RESOLUTION NO. 2017-04-10  Al RESOLUTIONOFBOROUGHOFFIETWOOD,BERKSCOUNTY, PENNSYLVANIA, ADOPTING WRITTEN PROCEDURES REGARDINGHOW ROFESIONALSERVICESCONTRACISARE CHOSEN FOR THE BOROUGH'S PENSION PLANS IN ORDER TO  COMPLY WITH ACT4 440F2009.  WAEREASSetionAdt. Act44of2009 Dayiseamspy to develop and adopt procedures to select the most qualified applicant to enter into a professional services contractfor the provision of professional services related toi its pension Plamsinludinginvstment  services, legal services, real estate services and other consulting services.  NOW, THEREFORE, intending to be legally bound thereby, the Borough Council of the Borougho of] Fleetwood: hereby consents to the adoptionofand doesl hereby unanimously adopt the attached document entitled the "Borough of Fleetwood Procedures for Compliance with the  Professional Services Contract Provisions of Act44 of2009". PASSED AND ADOPTED this 10a day of APRIL 2017.  BOROUGHOF: FLEETWOOD Berks Cgunty, Pennsylvania  P. Touch President of Council Doreen O'Neil Secretary of Council    Attest:  Doua molal  Approved this lCaayo of By: Jarit  Tammyl Gore, Mayor  feia  1304785  1    BOROUGH OF FLEETWOOD BERKS COUNTY, PENNSYLVANIA PROVISIONS OF ACT4 44OF2009  PROCEDURES FOR COMPLIANCE WITH THE PROFESSIONAL SERVICES CONTRACT  Below are the procedures for thej procurement of professional services, includingi investment services, legal services, real estate: services and other consulting services related tot thej pensiong plan of the Borough of Fleetwood, Berks County, Pennsylvania (the "Borough") pursuant to Act44c of  2009 (the"Act"): 1.  Request for Proposal (RFP) Applcationt)indluding Disclosures. Applications will  be drafted at thei time services are. needed. The application provisions will address the applicant's qualifications, experience, expertise and compensation to be charged. An Act 44 compliant Disclosure Form (the "Disclosure Form"), a copy of which is attached hereto, will be included as part of the application. The applications submitted pursuant to the RFPS are not subject to a  requirement that the lowest price be accepted.  2.  Advertisement. The Borough shall advertise and otherwise givenotice oft thel RFPto  potential participants or candidatesi in at timely and efficient manner. Amadretisememtdfaahwat  include the following:  a. b. C. d.  The services that are the subject of the proposed contract;  Specifications relating to the services; Procedures to compete for the contract(s); ;and  Allinformationcontained on thel Disclosure Form and additionalinformation  desired. 3.  Review. The initial responses to the RFP will be evaluated by the Borough. The  Borough will determine a list of finalists, conductinterviews of finalists, ifa applicable, and makea final decision. The criteria to be used in the evaluation process may differ depending upon the  professional services requested, but all will include:  a. b. C. d.  Thrapplamtigualigatiom: experience. and expertisei relhatedtoPemnsylvania  municipal pensions and approach to managing risk and research capabilities;  The applicant's knowledge of Act 205, Act 600. and Act 44; The quoted fee(s) associated with the desired service(s) sought;  Theapplanfsavalatily to attend meetings;  1304785  2    e. f.  The response of the references provided by the applicant; and  The ultimate confidence of thel Borough of the applicant'sability toi meet the  Borough's goals and address the Borough's concerns, as represented by the vote to accept the  applicant in contract. 4.  Personnel. Prior to entering into aj professional services contract, the applicant shall  disclose (and update in the event of any changes) allinformationcontained on thel Disclosure! Form,  and shall provide a resume upon request of the Borough.  5. (1)year on:  ConflictofInterest All RFP proceedings shall includea a minimum restriction ofone  a. b.  Participation by ai former employeeofana applicantin thei review ofap proposal Participation by a former employee of the Borough in the submission of a  or negotiation of a contract with that applicant. proposal or the performance of a contract.  Additionally, all RFP proceedings shalli include a permanent disqualification forany  person or entity currently holdinga professional services contract with the Borough, responding to an RFP, applying for, or otherwise seeking, a professional services contract with the Borough, which person ore entity has a direct financial, commercial or business relationship with any official of the Borough, unless thel Boroughconsents: in writing tot ther relationship,folowings full disclosure. applicationsand Disclosure. Forms shall ber made public, except for proprietaryinformationorother  6.  Public Information. Following the award of a professional services contract, all  information protected by law.  7.  Notification and Post of Proceedings. Following the decision by the Borough of a  finalist, the relevant factors that resulted in the selection for award of the professional services contract must be summarized in a written statement and included or attached to the documents awarding the contract. Within ten (10) days of thes selection for award of the professional services contract, the original application, thes summary of RFP proceedings and selection statementanda all Disclosure Forms must be transmitted to all unsuccesstul applicants and posted on the Borough's website, at least seven (7) days prior to the execution of the professional services contract.  8.  Increase. Aj professional: services contract shall not bea amended toi increase thec cost of  the contract by more than ten percent (10%) or Ten Thousand Dollars ($10,000), whichever is greater, unless the increase: and a written justification for the: increase are public and posted on the Borough's website, at least seven (7) days prior to the effective of the amendment.  1304785  3    ACT4ADISCLOSURE FORM: FOR PERSONS OR ENTITIES PROVIDING PROFESSIONAL SERVICES TO THE BOROUGH OF FLEETWOOD PENSION SYSTEM  CHAPTER7-A OF ACT 44 OF 20091 MANDATES the annual disclosure of certain information by every entity (hereinafter "Contractor"): which is a party toa! professional: servicescontractwihone of the pension funds of Borough of Fleetwood, Berks County, Pennsylvania (hereinafter the "Borough of Fleetwood"). Act 44 disclosure requirements apply to Contractors who provide professional pension services and receive payment of any kind from the Borough of Fleetwood pension fund. The Borough of Fleetwood has determined that your company falls under the requirements of Act44 and must complete this disclosure form. You are expected to submit this  completed form to the Borough of Fleetwood below, by.  20_If, fora any reason,  you believe that Act 44 does not require you to complete this disclosure form, please provide a  written explanation of your reason(s) by.  20  RETURN COMPLETED DISCLOSURETO:  Borough of Fleetwood Attn: Suzanne P. Touch, President of Council 110West Arch Street, Suite 104 Fleetwood, PA 19522 Telephone: 610-944-8220  Email: dministrationerleettwoodboro.com  REQUIRED UPDATES:  Where noted, information in this form must be updated in writing as changes occur.  1304785  1    DEFINITIONS FOR DISCLOSURE  TERM:  DEFINITION:  CONTRACTOR  Any person, company, or other entity that receives payments, fees, or any other form of compensation from ai municipal pension fund in exchange for rendering professional services for the benefit of the municipal  pension fund.  SUBCONTRACTOR OR ADVISOR Anyone who is paid a fee or receives compensation from a municipal  pension system = directly ori indirectly from or through a contractor. 1. A subsidiary or holding company of a lobbying firm or other business entity owned in whole or inj part by a lobbying firm. 2. Ano organization: recognized by the Internal Revenue Service as ai tax- exempt organization under section 501(c) of the Internal Revenue Code of1986 (Public Law 99-514, 26 U.S.C. $501 (c)) established bya As defined in section 1621 of the act of] June 3RD, 1937 (P.L.1333, No. 320), As defined in section 1621 of the act of] June 3rd 1937 (P.L. 1333, No. 320), Any employee or person or the person's affiliated entity who: 1. Can affect or influence the outcome of the person's or affiliated entity's actions, policies, or decisions relating toj pensions and the conduct of business with ai municipality or a: municipal pension system; or 2. Is directly involved ini the implementation or development policies relating to pensions, investments, contracts or procurement or the conduct of business with ai municipality or municipal pension system. municipality within the Commonwealth of Pennsylvania; includes the Specifically those listed in TABLE: 21 titled: "List of Pension System and Municipal Officials and Employees" on the next page. Where applicable, includes any employee of the Borough of Fleetwood. Ac contract to which the municipal pension system is a party that is: (1) for the purchase of professional services including investment services, legal services, real estate services, and other consulting (2) not subject to a requirement that thel lowest price be accepted.  AFFILIATED ENTITY  Any oft the following:  lobbyist or lobbying firm or an affiliated entity. known as the Pennsylvania Election Code. known as the Pennsylvania Election Code.  CONTRIBUTIONS POLITICAL COMMITTEE EXECUTIVE LEVEL EMPLOYEE  MUNICIPAL PENSION: SYSTEM Any qualifying pension plan, under Pennsylvania state law, for any  Pennsylvania Municipal Retirement System.  MUNICIPAL PENSION SYSTEM OFFICIALS. AND: EMPLOYEES; MUNICIPAL OFFICIALS AND EMPLOYEES PROFESSIONALSERVICES CONTRACT  services; and,  1304785  2    List of Municipal Officials for the Borough of Fleetwood  Certain requests for: information in this form will refer to a "List of Municipal Officials."  Toassist you inj preparing your answers, you should consider the following names to be a complete list of pension system and municipal officials and employees. Throughout this Disclosure Form, the names  set forth below will be referred to as the "List ofl Municipal Officials."  Elected Officials: Tammy Gore, Mayor Suzanne Touch, Council President Peter Merkel, Council Vice President Jim Meals, Council Member Chris Young, Council Member Ralph Touch, Council Member John Rothenberger, Council Member Colin Boyer, Council Member  Appointed Officials or Employees: Kap Stauffer, Treasurer Doreen O'Neil, Secretary Janice Del Lay, Borough Administration Chris Young, Police Department Liaison Pete Merkel, Personnel Committee Chairman Chris Young, Personnel Manager Jim Meals, Personnel Committee Member  1304785  3    IDENTIFICATION OF CONTRACTORS & RELATED PERSONNEL  CONTRACTORS: (See Definitions" - page! 2) Any entity whoc currently provides service(s) by means ofa a Professional Services Contract to the Municipal Pension System of the Borough of Fleetwood, please  complete all of the following: Indicate all that apply with an "X":  Identify the Municipal Pension System(s) for which you are providing information:  Borough of Fleetwood Non-Uniformed Employee's Pension Plan  Borough of Fleetwood Police Pension Plan  **NOTE: For all that follow,your may answer the questions / items on a separate sheet of paper and attachit tot this Disclosure From ift the space provided is not sufficient. Please reference each question / item you are 1. Please provide thei names and titles of allindividuals providingprolessional services to thel Borough of Fleetwood pension plan(s) identified above. Also include the: names and titles of any advisors and subcontractors of the Contractor, identifying them as such. After each name provide a description of the responsibilities of that person with regard to the professional services being provided to each  responding tol by the appropriate number. (example: REF - Item #1.)  designated pension plan.  2. Please list the name and title ofa any Affiliated. Entity and their Executive-level! Employee(s): thati require disclosure; after each: name, include al brief description of their duties. (See: Definitions)  3. Are any oft thei individuals named inl ItemlorItem: 2above, a current or former official or employeeof IF"YES", provide the: name of the person employed, their position with thei municipality, and dates of  thel Borough of Fleetwood? employment.  4. Are any of the individuals named in Item 1 or Item 2 above, a current or former registered Federal or IF"YES", provide the name of thei individual, specify whether they are a state or federal lobbyist, and  State lobbyist?  the date of their most recent registration /renewal.  NOTICE: All information provided for items 1- 4 above must be updated as changes occur.  1304785  4    5. Since.  [date] has the Contractor or an Affiliated Entity paid compensation to or  employed any third party intermediary, agent, orl lobbyist thati isi to directly or indirectly communicate with an official ore employee oft the Municipall Pension System oft thel Borough of Fleetwood (OR),any municipal official or employee of the Borough of Fleetwood in connection with any transaction or investment involving the Contractor and the Municipal Pension System of the Borough of This question does not apply to an officer or employee of the Contractor who is acting within the scope oft thei firm'sstandard professional duties on behalf oft thei firm, including the: actual provisionof legal, accounting, engineering, real estate, or other professional. advice, services, or assistance pursuant IF"YES", identify: (1) who (the third party intermediary, agent, orl lobbyist) was] paid the compensation or employed by the Contractor or Affiliated Entity, (2) their specific duties to directly or indirectly communicate with an official or employee of the Municipal Pension System of the Borough of Fleetwood (OR), any municipal official or employee of the Borough of Fleetwood, (3) the official they  Fleetwood?  to the protessional services contact with: municipality's; pension system.  communicated with, and (4) the dates of this service.  6. Since.  [date], has the Contractor, or any agent, officer, director or employee oft the  Contractor solicited a contribution to any municipal officer or candidate for municipal office in the Borough of Fleetwood, or to the political party or political actioncommittee oft thatofficial or candidate? IF"YES",identify the agent, officer, director or employee who made the solicitation and thei municipal officials, candidates, political party or political committee who were: solicited (to whom the solicitation  was made).  7. Since.  [date), hasi the Contractor oran. Affiliated Entity made any contributionsto  ar municipal official or any candidate for municipal office in the Borough of Fleetwood? IF"YES", provide the name and address of the person(s) making the contribution, the contributor's relationship to the Contractor, thename and office or position oft thej person receiving the contribution,  the date of the contribution, and the amount of the contribution.  8. Does the Contractor or an Affiliated Entity have any direct financial, commercial or business relationship with any official identified on the List of Municipal Officials, of the Borough of IF"YES", identify the individual with whom the relationship exists and give a detailed description of **NOTE: A written letter is required from the Borough of Fleetwood acknowledging the relationship and consenting to its existence. The letter must be attached to this Disclosure Form. Contact thel Borough of Fleetwood to obtain this letter and attachi it tot thisl Disclosure  Fleetwood? that relationship.  Form before submission.  1304785  5    9. Has the Contractor or an Affiliated Entity given any gifts having more than a nominal value to any official, employeeo orf fiduciary specifically, those ont thel Listof Municipal Officials oft the) Borough of IF"YES", Provide the name of the person.conferring the gift, thej person receiving the gift, the office or position of the person receiving the gift, specify what the gift was, and the date conferred.  Fleetwood?  10. Disclosure of contributions to any political entity in the Commonwealth of] Pennsylvania. Applicability: A"yes" response is required and full disclosurei isi required ONLYWHENALL, ofthefollowingapies: b) The contribution was made by an officer, director, executive-level employee or owner ofa at  a) The contribution was: made within the last 5 years (specifically since:  [datel)  least 5% oft the Contractor or. Affiliated Entity.  c) The amount of the contribution was at least $500 and in the form of: 1. As single contribution by a person in (b.) above, OR 2. The aggregate of all contributions all persons in (b.) above;  d) The contribution was for:  1. Any candidate for any public office or any person who holds an office in the 2. The political committee of a candidate for public office or any person that holds an  Commonwealth of Pennsylvania; office in the Commonwealth of Pennsylvania.  IF"YES", provide the name and address of the person(s) making the contribution, the contributor's relationship to the Contractor, the name. and office or position of thej person receiving the contribution (ort the political entity/ /partyr receiving the contribution), the date of thec contribution, and thea amount of  the contribution.  11. With respect toy your provision of] professional services toi thel MunicipalPension System oft thel Borough Are you aware of any apparent, potential or actual conflicts of interest with respect to any officer, director or employee of the Contractor and officials or employees of the Borough of Fleetwood? NOTE: If, in the future, you become aware of any apparent, potential, or actual conflict of interest, you are expected to update this Disclosure Form immediately in writing by: An explanation of the steps taken to address this apparent, potential, or actual conflict of IF"YES", Provide a detailed explanation of the circumstances which provide you with a basis to  of Fleetwood:  Providing a brief synopsis of the conflict ofi interest (and);  interest.  conclude that an apparent, potential, or actual conflict of interest may exist.  1304785  6    12. Tothe extent that you believe that Chapter7-A of Act 44 of 2009 requires you to disclose. any additional information beyond what has been requested above, please provide that information below or on a  separate piece of paper.  Please provide the name(s) and position(s) of the person(s) participating in the completion oft this One of the: individuals identified by the Contractor inj Item #1 above must participate in completing this Disclosure Form and must sign the below verification attesting to the participation of those individuals  Disclosure Form.  named below. Name: Position: Name: Position: Name: Position:  Name Position: Name: Position: Name: Position:  Signature Title Date  1304785  7    VERIFICATION hereby state thatIam  I, for  andIam authorized to: make this verification.  Ihereby verify that the facts set forth in the foregoing Act 44 Disclosure Form for Entities Providing Professional Services to the Borough of Fleetwood Pension System are true and correct to thel best of my knowledge, information and belief. Ialso understand that knowingly making material misstatements or omissions in this form could subject the responding Contractor to the penalties in Section 705-A(e) of Iunderstand that false statements herein are. made subject to the penalties of 18 P.A.C.S. S 4904 relating  Act44.  tou unsworn falsification to authorities.  CONTRACTOR BY:  Name: Title:  Date  1304785  8    INSTRUCTIONS FOR MUNICIPALITY  DONOTI INCLUDE: THISI INSTRUCTION PAGE WITHTHE DISCLOSURE  You will need toj prepare ands send one of these disclosure forms to each Contractor thaty you) haveac contract for providing service toj your pension plan (AND) a separate set of disclosures for each type of] plan fire, police, etc. IfONE CONTRACTOR: services two or more] plans, then only one disclosure is required, butt the contractor must indicate he, / shei is completing the disclosurei for  more than one plan...PAGE4 4, Question One. >Who should receive this disclosure? Actuarial Services  You should also prepare al brief cover letter explaining the reason you are sending this disclosure out. Generally there are 5 primary service providers for each pension plan buti iti is notl limited toj just these:  Investment Services  Administration Services Advisory Services  Legal Advisory Services - usually performed by the municipal solicitor.  IFs some of these services are combined through ones service provider or Contractor, then you only need tos send this tot that one entity. For Example, your administrative services and actuarial service are conducted though) Robert Smith and Associates and your contract is with this company. However, Robert Smith and Associates subcontracts certain portions of these services tot two other companies, you need only send one disclosure to Robert Smith and Associates, and one to any other entity that provides >PLEASE CHECK WITH YOUR SOLICITOR. as aj precaution regarding whom you should send this disclosure to. Every place you see this: [ENTER NAME OFI MUNICIPALITY Enter thei name of thes municipality. Change thel Font color tol Black  specific services other than administrative and actuarial.  and remove the brackets.  Pages 1,3, and 8 are the only pages that require modification and reprinting by thel Municipality. Instructions for the "Requesting! Municipality" for completion of Page 3:  Under the header, prepare al list of Names and Positions of all personnel thata are aj party to ANYI Pension Plan thei municipality has. This shouldi include: every Elected Official, Municipal Manager or equivalent position, Municipal Finance Director or equivalent position, Chief Administrative Officer for eachj plan, the Solicitor, any Pension Advisory Committee orl Pension Board Members  (not listed above).  SAMPLE Municipal List  Elected Officials Bobby Jeffries - Mayor  Clyde J.Smith - Borough Council President Janie Whitehead - Council Member Walter Doorstop Council Member Walter Special, Esq. - Solicitor Appointed Officials or Employees  Edith Moniker - Borough Council Vice President / Police Pension Committee Chair Tonya Gray - Council Member and Non-Uniformed Pension Committee Chair  Sammy Special - Borough Manager, / CAO, Non-Uniformed Plan / CAO, Policel Plan Alice Victory - Borough Secretary and Non-Uniformed Pension Committee Member Michael Gum Chief of Police, / Police Pension Committee Member  Pension Committee(s)  Jeffrey Right-Non-Uniform Committee Member Patty Wrong-Non-Uniform Committee Member Fred Albright - Police Pension Committee Member  John Duggan (Retired Police Officer). / Police Pension Committee Member  1304785  9