Burger: The Effect of Hunan Activity on Shorebirds in Two Coastal Bays in Northeastern United States 127 TABLE It Factors Affecting the Responses of Birds (computed on the percentage of birds responding). Given are the Factors Entering Each Model, and the F Values (levels of significance in parentheses).* Overall model R'- .......................... F ........................... df ........................... P ........................... Factors Entering Model Date ........................ Time of day .................. Duration ..................... Distance of disturbance ........ Number of distances .......... Number of boats .............. Number of aircraft ............ Number of children ........... Number of joggers ............ Number of people walking ..... Number of dogs .............. Number of fishermen .......... Delaware Rai Raritan Bar Remain Fly but Fh Awav Remain Fty but Flr.4war Return Return 28 8 11 31 9 5 8.05 6.82 7.02 4.31 3.38 3.72 7,235 5,237 4,238 4,137 2,139 1139 .0001 .0002 .0001 .001 .01 .05 11.39(.0009) 7.14(.008) 21.65(.0001) 5.94(.01) 8.64(.003) 11.31(.0009) 6.00(.01) 12.00(.0006) 3.75(.05) 4.35(.03) 7.02(.008) 3.85(.05) 7.55(.006) 5.07(.02) 4.82(.04) 5.26(.02) 4.81(.03) 4.76(0.3) 3.84(.05) 4.20(.05) 4.74(.03) 4.21(.04) 3.72(.05) 6.13(.01) ' In multiple regression analysis you give the computer a list of possible independent variables or factors that affect the dependent variable (for example, number of birds that remain), and the computer determines which variables contribute significantly to the model. Each independent variable has an F statistical value with a probability level for its statistical significance. Thus for duration 21.65 (.0001), 21.65 is the F value and .0001 is the significance level of duration. number and duration of disturbances, distance between the disturbance and the shorebirds, and the number of boats, aircraft, fishermen, and joggers (Table II). The number of birds remaining increased with increased duration of disturbances (r=.27, P<.0001), decreased number of disturbances (r=.14, P<_02), and increased distance be- tween the shorebirds and the disturbance (t-.14, P<.02). More birds remained when there were fewer joggers (r-_-.25, P<.001), and more boats (r=.13, P<.03) and fishermen (r=.13, P<.04) than otherwise, while the percentage of birds flying up and away was related to the date, duration and number of disturbances, distance of disturbance from the birds, and the number of boats, dogs, children, and people walking. The number of shorebirds that flew in- creased as the duration of disturbances decreased (r=.18, P<.004), the number of disturbances increased (r=.15, P<•00, and the distance decreased (r=.10, P<.05). Fur- ther, the number of birds flying increased with an increas- 'ng number of dogs (r=.15, P<.01), children (r=.26, P<•001), and people walking (r=.18, P<.O1). Overall shorebird response is summarized in Table III. As the duration of disturbances increased and the distance from the disturbance increased, more birds remained and fewer flew away. When the number of disturbances in- creased, more birds flew and fewer remained. Birds re- trained undisturbed when there were fishermen on Dela- ware Bay and people walking on Raritan Bay, but they flew When there were increasing numbers of children and dogs °n both bays, or of people walking on Delaware Bay. DISCUSSION Human Use of Delaware and Raritan Bays Raritan Bay is located adjacent to the largest city in the United States (New York City), and Delaware Bay has Camden (New Jersey), Wilmington (Delaware), and Phi- ladelphia (Pennsylvania), bordering the Delaware River as TABLE III Summary of Effect of Variables on Behaviour of Shore- birds in New Jersey Bays (a'+' means that an increase in the intensity of the factor is associated with an increase in the number of birds that fly up and away versus those that remain, while a'-' means that an increase in the factor results in a decrease in the number that do so). Raritan Rai, Remain F(S Delaware Ban Remain Fiv Duration of disturbance ...... . + - + - Number of disturbances ..... . - + - + Distance of disturbance ...... . + + - Number of boats ............ . - + Number of aircraft .......... . - Number of children ......... . + + Number of joggers . - Number of people walking ... . + + Number of dogs ....... .. . + Number of fishermen ........ . + Item r 128 Environmental Conservation it flows into Delaware Bay. Thus both areas are exposed to environmental pollution as well as to pressures from human activities. Nonetheless most study-sites had only from 5 (<1 every 5 census visits) to 275 (11 per 4 hours) disturbances during the whole study. The average disturb- ance duration was about 7 minutes, and at the most dis- turbed site shorebirds were exposed to human activity for an average of about 19 minutes (or 31%) of every hour. There were great variations in the number of disturb- ances among study sites, and these largely reflect accessi- bility and suitability for human activities. Reed's Beach North is cut off from easy access by a river, and has no roads leading to it (it was observed from the other side). Reed's Beach South, on the contrary, is easy to get to, and is a good bathing beach. Since Delaware Bay is noted for its shorebirds, there are large numbers of bird watchers in late May and early June. On Raritan Bay, South Amboy is surrounded by urban developments, and is not as aesthe- tically pleasing (or safe) as Conaskonk Point. One of my personnel's car was turned over by people while he was censuring South Amboy. Thus accessibility and suitability influence human use of those beaches. People walking accounted for most disturbances, al- though jogging, fishing, and clam-digging, were also impor- tant. Some people also had children and dogs with them. These different activities result in varying use of the beaches. People can walk slowly past, while joggers, dogs, and children, usually move rapidly. Whereas joggers usually run in a straight line, children and dogs commonly run up and down the beach in a zig-zag fashion. Not only does the type of activity vary, but the duration also varies. Fishermen are present for long periods of time, and remain relatively still. Clam-diggers remain for intermediate pe- riods of time, and move slowly from place to place along the water's edge. There are few comparative data on human activities in other coastal bays, but Burger (1981) reported that people were observed walking on every census. Fishermen were rarely observed on the beaches at Jamaica Bay, so their effect was not assessed. TABLE IV Comparison of Shorebird Use and Response in the Study Sites. Total number of birds present for studO Percentage of Total birds present number during of dis- disturbance' turbances Percentage that flew away Delaware Bay Reed's Beach South . 15,000 15 275 30 Norbury Beach ..... 7,800 14 142 40 Moore's Beach ..... 300 45 80 58 Reed's Beach North . 100 20 5 98 Raritan Bay South Amboy ...... 6,000 8 52 30 Conaskonk Point ... 700 6 148 5 a Rounded to nearest hundred ' For that census period. creased, and as the duration of disturbance and distance of the disturbance decreased. It is obvious that, as people approach shorebirds, the latter become more and more disturbed. Similarly, an increase in the number of disturb- ances would increase their response, and if they are required to fly several times in a short period they move to another location. However, it is not as obvious why shore- birds are less disturbed when human activities are long in duration than when they are short. I attribute this shore- bird response to the type of human activity. Long disturb- ances were caused by fishermen or sunbathers, who moved slowly to one location, sat down, and remained relatively motionless for long periods of time. Even if the shorebirds immediately adjacent to fishermen did fly off, shorebirds farther away, but in the same flock, often remained forag- ing where they were. Thus the shorebirds were responding to the slower movement of the fishermen and sunbathers and not necessarily to the duration. At Jamaica Bay, shore- birds also were little disturbed by slow-moving people (Burger, 1981). Most types of human activity disturbed shorebirds, and they flew. Qualitatively, they were affected most by child- ren and joggers, and least by fishermen, sunbathers, and some people walking. Dogs were present in both areas, bul caused more disturbance on Delaware Bay than Raritar Bay-largely because most dogs on Raritan Bay were a South Amboy, where there were few shorebirds. On the contrary, the most dogs at Delaware Bay were on Reed'' Beach South, where there were the highest concentration' of shorebirds. Dogs pose a direct threat to shorebird because they can catch and kill them. Avian Responses shorebirds responded to human activity by remaining where they were, by flying and landing nearby, or by flying away, their response varying by month, bay, and study area. Overall, shorebirds remained on the beaches when disturbed in April, September, and October, but flew away from May through August. Thus they are most disturbed during the peak spring (May) and autumn (August) migra- tions, when large numbers are moving through the bays. A higher percentage of the birds in Delaware Bay flew away compared with Raritan Bay, and Delaware Bay had much the higher population levels. This clearly indicates that shorebirds in large flocks during peak migration periods are adversely affected by disturbance. Although Burger (1981) noted that shorebirds were the avian group most disturbed by human activities at Jamaica Bay (New York), quantita- tive data were not given. Table IV gives a comparison of shorebird use and response in our study sites on the present occasion. Multiple regression procedures indicated that shorebird disturbance increased as the number of disturbances in- Consequences of Human Activity The results of this study clearly indicate that hum' activities occur on beaches used by shorebirds, and th shorebirds frequently fly away from the beaches as a rest of human activity. As a minimum, only 30% of the bin remain undisturbed on a beach when there is human act' ity. In Delaware Bay, almost half fly away completely- the number of disturbances is high, then birds may displaced from prime foraging areas when tidal Condit" are optimal for foraging. For example, in Delaware Bay Item # 19 Burger: The Effect of Hainan Activity on Shorebirds in Tiro Coastal Bavs in Northeastern United States 129 125 P --- SHOREBIRDS r --per ---o---Delowore Bay W 100 R-1- Bay U / Z R to 75 Z j So d ''ro 'n-' o zs 0 = 20- E Z -°w I eZ ¢Q I 0 X IC Z ? wN I I so zw P \ /i Z0 r Z 60 01 i WI 00 40 a 20 I q O 1000- 750- Z m 500 a 1 ?1 f zsa 1T, 1 ? a TT April May June July August September October MONTH FIG. 11. Relationship of rnanber and duration of disturbances to the number of shorebirds that were present and the percent- age of shorebirds that remained and did not fly it-hen human activity was present. the last two weeks of May, during the peak shorebird migration, there were 75 disturbances in 4 sites for 4 hours., or 4.7 per hour. Assuming that each one averages 7 minutes (cf. Fig. 11), the birds were disturbed for 32.9 min/hour or over half of the time. In the last two weeks in May, roughly 20%ofthe shorebirds in Delaware Bay remained (Fig. 11); thus 80% of the birds were disturbed enough to fly, and many of these left completely. In the last two weeks of May, over 30,000 shorebirds were at Reed's Beach North alone. Thus a substantial proportion of shorebirds are being dis- turbed by human activities. A larger question is that of whether disturbance is detri- mental. We have very few data on the matabolic etc. cost of flying and relanding several times an hour, or of flying away completely. Clearly it requires energy to fly, and the more birds that fly to avoid human activity the higher will be the energy cost. Furthermore, peak foraging activity may occur at low tide, so that a significant proportion of their food may come from a restricted period of feeding. Thus disturbance at low tide may exact a disproportionately high cost in lost foraging time, while additional cost is incurred if the birds fly to another beach or to a near-by salt marsh. First they will have to find another suitable beach for foraging, where the prey may not be as abundant as where they come from, and then flying to near-by salt marshes may drastically alter their food composition, quality, and/or quantity. Lastly there is the question of the importance of Dela- ware Bay to North American shorebird migrants. For sev- L era] species, late May-early June 1982 counts on the New Jersey side ranged from 45,000 to 133,000. Similarly in 1981, Dunne et at. (1982) reported counts of these species ranging from 64,000 to 203,085 (see also Wander & Dunne. 1981). In both those years, daily counts for the five key species combined ranged from 50,000 to 126,000 in late May (Dunne et al. 1982, and this study). It is difficult to get estimates of world populations for any given species, but recently Senner & Howe (1984) summarized 40 key sites in North America where at least 20,000 shorebirds occur at some time during the spring or autumn migration. Along the Atlantic coast of North America, peak numbers were recorded at Chignecto Bay, New Brunswick (300,000); Cobequid Bay, Nova Scotia (250,000); and Delaware Bay (up to 300,000). In this study we recorded nearly 500,000 on the New Jersey side of Delaware Bay. For Red Knots, current estimates for the new world population are between 150,000 and 300,000 (Morrison et al., 1979; Dunne et al., 1982). Thus Delaware Bay hosts a significant proportion of the New World population of Red Knots. Delaware Bay is clearly an important and key stop- over area for shorebirds in Eastern North America. Larger numbers have been reported only for the Cooper River Delta in Alaska, where 20 millions may occur during migration (Isleib, 1979). The results of this study clearly have management impli- cations, and suggest that beaches with high shorebird popu- lations should be protected from human activities-par- ticularly during late May and June, when large numbers of shorebirds use these areas. Short of closing beaches, they should be off-limits to dogs, unattended children, and jog- gers. ACKNOWLEDGEMENTS I would like to thank several people who assisted in the data-collection phases of this project: P. Dunne, A. Galli, N.A. Hillman, R. Kane, K. Seager, G. Schultze, E.D. Spec- tor, W. Wander, and D. Ward. I especially thank Joan Galli, who was intimately involved in the early phases of the study, and whose contributions were invaluable. I also thank J. Frier, L. Nihls, and M. Welton, for their help and encouragment, and M. Gochfeld for valuable discussions throughout this study. This project was funded by the New Jersey Department of Energy (Contract No 5-6-9:82- 29CE18) through the Endangered and Nongame Species Project of the New Jersey Department of Fish, Game and Wildlife. Partial funding for data analysis and manuscript preparation was provided by the Charles and Johanna Busch Fund of Rutgers University. SUMMARY The effects of human activities on shorebirds migrating through Raritan and Delaware Bays (New Jersey, USA) were examined from late April to ]ate October 1982. Less than 5% of the 471,055 shorebirds counted in the censuses were in Raritan Bay, and only eight species accounted for 95% of the total. Bird populations peaked during late May to early June, and had a secondary peak in early August. People walking accounted for 43% (Raritan Bay) and 50% (Delaware Bay) of the disturbances. Other disturbances, in descending order of abundance. were of fishermen. air- Item # T L 130 Environmental Conservation planes, dogs, clam-diggers, off-road vehicles, boats, child- ren. and joggers. The number of human disturbances was high from May through August, with people walking peaking in Delaware Bay in May, June, and August. Overall, only 30% of the birds remained relatively undisturbed by the presence of people, 22% (Delaware) and 44% (Raritan) flew but re- turned to land nearby, and 48% (Delaware) and 250/b (Rar- itan) of the birds flew away completely. In both bays, fewer birds remained on the beaches during disturbances from late May to early August, when the peak numbers of shore- birds were using the bays. Regression models indicated that the level of disturbance in the shorebirds increased (fewer remained, more flew) as the total number of disturbances and the number of children, joggers, people walking, dogs, aircraft, and boats, increased, and the duration of the disturbance and distance from the disturbance decreased. Fishermen in Delaware Bay, and people-walking in Rari- tan Bay, did not much disturb the birds. REFERENCES BURGER, J. (1981). The effect of human activity on birds at a coastal bay. Biological Conservation, 21(3), pp. 231-41, map. DUNNE, P., SIBLEY, D., SUTTON, C. & WANDER, W. (1982). Aerial surveys in Delaware Bay: confirming an enormous spring staging area for shorebirds. Wader Studv Group Bull., 35, pp. 32-3. HUGHES, R.A. (1979). Notes on Charadriiformes of the south coast of Peru. Pp. 49-52 in Pitelka, q.v. ISLEIB, M.E. (1979). Migratory shorebird populations on the Cooper River Delta and Eastern Prince William Sound, Alas- ka. Pp. 125-30 in Pitelka, q.v. JENNt, D.A. & BETTS. B.J. (1978). Sex differences in nest construc- tion, incubation and parental behavior in the polyandrous American Jacana (Jacana spinosa). Anim. Behav., 26, pp, 207-18. MORRISON, R.I.G., HARRINGTON. B.A. & LEDDY, L.E. (1979), Migration routes and stopover areas of North American Red Knot Calidris canutus wintering in South America. WSG Bulletin, 28, pp. 35-9. PITELKA, F.A. (Ed.). (1979). Shorebirds in Marine Environments. (Studies in Avian Biology No. 2.) Cooper Ornithological Society, Allen Press, Lawrence, Kansas, USA: vii + 261 pp., illustr. PRATER, A.J. (1981). Estuary Birds of Britain and Ireland. T. & A.D. Poyser Ltd, Calton, England, UK: 440 pp., illustr. SENNER, S.E. (1979). An evaluation of the Cooper River Delta as a critical habitat for migrating shorebirds. Pp. 131-46 in Pitel- ka, q. v. SENNFR, S.E. & HOWE, M.A. (1984). Conservation of nearctic shorebirds. Pp. 379-421 in Behavior of Marine Animals, vol. 5: Shorebirds: Populations and Breeding Behavior (Eds J. Burger & B. Olla). Plenum Press, New York, NY, USA: xv+ 436 pp., illustr. WANDER, W. & DUNNE, P.J. (MS, 1981). A Preliminary Assess- ment of the Spring Shorebird Migration Along the Delaware Bavshore of New Jersev. Unpubl. Rept, U.S. Fish and Wildlife Service, Office Migr. Bird Mgmt [not available for check- ing]. Item # 19 Attachment number 6 Page 1 of 14 Biodiversity and Conservation (2006) 15:2217-2230 © Springer 2006 DOI 10.1007,100531-004-7180-5 Restoration of breeding by snowy plovers following protection from disturbance KEVIN D. LAFFERTY""*, DARCIE GOODMAN2 and CRISTINA P. SANDOVAL3 1 United States Geological Survey, Western Ecological Research Center, USA; Donald Bren School of Environmental Science and Management, University of California, Santa Barbara, Santa Barbara, CA 93106, USA; 3Marine Science Institute, University of California, Santa Barbara, Santa Barbara, CA 93106, USA; *Author for correspondence (e-mail: Lajjo / i Iifesci. UCSB.edu; phone: +805- 893-8778) Received 2 February 2004; accepted in revised form 22 November 2004 Key words: Beach, Birds, Disturbance, Dogs, Recreation, Shorebirds Abstract. Promoting recreation and preserving wildlife are often dual missions for land managers, yet recreation may impact wildlife. Because individual disturbances are seemingly inconsequential, it is difficult to convince the public that there is a conservation value to restricting recreation to reduce disturbance. We studied threatened western snowy plovers (Charadrius alexandrinus nivosus) at a public beach (Sands Beach, Coal Oil Point Reserve) in Santa Barbara, California (USA) before and during a period when a barrier directed foot traffic away from a section of upper beach where snowy plovers roost. The barrier reduced disturbance rates by more than half. Snowy plovers increased in abundance (throughout the season) and their distribution contracted to within the protected area. Snowy plovers that were outside the protected area in the morning moved inside as people began using the beach. Experiments with quail eggs indicated an 8% daily risk of nest trampling outside the protected area. Before protection, plovers did not breed at Coal Oil Point. During protection, snowy plovers bred in increasing numbers each year and had high success at fledging young. These results demonstrate how recreational disturbance can degrade habitat for shorebirds and that protecting quality habitat may have large benefits for wildlife and small impacts to recreation. Introduction Habitat that appears intact can lose its value to wildlife when human activities interfere with behaviors such as foraging (Lord et al. 1997), resting (Lafferty 2001b) and breeding (Verhulst et al. 2001). Human disturbance includes those activities of humans and pets that lead to changes in the behavior, distribution and abundance of wildlife (we focus on recreational activities in this paper). Expecting people to change their behavior to support conservation goals is difficult when a person's actions, taken alone, appear to do no immediate harm. Although human disturbances are generally non-lethal and temporary, the cumulative effects of disturbance may be significant. If so, simple actions taken to reduce human disturbance (such as re-routing access or modifying human behaviors) might allow the restoration of habitat so that it can support species sensitive to human presence. Item # 19 Attachment number 6 Page 2 of 14 2218 Shorebirds on beaches make an excellent system for studying the subtle and cumulative effects of human disturbance. About half of the shorebird species in North America are in decline (Howe et al. 1989; Brown et al. 2000a). For some species, there are concerns that recreational disturbance is related to declines. People, and especially dogs (Burger 1981; Klein 1993), disturb birds if they approach too closely or too quickly (Gabrielsen and Smith 1995; Lafferty 20012, Lafferty 2001b). In the breeding season, dis- turbance can expose nests to predation and unfavorable weather (Boyle and Samson 1985). Human disturbance also degrades habitat by causing birds to suspend feeding and/or expend energy in flight, movement or vigilance (Burger 1986; Brown et al. 2000b). This may impair the ability to build the requisite fat reserves that are especially important to stressed and depleted migrants Puttick 1979; Nudds and Bryant 2000; Brown et al. 2000b). Chronic, cumulative disturbance, therefore, could reduce shorebird repro- duction and survivorship (Burger 1981, 1986, 1989, 1991, 1993, 1994, 1998). A few studies have linked disturbance to reductions in abundance and distribution (Burger 1984; Strauss 1990; Pfister et al. 1992). Disturbance can also cause birds to abandon habitat (Burger 1986). Shorebird abundance can be low on beaches with high human use, presumably because distur- bance causes birds to seek more isolated locations (Hoopes 1993; Elias-Gerken 1994; McCrary and Pierson 2000). Birds prefer undisturbed habitats (Hockin et al. 1992) and areas closed to public access can support high densities of shorebirds and roosting seabirds, particularly when human activity is high in adjacent areas (Cornelius et al. 2001). In addition, birds react less to humans if they are on the other side of a fence (Ikuta and Blumstein 2003). Coastal breeding western snowy plovers were listed as threatened in 1993 and, as a result, are legally protected from disturbance (which is legally interpreted as take). High levels of beach recreation are one potential cause of the decline of snowy plovers because plovers build their nests and raise chicks on sandy beaches (Page and Stenzel 1981; Warriner et al. 1986; US Fish and Wildlife Service 2001). Managers often attempt to reduce distur- bance to nests and chicks with beach closures during the breeding season. This management strategy is controversial because cumulative impacts that cause changes in behavior of the protected species are too subtle to observe in the short term. For example, snowy plovers increased in Oregon, USA during the closure of parts of beaches to recreation. However, the extent that closure was related to the increases has been subject to debate (Donefer 2003); a lawsuit by Coos County, Oregon, aiming to reopen closed areas to recreation, stated, `Normal recreational activities create no significant hab- itat modification, nor do they significantly impair essential behavioral pat- terns of (western snowy plovers).' We investigated the effects of beach recreation on western snowy plovers by comparing changes in the distribution, abundance and reproductive success of snowy plovers following reductions in human disturbance. Item # 19 Attachment number 6 Page 3 of 14 2219 Study area and history The study site was Sands Beach, a beach backed by dunes and an estuary around Coal Oil Point Reserve (Santa Barbara County, California, USA). Snowy plo- vers historically bred at the beach until it was opened for public recreation in the late 1960s (Lafferty 2000). The site continued to support a wintering flock of 100-200 plovers for 30 yr after the cessation of breeding (Lafferty 2000). During this time, there was no active management of the plover population and minimal management of beach recreation (attempts to reduce bonfires and vehicular traffic at the beach). Dog leash laws were not enforced and dogs were abundant and rarely on leash (Lafferty 2001b). Sightings by bird watchers reported an occasional visit by an adult plover in the breeding season. Two nests were seen in 1982, but were trampled days after the first discovery (observations of Dean Biazzi as cited in Lafferty 2000). We started a study of the wintering population of the plovers at Coal Oil Point in 1999, before any management had been implemented. At that time, each snowy plover was disturbed by beach goers or their pets an average of once every 27 min on the weekend and once every 43 min on a weekday (Lafferty 2001b). This study also recorded plover numbers and distribution. In 2001, the year we implemented the first management steps (educational signs and the restoration of a roped off area of dunes), we observed an adult male snowy plover with two recently hatched chicks. Materials and methods Protection In June of 2001, we installed a rope fence around a 265-m stretch of dry sand at the slough mouth to protect the recently hatched snowy plover chick (a crow took the other chick). Signs and volunteers requested that beach users comply with the leash law and stay out of the protected area. Beach users were not obstructed from walking along the wet sand between the protected area and the surf. After the chick fledged, we continued protecting the area to assess whether protection would reduce disturbance to wintering plovers. In 2002, the roped area was expanded to 400 m to protect the broader distribution of wintering plovers. In the 2003 and 2004 breeding seasons, the roped area was expanded further to protect nests outside the 400 m boundary. The Santa Barbara Audubon Society implemented a volunteer docent program to educate the public, gain compliance, and frighten crows from the nesting areas. Changes in disturbance To assess changes in disturbance before and during protection, we observed the preferred snowy plover roosting area one day during the week and one day on Item # 19 Attachment number 6 Page 4 of 14 2220 the weekend. The observer used binoculars from a stationary position that was close enough to easily view plovers, yet far enough that the plovers appeared to behave as if the observer was not present (see Lafferty 2001b). Human-related disturbances were recognized as instances when birds clearly flew, or otherwise moved (walked, ran) in response to an interaction with a human or dog. We continuously noted the number of humans, dogs (leashed and unleashed) within 60 m of resting snowy plovers (activity beyond this point rarely led to disturbance), the number of snowy plovers being observed (usually the entire roost, if possible), and the number of observed snowy plovers disturbed. Observation periods lasted for a minimum of 30 min and occurred between the hours of 10 AM and 2 PM. We chose this time period because it was late enough that beach users were present but early enough that wind rarely interfered with sampling. We compared disturbance rates to snowy plovers at different time intervals through the study (wintering and breeding of 2000-2004) by determining 95% confidence intervals around the mean hourly rate of disturbance (see Lafferty 2001b). Changes in abundance We compared the change in snowy plover abundance before and during pro- tection by comparing average counts by month before protection 1999-2001 (see (Lafferty 2000; 2001b) with data collected during protection (2001-2004). Then, to assess if changes in snowy plover counts at Coal Oil Point were simply reflections of statewide changes, we compared the number of adults counted in the breeding season at Coal Oil Point with statewide breeding bird surveys. Statewide counts in 1991, 1995, 2002 and 2003 were available from Point Reyes Bird Observatory (unpublished compiled data, courtesy of Gary Page). Coal Oil Point counts from these same time periods were taken from Lafferty (2000) and this study. These counts were standardized around a mean for all years surveyed and compared with statewide trends (similarly standardized) using a one-sample sign test that determined whether the change at Coal Oil Point was significantly different from the mean change of the other breeding sites in the state. Effect of human activity and protection on snowy plover movement We assessed how protection and human activity affected the daily distribution of snowy plovers at sunrise, mid-morning, mid-afternoon and sunset. We predicted that snowy plovers would shift their distribution to the west into the protected area (nearer the slough) as human activity east of the protected area increased throughout the day (using a multiple regression to account for the effects of tide on distribution). We mapped the distribution of snowy plovers along the beach, several times per week for one month when they were at peak Item # 19 Attachment number 6 Page 5 of 14 2221 abundance (2 February-2 March, 2002), paying particular attention to whether the snowy plovers were inside or outside of the fence. We further predicted that if the plovers were responding specifically to the boundary of the protected area, the distance of this daily shift would be affected by a change in the position of the eastern boundary. We then moved the eastern boundary of the protected area 135 m to the east (3 March, creating a larger, 400-m long protected area) and mapped plovers under this different configuration (5 March-23 March). We assessed movement in newly protected area created by the expanded boundary with an ANCOVA to account for the effects of tide and time of day on distribution before and during the expansion. We expected that expansion of the protected area would mute the daily shift in plover distribution. Egg survivorship experiment To determine if protection might increase survivorship of eggs on the beach, we placed three quail eggs in each of 18 imitation snowy plover nest scrapes and followed their fate over time. This was conducted after the 2001 breeding season (mid October to mid November) so that any predators attracted to the artificial nests would not pose a risk to actual snowy plover nests. The nests were arranged in nine pairs, 3 m on either side of the protected area boundary. Egg survivorship was tracked in the morning and evening for 30 days. If eggs were damaged or lost, the cause was easy to determine by looking for associ- ated footprints, scanning the area for broken shells and sifting the area for buried eggs. These eggs were not replaced when lost. Because a nest was the appropriate unit of replication for statistical comparisons between the treat- ments, we calculated the average number of days that a nest contained at least one egg and compared this for paired nests inside and outside the protected area using a paired T-test. We also calculated the daily risk of an egg being preyed on (not expected to be influenced by the fence) or trampled (expected to be reduced within the protected area). Breeding following protection During the 2001-2004 breeding seasons, snowy plovers were monitored daily in the study area. Observations of courting helped identify scrapes. Active scrapes were regularly checked for eggs with binoculars. In addition, snowy plovers appearing to incubate eggs were checked carefully. The study area was sufficiently small that most hatched broods could be tracked and monitored for chick survival. In this way, breeding success was monitored without the need for banding or other disturbances. We calculated nesting rate and success following protection. Historical reports (see Introduction) indicated some nesting attempts, which we incorporated in our comparison. Item # 19 Attachment number 6 Page 6 of 14 2222 Results Changes in disturbance Disturbance rates fell dramatically following protection (Figure 1). Of those recreational disturbances that remained, most were by humans (92%), fol- lowed by dogs (8%). In most of the disturbance by dogs, the dog was unleashed (64%), which was higher than expected, given that 55% of dogs were leashed during management. All leashed dogs that disturbed snowy plovers were outside of the protected area and two out of the 47 unleashed dogs that disturbed snowy plovers were within the protected area. Because snowy plovers were mostly inside the protected area, most disturbances (59%) occurred when compliant pedestrians approached the boundary of the protected area. Snowy plovers were sometimes east or west of the protected area where 18% of dis- turbances occurred, and 10% of the disturbances occurred when snowy plovers were foraging in the wet sand (where people were permitted to walk freely). Disturbances were also more likely following large storms that temporarily removed the rope boundary. Because compliance was high, only 5% of humans that caused a disturbance were inside the protected area at the time of the disturbance. 1.4 (i,r (i, l 'Grain Figure 1. Changes in disturbance following protection. Hourly rates of disturbance to snowy plovers were partitioned according to the plover's response: flying away (open bars) and moving (walking or running) away (solid bars). Error bars represent 95% confidence intervals of the means. Data are divided by breeding (15 March to 15 September) and wintering (16 September of the calendar year to 14 March of the following calendar year). Item # 19 1999 2000 2001 2002 2003 2W4 Attachment number 6 Page 7 of 14 2223 Changes in abundance Average monthly counts across the year were consistently higher during pro- tection than before (Figure 2). February 2004 had the greatest number of plovers recorded for the site (406 plovers 2/14/04, M. Kelly, Personal Com- munition; based on range-wide data from the US Fish and Wildlife Service, this wintering flock is now the largest for the subspecies). Throughout California, there was an inconsistent but, on average, decline in counts of snowy plovers during the breeding season in 2002 and 2003 relative to 1991 and 1995 (despite a general trend toward increased protection for snowy plovers statewide). The change in breeding plovers at Coal Oil Point in 2002 and 2003 relative to the average of 1991 and 1995 was significantly dif- ferent than the mean trend across the state (One sample sign test, N = 49, p < 0.0001) indicating that the increase in snowy plovers during the breeding season at Coal Oil Point was not simply a reflection of a statewide trend. The increase in breeding plovers was mirrored by an increase in wintering plovers (Figure 2). Effect of human activity and protection on snowy plover movement In winter 2002, the proportion of snowy plovers in the protected area was significantly affected by tide (p = 0.038) and time of day (P < 0.0001, Mul- tiple regression, N = 14). When the tide was high, many snowy plovers moved east of the boundary of the protected area where the dunes remained dry. This 30cr ?50 50 Figure 2. Mean monthly abundances before and during protection. Before data include 106 bird counts between 2 January 1999 and 26 May 2001. During protection includes 272 counts from 1 June 2001 to 23 August 2004. Item # 19 R1o??tf3 Attachment number 6 Page 8 of 14 2224 effect was strongest in February (a time when the lagoon was either very full or open to the sea, reducing available habitat in the protected area. The westward movement of snowy plovers from sunrise (many east of the protected area) to sundown (nearly all in the protected area) was associated with increased human activity to the east of the protected area, which increases through the day (Lafferty 2001a). After the boundary was moved, snowy plovers reduced the extent of their daily movement by shifting their distribution only as far as the new boundary of the protected area (ANCOVA, Fisher's PLSD on angular transformed proportion in newly protected area, N = 14, p = 0.0029). Egg survivorship experiment Experimental nests in 2002 were either undisturbed, trampled (buried after being stepped on), or preyed on by crows. Trampling buried the entire nest and did not break quail eggs while predation by crows destroyed up to three eggs per nest. There was an increase in nest survivorship inside the protected area compared with outside the protected area (paired T-test, N = 9 pairs, p = 0.014). The chance of trampling was 8.1% per egg, per day outside the protected area and 0% inside the protected area. The rate of predation by crows (which were not actively discouraged during the trial) was 10.1% per egg per day outside the protected area and 5.3% inside the protected area. Breeding following protection Snowy plovers nested in the protected area during protection. Breeding pairs, nests, and eggs increased each year since protection began (Table 1). In total, plovers laid 267 eggs of which 118 hatched. Of the 118 chicks, 71 fledged. The fate of 91 out of 149 lost eggs and 17 out of 47 lost chicks could be estimated. A few eggs were infertile (5) or abandoned (1). Some nests were washed away at high tide (14 eggs). Strong wind buried 11 eggs and blew away 3 chicks. One chick died after being stuck to a tar ball. A variety of predators ate eggs, including crow (31 eggs), skunk (20 eggs), raccoon (6 eggs), whimbrel (3 eggs) and perhaps a weasel. Chicks were eaten by red-tail hawk (7 chicks), raccoon (3 chicks), skunk (2 chicks), and crow (1 chick). In 2003, one chick was killed by an unleashed dog. Discussion The results of this study show that restricting foot traffic to a corridor along the wet sand reduced disturbance to snowy plovers. The results also suggest this improved the quality of the habitat such that birds spent more time in the undisturbed area. This same pattern was seen at a small marine reserve in Chile Item # 19 Attachment number 6 Page 9 of 14 2225 Table 1. Changes in breeding at Coal Oil Point following protection from recreational distur- bancein 2001. Year Pairs Nests Eggs laid Eggs hatched Chicks fledged 1970-2000 Few -2-4/30 yr -7-8/30 yr -None None 2001 1 1 2-3 2-3 1 2002 5 9 21 16 14 2003 12 24 63 45 40 2004 26 92 141 56 27 Total during protection 34 126 267 119 72 All values represent totals for the year except the pairs column, which represents the peak number of nests at one point in time. where total exclusion of human activity in the reserve led to an increase in bird densities, particularly on weekends when human recreation was intense (Cornelius et al. 2001). That the snowy plovers in our study bred successfully following protection was unprecedented but is consistent with the general expectation that protection from disturbance improves breeding habitat. Changes in disturbance Changes in disturbance were consistent with mathematical models that predict disturbance rates are a function of the type of human activity, the frequency of activity and the distance between the activity and snowy plovers (Lafferty 2001b). The management actions limited the frequency of some types of activities (dogs off leash) and, with the aid of a boundary, increased the dis- tance between human activity and snowy plovers. Other studies have shown that moving foot traffic away from birds decreases the probability of distur- bance Burger 1981; Fitzpatrick and Bouchez 1998; Lafferty 2001a, 2001b). In addition, setting a boundary allows birds to experience predictable, inconse- quential interactions with humans nearby and this may allow them to habit- uate to the presence of humans (Burger 1989, 1991; Fitzpatrick and Bouchez 1998; Ikuta and Blumstein 2003), further facilitating successful partitioning of beaches between people and birds. Changes in bird abundance Alternative explanations exist for the change in the abundance of snowy plovers following protection. Migratory birds vary significantly in time and space, and annual changes in abundance could coincidentally correspond to the timing of protection in this study. In particular, the significantly higher late-summer densities in 2001-2004 compared with 1999 and other previous years could reflect an overall trend for increasing density of snowy plovers at this site that would have occurred independent of protection. If so, this Item # 19 Attachment number 6 Page 10 of 14 2226 trend was not evident throughout the state or found in other studies Powell 2002). The increase in snowy plover density following protection was too rapid to result from local reproduction. More likely, snowy plovers stopping by Coal Oil Point increased their residence time once disturbance decreased. It is also possible that birds in transit chose to land in areas near other birds because the presence of residents indicated that the area was suitable habitat. Most of the other bird species on the beach (Lafferty 2001a) also increased in abundance within the protected area (unpublished data). Effect of human activity and protection on snowy plover movement Snowy plovers that foraged outside of the boundary regulary fled into the protected area after being disturbed. This displacement likely contributed to the association between disturbance and distribution of plovers. The shift in snowy plover distribution associated with the shift in the boundary of the protected area is an even more powerful test of this prediction. Here, plovers rapidly occupied protected space that human activity had previously displaced them from. Because the observations of boundary manipulation were not interspersed in time, it is possible that the change in distribution was a tem- poral effect, not a boundary effect. Two patterns in the data make this appear unlikely. The temporal changes in distribution showed no trend within treat- ments and the change in distribution occurred immediately after the position of the boundary was changed. Egg survivorship experiment The egg survivorship experiment supports the hypothesis that protection from human recreation increased nest survivorship because the risk of trampling a nest was high in the area open to public recreation. Although we calculated loss rates to trampling and crows to assess the effects of protection, these rates do not correspond directly to loss rates for natural snowy plover nests. Firstly, the timing of the experiment was outside of the breeding season (to avoid attracting crows to real nests) when human and crow visitation was higher (in 1999, crow visitation was five times higher and human visitation 1.3 times higher in October than in the breeding season, Lafferty 2001a). Secondly, the artificial nests were probably less cryptic than natural nests because the quail eggs were slightly larger than and differently colored from snowy plover eggs. In addition, the experimental scrapes were not `decorated' or attended by snowy plovers (which might conceal the eggs or distract predators). We suspect that the artificial nature of the nests resulted in a higher risk of crow predation but, if anything, a lower risk of trampling (given that humans appeared to trample the nests by mistake). Item # 19 Attachment number 6 Page 11 of 14 2227 Breeding following protection The initiation of breeding following protection is most consistent with the explanation that reduction in disturbance encouraged snowy plovers to attempt to breed and, in conjunction with efforts to discourage crows, facili- tated breeding success. Reduced disturbance could also have increased chick survival. At another breeding site, chick survival declines on weekends when recreation is high (Ruhlen et al. 2003). It is not surprising that protection from disturbance should improve a habitat's suitability for breeding. Anecdotal evidence exists for resumption of breeding by oystercatchers following pro- tection from disturbance at the Dungeness Wildlife Refuge (see DeLong 2002). Killdeer and the endangered California Least Tern initiated nesting during protection at Coal Oil Point. This confirms other observations that protection can benefit breeding species besides plovers (Burger 1984; Burger 1995; Powell 2001). At least one other beach following our management model has suc- ceeded in recovering breeding snowy plovers (Hollywood by the Sea, Cali- fornia). We emphasize the importance of docents to the protection program. Constant harassment of crows by docents decreased the number of crows visiting the beach. However, we observed that once a crow found a nest, it was persistent. Thus, docents could reduce the chances of encounter between a crow and a nest but could not stop predation once a crow discovered a nest (docents did not enter the protected area). Docents were very efficient in increasing compliance with the leash law near the nesting area. Without docents, we speculate that far fewer chicks would have been fledged, suggesting that symbolic fencing, by itself, might not have been sufficient to restore successful breeding at Coal Oil Point. Management considerations This study illustrates the potential gain to wildlife obtained by creating small protected areas around special habitats. In this case, conflicts between recre- ation and conservation were lessened by the ability to leave the lower beach open to most forms of recreation. Because most people already walked along the wet sand, very little actual displacement of humans was necessary to achieve significant reductions in disturbance. Although information from this study may be useful in informing management at other sites, care should al- ways be taken when applying management lessons from one area to another (Peek 1986). Aspects of Coal Oil Point that facilitated management were that: (1) public access was concentrated at two locations, (2) volunteers were rela- tively easy to recruit in the community, and (3) the snowy plovers at Coal Oil Point roosted and nested within a relatively small area. The data collected before management (Lafferty 2001b) were essential for evaluating the predicted effects of management. They also provided useful information to inform management so that actions were more likely to succeed. Item # 19 Attachment number 6 Page 12 of 14 2228 Comparisons of the data before and during protection were instrumental for justifying continuance of controversial management actions that required will, resources, and changes in public behavior. Present management efforts to protect western snowy plovers along the Pacific Coast focus on active breeding locations. Recovery efforts hardly touch on the possibility of restoring historical breeding sites that have been aban- doned. If our results are repeatable in other locations, the benefit to conserving the species could be appreciable because loss of breeding sites is considered to be the main cause of decline of western snowy plovers. These principles could easily be extended to other situations where human activity incidentally de- grades habitat. Acknowledgements Special thanks to N. Kalodimos, K. Whitney, M. Kelly and several volunteers for participation in surveys. G. Page provided unpublished data. K. Phillips read and commented on a draft of the manuscript. S. Cooper, J. Dugan, M. Holmgren, D. Hubbard, and R. Schmitt provided advice during the pro- ject. Thanks also goes to K. Radasky, J. Stroh, Santa Barbara Audubon, Friends of Coal Oil Point, the Surfrider Foundation, and the large number of volunteers that spent thousands of hours watching over the plover area. The Coal Oil Point Reserve of the University of California Natural Reserve System provided management, access and support. The USGS and the UCSB Shore- line Protection Fund provided funds. References Boyle S.A. and Samson F.B. 1985. Effects of nonconsumptive recreation on wildlife: a review. Wildlife Soc. Bull. 13: 110-116. Brown S., Hickey C., Gill B., Gorman L., Gratto-Trevor C., Haig S., Harrington B., Hunter C., Morrison G., Page G., Sanzenbacher P., Skagen S. and Warnock N. 2000x. National Shorebird Conservation Assessment: Shorebird Conservation Status, Conservation Units, Population Estimates, Population Targets, and Species Prioritization, Manomet Center for Conservation Sciences. MA, Manomet. Brown S., Hickey C. and Harrington B.E. 2000b. The U.S. Shorebird Conservation Plan, Manomet Center for Conservation Sciences. MA, Manomet. Burger J. 1981. The effect of human activity on birds at a coastal bay. Biol. Conserv. 21: 231-241. Burger J. (ed.) 1984. Abiotic Factors Affecting Migrant Shorebirds. Plenum Press, New York, pp. 1-73. Burger J. 1986. The effect of human activity on shorebirds in two coastal bays in the northeastern United States. Environ. Conserv. 13: 123-130. Burger J. 1989. Least tern populations in coastal New Jersey: monitoring and management of a regionally-endangered species. J. Coastal Res. 5: 801-811. Burger J. 1991. Foraging behavior and the effect of human disturbance on the Piping Plover Charadrius melodus. J. Coastal Res. 7: 39-51. Burger J. 1993. Shorebird squeeze. Nat. Hist. 102: 8-14. Item # 19 Attachment number 6 Page 13 of 14 2229 Burger J. 1994. The effect of human disturbance on foraging behavior and habitat use in piping plover Charadrius melodus. Estuaries 17: 695-701. Burger J. 1995. Beach recreation and nesting birds. In: Knight R. and Gutzwiller K. (ed.), Wildlife and Recreationists: Coexistence Through Management and Research. Island Press, Washington, DC, pp. 281-295. Burger J. 1998. Effects of motorboats and personal watercraft on flight behavior over a colony of common terns. Condor 100: 528-534. Cornelius C., Navarrete S.A. and Marquet P.A. 2001. Effects of human activity on the structure of coastal marine bird assemblages in central Chile. Conserv. Biol. 15: 1396-1404. DeLong A.K. 2002. Managing Visitor Use and Disturbance of Waterbirds-a Literature Review of Impacts and Mitigation Measures. Appendix L. pp. 114 Stillwater National Wildlife Refuge Complex Final Environmental Impact Statement for the Comprehensive Conservation Plan and Boundary Revision (Vol. II), Department of the Interior, U.S. Fish and Wildlife Service, Region 1, Portland, OR. Donefer C. 2003. Plover nesting areas compete with beachgoers. Land Lett. 10(11/20). Elias-Gerken S.P. 1994. Piping plover habitat suitability on central Long Island, New York barrier islands. MS Thesis, Virginia Polytechnic Institute and State University, Blacksburg, Virginia, 48 pp. Fitzpatrick S. and Bouchez B. 1998. Effects of recreational disturbance on the foraging behaviour of waders on a rocky beach. Bird Study 45: 157-171. Gabrielsen G.W. and Smith E.N. 1995. Physiological responses of wildlife to disturbance. Island Press, Washington, DC, 95-107 pp. Hockin D., Ounsted M., Gonnan M., Hill D., Keller V. and Barker M.A. 1992. Examination of the effects of disturbance on birds with reference to its importance in ecological assessments. J. Environ. Manage. 36: 253-286. Hoopes E.M. 1993. Relationships between human recreation and piping plover foraging ecology and chick survival. MS Thesis, University of Massachusetts, Amherst, Massachusetts, 106 pp. Howe M.A., Geissler P.H. and Harrington B.A. 1989. Population trends of North American shorebirds based on the International Shorebird Survey. Biol. Conserv. 49: 185-200. Ikuta L.A. and Blumstein D.T. 2003. Do fences protect birds from human disturbance? Biol. Conserv. 112: 447-452. Klein M.L. 1993. Waterbird behavioral responses to human disturbance. Wildlife Soc. Bull. 21: 31-39. Lafferty K.D. 2000. Status, Trends and Conservation of the Western Snowy Plover with a Focus on the Devereux Slough population at Coal Oil Point Reserve, Santa Barbara County, CA, Mu- seum of Systematics and Ecology. University of California, Santa Barbara, Santa Barbara, CA. Lafferty K.D. 2001a. Birds at a southern California beach: seasonality, habitat use and disturbance by human activity. Biodiv. Conserv. 10: 1-14. Lafferty K.D. 2001b. Disturbance to wintering western snowy plovers. Biol. Conserv. 101: 315-325. Lord A., Waas J.R. and Inns J. 1997. Effects of human activity on the behaviour of Northern New Zealand dotterel Charadrius ohscurus aquilonius chicks. Biol. Conserv. 82: 15-20. McCrary M.D. and Pierson M.O. 2000. Influence of human activity on shorebird beach use in Ventura County, California. In: Brown DR., Mitchell K.L. and Chang H.W. (ed.), Fifth California Islands Symposium, OCS Study, MMS 99-0038. Santa Barbara, CA, pp. 424-427. Nudds R.L. and Bryant D.M. 2000. The energetic cost of short flights in birds. J. Exp. Biol. 203: 1561-1572. Page G.W. and Stenzel L.E. 1981. The breeding status of the snowy plover Charadrius alexandrinus in California, USA. Western Birds 12: 1-40. Peek J.M. 1986. A Review of Wildlife Management. Prentice-Hall, NJ, 486 pp. Pfister C., Harrington B. and Lavine M. 1992. The impact of human disturbance on shorebirds at a migration staging area. Biol. Conserv. 60: 115-126. Powell A.N. 2001. Habitat characteristics and nest success of snowy plovers associated with California Least Tern colonies. Condor 103: 785-792. Item # 19 Attachment number 6 Page 14 of 14 2230 Powell A.N. 2002. Status of breeding and wintering Snowy Plovers in San Diego County, California, 1994-1999. J. Field Ornithol. 73: 156-165. Puttick G.M. 1979. Foraging behaviour and activity budgets of Curlew Sandpipers. Ardea 67: 111-122. Ruhlen T.D., Abbot S., Stenzel L.E. and Page G.W. 2003. Evidence that human disturbance reduces snowy plover chick survival. J. Field Ornithol. 74: 300-304. Strauss E. 1990. Reproductive success, life history patterns, and behavioral variation in a popu- lation of piping plovers subjected to human disturbance (1982-1989). PhD, Tufts University, Medford, Massachusetts, 143 pp. U.S. and Fish Wildlife Service 2001. Western Snowy Plover (Charadrius alexandrinus nimsus) Pacific Coast Population Draft Recovery Plan, Portland Oregon. xix + 630 pp. Verhulst S., Oosterbeek K. and Ens B.J. 2001. Experimental evidence for effects of human dis- turbance on foraging and parental care in oystercatchers. Biol. Conserv. 101: 375-380. Warriner J.S., Warriner J.C., Page G.W. and Stenzel L.E. 1986. Mating system and reproductive success of a small population of polygamous snowy plovers. Wilson Bull. 98: 15-37. Item # 19 Attachment number 7 Page 1 of 5 u EL,SEVIER Biological Conservation 109 (2003) 67-71 BIOLOGICAL CONSERVATION www.elsevier.com/locate/biocon Effects of human activity on the foraging behavior of sanderlings Calidris alba Kate Thomas*, Rikk G. Kvitek, Carrie Bretz California State University Monterey Bay, Institute for Earth Systems Science and Policy, Spatial Information Visual and Analysis Center, Seafloor Mapping Lab, 100 Campus Center Building 46A, Seaside, CA 93955, USA Received 1 July 2001; accepted 1 March 2002 Abstract Urbanization and coastal development has dramatically reduced the beach habitat available for foraging shorebirds worldwide. This study tested the general hypothesis that recreational use of shorebird foraging areas adversely affects the foraging behavior of sanderlings Calidris alba. Observations conducted on two central California beaches from January through May and September through December of 1999 showed that number and activity of people significantly reduced the amount of time sanderlings spent foraging. Although the sample size was low, the most significant negative factor was the presence of free running dogs on the beach. The experimentally determined minimal approach distance did not vary significantly with the type of human activities tested. Based on these results, policy recommendations for minimizing the impact of human beach activities on foraging shorebirds include: (1) people maintain a minimum distance of 30 in from areas where shorebirds concentrate and (2) strict enforcement of leash laws. ,' 2002 Elsevier Science Ltd. All rights reserved. Keywords: Sanderlings Calidris alba; Human disturbance; Minimal approach distance; Shorebird foraging behavior; Monterey California 1. Introduction Bird populations have been decreasing due to compe- tition with humans in habitats that are vital to the bird's survival. Oil spills and loss of nesting habitats have adversely affected shorebird populations such as sander- lings Calidris alba, semipalmated plovers Charadrius semipalmatus (Burger, 1997), and piping plovers Chara- drius melodus (Burger, 1987). Populations of sanderlings, whimbrels Numenius phaeopus, dowitchers Limno- dromus sp., and snowy plovers Charadrius alexandrinus have been decreasing since 1972 (Howe et al., 1989) primarily due to the loss of their primary habitat. As human coastal populations increase, so does the potential for shorebird disturbance. Burger (1993) found that in areas of limited human activity shorebirds devote nearly 70% of their time foraging and 30% of their time avoiding people or predators; however, when the population of people increased, shorebirds foraged less than 40% of their time. With decreased food con- sumption and increased energy expenditure as birds * Corresponding author. E-mail address: kate thomas@csumb.edu (K. Thomas). avoid humans, compensation for this disturbance must be found elsewhere or at some other time. Vines (1992) reported that oystercatchers Haematopus palliatus shif- ted their foraging and nesting activities to offshore islands in response to an increase in people on the bea- ches in Florida. Burger and Gochfeld (1991) found sanderlings not only concentrated their foraging activ- ities in areas with fewer people but also increased time spent foraging nocturnally. While other shorebirds, like the piping plover, concentrate their foraging in areas with the least amount of people within a particular habitat (Burger, 1994). Here we sought to determine which types of common human beach activities in central California are most disruptive to shorebird foraging behavior. Our purpose was to determine how humans might modify their beach behavior so as to reduce the disturbance to foraging shorebirds. The following hypotheses were tested: (1) human activity has an adverse affect on the forging behavior of sanderlings, but (2) fast and group human activities have a greater negative affect on sanderling foraging behavior than slow or individual activities. The general approach used focal observations of individual sanderlings foraging on public beaches to 0006-3207/02/$ - see front matter c 2002 Elsevier Science Ltd. All rights reserved. Item # 19 P11: 50006-3207(02)00137-4 Attachment number 7 Page 2 of 5 68 K. Thomas et al. / Biological Conservation 109 (2003) 67-71 document their response to various types of human activities. Additionally, a minimal approach distance experiment was conducted to determine the distance a person or group of people could get to a sanderling before the sanderling stopped foraging. These results were then used to propose policy recommendations for modifying human behaviors to reduce the impact on shorebird foraging. observation period, the following data were collected: date, day, time of low tide, level of low tide, number of sanderlings on the beach, number of people on the beach, and number and species of other birds on the beach. Individual sanderlings were haphazardly chosen from among individuals foraging within the swash zone, and the following information recorded over a 1-min sampling period: 2. Methods 2.1. Sites This study was conducted on two beaches on Mon- terey Bay in central California (Fig. 1). Monterey State Beach (Seaside Unit) in Seaside, CA has a large human population during the week, which increases sig- nificantly on the weekend. Moss Landing State Beach in Moss Landing, CA is characterized by a low population of people throughout the week. Both beaches are long linear sandy habitats, backed by sand dunes, where sanderlings foraging primarily on the common mole crab Emerita analoga. 2.2. Observations Foraging observations were made at both sites Jan- uary through May and September through December of 1999, corresponding with spring and fall shorebird migration. Paired weekday and weekend days (Friday/ Saturday or Sunday/Monday) were selected during the same week to avoid tidal variations within a sampling period. Each observation period lasted 3 h, starting a half-hour before low tide, corresponding with the prime foraging time of sanderlings. Sampling methodology was based on work done by Burger and Gochfeld (1991). At the start of each i Moss Landing State Beach Monterey Bay Monte Monterey State Beach ? / {Seaside Unit] \ r E S 6 0 6 W1-... Fig. 1. Locations of Moss Landing State Beach and Monterey State Beach (Seaside Unit) on Monterey Bay in central California. • amount of time the sanderling foraged, • amount of time the sanderling was disturbed by people, • number of times the sanderling moved due to human disturbance, • response of the sanderling due to disturbance (running or flying), • estimation of distance the sanderling moved due to human disturbance, • number of people causing the disturbance, • type of activity people were engaged in when disturbance occurred; and • estimation of distance from bird to person(s) at the time of disturbance. Data for focal individuals were discarded if the bird flew out of view or moved into the dunes. No attempt was made to quantify prey abundance. Before the observations were conducted, observers were tested for accuracy in estimating distances. Obser- vers were asked to estimate previously measured dis- tances numerous times to assure estimates were similar to real distances. An ANOVA was used to determine if the variables day, site, number of people, people activity, and dis- tance of people had a significant effect on the foraging time, number of sanderling moves, the distance the sanderling moved, and the behavioral response (flying or running). 2.3. Minimal approach distance A minimal approach distance experiment, based on methods used by Roberts and Evans (1993), was con- ducted to determine how close a single person or group of people could get to a foraging sanderling before the foraging behavior changed. To determine the minimal approach distance, a san- derling was haphazardly chosen from the flock by an observer. Once an individual was identified, an "intru- der" approached the flock without knowing which san- derling the observer was watching. When the observer noticed a change in the foraging behavior of the san- derling the "intruder" was told to stop. The distance was then measured from where the "intruder" stopped to the sanderling's last foraging position. Communi- cation between observer and "intruder" was conducted Item # 19 Attachment number 7 Page 3 of 5 K. Thomas et al. / Biological Conservation 109 (2003) 67-71 via radio headsets to limit the effects of vocalizations on foraging sanderlings. Two human activities were tested, walking and running, with one and two people acting as "intruders". Each experiment was conducted a mini- mum of 58 times. 3. Results 3.1. Observations A total of 492 focal birds were observed, of which a sanderling was disturbed by passing humans on an average of one every 15 min with 96% of those sander- lings responding to humans at a distance of 30 in or less (Fig. 2). Sanderlings responded to human activity by either running (42%) or flying (58%). Within the 1-min sampling time, the disturbed sanderling generally moved once (58%), with 42% moving more than once due to human disturbance. Five different human activities were observed on the two beaches, although not all activities occurred on both beaches. Walking was the most common activity (53%), followed by running (28%) and stationary activities (9%). On two separate occasions a person was observed throwing an object at a flock of sanderlings, and on one occasion a wind powered three-wheeled vehicle (kite buggy) was observed interfering with san- derling foraging. However, there were six separate observation periods where these high-speed, kite bug- gies were observed at Monterey State Beach (Seaside Unit) and there were no shorebirds present during the time these vehicles were in use. Overall, sanderlings spent 98% of the time foraging and 2% of their time avoiding human interaction. c rt C C ZS G 4 L1 N d 6 7r rn m >_ w U Gr 9 47 Distance (meters) Fig. 2. Field observations show 100% of sanderlings responding to humans reacted when people were 30 m or closer. Sanderlings tested in the minimal approach distance experiment reacted to approaching humans at a distance of 26 m or less. 69 Although not statistically significant, when looking at Moss Landing State Beach and Monterey State Beach (Seaside Unit) separately, it was found that sanderlings spent more time foraging when there were fewer people, 99.8 and 96.4%, respectively. Results indicate that number of people, type of human activity, and free running dogs had a significant (ANOVA, P= <<<0.001) effect on foraging time (n = 449; F=14; Table 1). Number of people, type of human activity, free running dogs, and estimated dis- tance of humans from the sanderling had significant effects on estimated distance the sanderling moved (n= 488; F= 275), number of times the sanderling moved (n = 488; F= 85), and response of the sanderling (running or flying; n= 488, F= 203) to the approach- ing human. Day of the week and combination of site and day showed no significant difference on foraging time. 3.2. Minimal approach distance The minimal approach distance was used to test the hypothesis that sanderlings have a higher tolerance for certain types of human activities. A total of 242 experi- ments were conducted testing sanderling responses to one person walking (n= 61), one person running (n= 60), two people walking (n= 63), and two people running (n=58) with 100% of the sanderlings respond- ing to people within 3-26 in (Fig. 2). Results indicate a statistically significant difference on how close people could get to foraging sanderling based on the number of people in the group (z=1.93). How- ever, the type of activity people were engaged in (run- ning or walking) was not statistically significant (z = 0. 74, Fig. 3). 26 t8 1& 14 E 1 12 10 R fA Cn m 6 ?C n Number of people Human Activity Fig. 3. Results from minimal approach distance: there is a statistically significant difference in how close a person or group of people can get to a foraging sanderling before the sanderling changes behavior (z=1.93). However there was no statistical difference in the type of activity humans were engaged in while approaching foraging sander- ling (z=0.74). Item # 19 exrc pers?7a f"O people 'Lill": - - 1 11 b 10 20 30 40 so Attachment number 7 Page 4 of 5 70 K. Thomas et al. / Biological Conservation 109 (2003) 67-71 Table 1 ANOVA results from focal observations: The P values for human disturbance on sanderling responses, shows that the activity and number of people and presents dogs significantly reduces the amount of time sanderlings spend foraging Foraging Number of moves Distance moved Sanderling movement Site 0.398 0.757 0.815 0.905 Day of week 0.551 0.630 0.594 0.547 Site/day of week 0.319 0.532 0.359 0.294 Activity of people <<<0.0001 <<<0.0001 «0.0001 <<<0.0001 Distance of people 0.488 <<<0.0001 <<<0.0001 <<<0.0001 Number of people <<<0.0001 <<<0.0001 <<<0.0001 <<<0.0001 Dogs <<<0.0001 0.002 <<<0.0001 <<<0.0001 ,8 m sg E 6 14 V1 + 12 u c e w v rn a ? a d Fig. 4. Results from minimal approach distance: the graph shows the average minimum distance that human "intruders" could approach sanderlings before the bird changed their foraging behavior. Statisti- cally significant differences occurred between one person running and two people walking towards the sanderling causing the sanderling to respond by running (z=1.91), and between one person and two people running resulting in the sanderling taking to flight. The average minimal approach distance for all activities combined was 14 m (f 5.0). The only statistically sig- nificant differences occurred between one person running and two people walking towards the sanderling causing the sanderling to respond by running (z=1.9), and between one person and two people running causing the sanderling to fly (z=1.91, Fig. 4). Sanderlings typically responded to human "intruders" by running (69%) no matter the activity or number of people involved (Fig. 5). 4. Discussion and policy recommendations Field observations indicate that number of people, type of activity, free running dogs and proximity of people can significantly reduce the time that sanderlings spend consuming prey. These four variables also had a statistically significant effect on the distances sander- lings moved and the type of response that the sanderling had to the approaching humans. 100 r O CL V 70 m C 60 m C 50 U) 40 O [71 G ? m V 10 C_ 1 person walking t p non running 2 Pa?-, walking , rPk, I.I inq N= 61 .. Human Activity r'i rigllyiny ¦ S:rnderling nuvaing Fig. 5. Results from minimal approach distance: the majority of san- derlings responding to human "intruders" did so by running, although not statistically significant two people approaching the sanderling (regardless of the activity) caused more sanderlings to fly. Results from the minimal approach distance indicate that number of people can significantly reduce the amount of time that sanderlings spend foraging. Activity of the person or group of people was not a significant factor in the reduction of foraging time. Regardless of the number of people or speed of their approach, the average minimum approach distance was statistically the same (14 m) for each of the tested activities, with the exception of two people running compared to two peo- ple walking, causing the sanderling to run, and two people running compared to one person running result- ing in the sanderling taking to flight. Although not sta- tistically significant, as the number of people approaching the sanderling increased so did the number of times the sanderling took to flight. These results suggest that the impact of humans and their pets on shorebird foraging, although considerable, can be significantly reduced by implementing three sim- ple policies governing human beach behavior. First, based on the minimal approach distance experiment and Item # 19 - rune . 2 F r..+... , 2 p= - running Human activity Attachment number 7 Page 5 of 5 K. Thomas et al. / Biological Conservation 109 (2003) 67-71 field observation results showing 100% of sanderlings responding to humans within 30 m, people should be encouraged to stay a minimum of 30 m away from concentrations of shorebirds. Second, leash laws should be strictly enforced at primary bird foraging sites. At both of the study sites, as well as all state parks, leash laws exist, however the majority of people still let their dogs run free. Third, the fact that there were no shorebirds observed on the beach when kite buggies were present suggests that birds are entirely excluded by this activity. These vehicles can travel at speeds which allow them to cover a large distance of beach in a very short period of time. As a result of this observation, we recommend that these vehicles are restricted to a certain portion of the beach and prohibited during peak migration season. Activities like the use of kite buggies should, in the future, be included in the minimal approach distance experiments so that the extent to which shorebirds are affected can be determined. The above policies, encouraging modest changes to human beach behavior would enable people to enjoy most of their favorite beach activities while allowing shorebirds to spend more time foraging and less time avoiding humans in habitats so critical to their survival. Acknowledgements 71 We would like to thank Dr. Renee Perry and Pat Iampietro for their statistical advice. Special thanks go to Talitha Manouki, Amanda Greenvoss, and Leslie Matlack for their help in the field. This research was sponsored through NSF Grant 40CE-9726263 as part of the interagency ECOHAB Program. References Burger, J., 1987. Physical and social determinates of nest-site selection in piping plover in New Jersey. The Condor 89, 811-818. Burger, J., 1993. Shorebird squeeze. Natural History 102, 8-12. Burger, J., 1994. The effect of human disturbance on foraging beha- vior and habitat use in piping plover (Charadrius melodus). Estuaries 17 (3), 695 701. Burger, J., 1997. Effects of oiling on feeding behavior of sanderlings and semipalmated plovers in New Jersey. The Condor 99, 290-298. Burger, J., Gochfeld, M., 1991. Human activity influence and diurnal and nocturnal foraging of sanderlings (Calidris alba). The Condor 93,259-265. Howe, M.A., Geissler, P.H., Harrington, B.A., 1989. Population trends of North American shorebirds based on the International Shorebird Survey. Biological Conservation 49, 185-199. Roberts, G., Evans, P.R., 1993. Responses of foraging sanderlings to human approachers. Behavior 126, 29-43. Vines, G., 1992. Florida shorebird forced to flee. New Scientist 135, 14. Item # 19 Attachment number 8 Page 1 of 8 I Journal of Coastal Research 23 3 569-576 West Palm Beach, Florida May 2007 Responses of Incubating Hooded Plovers (Thinornis rubricollis) to Disturbance Michael A. Weston' and Mark A. Elgar Department of Zoology University of Melbourne Parkville, Victoria, 3052, Australia III1I118. WESTON, M. and ELGAR, M.A., 2007. Responses of incubating hooded plovers (Thinornis rubricollis) to disturbance. ,1066000600• Journal of Coastal Research, 23(3), 569-576. West Palm Beach (Florida), ISSN 0749-0208. Hooded Plovers (Thinornis rubricollis) and recreationists co-occur on the ocean beaches of southern Australia, and it has been suggested that disturbance of the breeding birds by humans constitutes a conservation problem. This study r examines whether humans disturb incubating Hooded Plovers and places that disturbance in context with naturally occurring disturbances. Incubating Hooded Plovers encountered and responded to a variety of human and natural stimuli. The most common response involved leaving the nest for a period of time (an "absence"), and humans were responsible for 33.1% of time spent off nests. The response rates of incubating birds varied with the type of stimulus, with higher than expected response rates to two species of potentially predatory birds. About 17% of encounters with potential causes of disturbance occurred while birds were already responding to other disturbance, and this prolonged the return to the nest. Absences from the nest that were not apparently caused by disturbance were shorter and less frequent than those caused by external disturbance stimuli. Nest habitat influenced the response to encounters with humans, and on average foredune nests suffered the greatest decrease in attendance per encounter. This study has confirmed that human disturbance is more frequent than natural disturbances, and that humans decrease nest at- tendance substantially and more than any other source of disturbance. ADDITIONAL INDEX WORDS: Shorebirds, coastal birds, coastal nesting species, threatened species, conservation, management. INTRODUCTION Humans have a long history of exploiting coastal areas for food, transport, and settlement (RAFFAELLI and HAWKINS, 1996). The growth in public recreation associated with great- er mobility, affluence, and leisure time during the 20th cen- tury (BODEN and OVINGTON, 1973) has resulted in even more people using coastal habitats. Recreationists can potentially affect birds directly, through predation or disturbance (e.g., BURGER, 1994; MADSEN, 1993), or indirectly, through pro- cesses such as habitat modification (e.g., BOWLES and MAUN, 1982; MCDONNELL, 1981). Although the potential for conflict between humans and birds is already high, it is likely to intensify in the foreseeable future. Projections of participation rates in outdoor recrea- tional activities and of population growth, indicate that non- consumptive recreational activities will become increasingly common, and their frequency will increase into this century (BODEN and OVINGTON, 1973). In addition to increased rates of recreation, coastal developments and rising sea levels are likely to intensify the spatial overlap between coastal birds and humans (DAVIDSON and ROTHWELL, 1993). Advances in transport technology and new sports or activities (e.g., wind- surfing) can rapidly emerge and become popular, causing dis- turbance in hitherto undisturbed areas or increasing the fre- quency of disturbance in areas already subject to some dis- turbance (BURGER, 1998; SMIT, LAMBECK, and WOLFF, 1987; STOKES et al., 1996). Knowledge of the effects of disturbance lags far behind the growing problem, yet such knowledge is essential to mitigate possible long-term effects (SKAGEN, KNIGHT, and ORIANS, 1991; YALDEN and YALDEN, 1988; YORIO and BOERSMA, 1992). Human disturbance is recognized as a threatening process for some plovers (e.g., MELVIN, GRIFFIN, and MACIVOR, 1991). Disturbance can decrease the reproductive success of plovers, causing shifts in their distribution and declines in their numbers (FLEMMING et al., 1988; NICHOLLS and BAL- DASSARRE, 1990; PRATER, 1989; SCHULZ and STOCK, 1993; WARRINER et al., 1986). Ocean beaches in southeastern Aus- tralia, the habitat of Hooded Plovers Thinornis rubricollis (af- ter CHRISTIDIs and BOLES, 1994), are used extensively by humans, particularly recreationists (BUICK and PATON, 1989; DOWLING and WESTON, 1999). Limited breeding along coasts extensively used for human recreation makes Hooded Plover populations vulnerable to any negative effects of dis- turbance (PATON, CARPENTER, and SINCLAIR, 1994). Disturbance from humans may be a process threatening the species, which is thought to be declining in areas where human disturbance is high. It is thought that the species' habit of leaving the nest when people are nearby is an im- portant influence on Hooded Plover breeding success. The ab- sence of the incubator may lead to higher rates of predation DOI.10.2112104-0151.1 received 11 January 2004; accepted in revi- sion 3 January 2005. * Present address: Birds Australia, 415 Riversdale Road, Haw- thorn East, Victoria, 3123, Australia. Item # 19 Attachment number 8 Page 2 of 8 570 Weston and Elgar and egg chilling or overheating (SCHULZ, 1992; SCHULZ and BAMFORD, 1987). Under minimal disturbance conditions, in- cubation in Hooded Plovers is uniformly high (averaging over 90% of daylight time) across the incubation period. Although there is a relationship between incubation rates and ambient air temperature, it is slight, and incubation rates are high throughout the day and at all air temperatures (WESTON, 2000). Disturbance is likely to occur throughout more of the dis- tribution of Hooded Plover than any other threatening pro- cess except perhaps for introduced predators. However, dis- turbance to Hooded Plovers has not yet been rigorously in- vestigated. This article examines the response of incubating Hooded Plovers to disturbance and places recreational dis- turbance in context with natural disturbances. METHODS The study area consisted of ocean beaches from Johanna Beach, west of Cape Otway (38°45' S, 143°23' E), to Oberon Bay, Wilson's Promontory (39°04' S, 146°20' E), Victoria, Australia. Data were collected over three breeding seasons, 1995-1998. Operational Definitions In this study a "stimulus" was any natural or human agent that had the potential to cause a response among breeding Hooded Plovers. An "encounter" was any event in which a stimulus passed within 100 m of a nest. An "absence" was a period of time when the nest was not incubated. The term "multiple disturbance" describes prolonged absences from the nest caused by repeated disturbances. "Discrete disturbance" describes circumstances where a bird returned to its nest, and there were no intervening encounters. "Return time" was the interval between departure from the nest and return to it. Field Procedures Nests were observed from a hide (88.6%), a hidden position amongst rocks (2.9%), a car (2.9%), or on the beach hidden behind a tarpaulin (5.7%). Hides were always erected the day before observations began and were positioned at least 30 m from the nest. The approach to the observation posts some- times resulted in a response from the attendant adults. Un- der these circumstances, the data collected before the birds resumed incubation were excluded. The observer (the senior author) did not leave his hidden position during observations. Nests came from a variety of popular and remote beaches and from three habitats. Nests were on the beach (below the foredune), in the foredune, or in the dunes (the landward side of the foredune). The lower boundary of the foredune zone was defined as the point of lowest vegetation or greatest change in slope (whichever was lower). The upper boundary was delimited by a platform or, if there was no platform, the top of the primary dune. Nests were observed under different weather conditions, which were generally fine and mild (daily average tempera- tures, 12.0-30.3°C; X= 19.9°C) and typical of Hooded Plover breeding areas during the breeding season. Most studies of bird disturbance do not account for weather (see, for example, DAVIDSON and ROTHWELL, 1993). The effect of weather on the response to disturbance is not analyzed here, because temperature had only a slight influence on incubation behav- iour (WESTON, 2000), there was a relatively narrow range of weather conditions sampled, and few stimuli occurred fre- quently enough across different conditions to allow meaning- ful analysis. Natural and human stimuli, evoking all possible responses from incubating birds, were recorded in all weather conditions. Attempts were made to observe nests from as many pairs as possible, regardless of their disturbance levels. Because nests were few in number and not long-lived, data from nests were collected in an opportunistic fashion (WESTON, 2000). Activity scans were made every 5 min to record the behav- iour and identity of each bird. Birds were classified as incu- bating, foraging, roosting, preening, or engaging in "other" activities. Nests were considered "attended" when an adult was incubating. Continuous observations determined the response of incu- bating birds to passing stimuli. Encounters, and the level of habitat occupied by the stimulus, were recorded. The habitat was classified into five levels: (1) rock platforms, (2) lower beach (constant wave wash), (3) midbeach (the flat and wet section covered by the previous nocturnal tide), (4) upper beach (above the previous nocturnal high-tide mark), and (5) foredunes and dunes. The response of the incubating bird to encounters was recorded as: "Nest Absence," "Crouching over the Nest," or "No Response." These observations also allowed the identification of "incubator-initiated" absences from the nest, where nest departures were made in the absence of po- tentially disturbing external stimuli. Incubator-initiated ab- sences, therefore, include voluntary absences and absences during changeovers of the incubators. These absences were characterized by slower departures by the bird from the nest and were associated with less vigilance (i.e., watching) during and immediately after the departure, in comparison with de- partures from the nest associated with a response to a stim- ulus. It is possible that a small number of absences classified as incubator-initiated absences were made in response to an undetected stimulus; however, the observation post always afforded excellent views in all directions, and care was taken to minimize such a bias. If it occurred, this bias would effec- tively underestimate the occurrence and effect of disturbance. In order to maximize available data, the response of incuba- tors to encounters was examined using 35 nests observed for at least 3 h. Return times were determined using a stop- watch. In order to determine whether disturbance affected nest attendance, we examined data from 32 nests in which the adults were incubating and where observations lasted at least 10 h. "Observation days" refer to observations where pairs were observed at their nests for 10-12 h in a day (x = 11 h). At some nests several days of observation occurred (an overall total of 49 observation days occurred at these 32 nests), but only the most disturbed day from each nest was selected for this analysis. Nest attendance was measured from the proportion of activity scans that involved incubation, Journal of Coastal Research, Vol. 23, No. 3, 2007 Item # 19 Attachment number 8 Page 3 of 8 Disturbance to Hooded Plovers 571 Table 1. The relative frequency of encounters with stimuli at nests (n = 1821 encounters regardless of whether an incubator was on the nest). Percentage Stimulus Occurrence Walker with no dog 49.5 Walker with dog 16.1 Raven* 10.8 Jogger with no dog 6.3 Bird of prey 6.0 Australian Magpie' 4.9 Bicycle 2.0 Jogger with dog 1.4 Dog; 0.9 Silver Gull§ 0.8 Intruding Hooded Plover 0.5 Other** 0.4 Vehicle 0.3 Horse 0.1 * Corvus coronoides, C. tasmanicus, and C. mellori. ' Gymnorhina tibicen. $ These dogs had roamed so far from their owners that they passed the nest without humans. § Larus novaehollandiae. ** These stimuli encountered nests only once. and disturbance rates were measured as the total number of encounters with natural and human stimuli per observation day, regardless of whether an absence from the nest occurred. Statistical Analysis When analyzing the incubating bird's response to distur- bance, we assumed that each disturbance event was an in- dependent data point. Other statistical procedures follow those outlined in ZAR (1996). Summary statistics are pre- sented as mean ± one standard deviation (untransformed). Dashes in tables indicate that data were unavailable. RESULTS Sources of Encounters Overall, nests encountered 3.0 ± 4.2 stimuli per hour (n = 49 observation days; 555 observation hours). The hourly rate of encounters with human stimuli was 2.4 ± 4.0 per hour (maximum 24.2); the rate of encounters with natural stimuli was 0.7 ± 0.9 per hour (maximum 3.5). Of 49 observation days, only 16.3% were without an encounter with a human stimulus, and 22.4% were without an encounter with a nat- ural stimulus. Only one observation day involved no encoun- ters with natural or human stimuli (2.0% of observation days). The relative occurrence of different types of stimuli at nests is shown in Table 1. Overall, 75.7% of all stimuli were due to humans or their companion animals, and 24.3% involved nat- ural stimuli (n = 1821). Of all encounters, 73.3% involved humans on foot. Within this category, walkers without dogs were the most frequently encountered stimulus at nests, and they accounted for about half of all encounters. Response to Disturbance The typical response of incubating birds to nearby human and natural stimuli was to leave the nest and return at a later time. Absences were by far the most common response to an encounter; 90.9% of encounters that caused a response (n = 580) resulted in an absence from the nest. Other re- sponses involved the incubator crouching over the nest (9.1%). Absences were not only made in response to encoun- ters with external stimuli. For 36.0% of all nest absences (n = 753), we could detect no external stimulus at the time of departure from the nest (i.e., these absences appeared to be initiated by the incubator). Disturbance-initiated absences were significantly more frequent (1.1 ± 1.1 per hour) than incubator-initiated absences (0.5 ± 0.5 per hour) (paired t test on logged data, t = 3.895, degrees of freedom [DF1 = 48, p < 0.001; n = 49). Factors Influencing Nest Absences Type of Stimulus Human stimuli were responsible for 57.5% of disturbance- induced absences, with natural stimuli responsible for the remainder. Details of the absence from the nest in response to different stimuli are provided in Table 2. In order to test whether incubating birds were responding at different rates to different stimuli, the observed frequency of nest absences was compared with the frequency that would be expected if the birds did not discriminate between stimuli. Expected values were based on the number of encounters with different stimuli multiplied by the overall rate of nest absences per encounter. Thus, in calculating expected values, it was assumed that each encounter had an equal probability of eliciting an absence (Table 3). Overall, observed frequen- cies of nest absences differed from expected frequencies (where expected values exceeded five, X2 = 109.044, DF = 9, p < 0.001). Observed frequencies of nest absences differed substantially from expected frequencies for three types of stimulus. There was a lower than expected frequency of nest absences in response to walkers without dogs and higher than expected absence frequencies in response to magpies and ravens. Combined, these accounted for 86.4% of the over- all X2 value. Of 620 absences where there were no intervening encoun- ters between departure from the nest and return to it, incu- bator-initiated absences (3.4 ± 11.4 min) were on average of shorter duration than those caused by disturbance (4.6 ± 6.9 min) (t test on logged data, t = 10.902, DF = 362.5, p < 0.001). Multiple Disturbance Often a number of successive stimuli were encountered be- fore a bird returned to its nest; 24.3% of stimuli encountered at nests (n = 1821) were part of multiple disturbance, where at least one encounter occurred between departure from the nest and return to it. In other words, 16.9% of all encounters occurred while the attendant was absent from the nest be- cause of a previous disturbance. In order to examine the influence of multiple disturbance on return time, we examined multiple disturbances initiated by encounters with walkers without dogs, because these were the most common source of encounters. Higher numbers of Journal of Coastal Research, Vol. 23, No. 3, 2007 Item # 19 Attachment number 8 Page 4 of 8 572 Weston and Elgar Table 2. The response of incubating birds to a variety of stimuli encountered during nest observations (pooled across pairs). The frequency data are from disturbance events where the attendant was on the nest when it encountered the stimulus (n = 1491, excluding 22 cases where the response was not adequately determined). The duration data (miss) are from discrete disturbances (n = 349). timulus n Percentage of Encounters That Caused an Absence Average Duration of Absence Standard Deviation of Duration of Absence Maximum Duration of Absence Human Jogger(s) with dog 18 44.4 1.5 2.9 2.6 Walker(s) with dog off leash 224 38.4 3.9 4.5 30.5 Jogger(s) without dog 92 25.0 4.3 5.0 19.3 Walker(s) without dog 717 21.5 3.9 4.3 24.5 Walker(s) with dog on leash 19 21.1 2.5 - 2.5 Bicycle 30 3.3 3.0 - 3.0 Vehicle 6 0.0 Nonhuman Australian Magpie 82 74.4 4.8 6.6 39.0 Intruding Hooded Plover 10 70.0 8.3 7.8 19.0 Raven 162 53.7 5.1 7.2 49.7 Horse 2 50.0 69.1 Dog 16 43.8 2.9 2.5 5.8 Bird of prey 94 37.2 6.6 8.3 42.0 Silver Gull 12 33.3 7.3 8.1 18.0 Other 7 42.9 3.5 8.1 20.0 encounters (Ndi,,) in multiple disturbances were associated with longer return times to the nest (Time,,,_. min) (linear regression, log Time,,,,,,, = 0.712Ndis,. + 1.735, F1,43 = 12.274, p < 0.001, R2 = 0.222; n = 46 multiple disturbances). Some studies report increasing responses with increasing exposure to disturbance (see SMiT and VISSER, 1993). Thus, multiple disturbance could cause a delayed return once the disturbance passed, apart from the additive effects of multi- ple disturbance on return time. The time taken to return to the nest after a walker without a dog had caused a discrete Table 3. Observed and expected frequency of nest absences in response to encounters with different stimuli. Expected frequencies are derived from the observed frequencies with which each stimulus category occurred, as- suming an equal probability of eliciting an absence. The "Other" category has been excluded. Percentage values refer to the percentage of absences. The X2 value is shown where expected frequencies en i ",?e. Stimulus Observed n % Expected n % Partial x2 Human Walker(s) without dog 154 32.2 230.9 48.3 25.637 Walker(s) with dog off leash 86 18.0 72.2 15.1 2.658 Jogger(s) without dog 23 4.8 29.6 6.2 1.485 Jogger(s) with dog 8 1.7 5.8 1.2 0.836 Walker(s) with dog on leash 4 0.8 6.1 1.3 0.734 Bicycle 1 0.2 9.7 2.0 7.767 Vehicle 0 0.0 1.9 0.4 Nonhuman Raven 87 18.2 52.2 10.9 23.235 Australian Magpie 61 12.8 26.4 5.5 45.293 Bird of prey 35 7.3 30.3 6.3 0.737 Intruding Hooded Plover 7 1.5 3.2 0.7 Dog 7 1.5 5.2 1.1 0.661 Silver Gull 4 0.8 3.9 0.8 Horse 1 0.2 0.6 0.1 absence from the nest (3.9 ± 4.3 min) was not significantly different from the time between the last encounter (again in- volving a walker without a dog) during a multiple distur- bance, and the eventual return to the nest (4.3 ± 5.2 min) (t test on logged data, t = 0.573, DF = 88. 1, p = 0.568). Habitat Humans, the most frequent cause of disturbance, did not occur in all levels of the habitat to the same degree. Humans occurred predominantly in the midbeach: 71.7% of 2361 peo- ple who passed nests were in the midbeach. This means that nests in different habitats (beach, foredune, dunes) may be differentially affected by human disturbance. To examine this in more detail, we used data from encounters with walkers (n = 946 encounters where the occurrence of a nest absence was established). The proportion of encounters that caused a nest absence differed significantly between habitats (X2 = 59.676, DF = 2, p < 0.001, Figure 1), as did the duration of absences (one-way analysis of variance on logged data, F2191 = 5.272, p = 0.006, Figure 1), although the R2 value was low (0.052), suggesting that factors other than nest habitat af- fected return time. Post hoc Tukey pairwise comparisons re- vealed that the duration of absences at foredunes was longer than for dune (p = 0.040) or beach nests (p = 0.012). We calculated the average time off nests for 100 encounters with humans by multiplying the frequency of absences expected for 100 encounters with the back-transformed average du- ration of absences. On average, the time off nests per 100 encounters with humans was 12.7 min for dune nests, 72.8 min for foredune nests, and 63.6 min for beach nests. The Effect of Disturbance on Overall Nest Attendance Generally, the proportion of time spent incubating re- mained high across all nests regardless of the frequency of Journal of Coastal Research, Vol. 23, No. 3, 2007 Item # 19 Attachment number 8 Page 5 of 8 Disturbance to Hooded Plovers 573 03 C 0 u v 02 C, 0 0 0 0 a 0.0 0 0.5 ? 0.4 c A 03 w 0.2 0 e 0.1 Q 0.0 Figure 1. The effect of nest habitat on the response of incubating Hood- ed Plovers to encounters with humans. The proportion of encounters that caused an absence from the nest (top) and the average plus standard error duration of absences (bottom) are shown. encounters (86.0 ± 0.1% of scans; 57.8-98.9% of scans; n = 31 nests). However, at one nest attendance was considerably lower (36.2%). Decreased rates of nest attendance (Pi„,) were associated with higher numbers of encounters (Ndi,,) (linear regression, aresine Pi„,. = -0.085 log Ndis,. + 1.437, F1.30 = 15.735, p < 0.001, R2 = 0.344). In total, multiple disturbance resulted in 49.1% of time off nests. It was impossible to assign a single cause for the ab- sence during multiple disturbance, so only discrete distur- bances are considered here. Table 4 presents the agents re- sponsible for "time off the nest." Humans were responsible for more time off the nest (33.1%) than any other source, and 68.0% of time off nests was caused by external stimuli. DISCUSSION Disturbance frequently and substantially disrupted incu- bation in Hooded Plovers. The overwhelming response of Hooded Plovers to disturbance is to leave the nest and return at a later time (for reports of similar behaviour in other plo- vers, see BYRKJEDAL, 1989; PAGE et al., 1983; YALDEN and YALDEN, 1990). Nest absences due to disturbance are more frequent and longer than those initiated by the incubator (see also HENSON and GRANT, 1991). In this study, absences from the nest commonly occur when both potential predators and humans encounter incubating adults, but humans are the most frequently encountered stimulus at nests and are the Table 4. The factors responsible for time off the nest (discrete distur- bances only). Percentage of Time off the Nest Cause (total 43.1 h) Human 33.1 Voluntary 17.0 Changeover of incubator 15.0 Raven 14.2 Australian Magpie 11.2 Bird of prey 7.7 Silver Gull 1.2 Intruding Hooded Plover 0.7 single greatest cause of time off nests. Although many studies of disturbance document nest absences in response to distur- bance (e.g., HENSON and GRANT, 1991; YALDEN and YALDEN, 1990), few examine the effect of those absences on overall nest attendance. For Hooded Plovers, disturbance decreases overall diurnal nest attendance, suggesting an inability to compensate for incubation time lost to disturbance during the course of a day. Factors Influencing Nest Absences Type of Stimulus Many birds vary their response, or the distances or fre- quencies at which they respond, according to different stimuli (e.g., GRUBB and KING, 1991; HENSON and GRANT, 1991; MADSEN, 1993). Humans often evoke different responses or levels of response compared with other stimuli (BRUNTON, 1990; BUNNI, 1983; ROBERTS and EVANS, 1993). The highest nest absence rates in this study are in response to natural and not human stimuli (see also WARD, STEHN, and DERK- SEN, 1994). This suggests that for Hooded Plovers, some nat- ural disturbances are particularly threatening. The two sources of natural disturbance, where nest absence rates are high, involve ravens and magpies. Ravens are predators of Hooded Plover nests, and although magpies did not prey on nests, avoidance of predation required nest absences coupled with aggressive and distracting behaviour (WESTON, 2000). Hooded Plovers leave their nests less frequently than ex- pected in response to walkers without dogs. This could be due to a number of factors. Shorebirds and other birds are gen- erally less responsive to slowly moving humans (e.g., walk- ers), compared with rapidly moving humans (e.g., joggers) (BURGER, 1981; BURGER and GOCHFELD, 1991; YORIO and BOERSMA, 1992). Habituation is promoted by stimuli that do not represent any real threat to the birds (KNIGHT, GROUT, and TEMPLE, 1987; PLATTEEUw and HENKENS,1997). In this study, the only direct persecution of Hooded Plovers was from natural predators and unleashed dogs (personal observation). Habituation may be promoted by a constant stream of similar stimuli (SMIT and VISSER, 1993) that behave in a predictable fashion (PLATTEEUw and HENKENS, 1997). Walkers without dogs may be less threatening than other stimuli because they are slow moving, do not persecute the birds, and occur fre- quently. All of these factors may facilitate habituation. Dogs are particularly disturbing to shorebirds (e.g., BUR- Journal of Coastal Research, Vol. 23, No. 3, 2007 Item # 19 Dune Foredune Beach Dune Foredune Beach Attachment number 8 Page 6 of 8 574 Weston and Elgar GER, 1986; YALDEN and YALDEN, 1988, 1990). For the Hood- ed Plover, the types of human stimuli that cause the highest frequencies of nest absences involve dogs. The observed per- centage of nest absences in response to encounters with leashed dogs is lower than expected, but the observed per- centage of nest absences in response to encounters with un- leashed dogs is higher than expected. The percentage of en- counters with leashed dogs that caused an absence from the nest was similar to the percentage of encounters with walk- ers without dogs that caused an absence (ca. 21%). This sug- gests that it is the behaviour of dogs rather than their pres- ence that influences whether nest absences occur. The par- ticularly disturbing nature of unleashed dogs is probably ex- plained by their tendency to move up and down the beach perpendicular to the water's edge (see BURGER, 1986). Ad- ditionally, unleashed dogs directly pursued Hooded Plovers at times (pers. obs.). Multiple Disturbance Encounters often prolong nest absences, such that an in- dividual may experience at least one further encounter before it returns to the nest. For Hooded Plovers, the cost of multiple disturbance in terms of lost incubation time seems consider- able; less than 25% of all encounters in this study were part of a multiple disturbance, yet these accounted for almost 50% of time off the nest. Delayed return to the nest while a num- ber of disturbances pass by results in one long nest absence instead of many short absences. There are possible benefits of not moving to and from the nest following each distur- bance, and these may include reduced energy expenditure by the adults and reduced foot traffic to and from the nest (BUICK and PATON, 1989; PIENKOWSKI, 1984). Why do Hooded Plovers often delay their return to the nest until a number of encounters have occurred? Our data sug- gest multiple disturbance does not shorten or prolong the time taken to return to the nest once the disturbance finally passes. Rather, the temporal separation of stimuli probably does not allow enough time for a return to the nest between encounters. It is also possible that the birds do not return to their nest when human or natural stimuli are approaching, so that the location of the nest is not advertised to the ap- proaching stimulus (see PAGE et al., 1983; YALDEN and YAL- DEN, 1989). Distance and Habitat Nests in different habitats are at different distances from passing humans. In this study, the frequency of nest absences in response to walkers is higher among beach than among foredune nests. Foredune and beach nests have good vision of nearby humans, but foredune nests are farther from pass- ing humans than beach nests. Perhaps the most common finding of observational studies of disturbance is that the de- gree of disturbance is proportional to the proximity of the stimulus (e.g., BURGER, 1998; PLATTEEUW and HENKENS, 1997), and this may explain the observed frequency of Hood- ed Plover nest absences at foredune and beach nests. Dune nests are even farther from passing humans com- pared with foredune and beach nests, but other factors, such as vision and cover, probably mediate the response of incu- bating Hooded Plovers. Not all dune nests afford good vision of the beach. At the approximate height of an incubating bird, a person walking along the base of the dunes was visible from 57.9% of dune nests (n = 19, unpublished data). For some birds, habitat and vision influences the rate and intensity of responses to disturbance (BURGER and GocHFELD, 1991; SCHULZ and STOCK, 1993). For Hooded Plovers, humans in- frequently cause absences from dune nests, probably as a re- sult of increased distance and cover. Nesting birds subject to disturbance may alter their nest sites or habitat in subsequent nesting attempts (e.g., DATTA and PAL, 1993; ERWIN, 1980; KNIGHT and FITZNER, 1985). If habitat mediates the frequency and duration of disturbance- induced absences from Hooded Plover nests, and given that pairs are able to shift between nesting habitats (see WESTON, 2000), then why don't all Hooded Plovers nest in the least disturbed dune habitat? There could be disadvantages to nesting in dunes that outweigh any potential reduction in disturbance. These might involve different predation rates and increased energy expenditure and risk of detection in- volved in commuting to and from the nest, and perhaps there are problems with navigating a brood from the dune to the beach, where most foraging occurs (WESTON, 2000). Addi- tionally, suitable dunes are not available on every territory (unpublished data). Disturbance as a Conservation Problem and a Management Issue The impact of disturbance to populations is of central in- terest to conservation biologists (HocKIN et al., 1992). For some species, even small effects of disturbance may be bio- logically significant and might warrant a management re- sponse (GIESE, 1996). The Hooded Plover is threatened (GAR- NETT and CROWLEY, 2000), and populations appear limited by poor reproductive success, so the reproductive perfor- mance of pairs could be critical to the survival of whole pop- ulations (WESTON, 2000). Although we have been unable to establish a direct link between disturbance and reduced reproductive success, we have demonstrated that disturbance, predominantly by hu- mans, causes the incubator to leave the nest frequently and for longer periods than would otherwise occur. The proportion of time spent incubating decreased with increasing distur- bance. This potentially increased exposure of the eggs to tem- perature extremes and predation (SCHULZ, 1992; SCHULZ and BAMFORD, 1987). For the Hooded Plover, some extreme egg temperatures have been recorded during absences from the nest caused by disturbance, although predators did not prey upon eggs during these absences (WESTON, 2000). The demonstration of a potential mechanism through which dis- turbance could reduce reproductive success suggests that dis- turbance to incubating Hooded Plovers may constitute a con- servation problem worthy of management. ACKNOWLEDGMENTS This research was conducted under Department of Sus- tainability and Environment permits (RP97208, RP96113, Journal of Coastal Research, Vol. 23, No. 3, 2007 Item # 19 Attachment number 8 Page 7 of 8 Disturbance to Hooded Plovers 575 and RP95067), Parks Victoria permits (NP978/095, NP945/ 156, and NP67/011), Ethics Approval Permit (AEEC 6540720921120), and appropriate Australian Bird and Bat Banding Scheme permits. Financial support was provided by an Australian Postgraduate Research Award, the Holsworth Wildlife Research Fund, the Australian Bird Environment Foundation, Barwon Heads Committee of Management, the M.A. Ingram Trust, and the Stuart Leslie Bird Research Fund (Birds Australia). Drs. M.A. Giese, D.P. Hart, W. Suth- erland, and J. Burger kindly commented on a doctoral thesis chapter upon which this paper is based. D.I. Rogers made useful comments as a reviewer. LITERATURE CITED BODEN, R.W. and OVINGTON, J.D., 1973. Recreation use-patterns and their implications for management of conservation areas. Bi- ological Conservation, 5, 265-270. BOWLES, J.M. and MAHN, M.A., 1982. A study of the effects of tram- pling on the vegetation of Lake Huron sand dunes at Pinery Pro- vincial Park. Biological Conservation, 24, 273-283. BRUNTON, D.H., 1990. 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The level of recreational pressure on Blanket Bog in the Peak District National Park, Eng- land. Biological Conservation, 44, 213-227. YALDEN, P.E. and YALDEN, D.W., 1990. Recreational disturbance of breeding Golden Plovers Pluvialis apricarius. Biological Conser- vation, 51, 243-262. YORIO, P. and BOERSMA, P.D., 1992. The effects of human distur- bance on Magellanic Penguin Speniscus magellanicus behaviour and breeding success. Bird Conservation International, 2, 161-173. ZAR, J.H., 1996. Biostatistical Analysis. Englewood Cliffs, New Jer- sey: Prentice Hall International, 662p. Journal of Coastal Research, Vol. 23, No. 3, 2007 Item # 19 Biological Conservation 44 (1988) 213-227 The Level of Recreational Pressure on Blanket Bog in the Peak District National Park, England Patricia E. Yalden & D. W. Yalden Department of Environmental Biology, The University, Manchester M13 9PL, Great Britain (Received 8 May 1987; revised version received 6 July 1987; accepted 28 August 1987) ABSTRACT We have attempted to quantify recreational disturbance, caused mainly by hikers either on day-trips or using a long-distance path (the Pennine Way), on an area of a blanket bog in the Peak District National Park. We are particularly concerned at the potential impact of such disturbance on breeding birds, especially golden plovers Pluvialis apricarius. An estimated 8000 visitors, accompanied by 300 dogs, visited the area in the breeding season (mid-April-mid-July). On peak days, around 400 people crossed to or from the moorland over the main access stile, and people were present for 90% of the observation day (0900-1800h). Use of the area was 2-4 times heavier at weekends than on weekdays. Though most people stayed on obvious footpaths, especially, on the moorlands north of the stile, over 30% wandered away from paths in the southern half. INTRODUCTION Although conservationists have frequently expressed concern at the likely impact of recreational disturbance on wildlife, particularly breeding birds, there have been very few detailed studies of either the levels of disturbance or the impact on wildlife. The problems are particularly acute in British national parks where, in contrast to the exclusive wildlife or scenic areas which are given national park status in other countries, management has to be a compromise between various landowners and land usages, including farming, forestry, transport, tourism and wildlife protection. 213 Biol. Conserv. 0006-3207/88/$03.50 ((c`,, 1988 Elsevier Applied Science Publishers Ltd, England. Printed in Great Britain 214 Patricia E. Yalden, D. W. Yalden In the Peak District National Park, Picozzi (1971) studied the density and breeding success of red grouse Lagopus lagopus on heather moors which were or were not subject to unrestricted public access, and found no difference in grouse performance; nor did Hudson (1983) in the Pennines. Watson (1979), studying both red grouse and ptarmigan L. mutus near ski lifts in the Cairngorms, Scotland, also found no difference in breeding populations between areas that were heavily disturbed or undisturbed, but later (Watson, 1982) noted that breeding success of both species was almost nil in both areas. He suggested that predation by carrion crows Corvus corone caused the breeding failures, and attributed the increased crow population to the abundance of food (picnic scraps, etc.) brought by the large numbers of day-trippers. In Holland, van der Zande and colleagues have quantified the levels of recreational disturbance in duneland and reclaimed polderland opened to public access (van der Zande, 1984; van der Zande & Vos,1984), but found that most birds were apparently little affected by the observed levels of recreation. However, they noted that curlew Numenius arquata on duneland was extremely sensitive to disturbance, and calculated that 1000 people ha -' year - would cause curlews to abandon an area completely. In the polder area, changes in bird population from before to after opening it to informal recreation included a drop in the breeding wader population from 16 pairs to 3 pairs, but this change was an aggregate one, involving lapwing Vanellus vanellus, oystercatcher Haematopus ostralegus and redshank Tringa totanus. The numbers involved were small, and they did not analyse or comment on these changes, concentrating instead on the more numerous species (van der Zande & Vos, 1984). In north-east England, Pienkowski (1984) reported that the breeding success of ringed plovers Charadrius hiaticula was much lower in areas frequented by most day-trippers, especially on beaches near to main car parks. Concern about disturbance of the beach-nesting little tern Sterna alhifrons has also been expressed (Cramp et al., 1974); protection by prohibiting access to its most important breeding beaches has been very successful. Ground-nesting birds, such as waders Charadrii, are obviously far more vulnerable to recreational disturbance than tree-nesting species, and on moorland most of the characteristic species are, necessarily, ground nesters. In the Peak District, concern has been expressed for the future of golden plovers Pluvialis apricaria as well as red grouse, curlew, and common sandpiper Actitis hypoleucos (e.g. Yalden, 1984, 1986). In particular, Yalden (1986) has drawn attention to an apparent decline in numbers of golden plover breeding in an area of blanket bog along a long-distance pathway, the Pennine Way. However, no information is available on the level of recreational pressure on this or any other area of blanket bog, nor on how that recreational pressure is distributed through the day or through the Recreational pressure on blanket bogs 215 season. As part of a study of the potential impact of recreational disturbance on breeding golden plovers, much of the 1986 breeding season was devoted to quantifying these recreational pressures, and this paper documents these. STUDY AREAS The Snake Summit area (NGR SK0891) is largely a pure sward of cotton grass Eriophorum vaginatum, with fringes of crowberry Empetrum nigrum and bilberry Vaecinium myrtillus along the drainage gullies. The whole area lies over Carboniferous Millstone Grit, with 2 in or more depth of peat (a detailed description is given by Tallis, 1973). The A57 trunk road from Manchester to Sheffield crosses from west to east, and the Pennine Way crosses from south-west to north (Fig. 1). South of the road, the path is somewhat diffuse, but the main route skirts the edge of the drainage gullies at the head of Holden Clough; subsidiary routes cross irregularly on various `short cuts'. Two smaller paths, nicknamed Stake Path and Ash Path by us, run southeast and south from the Snake Summit. Moorland between these paths was designated Areas V, VI and VII. The moorland south of the road is unfenced, allowing free access to and from the moor, but north of the road a fence restricts access to one main stile at the summit and two, less used, subsidiary stiles 50 in and 200 in further east. The Pennine Way northwards from the main stile is a well surfaced path for about 1 km, thus channelling use; a main, surfaced, path, Doctor's Gate, running west to east, crosses the Pennine Way at 400 in from the stile. The moorland areas between these paths were designated Areas I, 11, 111 and IV. The Saddleivorth Moors area (NGR SE0505), 13 km N of Snake Summit along the Pennine Way, is also largely blanket bog dominated by Eriophorum vaginatum. Gulley-edges with Empetrum nigrum and Vaccinium tyrtillus are less extensive than at Snake Summit but there are more patches of bare eroded peat. There is only one designated path, the Pennine Way, which crosses south-east to north-west across the northern edge of the study area. Unlike the Snake Summit, moorlands here are not formally open to public access, though there is little to restrict walkers (Fig. 4). METHODS At the Snake Summit, three sets of information were collected: (i) A stile counter, a mechanical tally-counter fixed below a moving step in the main access stile for people walking north up the Pennine Way, gave a 216 t_ .i i \ m ?.i r ? \ i i U ? \ ? - 1 Patricia E. Yalden, D. W. Yalden z oa ?3a o ro a? C c o c Z Q a ?j -o N 'x 0 on ? o •ti L y Cz 3,?sW 3 c a :a x o 3 C Qom. ? v E y n oZ 0 o Z o 0 E3. b -0 nn U ro O ? •o tb 0 3 ? .ro s E E3?N E a v Ln 3 c a? c Y c ? 73 'L E L O E U O O 7 y N ? ;d .? Q ? L > O ° n• ? L E ? G a L n n LZ Recreational pressure on blanket bogs 217 count of recreational use through the season. The counter was read from 26 March to 26 July 1986, to give separate figures for use on Saturdays, Sundays and Bank Holidays, plus a composite figure for the 4 or 5 weekdays. It was read before and after weekend use from 26 July to 15 September 1986, giving slightly less detailed figures for the rest of the summer. The counter had also been in place in 1985, from 16 June to 8 September, and comparative figures are available for this period (Anderson & Tattersfield, 1986). (ii) P.E.Y. counted all people on approximately 2 km' of blanket bog, stretching equally north and south of the road, at weekends and Bank Holidays from late March to the end of April. Their route, whether on or off obvious paths, and the presence of dogs on or off leads, was noted (Fig. 4). (iii) As the intensity of use became greater, it became impossible to follow and score individual walkers. From early May to late June, the presence of people in different parts of the study area was recorded at 5-min intervals. As before, the presence of dogs, and the use of paths, was noted. These sets of information are complementary. The stile counter enables changing use through the season to be monitored, including periods when the observer was absent, but cannot give any indication of the numbers of individuals involved (someone who enters and leaves by the stile will be counted twice) nor their distribution in time and space. Direct counts, either in total or in 5-min scans, allow the pattern of use through the day and the different use of different parts of the area to be determined; they also allow the stile counter readings to be calibrated. At Saddleworth Moors (Fig. 4), recreational use was monitored by D.W.Y. sitting on a hillside, with a view over about 4 km' of blanket bog, for 13 days (Saturdays, Sundays or Bank Holidays) in March, April and May. This allows comparison with counts made on the same days at Snake Summit. A comparison of the use of each area was also obtained by counting all the people seen during five pairs of censuses of golden plovers during June and July. RESULTS Human activity through the season Registrations by the stile counter show three main features (Table 1, Fig. 2): (i) use is 2-4 times greater at weekends than on weekdays, throughout the season; (ii) use increases through the season, and does so more on weekdays than on weekends; (iii) use at weekends fluctuates very considerably between 218 Patricia E. Yalden, D. W. Yalden TABLE 1 Recreational Use of the Pennine Way at Snake Summit (Average daily registrations by the stile counter each month through the summer, with range number of readings used to calculate average (n) and number of days included (d).) Weekend use (range) n - d x Weekda_t, use (range) n d Ratio WE' WD March 139 (139) 1 4 15 (15) 1 2 9.3 April 165 (109-320) 4 8 35 (14-103) 4 22 4.7 May 271 (76-346) 5 11 59 (35-143) 5 20 4.6 June 237 (76-370) 5 9 59 (40-78) 5 21 4.0 July 227 (169-409) 4 6 102 (78-136) 5 23 22 August 334 (193-518) 6 11 133 (116-143) 5 20 2.5 September 225 (152-298) 2 4 58 (23-88) 3 15 3.9 Weekend-WE-includes Saturdays, Sundays and Bank Holidays 300 } Q ? 200 O' W a w J W 100 ! tI'? ° d 61 31 6 13 20 27 4 11 18 26 1 8 15 22 29 6 13 20 27 3 10 17 25 30 7 APR MAY JUN JUL AUG Fig. 2. The pattern of use of the stile counter at Snake Summit through the field work season, 1986 (solid symbols). Average daily use at weekends (0) (Saturdays, Sundays and Bank Holidays) and on weekdays (A) plotted separately. For comparison, use in June-- September 1985 (from Anderson & Tattersfield, 1986) is also presented (hollow symbols). Recreational pressure on blanket bogs 219 about 100 and 450 crossings per day, and these fluctuations reflect the local weather: people visit the area less on cold, wet, cloudy days. Increased use at weekends in August, and on weekdays in both July and August, reflects first university and then school holidays, but these increases in recreational pressure later in the season are probably not serious for golden plovers, whose breeding season finishes generally in mid or late July. The heavy recreational use at weekends in May is potentially more serious; peak stile counter readings were 506 on 26 May (Bank Holiday Monday), and 518 per day on the weekend of 23-24 August. The relationship between recreational use and four variables thought to affect its intensity (day of the week, weather, date from 1 March, and whether schools were on holiday) were explored in more detail using stepwise multiple regression. Weather was assessed subjectively by Dr S. MacKenzie (who collated readings from the stile counter) on the basis 1= poor, 2 = moderate or variable, 3 = fine; while some combination of meteorological data might seem more objective, this scoring is probably closer to the way that potential hikers are actually influenced to make or cancel their walk, and had the advantage of being made independently of our own judgement. When stile counter readings for March to July were used, day of the week was the first significant factor, explaining 29% of variation in visitor pressure, and weather explained 32%; both were statistically highly significant (p < 0.001) variables. `Date' added only a further 1 % explanation, but was statistically not significant, and `holiday' had even less effect or significance. When stile counter readings for March through to September were used, and using the aggregate `weekend' (rather than entering Saturdays, Sundays and Bank Holidays separately), the weekend/weekday dichotomy explained 36%, weather 15% and date 3% of the variation in stile counter use (Table 2); the first two were highly significant statistically, and date was significant at p < 0.05. The validity of using a subjective score for weather in the regression was confirmed by checking that the residual values were normally distributed. TABLE 2 Stepwise Multiple Regression Analysis (Number of visitors registered by the stile counter (regday) in relation to the independent variables weekend/weekday (posweek), weather and date from 1 March (for date from March to September).) Variable B SEB Beta T Sig T R square Posweek 190.74 23.86 0.67 7.99 0.0000 0.356 Weather 73.75 20.53 0.33 3.59 0.0006 0.510 Date 0.49 024 0.18 2.00 0-0493 0.538 (Constant) -331.48 6123 -5.41 0.0000 220 Patricia E. Yalden, D. W. Yalden Human activity through the day We used units of 15 min to assess the spread of disturbance through the day; a 15-min period was scored as disturbed if people were present on the moor, for all or part of it. A lightly equipped hiker would travel 1 km in this time, though fully equipped long-distance hikers would only cover 800 m or less. Thus when we were making scans at 5-min intervals, a hiker might be counted 3-6 times, and our measure of disturbance is not a direct count of the number of individuals. Our observation day was restricted to the period 0900-1800 h; very few people are present on the moors outside those times (about 1.8% of 1983 crossings in April and 3.3% of 4058 crossings in May, from the stile counter). Over 27 observation days, all at weekends and Bank Holidays, totalling 921 observation periods, the Pennine Way immediately north of the access stile was disturbed for 67% of the observation periods; on the peak day, Sunday 25 May, it was disturbed all day (100% of 22 observation periods) and on both May Bank Holiday Mondays (4 May and 26 May) it was disturbed for 89% of the day (n = 36 observation periods each day). Clearly, use of that path can be both very heavy and almost continuous through the day. The pattern of use through the day is further indicated by two weekends shown in Fig. 3. On all four days, disturbance lasted all day, though some patterns of use are suggested. Hikers on a day's walk may park on or near the summit, and produce a peak of use in mid- morning (1000 to 1200 h) on their outward journey, and another peak in late afternoon (1500 to 1700 h) as they return. Long-distance hikers, having left Edale at the start of the Pennine Way, reach the Snake Summit, travelling northwards, to produce a peak around 1230-1330h. Human activity across the study area The pattern of use across the Snake Summit study area, scoring 15-min observation periods, is indicated in Fig. 4; this summarises 28 days (821 15-min periods) of observations north of the road, and 32 days (964 periods) south of the road, covering 22 March to 6 July. All of these were Saturdays, Sundays or Bank Holidays, and observations were restricted to 0900-1800 h. As already noted, the Pennine Way north of the access stile was the most heavily used part of the study area, disturbed 67% of the time; other major paths were disturbed 11-58% of the time. The intervening moorland areas were somewhat quieter, varying between I% on Coldharbour Moor and 19°/o on Area VII. These data can be used to compare the use of paths and moorland (Table 3). North of the Snake Road, the limited access points and well-surfaced paths channel visitor use, so that 92% of disturbance was concentrated on the paths, and less than 8%, ranged over the moor. South of Recreational pressure on blanket bogs 221 20 10. n n FLL' SAT 26 APR 20 SUN 27 APR 10 0 W I z Z) O U W J a O W CL AY SUN 4 MAY 0900 1000 1100 1200 1300 1400 1500 1600 1700 1800 DAYTIME (B.S.T) Fig. 3. The pattern of recreational use at Snake Summit through the observation day (0900-1800 h BST), plotted in 15-min periods, for two representative weekends. For 26-27 April, counts are of individual walkers seen in each period; for 3-4 May, counts are totals of people seen on three scans at 5-min intervals and some people may have been counted twice or three times within a 15-min period. (There were no counts for 1430h on 3 May.) Total counts were 208, 236, 893 and 896. the road, the access points are unrestricted, and the paths themselves more diffuse; 68% of disturbance was concentrated on them, and 32% ranged over the adjacent moorland. Presence of dogs Dogs, especially out of control, are a more serious disturbance to breeding birds than people, but all dogs on an access moor are supposed to be on a lead. In April, 21 dogs on leads and 26 dogs off leads but under reasonable control accompanied 164 people-a ratio of 1 dog per 25 hikers. In May and 222 Patricia E. Yalden, A W. Yalden -- 58.3 A - ' SNAKE SUMMIT - 147 O km 5.6 7.1 11 -- i i i i. ' - --- 2t9`? 15 9 8.1 16.9: i 4.7 33/4 19.4 197 ? I / 30 \ 08 38 O'5 B SADDLEWORTH MOORS Or km A -.000 24-8 3.8 \ Fig. 4. The pattern of recreational disturbance across the study areas I(& viewing point; heavy dashed line, major paths; thin dashed line, 1600 ft contour). (A) Percentage of the 15-min observation periods that were disturbed at Snake Summit (n = 821 periods over 27 days for north of the A57; n = 964 periods over 32 days for south of the A57; all at weekends). (B) Percentage of the 15-min observation periods that parts of the Saddleworth Moors study area were disturbed (n = 367 periods on 12 days). Recreational pressure on blanket bogs 223 TABLE 3 Pattern of Recreational Disturbance (Number of 15-min Observation Periods (n) in which People were Present) at Snake Summit, Comparing Use of Paths and Adjacent Moorlands No. of' disturbed periods % of disturbance (n) % of day disturbed Pennine Way North and Doctor's Gate 672 92.4 81.9 Area I and (821) Coldharbour Moor 55 7.6 6.7 Ash Path 170 68.51 964 17.6 Area V 78 ( ) 31.5 f 8.1 Pennine Way South 322 67.6 964 33.4 Area VI 154 ) 32.4 ( 16.0 June, 73 dogs on leads, 136 dogs off leads and 24 dogs running out of control were recorded, but people were not individually counted. Thus, overall, 66% of 280 dogs were off leads, and 8% were running wild. Calibration of the stile counter We could compare stile counter readings with our direct count of people using the stile for 9 days in March-April 1986. The stile counter registered in aggregate 991 people, when we actually counted 747; thus the stile counter was apparently giving readings that were 25% too high (varying between 11 % and 43 % on different days). The counter was mounted beneath the centre slot on the top platform of the stile, and we suspect that some visitors, in turning round on the top of the stile, registered themselves twice. In extrapolating usage of the moors from stile counter readings, we have reduced the figures accordingly. Comparisons between Snake Summit and Saddleworth Moors Saddleworth Moors were watched less intensively than Snake Summit, and only a subset of the data for Snake Summit can be used for making com- parisons. Twice as many people were seen in the Snake Summit area, both during watches in April-May and during censuses in June-July. A similar proportion, 68%, stayed on the Pennine Way across the Saddleworth Moors as on the Pennine Way South (Table 4). Fewer dogs were seen on Saddleworth Moors, though a similar proportion were off the lead. The quieter parts of the Saddleworth Moors, disturbed in different sections for between 0.8% and 3.8% of the observation time, were much quieter than the 224 Patricia B. Yalden, D. W. Yalden TABLE 4 Comprisons of Recreational Disturbance at Snake Summit and Saddleworth Moors Snake Saddleworth Mann-Whitney Summit Moors U test (P;U) Number of people counted, April-May-Total 796 376 (n, observation hours) (121.5 h) (125.7 h) Median (Range) 52 (25-167) 30(11-60) 0.002; 27.5 (n, days) (13) (13) % of time disturbed 67.2 24.8 (n, 15 min periods) (384) (367) Periods per day, Median (Range) 12 (7-21) 8.5 (2-12) 0.005; 24.5 (n, days) (12) (12) Number of people counted, Total 208 86 (on 5 censuses in June-July) Median (Range) 39(17-61) 14(5-36) 0.03; 2.5 % of people off footpaths 7.6-32.4 31.6 Number of dogs counted (April-May) Total 95 14 Median (Range) 6(0-15) 1 (0-2) 0.001; 13.5 (n, days) (13) (13) % dogs off lead 62 64 % dogs `wild' 6 7 moorland areas of Snake Summit (Fig. 4). The differences between the two areas were compared, using the Mann-Whitney U-test, by taking the daily records; all four differences were statistically significant at p = 0.05 or better (Table 4). DISCUSSION In suggesting that golden plovers had declined on his study area south of the Snake Summit, Yalden (1986) supposed that heavy recreational disturbance of the area was a major cause. The Pennine Way crosses his study area, and increased in mean bare width from 1.2 in in 1971 to 3.2 m in 1980 (Shimwell, 1981), suggesting an increase of 167% in recreational pressure (the Pennine Way was only opened in 1965). This paper quantifies the level of use of this area. The evidence that parts of the Pennine Way may be disturbed for 100% of the observation day at peak weekends, that over 30% of walkers, at least Recreational pressure on blanket bogs 225 south of the road (and on Saddleworth Moors), are not confined to well- marked paths and that over 60% of dogs are not (as they should be) on a lead, with 8% of them running wild, all indicate that the area is under heavy pressure. The heavy use of the area at the May Bank Holidays, at a critical time in the breeding season for moorland birds, is also noteworthy. These levels of use are probably much higher than expected, though no published accounts of recreational disturbance on blanket bog are available for anywhere in Britain. Picozzi (1971) is frequently quoted; on heather moorland, he reported that only 5% of people left the paths. He noted about 1 dog for every 20 people, close to our ratio, and remarked that only one (of 17) was on a lead, though none were out of control. In an unpublished pilot study, covering much the same areas as ours, Anderson & Tattersfield (1986) recorded a similar level of use of the access stile to the Pennine Way North (220 per day at weekends and 100 per week-day in July), but their study did not begin until mid-June. They found a similar increase in midweek use from June to August (Fig. 2), but had a much lower use at weekends in August. However, weather in August 1985 was very poor compared with 1986 (weather score at weekends, from Dr MacKenzie, included no poor days, 9 of score 2 and 2 of score 3 (good) in 1986, compared with 5, 3 and 2, respectively, in 1985). Around Snake Summit, they found only 12% of people were off footpaths, and 44% of dogs off leads; they recorded 1 dog for 31 people. The lower proportion of people off paths is probably a balance between the 8% we recorded north of the Snake Road and the 32% we found south of the road, though it may be partly due to the difference in study season. Visitors in July and August are likely to include more who are less familiar with moorlands and more likely to keep to paths, whereas in May the experienced local hikers form a higher proportion of visitors. Our comparisons with Anderson & Tattersfield (1986) use readings from the stile counter, but our direct counts suggest that the counter over- estimated use by 25%. Using this correction, we must modify our assessment of peak use to around 400 (rather than 500) visitors per day. We can also use it to modify the data in Table 1 and suggest that 7800 visitors cross the stile to or from the Pennine Way North during the bird breeding season (mid- April to mid-July). Further, using our ratio of 1 dog per 25 people, they would be accompanied by over 300 dogs, 25 of them out of control. A simple experiment conducted by Hudson (1983) suggests that a dog out of control disturbs 7 times as many red grouse as one `at heel'. The twofold difference in visitor pressure between Snake Summit and Saddleworth Moors certainly suggests a cause for the different changes in golden plover population reported by Yalden (1986) in the two areas. In 1981, a survey of the population suggested that it had declined by 50% on the southern moors (including Snake Summit) of the Peak District, 226 Patricia E. Yalden, D. W. Yalden compared to an earlier survey in 1972-74, while on the northern moors (including the Saddleworth Moors) the population had increased by 30%. Similarly, an annual survey from 1972 of the Snake Summit area suggested a 70% decline between 1975 and 1978 from which the population has not really recovered (Yalden, 1986). We have still to investigate the precise consequences of the recreational disturbance which we document here, and the way in which these declines came about. Recreational disturbance of golden plovers may interfere with establishment of territories, incubation, brooding or feeding of the chicks, or the eggs or chicks may be more vulnerable to predation if parents leave the territory. These are aspects which we are continuing to study. ACKNOWLEDGEMENTS This research is funded by Nature Conservancy Council research contract HF3-03-339, which we gratefully acknowledge, and we thank Dr D. B. A. Thompson of the NCC for his interest and advice. Various landowners, gamekeepers, and tenants (notably R. Clarke, C. Howarth, R. France and the National Trust) gave us permission to study on their land; Dr S. MacKenzie and Ms T. Morris shared stile counter readings with us, and notes on the weather; the telemetry equipment was bought for us by the now-extinct Department of Zoology at Manchester University, and we thank Professor D. M. Guthrie for his support; we were also loaned equipment by Dr R. Kenward, ITE, and Dr P. Morris, for which we thank them. Dr M. Jones and Dr M. V. Hounsome kindly advised us over statistical analysis and Mrs S. Hardman typed various versions of this paper. REFERENCES Anderson, P. & Tattersfield, P. (1986). The effects of recreational disturbance on the wildlife of the Peak District moorlands (Unpub. Report to Peak Park Joint Planning Board, Bakewell). Cramp, S., Bourne, W. R. P. & Saunders, D. (1974). The seabirds of Britain and Ireland. Collins, London. Hudson, P. (1983). Red grouse production and management in relation to tourism. In Moorlands: Wildlife conservation, amenity and recreation, ed. by K. Hearn. Recreational Ecology Research Group Report, 8, 45-54. Picozzi, N. (1971). Breeding performance and shooting bags of red grouse in relation to public access in the Peak District National Park, England. Biol. Conserv., 3, 211-15. Pienkowski, M. W. (1984). Breeding biology and population dynamics of ringed plovers Charadrius hiaticula in Britain and Greenland: Nest predation as a Recreational pressure on blanket bogs 227 possible factor limiting distribution and timing of breeding. J. Zool. Lond., 202, 83-114. Shimwell, D. (1981). Footpath erosion. In Moorland Erosion Study: Phase 1 Report, ed. by J. Phillips, D. Yalden and J. Tallis. Bakewell, Peak District National Park, 160-70. Tallis, J. H. (1973). Studies on southern Pennine peats, V. Direction observations on peat erosion and peat hydrology at Featherbed Moss, Derbyshire. J. Ecol, 61, 1-22. Watson, A. (1979). Bird and mammal numbers in relation to human impact at ski lifts on Scottish hills. J. Appl. Ecol., 16, 783-64. Watson, A. (1982). Effects of human impact on ptarmigan and red grouse near ski lifts in Scotland. Ann. Rep. Institute Terrestrial Ecology, 1981, 51. Yalden, D. W. (1984). Common sandpiper numbers and recreational pressures in the Derwent Valley. The Magpie, 3, 38-46. Yalden, D. W. (1986). The status of golden plovers in the Peak Park, England, in relation to access and recreational disturbance. Wader Study Group Bull., 46, 34-35. van der Zande, A. N. (1984). Outdoor recreation and birds: Conflict or symbiosis? PhD thesis, Leiden University. van der Zande, A. N. & Vos, P. (1984). Impact of a semi-experimental increase in recreation intensity on the densities of birds in groves and hedges on a lake shore in the Netherlands. Biol. Conserv., 30, 237-59. Biological Conservation 51 (1990) 243-262 Recreational Disturbance of Breeding Golden Plovers Pluvialis apricarius Patricia E. Yalden & D. W. Yalden* Department of Environmental Biology, The University, Manchester, M13 9PL, UK (Received 29 March 1989; revised version received 25 April 1989; accepted 3 May 1989) ABSTRACT Detailed observations were made of golden plovers Pluvialis apricaria being disturbed, during the breeding season, by people walking on the moors. During the pre-incubation period, the birds were sensitive to the presence of people within about 200 m, and flew more often. During incubation, golden plovers incubatedfor 96% of the time, but would have incubatedfor 98% of the time if they had not been disturbed. They flushed more readily in response to the presence of dogs than people on the moor, and took much longer to resume incubation when people were around. In the post-hatching, chick-guarding, period, adult golden plovers spent about I1 % of the observation day reacting to people; they flew more often, increasing their energy expenditure by 15%. Their chicks hid in response to the alarm calls of their parents, so could neither feed nor be brooded. In some cases, parents led their broods away from what had been satisfactory nest sites into quieter areas of moor, and encountered considerable resistance from the neighbours whose territories they invaded. INTRODUCTION There is some evidence that the population of golden plovers Pluvialis apricaria breeding on the southern moors in the Peak District National Park, England, has declined over the last 15 years, and a suspicion that this is the consequence of increased recreational disturbance (Yalden, 1986). We have demonstrated for one study area that recreational pressures can be * To whom correspondence should be addressed. 243 Biol. Conserv. 0006-3207/90/$03.50 ©1990 Elsevier Science Publishers Ltd, England. Printed in Great Britain 244 Patricia E. Yalden, D. W. Yalden very high-up to 8000 people visit the area during the birds' breeding season (mid-April-mid-July), and people may be present for 100% of the observation day (0930-1800 h) at peak weekends (Yalden & Yalden, 1988a). On open, blanket bog vegetation, people do not necessarily restrict themselves to footpaths; in two areas, we found over 30% of them wandering more generally on the moor. They are frequently accompanied by dogs (1 dog for 25 people is a typical ratio), and over 60% of the dogs seen were not on a lead. A more extensive survey of recreational pressure on the moorlands of the Peak Park has confirmed that these results are quite typical of the Park as a whole (Anderson, 1988). Observing that recreational pressure is high does not, of course, demonstrate that it is necessarily harmful to birds; some species tolerate, and some even benefit from, human activities. For example, it has been shown that snow buntings Plectrophenax nivalis have increased in the Cairngorms in winter, feeding in lay-bys on picnic scraps left by tourists (Watson, 1979). The conventional way to demonstrate that humans have a deleterious effect on birds is to look for negative correlations in their density or distribution. Thus, curlews Numenius arquatus breeding on duneland in The Netherlands have been shown to avoid visitor pressures of over 1000 ha -1 (van der Zande, 1984); oystercatcher Haematopus ostralegus, redshank Tringa totanus and Kentish plover Charadrius alexandrinus suffer from heavy pressure and benefit from protection (de Roos, 1981). Correlations of this sort are important evidence, but can be spurious, the consequence of independent interactions between birds, people and habitat, or between birds, people and time. Nor do such correlations explain how the changes in bird populations come about, information which would be important in devising conservation measures to ameliorate any problems. This paper presents a detailed study of the ways in which people and golden plovers interact. We were particularly concerned to evaluate the seriousness of disturbance at different stages of the breeding cycle (pre- incubation, incubation, post-hatching) and to examine the ways in which any reduction of population might have been produced. METHODS The study was carried out at the Snake Summit (Nat. Grid Ref. SK 087929), where the main A57 trunk road from Manchester to Sheffield is crossed by the Pennine Way long-distance footpath (Yalden & Yalden, 1988a). Observations were conducted from a car parked at the roadside. Presence of people, their location and route, also the presence of dogs, was recorded and Golden plovers and disturbance 245 analysed either in 15-min periods (1986) or in 5-min periods (1987-88). At the same time, the presence of golden plovers and (in the post-hatching period) their chicks was recorded, together with records of their behaviour (flying, alarming, brooding, fighting). A 20-60 x zoom telescope was used to watch the birds; during particularly busy periods observations were recorded on a tape-recorder and later transcribed, otherwise they were logged directly in 5-min periods. All observations of behaviour were made by P. E. Y. and are therefore consistent in that respect. Incubation was monitored by placing a temperature-sensitive bead, connected to a small radio transmitter (Biotrack SR-1), in each nest that was located. The transmitters each operated on a different frequency, and we were able to monitor up to four nests simultaneously. The bead was pushed up through the bottom of the nest-cup, and projected nearly to the level of the top of the eggs; it thus responded immediately when the incubating bird flushed or returned to the nest. The transmitter was buried nearby in a clump of vegetation, and the short projecting aerial evidently did not distract the birds. The signal was pulsed, the repetition rate being higher at higher temperatures. The cause of flushing still had to be monitored by observation, and most of the data-logging was also done manually; we left the receiver tuned to the most vulnerable nest, and tuned in to the others at 5-min intervals. It is not possible physically to watch more than one nest site or brood at a time, and the study was also dependent on birds deciding to nest within reasonable visual range of the car. In common with many behavioural studies, it is therefore difficult to assume statistical independence of the data. Nevertheless, all the conclusions we draw are based on 2 or 3 years' results, and relate to at least 12 nesting attempts-details of sample sizes are given as appropriate under results. In the post-hatching phase, golden plovers certainly react to anyone within about 200m of their chicks (Yalden & Yalden, 1989). In the pre- laying period, they do not overtly proclaim that they are being disturbed by calling continuously (alarming) as they do when they have chicks. It seems probable that they are nevertheless sensitive to anyone within 200 m, and we have therefore compared their behaviour between when people are present within 200 m and when they are absent. The distance was estimated in relation to various landmarks (footpaths, nest sites, etc.) and in 1988 to a series of short marker posts, whose relative positions were established by pacing them out (cf. Yalden & Yalden, 1989). Our results are thus of two sorts. We have some statistical comparisons of the behaviour of birds when people are present or not, and we have narrative evidence of the sorts of interactions between birds and people (or their dogs) which might be harmful. 246 Patricia E. Yalden, D. W. Yalden RESULTS Pre-laying period During the pre-laying period, golden plovers spend long periods standing in their territory. One pair, watched in total for 21.25 h over 3 days in 1988, was present for 93 % of the observation time. In 1986, on the Saddleworth Moors study site (Yalden & Yalden,1988a), birds were present for 62% of 55.75 It of observation, spread over seven days. A little of this time is spent in mating behaviour and nest building, but mostly the birds just stand, close together, in their territory. (They do not feed on the moors at this time of year; indeed from our observations the adults barely feed on the moors at all, but fly off to pastures about 5 km away.) This attendance in their territory would certainly allow them to judge its suitability, and its vulnerability to disturbance. The clearest example of such disturbance occurred on Sunday 27 April 1986; a male golden plover was standing in Area VI, below the Pennine Way, CHM •-54 R 12 F R Fig. 1. Disturbance to a male golden plover at Snake Summit on Sunday 27 April 1986. Times (BST) given beside tracks of golden plover (---3) and people (---s). CHM, Cold Harbour Moor; FBM, Featherbed Moss; HC, Holden Clough; PW, Pennine Way; VI, Area VI; VII, Area VII. Golden plovers and disturbance 247 at 1226h (Fig. 1), when a hiker walking north-west of the Pennine Way towards the Snake Summit travelled through the area, zig-zagging to avoid the peat hags. This caused the golden plover to alarm, then, at 1235 h fly a short distance (c. 100 m) west, further into Area VI. At his nearest, the hiker was about 50 in from the bird. At 1238 h, another hiker leaving Area VII crossed Holden Clough into Area VI, and walked out to the A57; the golden plover, in view throughout this period, was clearly alarming and keeping the hiker in view. At 1242 h, it flew back south-eastwards about 400 in onto Featherbed Moss and was temporarily lost to sight. At 1246 h, some alarming was heard from Featherbed Moss, and at 1250 h a golden plover flew up into song flight over the Moss; two more golden plovers joined it, flying their own circuits, landing at 1254 h. We interpret this as indicating that the bird displaced from Area VI had infringed the territories of its two neighbours, causing all three to proclaim their boundaries. We suspect that the displaced bird nested on Cold Harbour Moor, but as we did not colour- ring adults this cannot be proved. TABLE 1 Number of 5-Min Observation Periods in which Golden Plovers (GP) Were Observed to Fly, in Relation to Whether or Not Hikers Were Within 200m of the Birds People Total Not within 200m Within 200m Observed (Expected) GP fly 43 24 (7.6) 67 GP stay 405 33 (49.4) 438 Total 448 57 (57.0) 505 X2 =41.2, p<< 0.001. Records of this sort suggest a statistical test of the reality of recreational disturbance in this period; golden plovers should fly more often when people are present within 200 in. This was examined for 21 days of observation, relating to 5 territories, in 1986 and 1988 together. Golden plovers fly relatively infrequently (in 13% of the 5-min observation periods) but they certainly fly much more readily when people are present within 200 in (Table 1), and the difference is highly significant. Golden plovers do not always fly off when people are near; they will often walk quietly out of the way, especially if people pass tangentially or stay on the main road. 248 Patricia E. Yalden, D. W. Yalden Incubation Over the three years, temperature-sensitive radios were placed in 9 nests and monitored on 59 nest-days, a total of 399 h of records. We used these to ascertain constancy of incubation, to alert us to breaks in incubation, to relocate the nests ourselves (to check on proximity to hatching) and to check the return times after disturbance. Constancy of incubation During our observations, incubating golden plovers were sitting for 96.6% of the time, even including the accidental disturbance that we recorded (Table 2); excluding such disturbance they were sitting for over 98% of the time. Our observations were concentrated in the period 0900-1800 h, since our prime concern was with recreational disturbance, and we could have under-recorded breaks during mate change-overs. Even so, it is clear that golden plovers incubate nearly constantly, as Parr (1980) and Byrkjedal (1985) also found. Recreational interruptions of incubation In observations of 6 nests, we recorded 13 interruptions of incubation; these included one case where a family flying a kite over the nest disturbed it, once when a birdwatcher strayed too close and stayed in the area for over 2 h, 3 records of hikers by themselves and 8 cases where people accompanied by dogs caused the bird to leave. Analysing the observations for all occasions when people approached within 200 m of these nests, it is evident that people TABLE 2 Constancy of Incubation by Golden Plovers Year Nest n (days) n (5-min) % Constancy of incubation Inclusive Exclusive 1986 VI 11 950 96.0 96.8 1986 MEM 3 265 88.7 94.3 1987 LFB 2 166 94.6 94.6 1987 CHM 9 792 98.7 98.7 1987 I 8 704 99.3 99.7 1987 UFB 5 446 100 100 1988 UFB 11 790 96.7 99.9 1988 CHM 5 369 99.2 100 1988 RHS 5 305 89.8 98.4 Total 9 nests 59 4 787 96.6 98.4 The number of 5-min records when birds were, or were not, sitting, using only days with at least 2 h of observation. Calculated either including or excluding periods of accidental disturbance Golden plovers and disturbance 249 TABLE 3 The Likelihood of Golden Plover (GP) Incubation Being Interrupted by People Accompanied by Dogs Passing within 200 m of the Nest Site (85 Observations of 6 nests, 1986-1988) People Total With dog Without dog GP put off 8 5 13 GP sat tight 4 68 72 Total 12 73 85 Fisher's Exact p = 0.000 02. accompanied by a dog are much more likely to cause the golden plover to interrupt incubation than people alone (Table 3). Distance of disturbance to incubation For both the 13 accidental disturbances mentioned above and a further 83 deliberate disturbances when we went to check the nests for hatching, we (n' 0 U W W 11. 0 W W m Z D D D D D 1 D D D 1 D 1 D 1 D 1 D 1 1 D D 0 D D 1 D 1 D 1 D 1 D 1 D 1 D 1 1 0- D D D 5- 1 D 1 D 1 D 1 0-4.9 5-9.9 10-49 50-99 >99m FLUSHING DISTANCE Fig. 2. Distances at which incubating golden plover flushed, grouped into irregular distance categories. Records when dogs were present (D) and first visits (1) are identified (n = 96 records). 250 Patricia E. Yalden, D. W. Yalden TABLE 4 Distances at which Incubating Golden Plovers Flush' in Relation to (a) whether the Nest was being Visited for the First Time, (b) whether a Dog Accompanied the People. Golden ploverflushed at Total 0-9-9M Over 10m (a) First visit to nest 7 11 18 Subsequent visit 50 28 78 Total 57 39 96 (Xz = 3.85, p = 0.047; Fisher's Exact p = 0.09) (b) Dog present 10 17 27 No dog present 47 22 69 Total 57 39 96 (Xz = 7.77, p = 0.006; Fisher's Exact p = 0.01) ° Based on 96 records. estimated the distance at which the bird flushed. These distances ranged from 1 m to over 200 m, a variability which makes analysis difficult and perhaps statistically dubious (Fig. 2). The variation was partly due to the difference between our cautious approach to nests which we knew and the more brusque approach of ourselves or others to unknown nests (in our case, that is, when we initially discovered them). A comparison of whether the golden plover flushed at less, or greater, than 10 m distance with first or later visits might be statistically significant (Table 4), depending on whether one accepts the XZ or Fisher's Exact Probability. There is, however, a strong suspicion in our results of individual variability. At 3 nests, in a total of 22 visits to check the progress of incubation, the birds flushed at less than 10 m every time; yet at 2 other nests, in 9 re-visits, only once did the bird flush at about 10 m, and on other occasions flushed at ranges of 30 m to over 100 m. This suggests Ratcliffe's (1976) postulated dichotomy of `sitters' and `fliers'. Another, very evident, source of variation was the presence or absence of a dog accompanying the people; golden plovers are certainly more likely to flush at greater distances when a dog is present (Table 4). These data are too few, and their statistical independence too dubious, to allow more complex, multivariate, analyses. They also suffer from bias: it is easy to see, and record fairly precisely the distance, when a bird flushes close to the observer, whereas a distant bird may slip away unobserved. However, Golden plovers and disturbance 251 the few cases when the birds flushed at greater ranges, and also in response to dogs, are perhaps much more significant than the many cases when the birds tolerated close approaches by ourselves, sometimes with our labrador. Return times Using the temperature-sensitive radios, we were able to time the return of the incubating bird on 56 occasions, relating to 9 nests over 3 years; these followed both accidental (recreational) disturbance and our own visits to the nests. The quickest return was 5 min after we had left a nest, while the longest timed return was 129 min, though two longer absences, of at least 149 and over 300 min were also recorded. Return times were longer when other people were present on the moor during the putative return period; the median return time in 39 cases when no-one was on the moor was 17 min (range 5-83 min), compared with a median of 80 min (range 13-over 300 min) in 17 cases when people were present. The difference is highly significant (Meddis non-specific test, H = 23- 1, p = 0.00003). Post-hatching period Some observations were made of 6 broods of golden plovers, covering 50 days of observation and 2473 5-min observation periods. However, most records relate to 3 broods, one each year, which provided 12, 17 and 16 days of observation. The other broods moved out of range of the observer after 1-3 days of observation. Adult attendance Adults were visible, guarding their chicks, for about 78% of the observation periods; in fact, on most days their attendance was around 95%, falling off for the two UFB broods only when the chicks were over 32 days old (Table 5). This high attendance is important for this study, since reactions to people or other disturbance can only be recorded when the birds are visible. Reaction to people Each 5-min observation period was scored, hierarchically, for presence of golden plovers, whether they flew, and whether they alarmed or showed other anxious behaviour. These periods were also scored for whether people were within 200 in of the golden plovers, and the anxiety behaviour was attributed to the presence of people, to other birds (including reacting to other golden plovers, attacking pageing dunlin Calidris alpina (Yalden & Yalden, 1988b) and responding to raptors) or assumed to be spontaneous (Table 5). Overall, people were present for nearly 15% of the observation periods, and the golden plovers reacted to them for over 11% of the time. This 252 L o l 0 cA b y ? O? C. y E" v V} ` c0 y 3 .a 7 O 1". U W 'L 0 3 o g C ,_„ N cd Q ? C 0 3 L y L a ? o a? a +U+ tU., L ? o v+ o a ? rW.l ? G, O d c G ?'' U y U '> n ? L ., 3 c :ti s c C7 3 0 C7"o N ? f?0 a 3 c b N O vaO C ? N .D .b Q c.. O c ? 0 3 a o .o L O a Patricia E. Yalden, D. W. Yalden y? r CV a Oi O O M N N 00 Fq r- Jz r- 00 ?o N O O O? M i •'0 x 4 p k °°^oN°v? I ? 0 W) 00 0 W) ?o C-4 Q 00 ON CD ? 0 --? ?G a • N It 00 -+ fn M M N M •-- rr W) N ?O C? Q ' a' a M ;O 00 M- oM r ao ? .h kn N 0 C N 00 N rn Ol ?O rl- y O` 0000 000-? hp C M O 'y 5 N M M M M v1 Q U M o r- t- 00 00 00 00 00 00 00 00 00 O? 01 O?O? O? O N ? O 0 N VI' r M - -It N N r C ° o N 0 v ? y o ? r-4 o e M o N M N x op c ? C c a ° C l C7 t- Golden plovers and disturbance 253 reaction time was in addition to nearly 4% of their time reacting to other birds and 11 % of spontaneous activity. The clearest category of disturbance is the flying (since some anxiety behaviour might come from trying to maintain contact with the chicks or with a mate), and the golden plovers flew about 5 times more frequently when people were present. Putting the same results another way, golden plovers were observed to fly in 194 periods when no-one was present and a further 132 periods when people were present, so that human disturbance increased the amount of flying by 68 %; flying is, of course, an energetically expensive activity, probably about ten times as expensive as standing on guard (Barnard & Thompson, 1985). Similarly, other anxious behaviour was increased through the presence of people by 90%. The extent to which golden plovers spent their day reacting to people varied, of course, with the day of the week and with the particular location of the brood in relation to footpaths; public use of the moors is much higher at weekends and bank holidays, and much higher on or near main footpaths (Yalden & Yalden, 1988a), reaching 100% of the observation day at peak times on the main paths. In order to investigate this point further, in particular to seek either a degree of habituation by the birds or a ceiling level above which they would not tolerate disturbance, we plotted the relationship between the amount of time birds spent in anxiety behaviour (including alarming and flying) and the amount of time people were present in their territories. The result (Fig. 3) is not clear-cut, but does present 75- A ? ? ? e p so- w ? ? v Q 4 p 0° V) ? ? i } 3 C Q w • v ° i C i • O o ? ? ? v i 15 30 45 60 75 OBS. DAY THAT PEOPLE PRESENT Fig. 3. The proportion of each observation day (5-min recording periods) in which golden plovers displayed anxiety behaviour (alarming, running, flying) compared with the proportion of that day when people were present in the territory. The clusters A, B and C are discussed in the text. ?, VI 86; A, 187; p, UFB 87; Q, 188; p, RHS 88; 0, UFB 88. 254 Patricia E. Yalden, D. W. Yalden the results in a visually useful way. There is a methodological problem, however, because if we had selected only to plot periods when birds were present and reacting to people, we would have obtained the relationship we expected, but been vulnerable to the accusation of bias by selecting our results (i.e. by omitting periods when the birds failed to react to people present). Each point on Fig. 3 therefore represents a day of observation, with all anxiety behaviour (to birds, and spontaneous, as well as to people) plotted against all visitor presence (whether or not the birds were seen). There appear subjectively to be three clusters of results. Cluster A (Fig. 3) contains 8 days when the golden plovers were very anxious, though few or no people disturbed them; these include 3 days when the golden plovers spent some time attacking dunlin or other golden plovers, and 3 days when a lot of calling was registered (2-4 days post-hatching) from a brood very near to the car/hide, which was probably in fact contact-calling to the chicks (cf. Byrkjedal, 1985). The central cluster of results (Fig. 3B) suggests a linear relationship of anxiety to the presence of people, superimposed on a level of perhaps 15-20% `spontaneous' anxiety behaviour. There might be a ceiling level, about 55% of the day reacting to people, but this result is not convincing. However, cluster C contains 8 days when people were present in the territories for 30-70% of the day, yet golden plovers hardly reacted to them. In every case this is because the adult golden plovers had in fact left their territories, either flying off the moor or having led their chicks away onto a quieter area of moorland. Chicks hiding It is presumed that, by alarming, the adults warn their chicks of the danger, allowing the chicks to hide (but stopping them from feeding). In that case, chicks are much more likely to be seen by the observer in an observation period when the moor is quiet than when people are present. This expectation is clearly realised, and the difference is highly significant (Table 6). Brooding and feeding Chicks were difficult to see, and only visible for about 27% of the time (Table 6); opportunities for recording brooding and feeding were therefore few. In 1986, the weather was mostly fine when the brood was being reared, and brooding was only seen on one day; on 24 June, at 3-days old, the brood was watched feeding, then brooding for 9 min, feeding again and then brooding for 10 min until interrupted by approaching walkers who were about 200 m away. In 1987, the weather was generally poorer, and 35 brooding periods were timed, as well as 33 chick-feeding periods. The most significant observa- tions, for this study, concern Tuesday 2 June, when both adult golden plovers Golden plovers and disturbance 255 TABLE 6 Visibility of Golden Plover Chicks in Relation to the Presence of People (n = 1844 5-min observation period) People Total Present within 200m Not present Chicks visible 18 480 498 Chicks not visible 127 1219 1346 Total 145 1699 1844 X2 = 17.0, p = 0.00016 were in attendance on a 3-day old brood of 3 chicks beside the Pennine Way North (Fig. 4). Observations of the brood lasted from 1043 to 1740 h BST, during most of which it was raining. It was possible to time 11 brooding periods (3-17 min; x 11.9, SD 4.04) as well as 7 feeding periods (R 5.4 min) but three of the brooding periods were terminated by recreational disturbance, twice by hikers and once by a runner. On each occasion, it took the adult 3-4 min to resume brooding, and two interruptions occurred during heavy rain. If the pattern of 10-12 min brooding periods interspersed with 4-10 min feeding bouts represents the optimum pattern for such young chicks, additional interludes of 3-4 min when neither feeding nor brooding is possible represent major disruptions of behaviour. Overall, brooding periods were relatively consistent in length, at around 10 min (Table 7) with some indication that older chicks might be brooded for much longer; this is less surprising than the observation that chicks as old as 28 days were indeed brooded. By this age, they have virtually full plumage and are nearly full size (linearly, though still much lighter than adults). Feeding periods were much more variable, and much longer in older chicks. Young (3-day-old) chicks feed in 10 min periods, but older chicks may feed for 40 min or more between brooding periods; indeed, this figure is probably not very meaningful, because in good weather older chicks, in particular, will not be brooded at all and may well feed intermittently throughout the day. Moving off The episode detailed in the previous section concerned a weekday, i.e. a relatively quiet time. Overall, the parents were disturbed by people for 11 % of that day (49 min out of 7 h 27 min), but at peak weekends, that area may be disturbed for 100% of the observation day (Yalden & Yalden, 1988a). The obvious response might be for the adults to lead their chicks away from the 256 Patricia E. Yalden, D. W. Yalden 27-2e v zo .I - 24,11, t? i 16-22. ?/ A72fi\ O ?". 1z9 v 13 29. n.v -•z`9.v A57 CHM I I 1 1 \ . I \ i , I IL! ? I O \ 13.v Y \ 1 ? \ I t \ I ` 1 29.vi •20 vi I \ I ? 1 X21 V1 1 1 .^r^ I I I I I I ?• I I I I I .F6'1o -1t,v 1 v-4.v1 ... .. !.v ? 1I ?5-13 VI I O km 05 0 3 Fig. 4. Areas used by 5 broods of golden plover chicks under observation in 1988 (cf. Tables 5 and 7), and tracks (with dates) of 4 broods which moved away from their nest site apparently in response to excessive human disturbance. x, known nest sites; Q, sites where fighting recorded. The UFB birds did not move far from their natal area, but did take over the natal area of LFB birds, and constrained both the LFB and RHS broods. disturbed zone, which is precisely what happened with this particular brood; on Friday 5 June; only three days later, the male was seen, with at least one chick, about 100m further southwest, away from Pennine Way North toward the very quiet zone of Cold Harbour Moor, and during the day it moved further onto Cold Harbour Moor (Fig. 4). It showed some aggression to the resident dunlin between 1238 and 1420 h, but at 1526 h was close to another male golden plover. From 1542 to 1554 h and again from 1622 to 1628 h, there was fierce fighting between the two males, something we have not observed at all on the moors during the period when territories are being established in late March-early April. The resident Cold Harbour Moor golden plovers had much older chicks, about 3 weeks old (one at least of Golden plovers and disturbance 257 TABLE 7 Duration (in Minutes) of Completed Bouts of Brooding and Feeding Periods of Golden Plover Chicks, Snake Summit, 1986-1988° Brood Year Age (days post-hatch) n Brooding z SD n Feeding z SD VI 1986 3 1 9 - 2 7 0 UFB 1987 3 11 9.1 2.7 9 8.9 3.3 UFB 1987 4-8 7 8.1 2.9 8 48.9 55.9 UFB 1987 25-28 7 17.9 11.3 7 48.6 37.0 I 1987 3 10 11.9 4.0 7 5.4 2.3 UFB 1988 9-20 7 11.1 3.1 3 8.7 2.3 Overall 43 36 ° Observations of 4 broods, made on 14 days. which was present during this afternoon). Fighting was seen again, in the same area, the next afternoon, and with lessening intensity at least over the next 12 days. Exactly the same thing happened in 1988; we failed to find the nest in Area I that year but, from the behaviour of the adults, it hatched on 26 May. On Sunday 29 May, the parents were moving their brood away from the Pennine Way toward Cold Harbour Moor; on the following Wednesday and Thursday (1-2 June), fighting, flying, stalking and `yodelling' (the aggressive `too-roo-too roo'; call V, Cramp & Simmons, 1983) occupied up to 91 % of the observation day, and some aggression was recorded through the following 14 days. A further three broods in 1988 moved away from where they hatched to quieter parts of the moor. A nest in Area 11, which hatched on 16 May, was not found until 2 weeks later; it had been within 50 in of the main A57 road. When first seen, the brood was about 200 in away from the road, near Doctor's Gate Path, and stayed thereabouts for their first week, but subsequently moved even further north, beyond that path and out of our view. A nest on lower Featherbed Moss, about 100 in south of the A57, hatched on about 10 May; by Saturday 14 May this brood had moved about 400 in south, stayed there to 28 May, and then moved a further 400 in south by 5 June. Another rather late nest, monitored through incubation, hatched on 18 June; by 20 June these had moved 200 in south- east up Featherbed Moss, away from the paths, and by Friday 24 June they had moved 600 in south-west into the gullies around the head of Withins Clough. Possibly other neighbours constrained them to edge 100m back toward the Pennine Way on Sunday 26 June, where they were disturbed for 40% of the time they were in view, and on Tuesday 28 June they had moved back 300 in to the south. 258 Patricia E. Yalden, D. W. Yalden Direct mortality Very young chicks are exceedingly vulnerable, and we killed perhaps 3 (out of 52 handled) in accidents (two trodden on, one was apparently mis- brooded, dead beside the nest cup in a crouched position). Older chicks are more robust, and it is therefore disturbing to record three which had apparently been killed by dogs. One chick, about 3 weeks old and weighing 105.5 g, was found freshly dead beside a footpath on 17 June 1987; at post- mortem it had an obvious canine tooth wound on its right wing, near the elbow joint, and another, in the middle/right flank associated internally with substantial haemorrhaging over the right femur and adjacent flank. The punctures were about 30 mm apart, consistent with the canines of a dog. The chick had been in good condition, with noticeable fat reserves over the pectoral muscles. A second bird, a juvenile about 5 weeks old, was found on 8 July 1987, but had been dead a few days and was less easy to post-mortem. There appeared to be puncture marks in the skin either side of the thorax, and depressions about 25 mm apart in the pectoral muscles. There appeared to be clotted blood around the heart just inside one of these punctures. The third case, a young chick, was ringed at the nest on 11 May 1988, and last seen alive on the evening of 22 May at 1915 h. On 5 June, its decayed corpse was found in the area where it had been watched, only 70 m off the Pennine Way. It was little more than a skeleton, and cause of death could not be established; it had not, however, died of starvation, for its crop contained at least 45 adult Tipula subnodicornis, 1 lycosid and 1 liniphyid spider and 1 curculionid beetle. A predator would have carried off or eaten these corpses, and we therefore conclude that these three deaths were due to dogs; their proximity to footpaths suggests the same. DISCUSSION When we began this study, we suspected that golden plovers, and other ground-nesting moorland birds, would be most vulnerable to disturbance during incubation; we envisaged either that the eggs would chill and die if the birds were flushed too frequently, or that they would be rendered vulnerable to predation by crows and gulls. Our results suggest that incubation is probably in fact the least sensitive period. Sitting birds would often tolerate us approaching to within 10 m of the nest, and several successful nests were located in `quiet corners' of the moor, well within 200 m of paths and the road, a proximity that they no longer tolerated when they had chicks. We also found relatively little evidence of nest predation (Yalden & Yalden, in prep.). This is not to imply that they are invulnerable during incubation. Their greater sensitivity to dogs than to people must cause concern, when we Golden plovers and disturbance 259 estimated that the area is used during the breeding season by about 300 dogs, with over 60% of them off the lead (Yalden & Yalden,1988a). The reluctance of a flushed golden plover to return to its nest when people were present on the moor is also cause for concern when, at peak times, this can be throughout the day from 0930 to 1830 h (Yalden & Yalden, 1988a, Fig. 3). The poor hatching success in this area in 1988 (when half the eggs in active nests failed to hatch, Yalden & Yalden, in prep.) may have been due to such interrupted incubation, especially since, as both we and Byrkjedal (1985) found, incubation constancy is normally about 98%. Adult golden plovers are most obviously disturbed by people during the post-hatching period, when they are guarding their chicks. They call anxiously (`alarm') at anyone within about 200 m (Yalden & Yalden, 1989), and may fly or run anxiously round them throughout the period of their presence. Both the alarming itself and the anxious behaviour must be energetically demanding; they call about 40 times min-' when alarming (time for ten calls, x = 16 s, SD 4.1, n = 12) and regularly keep up this rate of calling for the 15-20 min that it takes a hiker to cross the territory. Using the energy costings suggested by Barnard & Thompson (1985) and taking alarming to be equivalent to ground chasing (5 x BMR), we can suggest that recreational disturbance might make chick guarding 15% more expensive for each adult golden plover (Table 8). The extra 7 kcal required daily by this estimate imply, at a food intake rate of 2 cal s -', an extra 58 min of foraging, time which is spent away from the moors on pastureland, and therefore implies less efficient guarding of the chicks. These putative extra costs to the adults are likely to be much less serious than the costs to the young chicks, but we cannot evaluate the latter. It is clear that chicks do hide in response to their parents' alarm calls, and can therefore neither feed nor be brooded. At present we have insufficient knowledge of their metabolic rates, feeding rates or overall activity patterns to evaluate the costs of these interruptions; in our own studies, it was difficult enough to see the chicks, and we certainly could not count peck rates. In any case, such costs may be unimportant in warm weather, when metabolic costs are low and insects are abundant, yet fatal in cool, damp conditions. In our crude comparison of fledging success between this heavily disturbed moorland and the quieter area 15 km away (Yalden & Yalden, in prep.) we found no apparent difference between the two study areas; however, we scored as `successful' any territories that were occupied by alarming parents for five weeks or more. If, on average, territories on the quiet area fledged 2 chicks per brood, as against 1 chick per brood in the disturbed area, we could not have recorded the difference. Perhaps the most significant results are the sensitivity of the pre- incubation golden plovers, and the post-hatching birds moving with their chicks away from their nesting areas, apparently in relation to disturbance. 260 Patricia E. Yalden, D. W. Yalden TABLE 8 Estimated Daily Energy Costs to Adult Golden Plovers of Recreational Disturbance Period Activity Time BMR Energy costs (kcal) (h) multiple Per 24 h No people People present Night Rest 7.00 1 25.77 7.52 7.52 Observation day (9 h) Anxious 0.60/1.15 5 128.85 3.02 5.76 Flying 0.70/1.19 12 309.24 8.42 14.26 Guarding 7.69/6.67 1.25 3221 9.61 8.33 Rest of day (8 h) Anxious 0.54 5 128.85 2.68 2.68 Flying 0.62 12 30924 7.49 7.49 Guarding 6.83 125 32.21 8.54 8.54 Total 23.98 - - 47.28 54.58 Approximate costs of various activities (in multiples of BMR) are taken from Barnard & Thompson (1985). In calculating these budgets, it is assumed (1) that a 7-h May night is spent resting/brooding at BMR; (2) that the proportion of time spent during the 9-h observation day conforms to the pattern of Table 5; (3) that the rest of daylight is spent in the same proportions as the observation day without people. Energy expenditure is overestimated by assuming that, for example, flying occupies the whole of a 5-min period; this is balanced by using the modest estimate of 12 x BMR, rather than, say, 15 x BMR. With hindsight, this is the obvious response of a bird to too much disturbance; because it is not a dramatic interaction (as, for instance, is alarming), its importance has perhaps been underestimated. Movements iri the pre-incubation period are likely to result in the birds moving off the study area completely; this is presumably the cause of the low populations recorded in this study area by Yalden (1986), and in the first year of this study. If there are nearby moors which can absorb these displaced birds, the population as a whole will not decline; and in recreationally quieter years, such as 1980, such displaced birds or their offspring might repopulate the study area, as seems to have happened also in 1987 and 1988 (Yalden & Yalden, in prep.). Moving around with chicks in the post-hatching period must be constrained by the proximity of neighbours. The fierce fighting which we observed in both 1987 and 1988 as the Area I birds moved onto Cold Harbour Moor must have been as energetically expensive as reacting to people, and equally inefficient as guarding. In 1986, with only 2.5 pairs km -2 and a high (45%) breeding failure, surviving broods had plenty of space into which to move in avoiding people. Even in 1988, with 5.6 pairs km -2 in the study area as a whole, the 2 km2 under surveillance at Snake Summit contained only 5 pairs, not the 11 pairs that might have been expected. Because it is at the `crossroads' between the Pennine Way and A57, Golden plovers and disturbance 261 a major access point to the moorlands, and has several subsidiary paths as well (Doctor's Gate, `Stake Path', `Ash Path'-Yalden & Yalden,1988a), this area is likely to be the first to show a reduced population as a result of disturbance. Thus, we conclude that golden plovers are vulnerable to disturbance at all stages of the breeding cycle, but the principal mechanism producing a low breeding population is avoidance behaviour during the period when they are selecting their territories at the start of the breeding season. ACKNOWLEDGEMENTS We thank Prof. D. M. Guthrie, of the former Department of Zoology, Manchester University, for financing the purchase of the radio-telemetry equipment, Biotrack Ltd (Dr R. Kenward, Brian Cresswell) for supplying, loaning and advising on it, also Dr P. Morris for loaning a receiver when ours was delayed. The work was financed by NCC contract HF3-03-339, which we gratefully acknowledge, along with Dr D. B. A. Thompson's help and advice. The support, financial and otherwise, of Professor J. A. Lee and others in the new Department of Environmental Biology, has also been invaluable, as has permission of various landowners, tenants and gamekeepers to work on their land. We thank June Underwood for typing the paper. REFERENCES Anderson, P. (1988). Moorland recreation and wildlife in the Peak District. Peak Park Joint Planning Board, Bakewell (unpublished report). Barnard, C. J. & Thompson, D. B. A. (1985). Gulls and Plovers: The Ecology and Behaviour of Mixed-species Feeding Groups. Croom Helm, London. Byrkjedal, I. (1985). Time-activity budget for breeding greater golden plovers in Norwegian mountains. Wilson Bull., 97, 486-501. Cramp, S. & Simmons, K. E. L. (eds) (1983). Handbook of the Birds of the Western Palaearctic, J. Waders to Gulls. Oxford University Press, Oxford. de Roos, G. T. (1981). The impact of tourism upon some breeding wader species on the isle of Vlieland in The Netherlands' Wadden Sea. Med. Landbouwhoge- school, Wageningen, 81-14, 1-131. Parr, R. (1980). Population study of golden plover Pluvialis apricaria using marked birds. Ornis Scand., 11, 179-89. Ratcliffe, D. A. (1976). Observations on the breeding of the golden plover in Great Britain. Bird Study, 23, 63-116. van der Zande, A. N. (1984). Outdoor recreation and birds: conflict or symbiosis? PhD thesis, Leiden University. 262 Patricia E. Yalden, A W. Yalden Watson, A. (1979). Bird and mammal numbers in relation to human impact at ski lifts on Scottish hills. J. Appl. Ecol., 16, 783-4. Yalden, D. W. (1986). The status of golden plovers in Vie Peak Park, England in relation to access and recreational disturbance. Water Study Group Bull., 46, 34-5. Yalden, D. W. & Yalden, P. E. (1989). The sensitivity of breeding golden plovers Pluvialis apricaria to human intruders. Bird Study, 1, 36, 49-55. Yalden, P. E. & Yalden, D. W. (1988a). The level of recreational pressure on blanket bog in the Peak District National Park, England. Biol. Conserv., 44, 213-27. Yalden, P. E. & Yalden, D. W. (19886). Plover's page or plover's parasite? Aggressive behaviour of golden plover toward dunlin. Orn. Fenn., 65, 169-71. u Re: Keep the dogs home and the beach rlecali, letter, Aug. 17. Year after year, people from arotnxi the world travel to the cit.l of Clem ;vater to.experienceout- prisliuewaters, -bite sandy beaches and fari:ily-orient--, Department and, the City of t, if ?r ?:ttt i take the utmost pride in pro"'i-dilig citizens and visitors ?,viiti .t safe and enjoyable atmespherc. • . 1 understand ' regarding dogs on ih,! h= and assur: - you chat the offcr_? YS of tli;' C1c;iPxFoiC.`r Police Departincnt make ??}ctfort to provide a safe enviror:m--tit for all to enjoy. 'Pie city of Clearwater h,-.S several ordinances that relate to restrictions oil dogs and their owners. Specific to Clearwater Beach, dogs are prohibited by city ordinance from being on any part of the public bathing beach. However, the area that you Oct! (nof th Clearwater Reach) is by definition in the Clearwater Coda of s Ordiriaice not:a public bathing beach. It. is private property to the inean high water mark. I lierefore, police officer,; are restricted in the actions they can take to pi ohibit dogs oil the privately ownkcl beach. `l lie area below the mean high water mmi k oil North (;learner t leach is oti?rtted by the state of Fiorida an,.l is also not defined or maintained as a public bathing beach; therefor,, dogs are not prohlbitedfrom thatarea, I tie teach access ways located on mirth Clearwater Beach are city tiro Petty and the prohibited activities listed on the signs can be enforced only witiiin the.small access areas down to li-ie inean high water mark. In any ever,;, t'u owners of dogs are pro,iibitea fi oll-Is k iIitig their aninials fun at large: (i;;eaiiing outside at least the owner's v)ice commands) and are required ,10 rcinove all excrement deposited by th. €> am mis on City propc.t ty oi' r7i1 r r.Ct lit ivate property of oilier w_'i , ns. hnretrrard to your cone erns, w, ,.x pped a our patrols of [lie north r;le;itwateir Beach area. fn [he future, itre iiiost eM ient way to address the activifyyou initortunately_witne?,se;i k I.o inr'metSlately report it to the police d r'li t hE;Ilh Iluat (rinse Concet-its tto not 1et?,s PM f?r;?tr {;??r rr-s;ular visits to Sid Klein CW;.F of Police, city of Clearwatet,- .y May 7, 2009 Mayor Hibbard and City of Clearwater Council Members Good afternoon gentlemen and lady, I am writing as a citizen who has a great interest in this controversial issue. I happen to own several dogs, 6 to be exact. Most people think that I am crazy but just, as Ms. Petersen has chosen to assist the homeless people efforts; I have chosen to assist in the homeless DOG efforts. Clearwater has become so well known and loved by most (including tourists) because of the Sports facilities, the beautiful beaches, and many other great amenities that this city offers. We are innovative and usually ahead of other cities. Our CATF (Clearwater Area Task Force on Human Trafficking) is recognized nationwide and used as a model for other communities. Our Code Enforcement division has been used as a model to be followed by other municipalities, especially in regards to the Residential Rental Program. Our beaches are sought out by tourists world wide. It is becoming more and more accepted to take your pet to the store with you. On Clearwater beach there is now at least one restaurant that is dog friendly. This has attracted the attention of the animal community and has brought business to the Clearwater Beach area. We need to be innovative on this topic as well. We should be ahead of the citizens and take the initiative step to make certain areas dog friendly (while we could choose to restrict dogs in other areas). This could be included in the Beach Walk initiative. Our City is having a Pet Festival this weekend for animal lovers and their pets to come. If we are going to welcome people and their pets, then lets do it. If there is a problem with dogs (or humans) annoying or harming the wildlife on North Clearwater Beach then let's educate the dog owners. A true pet lover would not want the wildlife disturbed or the dogs banned. North Clearwater Beach is not a dog heaven - a Disney World of dogs on the run - you can count on one hand the amount of dogs with their owners at any one time. There are rules that should be adhered to as well. Let's preserve North Clearwater Beach for wildlife, pet owners and their animals. Let educate the public just as we have with the Sea Turtle Nesting regulations. This seems like the most sensible option in which everyone comes out a winner. I have included an online article from very satisfied out-of-town North Clearwater Beach people and dog visitors. http://www.associatedcontent.com/article/75901 I/north cearwater florida dog beach.ht m] s v _ m 'co GJ W i O N tw O = O 3 s O a m O a, _ a, c? a? a, 'i ?+- of tw = Q m w Cr O V m w m L w 4-1 m L O m O w N U ^ ? CL A E a m a) 5; Z M V It fvk ?b a ?i y D I ? Q °C t 'm E W L c N to 0 ? o 3 -? o a cu 0 W ra Y A0 W A? W a 1 Ac W •L N ? H 0 a m s m w co w m 3 0 w N U ^ ? C m Y 2 z v 1 ro l A ? O V 4 {?y v J V L l? 1 ?- 3 L s v ? <7S U ?- -31 '? J J L v E W L O C c 0 EA to 0 o = ? o 3 r o a W v LA a 'C C GJ L ? N N O ? L = a a s ca a, m L a, 3 c G?J N V ^ a) CL Y Z v ICT --r J O cl? d U -7 3 cy ?° r J V J J v r i z 0 ? T c? n J ? 1? J V' d r ('t J a V ? v ,V 1 I Jc 3 -as v Ln s U _ m 'ca W L _ c O N to O = ? O 3 s O a m 4+ _ V GJ N a, _ L N wo in O ? L = Q m a cr s m w co L a, R 3 vn GJ N V ^ ? C Y Z c ( c (a • M `1? ? v l h ? N U 1 T? C' vi N 0 0 r _ J w ?r M Ilz M ? O M J (? (In ! J ' J V v ? 0 cJ s ? 'co .? E s W L co tA bA O O = O 3 s O a a? _ Z; u w N N ? y o ? -a ? a O a' s v cv co L 3 c m o (U N U ^ ? c m Y 2 Z ? v N ? r?1 II \\ S` M tl ?4u ba i Q6 ? r .i r r SE , a c oC u 3 ?- v w c? May. 7. 2009 3:22PM Seibert Insurance Agency iL .C 1.1.E t O ?0 O o ? M O 3 ? o a ?o 0 a? C y C O V CJ to m Q .0 C ? N GC L V a Cr u d m m an 0 ? N V ^ w a m z Inn/ Inni) t? 4 d J 9 O - i- O - -44z ? r VIC) ? T oa _ h i Cr 60 W 1 N M 0 3 19 4 ?? tf ? rtl 0 s inn nNV ISI M C? t S Eys r ? T t tll /r' CrQ Z I No, 9237 P. 1 V a 7. I'll Y L3 i r V- -?1?i?l?l? 1 OVL99VVLZL xvi 95:21 6002/90/90 " j 0 ?1??2Q0 -D ol nlu? 4 State owneo beaches don"t banish dogs`. ? r ?7. Re: Kesp the dogs home and the beach C GJ clean, letter, Aug. 17. Year after year, people from around =G' ap F the world travel to the city of Clearwater lp waters, white L experience our ristine 'sandy beaches and family-oriented community. The Clearwater Police Ijepurtanent and the city of Clearwater ost pride in providing c= ^take the utm citizens and visitors with a safe and egpyable atmosphere. I understand your concern l% regarding dogs on the beach and assure. you that the officers of the Clearwater del?ar?nent y ' j Police Department make every effort to ; Provide a safe environment for all to l l l , at these oQ cress do riot enjoy. deter ou frorrt'your relar vitslts to Cir Beach. 'I"ne city of Clearwater has several ordinances that relate to restrictions on Sid KWn i dogs and their owners. Specific to e te ChW of P Y gtCM"eW#W Clearwater Beach, dogs are prohibited by city ordinance from being on any part ? ` 'of the public bathing beach. CV However, the area that you c." d Citarth Clearwater Beach} is bi itioft W the learwater Cod of Finance not'a ublic bathing beach. It private property to n ?.waWr mar ere ore, police officers are c a rgstrkted in the actions they can t}k iA (,? j d - ?n crW tom- G irohibit dogs on the privately b h. Cu cti ' . - 1 ti ?'I?ie area below the mean high water C triaiit on North Clearwater Beach is ` o*ued by the state of Florida and is ais?, t.not defined or maintained as a public beach, therefore; dogs are not .? hibited from that area. The beach access ways located or, cxeiath Clearwater Beach are city and the prolu°bited activities on the 0 can, be enforced onlyllr, L the S'MU access areas d W W. mean high water mark In ? Y13 e' o lnibit ?C V ? tc ' r (,v t eaning outside at least the owner's--?'Ifl d -? voice commands) and are required fu-• ove all t_de sited by fir g 24 on ci ro r on e. N . q ner ersonse q? In regard to your concerns, we ha+e stepped up our patrols of the north 4 s, Clearwater Beach area. In the future, . the i st efficient way to address tl*- ty you unfortunately witnessedig ediately report it to the polite' ; ? C] L'LJ Z ?-- V Q V Z LLJ LU a- m mwwmwmmm? " = = cn ? m ? doe ?? s .a ?' NJNMW% vw o ;s j$?yS ?i;I i ?c t 9 i i dil'? ?I ?; z 317# 4?a S eta ?'?' x H } •f ?- ?r It 'I O Z Y W S ?°x na,? 1 ?\ A s. A AlL `? i IW ?l Y? t Z- %. o F ?t 46t r i? I 2 U) U W Q V W V m Q + 4- 0 co CUP V ? L F Ir -A if ni I 1, ? v ? O LL) a X19 ! ° (?1 }i o V ?* i? ?1 1 t?? f z s _ w V fA } 1 * u m` III a) fill, i? 0w >8 X `3? Jill jj[[ S y i i ? J lil s ? ? f [ 1 5? ?? = co 3 Vii-- aIJillixd Idda ¦ ^ ati ?l.v w. L MEN- till lot - i I 02 w 3 °{ ? ntl i I L U to LLI 0 CO < Lij CM t7] Q U N V y-, ? it.-Jill fit f-ii 0 I, ?I {C OC -? ? „?( 1 9 107 s 3" .r _ !r 71 a 4Qr? 4' ??? '?:1 J I? L I ?d ?I SI 1I T . sib + y, Nc ;'';: ? gs s 0 hk f 4 f i. If ?.. ?? ?,.?. ?; ??,,,? .' ?'? i'? .. .. V U (J) ? y.. LIJ U tV V !? 4 fit w 1 ? ?- CIS O y t? City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Beach Parking Garage SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 20 Attachment number 1 Page 1 of 2 May 6, 2009 LOM Inc. 41 00 North 28'x' Terrace. Hollywood ILL, 33020 Ph: 954926-6666 Fax: 954924-9778 The Honorable LErank V. Hibbard Mayor of Clcanvater & City COUalcll Members Mr. Rod Irwin Coastal Systems International Inc. Greenberg Traurig LIT - attorneys. Plisko Architects Re: City public parking garage on the Britts/Surf style parcel. l F,Iw ICI Letter of Map Revision to 1"lood Zone AIL Dcaar Mernbers: Our team has retained Coastal Systems International Engineering Company to work with Ff?MA on a Letter or Nitap Revision to change the llooc( zoaae on the subject property to Al This change in flood zone Nvill allow us to proceed with the proposed project at its. original intent where Surf Style will operate a commercial retail and restaurant condo on the ground level under a 500 public Parking garage oil Beach \Valk. Coastal Systems expert opinion indicates that the Letter of Map Revision is lcaasiblc and may require city approval to construct a lover dune or a partial clone in front of the property to concur with L EIVIA requirements, C)ur company will cover all costs associated Nvith stach revision. The normal time to complete the process of letter of irrlap revision with FI Ili A is 6-8 months. If the city elects to grant its' permission and support the developer throu-11 this process with Fl-,'i\ A, our company will allocate the necessary resources to move ahead NOW with the process of detail planning, ]cgal documents and plan revieev conctarrealtly with the process of letter of leap revision. Most importantly the conceptual design of the project is concluded, financing is sccurc(l acid a design-build construction company who specialize in parkino garages was engm)ed and we are confident that we can complete tile: project in a quick fashion. We ask for the city`s cooperation in this matter. MfA 180,183, 565v2 8-24-08 Item # 20 Attachment number 1 Page 2 of 2 We will attend council meeting, on Thursday Nhi 7"''donu with Coast"ll SN'stetlls s expert ill order to address council concerns. RcspectCLIIIN', A l Ovakninr Pr sident. MIA 180,183, 565v2 8-24-08 Item # 20 Attachment number 2 Page 1 of 2 ff a r c;rQ V ?? - TNtC:. 146 - -F1 1;4 www. coastal 286500 May 6, 2009 Mr. Gilad 1i .O. M ., I ce 315 S. Gulfview Blvd Clearwater Beach, Florida 33767 RE: Feasibility of F A Letter of Map Revision to A Flood Zone for 315 S. Gulfview Blvd. Site, City of Clearwater, Florida Dear Mr. Ovaknin; The aforementioned flood zone change requires consistent ground elevations above +7.0 feet [NAVD88] at least 30 feet seaward of the site. Based on the survey data provided, the majority, if not all, of the site appears to meet this criteria. If an updated survey indicates that any area seaward of the subject property does not achieve a minimum +7-foot elevation, minor fill or a low dune would have to be constructed to support the map change. Upon receipt of an updated, detailed topographic) survey, it will take approximately 2 to 3 weeks to complete our comprehensive engineering study that will confirm whether or not any fill is required to support the flood zone; change to A and to determine tF-? t- -? PFE. Based on our experiec_.-'- ._r`h similar projects and the recent precedent of the Myatt Aqw ` 'e LOMB issuance:., we belie,. \k ,11 take approximately 6 to 8 r to process a LOM for k 1 contact r rile W Item # 20 Attachment number 2 Page 2 of 2 A ?..r ? ,?z?."Ifrt Page 2 cc: Nancy _-_J Robert Fine, 12s se, C._ )--- TraUrlg, P.A. Item # 20 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Rescheduling 2nd Council Meeting in October and Scheduling August Budget Work Sessions SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 21 City Council Agenda Council Chambers - City Hall SUBJECT / RECOMMENDATION: Other Council Action SUMMARY: Meeting Date:5n/2009 Review Approval: 1) Clerk Cover Memo Item # 22