AGENDA MARCH 21, 2011 (Mayor Jacobs Out) 7:00 p.m. SPECIAL STUDY SESSION Council Chambers
Discussion Items 1. 7:00 p.m.
Community Input Schedule for Freight Rail Studies
7:30 p.m. CITY COUNCIL MEETING Council Chambers 1. Call to Order 1a. Pledge of Allegiance Led by Girl Scout Brownie Troop 13193 1b. Roll Call 2. Presentations 2a. St. Louis Park Girl Scouts Brownie Troop 13193 - Water Conservation Presentation 2b. Retirement Recognition Resolutions for Three Employees: Paul Steinhilber, Jim Thompson, and John Altepeter 2c. Congressman Keith Ellison Presentation 2d. Acceptance of Monetary Donation from St. Louis Park Rotary for the Westwood Hills Nature Center Climbing Feature 3. Approval of Minutes 3a. Study Session Minutes February 28, 2011 3b. City Council Meeting Minutes March 7, 2011 3c. Special Study Session Minutes March 7, 2011 4. Approval of Agenda and Items on Consent Calendar
NOTE: The Consent Calendar lists those items of business which are considered to be routine and/or which need no discussion. Consent items are acted upon by one motion. If discussion is desired by either a Councilmember or a member of the audience, that item may be moved to an appropriate section of the regular agenda for discussion. The items for the Consent Calendar are listed on the last page of the Agenda.

Recommended Action:

Motion to approve the agenda as presented and to approve items on the consent calendar. (Alternatively: Motion to add or remove items from the agenda, motion to move items from consent calendar to regular agenda for discussion and to approve those items remaining on the consent calendar.)
5. Boards and Commissions None 6. Public Hearings None 7. Requests, Petitions, and Communications from the Public None 8. Resolutions, Ordinances, Motions and Discussion Items None 9. Communication
Auxiliary aids for individuals with disabilities are available upon request. To make arrangements, please call the Administration Department at 952/924-2525 (TDD 952/924-2518) at least 96 hours in advance of meeting.
Meeting of March 21, 2011 Special Study Session and City Council Agenda
4. CONSENT CALENDAR 4a. Designate Friedges Landscaping, Inc. as the lowest responsible bidder for the reconstruction of the Northside Park project and authorize execution of a contract with the firm in the amount of $711,170.93 Adopt Resolution accepting this report, establishing and ordering Improvement Project No. 20110090, approving plans and specifications, and authorizing advertisement for bids for the Dehumidification project in The Rec Center East Arena Adopt Resolution to approve St. Louis Park Lions Clubs request for placing temporary signs in the public right-of-way Approve Resolution approving disbursement of Early Retiree Reinsurance Program (ERRP) funds to plan participants Accept a donation from the St. Louis Park Rotary in the amount of $15,000 for a new climbing feature at Westwood Hills Nature Center Adopt Resolutions to recognize retirees Paul Steinhilber, Jim Thompson, and John Altepeter for their years of service to the City of St. Louis Park Approve for Filing Housing Authority Minutes February 9, 2011 Approve for Filing of Vendor Claims

4c. 4d. 4e. 4f. 4g. 4h.

St. Louis Park Economic Development Authority and regular City Council meetings are carried live on Civic TV cable channel 17 and replays are frequent; check www.parktv.org for the schedule. The meetings are also streamed live on the internet at www.parktv.org, and saved for Video on Demand replays. The agenda is posted on Fridays on the official city bulletin board in the lobby of City Hall and on the text display on Civic TV cable channel 17. The agenda and full packet are available by noon on Friday on the citys website.
Meeting Date: March 21, 2011 Agenda Item #: 1
Regular Meeting Public Hearing Presentation EDA Meeting Study Session Action Item Discussion Item Action Item Other: Resolution Written Report Other: Other: Consent Item Resolution Ordinance
TITLE: Community Input Schedule for Freight Rail Studies. RECOMMENDED ACTION: The purpose of the Study Session discussion is to discuss a schedule for community input and Council action related to the freight rail studies. POLICY CONSIDERATION: What are the community input steps the city should take regarding the freight rail studies process? PROPOSED COMMUNITY INPUT PROCESS FOR FREIGHT RAIL STUDIES: At the March 14th City Council meeting, a proposed process and schedule for review, discussion and community input on the SEH study of the MNS and Kenilworth routes was discussed. Council Members expressed interest in holding listening sessions for the freight rail rerouting issue, and completing the process by the end of May, including adopting an updated policy position on the freight routing issue and providing input on the MNS EAW. Based on Council direction staff has prepared the revised schedule which is attached. Details as to exact time, date and location of the Community Meetings/Listening Sessions is yet to be determined. The proposed schedule completes the citys process before the earliest possible date for completion of the MNS EAW comment period. Criteria for a Future Decision The challenge for the City moving forward will be on how to achieve its twin goals of minimizing freight rail impacts in the community and supporting the successful implementation of SWLRT. For LRT to proceed, a means of accommodating freight rail still needs to be found, whether it is in St. Louis Park or elsewhere. The goal is successful implementation of SW LRT with as little freight rail activity in St. Louis Park as possible; and, complete and effective mitigation of any freight rail negative impacts. Whatever freight route option ultimately chosen, a sound solution to the freight rail issue will need to be: Physically viable Financially viable Acceptable to involved agencies In the best long term interest of St. Louis Park Timely

Meeting Date: March 21, 2011 Agenda Item #: 2b
TITLE: Retirement Recognition Resolutions for Three Employees: Paul Steinhilber, Jim Thompson, and John Altepeter. RECOMMENDED ACTION: Read Resolution and present plaque to Fire Lieutenant Paul Steinhilber for 30 years of service to the City of St. Louis Park. Read Resolutions for Parks and Recreation Field Supervisor Jim Thompson (38 years) and Facilities Manager John Altepeter (22 years). POLICY CONSIDERATION: None. BACKGROUND: City policy states that employees who retire or resign in good standing with over 20 years of service will be presented with a Resolution from the Mayor, City Manager, and City Council. Fire Lieutenant Paul Steinhilber will be in attendance for the presentation at the beginning of the meeting. The Mayor is asked to read the Resolution and present Paul with a plaque in recognition of his years of service to the City. Parks and Recreation Field Supervisor Jim Thompson and Facilities Manager John Altepeter have declined to be in attendance for their recognition, so the Mayor is asked to read their Resolutions for the record on camera. FINANCIAL OR BUDGET CONSIDERATION: None. VISION CONSIDERATION: None. Attachments: Prepared by: Approved by: Resolutions Ali Fosse, HR Coordinator Tom Harmening, City Manager
City Council Meeting of March 21, 2011 (Item No. 2b) Subject: Retirement Recognition Resolutions for Three Employees: Steinhilber, Thompson, Altepeter
RESOLUTION NO. 11-___ RESOLUTION OF THE CITY COUNCIL OF ST. LOUIS PARK, MINNESOTA, RECOGNIZING THE CONTRIBUTIONS OF AND EXPRESSING APPRECIATION TO PAUL STEINHILBER WHEREAS, Paul Steinhilber began his employment with the City of St. Louis Park Fire Department over 30 years ago on December 15, 1980; and WHEREAS, Paul served as a Lieutenant on the Fire Department for ten of those years; and WHEREAS, Paul represented the St. Louis Park Firefighters Local 993 as their President for many years; and WHEREAS, Paul served proudly in the United States Army in Vietnam; and WHEREAS, Paul understood the importance of mentoring and teaching new firefighters; and WHEREAS, Paul and his chair have the ear of the Chief; and WHEREAS, Paul has many fishing spots yet to try, and miles to travel with his loving wife; NOW THEREFORE BE IT RESOLVED that the City Council of the City of St. Louis Park, Minnesota, by this Resolution and public record, would like to thank Fire Lieutenant Paul Steinhilber for his great contributions and 30 years of dedicated service to the City of St. Louis Park and wish him the best in his retirement.
Reviewed for Administration:
Adopted by the City Council March 21, 2011

City Manager

Attest:

City Clerk

RESOLUTION NO. 11-___ RESOLUTION OF THE CITY COUNCIL OF ST. LOUIS PARK, MINNESOTA, RECOGNIZING THE CONTRIBUTIONS OF AND EXPRESSING APPRECIATION TO JAMES THOMPSON WHEREAS, Jim Thompson began his employment with the City of St. Louis Park over 38 years ago on February 5, 1973; and WHEREAS, Jim is a life long resident of St Louis Park and a 1966 graduate of St Louis Park High School (where he won an award for perfect attendance at Johns Pancake House); and WHEREAS, Jim is proud of his numerous years of involvement in youth sports including coaching hockey, baseball, and football, and his on-duty work of athletic field renovations; and WHEREAS, after Jim was promoted to Field Supervisor in 2003 he became known as a person who would listen to his staff and be a problem solver on projects; and WHEREAS, Jim has been married for 30 years to his wife, Chris, has two sons, Matt and Brad, and is a proud grandpa; and WHEREAS, Jim will spend his retirement summers on Minnesota golf courses and his retirement winters in Florida with family and friends; NOW THEREFORE BE IT RESOLVED that the City Council of the City of St. Louis Park, Minnesota, by this Resolution and public record, would like to thank Parks and Recreation Field Supervisor Jim Thompson for his great contributions and 38 years of dedicated service to the City of St. Louis Park and wish him the best in his retirement. Reviewed for Administration: Adopted by the City Council March 21, 2011

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RESOLUTION NO. 11-___ RESOLUTION OF THE CITY COUNCIL OF ST. LOUIS PARK, MINNESOTA, RECOGNIZING THE CONTRIBUTIONS OF AND EXPRESSING APPRECIATION TO JOHN ALTEPETER WHEREAS, John Altepeter began his employment with the City of St. Louis Park over 22 years ago on October 31, 1988; and WHEREAS, early during Johns tenure, he transformed the Facilities Division from simply custodial to a complete facilities operation, and was continuously striving to provide quality and cost effective facility services; and WHEREAS, John accepted the responsibilities of managing the maintenance activities of the Citys newly created Special Service Districts beginning over ten years ago, developing a positive working relationship with business owners; and WHEREAS, John helped develop a recycled plastic traffic median bollard to replace damaged concrete versions in the Service Districts, promoting environmentally sound use of recycled products, being lighter and easier for City crews to install; and WHEREAS, John recently completed his final and largest project for the City by providing construction oversight of the Municipal Service Center renovation; and WHEREAS, John will be enjoying more time vacationing in the Florida sun and spending time with his family; NOW THEREFORE BE IT RESOLVED that the City Council of the City of St. Louis Park, Minnesota, by this Resolution and public record, would like to thank Facilities Manager John Altepeter for his great contributions and 22 years of dedicated service to the City of St. Louis Park and wish him the best in his retirement. Reviewed for Administration: Adopted by the City Council March 21, 2011

City Manager Attest:

Meeting Date: March 21, 2011 Agenda Item #: 2c
TITLE: Congressman Keith Ellison Presentation. RECOMMENDED ACTION: Mayor Jacobs is asked to introduce Congressman Keith Ellison, who will provide a presentation to Council. POLICY CONSIDERATION: None. BACKGROUND: Congressman Keith Ellison will be in attendance to provide a legislative update and to talk with Council about his work in Congress on behalf of the 5th Congressional District. FINANCIAL OR BUDGET CONSIDERATION: None. VISION CONSIDERATION: None. Attachments: Prepared by: Approved by: None Nancy Stroth, City Clerk Tom Harmening, City Manager
Meeting Date: March 21, 2011 Agenda Item #: 2d
TITLE: Acceptance of Monetary Donation from St. Louis Park Rotary for the Westwood Hills Nature Center Climbing Feature. RECOMMENDED ACTION: Cindy Walsh, Director of Parks and Recreation and Mark Oestreich, Manager of Westwood Hills Nature Center, will be present to accept a donation in the amount of $15,000 ($5,000 from Sunrise Rotary Club, $5,000 from the Noon Rotary Club, and $5,000 from the Rotary Foundation of Rotary International). Brandon Oslund, Karen Atkinson, and Matt Shadow, members of the St. Louis Park Rotary Clubs will be in attendance to present the check for a new climbing feature at the Westwood Hills Nature Center. The donation will be officially accepted by the City Council as a consent item following the presentation. POLICY CONSIDERATION: Is the proposed use of the funds acceptable to the City Council? BACKGROUND: State statute requires City Councils acceptance of donations. This requirement is necessary in order to make sure the City Council has knowledge of any restrictions placed on the use of each donation prior to it being expended. The St. Louis Park Rotary is graciously donating an amount of $15,000. The donation is given with the restriction that it be used to purchase a climbing feature at Westwood Hills Nature Center. The climbing feature will be installed next to the playground equipment in Westwood Hills Nature Center. FINANCIAL OR BUDGET CONSIDERATION: This donation will be used to support a rock climbing feature at Westwood Hills Nature Center. The cost of the feature is $16,000. The City of St. Louis Park will pay the additional $1,000 as well as the cost of the curb and the fill material around the structure out of the Park Improvement Fund. This item is budgeted in the 2011 Capital Improvement Plan. VISION CONSIDERATION: Collaboration with other organizations is related to the results of Vision St. Louis Park and one of the adopted Strategic Directions that St. Louis Park is committed to being a connected and engaged community. Attachments: Prepared by: Reviewed by: Approved by: None Stacy Voelker, Administrative Secretary Cindy Walsh, Director of Parks and Recreation Tom Harmening, City Manager

City Council Meeting of March 21, 2011 (Item 3a) Subject: Study Session Minutes of February 28, 2011
natural setting with connectivity to the park and trail system. He also presented draft architectural drawings of the site and discussed potential building materials and use of sustainable material. He added that the value of the project is projected to be $30 million. He noted that the mix of unit sizes is based on market analysis and the building will include one and two bedroom units with an average size of 930 square feet. Mr. Gevers stated that it is anticipated that rental rates will be $1.62 per square foot or approximately $1,500 per month for a one bedroom unit. He added that the goal is to be smart about how they approach the design of the exterior and interior of the building and to use materials that are both esthetically pleasing and cost effective. Councilmember Finkelstein stated that the City has invested a lot of money on the 36th Street streetscape to make this area a premier boulevard in the City. He expressed concern regarding intensity of pedestrian traffic and encouraged the developer to consider a pedestrian walk light. Mr. Bistry stated that a traffic study was conducted which suggested installation of a new traffic signal to improve safety and overall flow in the area. Councilmember Mavity stated it will be important to make sure the area is safe as well as pedestrian friendly, and to maintain the walkway from the Rec Center to Target. She also asked if a shadow study has been done, particularly to make sure people using the rec center are not put into shadow when using the pool area. Mr. Locke stated that the developer will be required to do a shadow study as part of their application. Councilmember Sanger expressed concern about the lack of green space around this site and stated that she would prefer to see a building that is taller with a lesser footprint to allow more green space. Mayor Jacobs noted that there is a 100-acre park in the area. Mr. Locke stated that it will be important to achieve the right balance for this site and it is important to recognize that the Park Commons area was part of the Citys 1994 visioning process which identified this area as the downtown area for St. Louis Park. Councilmember Santa requested further information regarding available parking and expressed concern that sufficient parking is not provided in the plans. She also stated that the City has previously talked about balance and meeting Vision goals as it relates to owner-occupied housing and rental housing. She questioned how a shift to rental meets that Vision goal and requested that the City remain aware of the proportion of owner-occupied housing to rental housing. Mr. Gevers stated that the parking plans provide one car per bedroom with a 10% reduction, noting that the original entitlement had a 15% reduction as part of the entire PUD. Ms. McMonigal stated that staff has not yet gotten to the final analysis on parking and the concern expressed by Councilmember Santa was noted.

Councilmember Finkelstein expressed support for the project, noting that this plan follows a continuum of care with the senior apartments and assisted living facility in close proximity. Councilmembers Ross and Omodt also expressed support for the project. 3. Community Recreation Survey Results
Mr. Harmening presented the staff report. Ms. Walsh introduced Kathy Schoenbauer and Jeff Schoenbauer of Schoenbauer Consulting, LLC. Ms. Schoenbauer provided a summary of the key results of the survey and indicated that the survey was administered online and via paper with 1,055 residents responding, representing an approximate 5% response rate. She stated that all neighborhoods were represented in the survey and nearly three-quarters of respondents were aged 35-54 and over half of respondents had children ages 6-12 years. Councilmember Mavity asked how the response data compares to the Citys overall population in terms of who responded the survey. Ms. Walsh agreed to provide this information to Council. Ms. Schoenbauer advised that 89.9% of respondents agreed that public parks and recreation are important and 72.3% of respondents agreed that the City is doing a good job. She stated that respondents felt it was most important for the City to add trails, an indoor recreation space, indoor swimming pool, and natural open spaces. She indicated that 144 respondents added write-in ideas for other recreation facilities, with 43% indicating a preference for an outdoor ice rink and 12% indicating a preference for a multi-use indoor facility. She discussed the responses regarding limitations on use and participation, with lack of time cited as the primary reason for not using public parks or participating in recreational activities. She stated that 461 respondents provided comments on what is missing with the top themes being an indoor park with play and fitness areas and north/south trail connections. She indicated that some residents also commented about the need to update the rec center. She reviewed the responses with respect to priorities by age group, and the greatest need was found in the 13-17 year old age group, followed by those in the 6-12 year old age group. She then reviewed responses regarding public gathering places and residents willingness to pay additional user fees, noting that 86.8% of respondents were willing to pay more per month in user fees and most respondents indicated a preference for user fees over taxes. She added that 228 residents provided additional comments with many residents stating that St. Louis Park is a great community and to keep up the good work. She suggested that the indoor park and recreation facility theme be explored further in a phone survey as a way of testing some ideas with residents. Councilmember Ross stated that Council previously discussed ways of reaching the immigrant populations and people of color in conducting the survey and questioned whether some of the survey results would be different if this demographic scored higher in the survey results, particularly as it relates to gathering spaces.

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Councilmember Finkelstein requested that the illegal feeding of deer be emphasized in the policy as well. 6. Telecommunications Advisory Commission 2010 Annual Report & 2011 Work Plan
Mr. Harmening presented the staff report. Councilmember Finkelstein stated that the Telecommunications Advisory Commission is doing great work. Councilmember Santa requested more detail regarding fiber optic opportunities and the Commissions long term plans in this area. Mr. Harmening noted that a task force has been formed to help with a long term plan related to fiber optics. Councilmember Mavity requested that the City provide the various commissions with sufficient ongoing support to make sure they understand the issues they are dealing with. It was the consensus of the City Council that no meeting is required with the Telecommunications Advisory Commission to discuss the annual report.
Housing Authority 2010 Annual Report & 2011 Work Plan
Mr. Harmening presented the staff report. Councilmember Sanger expressed concern regarding the Sec. 8 vouchers being pulled out of Wayside House. Councilmember Mavity requested further information regarding the Sec. 8 vouchers and agreed that this puts the entire project at risk. It was the consensus of the City Council that no meeting is required with the Housing Authority to discuss the annual report.
Planning Commission 2010 Annual Report & 2011 Work Plan
Mr. Harmening presented the staff report. Council discussed the need to retain a separate Board of Zoning Appeals or whether this could be rolled into the Planning Commission. Councilmember Mavity stated that the joint meeting held last year with the Planning Commission was informative, but felt that it did not allow for Council and the Planning Commission to jointly discuss some of the issues facing the City. She requested that Council offer another joint meeting to the Planning Commission to provide an opportunity to discuss specific questions about the Comprehensive Plan.

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Councilmember Finkelstein suggested inviting the Planning Commission and Board of Zoning Appeals to a joint meeting after the legislative session adjourns. 9. Communications/Meeting Check-in (Verbal)
Councilmember Mavity requested that the monthly financial reports include a brief narrative that compares revenues and expenditures year to year. Councilmember Sanger stated that the City has had its first coyote attack of a small dog. She requested that the deer management policy be amended to reflect an overall wildlife management policy. Mr. Harmening reported that the Mayor Lampi of Brooklyn Park recently died and suggested that the City send a memorial to the family. It was the consensus of the City Council to direct staff to send a memorial from the City of St. Louis Park to the Lampi family and community of Brooklyn Park. Mr. Harmening discussed the outstanding property maintenance issues and police calls received at 8400 Minnetonka Boulevard. Councilmember Santa stated that she heard that the property owner has not completed the repairs and some residents have indicated that some of the ongoing maintenance issues have been sliding. Mr. Harmening provided a brief report on the Lakeland Inn property and stated that the City has received some help from the County Attorneys office on this matter. The meeting adjourned at 9:25 p.m. Written Reports provided and documented for recording purposes only: 10. January 2011 Monthly Financial Report

Mr. Walther presented the staff report and stated that the Fire Station No. 1 project includes a 30,695 square foot, two-story building which will house the fire department administration offices, station administration offices, a training room, kitchen/dayroom, fitness room, hose tower, and eight apparatus bays. He advised that Fire Station No. 2 includes a 16,760 square foot, one-story building which will include station administration, a fitness room, kitchen/dayroom, and four apparatus bays. He stated that the total project cost is estimated at $15.5 million, with the construction cost estimated at $12.9 million. He reviewed the construction schedule and indicated that construction is expected to commence April 15, 2011 and the anticipated completion date for both projects is May 1, 2012. He explained that the Fire Department will move out of Fire Station No. 1 in April into a satellite station at the Municipal Service Center (MSC), which will allow the City to begin abatement and demolition of Fire Station No. 1. Councilmember Sanger requested further information regarding emergency services while the fire stations are under construction. Mr. Stemmer stated that the MSC on Oxford Street is eight or nine blocks from the current Fire Station No. 1 and the MSC was designed to house the Fire Department operations during construction of the new facilities. He indicated that Fire Station No. 2 will be maintained at its current location during construction so the City will continue to have two fire stations. He noted that other than moving to the MSC, there will not be a significant change in the Fire Departments ability to respond to emergencies. Councilmember Sanger expressed her thanks to Mr. Stemmer and Mr. Walther for their efforts. It was moved by Councilmember Finkelstein, seconded by Councilmember Mavity, to adopt Resolution No. 11-034 Accepting the Project Report, Establishing Improvement Project Nos. 20083001 and 20083002 Approving Plans and Specifications, and Authorizing Advertisement for Bids. The motion passed 5-0 (Councilmembers Omodt and Ross absent). Mr. Stemmer expressed the Fire Departments thanks to the City Council and the community for their support of this project.
Project Report: Local Street Rehabilitation Project Pavement Management Area 7, Project Nos. 2010-1000 & 2011-1400 Resolution No. 11-035
Mr. Olson presented the staff report and explained that this years project will be performed in Area 7 of the Citys pavement management program and includes work on 2.4 miles of streets in the Elliot, Elliot View, Willow Park, and Pennsylvania Park neighborhoods. He stated that the project includes removal and replacement of the asphalt pavement, curb and gutter replacement if needed, replacement of the water main on select streets in the Pennsylvania Park neighborhood, replacement of water service line connections, and minor drainage system repairs. Center Point Energy has indicated it will be replacing gas main lines and services lines on approximately half of the streets in the project this year. He discussed the water main replacement project in the 1800 block of Oregon and Nevada Avenue and stated that residents will be given the option of replacing their current water service line from the main to the shut-off valve located at the property line. He indicated that the estimated cost to replace the water service line is $800-$1,000 per line, representing a substantial savings for residents compared to replacing a broken line. He stated that residents are encouraged to replace their water line and can prepay the amount or have the amount assessed over three years. He advised that construction will take place beginning in early June and will be completed in midAugust and each block will experience approximately five weeks of construction. He noted that roads will be open to local traffic during construction and access will be provided to driveways at most times, with overnight parking allowed on the street. He stated that the engineering estimate for this project is approximately $1.5 million, with approximately $1.3 million coming from the Pavement Management Fund and the remainder coming from the Water Utility Fund. Councilmember Mavity asked if residents are responsible for that portion of the water line extending from their house to the water main in the road. She also asked if the cost to replace the water line represents only that portion of the line extending from the curb to the water main under the road. Mr. Olson replied that residents are responsible for the water line extending from their house to the water main in the road. He indicated that the City is offering to replace, at residents expense, the water line located in the Citys right-of-way, beginning near the curb line where the shut-off valve is located and out into the street where it connects to the water main. He added that the City cannot perform work on private property. Councilmember Mavity asked if residents can expect to have their water shut off at any time during construction. Mr. Olson replied that any interruptions to water service will be minimal and residents will receive 24 hour notice of any shut off during construction. It was moved by Councilmember Santa, seconded by Councilmember Mavity, to adopt Resolution No. 11-035 Accepting the Project Report, Establishing Improvement Project Nos. 2010-1000 and 2011-1400 Approving Plans and Specifications, and Authorizing Advertisement for Bids for Improvement Project Nos. 2010-1000 & 2011-1400. The motion passed 5-0 (Councilmembers Omodt and Ross absent).

NEXT STEPS AND TIMELINES: If the City Council approves the plans and specifications and authorizes bids, staff will receive bids on April 12, 2011. The Council will be asked to approve the low bid and authorize the project to begin at its April 25, 2011 meeting. Project construction will begin following council approval.
City Council Meeting of March 21, 2011 (Item No. 4b) Subject: Approve Plans & Specs, and Authorize Bids for Rec Center East Arena Dehumidification
VISION CONSIDERATION: The replacement of the dehumidification equipment with much more energy efficient equipment is in alignment with the Citys Strategic Direction related to environmental stewardship. Attachments: Prepared by: Reviewed by: Approved by: Resolution Stacy Voelker, Administrative Secretary Craig Panning, Manager of Buildings and Structures Cindy Walsh, Director of Parks and Recreation Tom Harmening, City Manager
RESOLUTION NO. 11-_______ RESOLUTION ACCEPTING THE PROJECT REPORT, ESTABLISHING IMPROVEMENT PROJECT NO. 20110090 APPROVING PLANS AND SPECIFICATIONS, AND AUTHORIZING ADVERTISEMENT FOR BIDS WHEREAS, the City Council of the City of St. Louis Park has received a report related to The Rec Center East Arena Dehumidification Project, City Project No. 20110090. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of St. Louis Park, Minnesota, that: 1. The Project Report regarding Project No. 20110090 is hereby accepted. 2. Such improvement as proposed is necessary, cost effective, and feasible as detailed in the Project Report. 3. The proposed project, designated as Project No. 20110090 is hereby established and ordered. 4. The plans and specifications for the installment of the new equipment, as prepared under the direction of The Rec Center Manager, or designee, are approved. 5. The City Clerk shall prepare and cause to be inserted at least two weeks in the official newspaper and at least one week in the Construction Bulletin, an advertisement for bids for the making of said improvement under said-approved plans and specifications. The advertisement shall appear not less than ten (10) days prior to the date and time of receipt of bids, and specify the work to be done, state the date and time bids will be received by the City Clerk, and that no bids will be considered unless sealed and filed with the City Clerk and accompanied by a bid bond payable to the City for five (5) percent of the amount of the bid. 6. The Rec Center Manager, or designee, shall report the receipt of bids to the City Council shortly after the letting date. The report shall include a tabulation of the bid results and a recommendation to the City Council. Reviewed for Administration: City Manager Attest: City Clerk Adopted by the City Council March 21, 2011 Mayor

LYNN AVE.. Q-17, R-17 LYNN AVE S.. J-17 to M-17, O-17, P-17, Q-17 MACKEY AVE..T-15 MACKEY AVE S. S-15, T-15 MARYLAND AVE S. F-10, G-10, H-10, K-10 to M-10 MEADOWBROOK BLVD. R-11, S-12, S-13, T-13 MEADOWBROOK LN.Q-11, R-10, R-11 MEADOWBROOK RD. Q-9 to S-9 MELROSE AVE. F-4 to H-4 MERIDIAN LN. P-17 MERILANE AVE.. T-10, T-11 MINIKAHDA CT. N-18, O-18 MINNEHAHA CIR N. N-5, N-6 MINNEHAHA CIR S. N-5, N-6 MINNEHAHA CT. N-5 MINNETONKA BLVD. M-5, L-5 to L-18, M-4 MONITOR ST. O-11, P-11 MONTEREY AVE. Q-17, R-17 MONTEREY AVE S.. J-17 to M-17, Q-17 MONTEREY DR.. O-16, P-16, P-17 MONTEREY PKWY.. K-17, L-16, L-17 MORNINGSIDE RD.. S-15 to S-17 NATCHEZ AVE S. F-16, G-16, G-17, H-16, J-16 to M-16, P-16, Q-16 NATHAN LN N. D-3 NEVADA AVE S. F-10 to M-10 NORTH ST.. P-9, P-10 OAK LEAF CT. N-10 OAK LEAF DR. N-10, N-11 OAK PARK VILLAGE DR. M-10 OAK RIDGE TRL. O-4 OAKDALE AVE. R-17, S-16, S-17, T-17 OLD CEDAR LAKE RD. H-16 OREGON AVE S. G-9, H-9, I-10, J-9, J-10, K-10 to M-10, O-10, P-10 OREGON CT.. H-9, I-9 OTTAWA AVE S. G-16, H-16, K-16 to M-16, Q-16 to S-16 OTTAWA CT.. S-16 OTTAWA PL.. K-16 OXFORD ST.. P-8, P-11 to P-14, Q-9 to Q-11 PARK CENTER BLVD.. O-15, P-14, P-15, Q-14, Q-15 PARK COMMONS DR.. P-15, P-16, P-17 PARK GLEN RD. M-17, N-15 to N-17 PARK NICOLLET BLVD. P-15, Q-15 PARK PLACE BLVD S.. F-14 to H-14, H-15 PARKDALE DR.. H-15 PARKER LN.. H-4 PARKER RD. G-4, H-4 PARKLANDS LN. H-17, I-17 PARKLANDS RD. H-17, I-17 PARKWOODS RD.. I-15, I-16 PENNSYLVANIA AVE S. E-9 to P-9, P-10, Q-10 PHILLIPS PKWY. O-6 POWELL RD. Q-9, R-9 PRESTON LN. S-9 PRINCETON AVE S. G-16, H-16, J-16 to N-16, Q-16 to S-16 PRINCETON CT. J-16 PRINCETON LN. P-16, Q-16 QUEBEC AVE S.. I-9 to P-9 QUEBEC DR.. H-9, I-9 QUENTIN AVE S. G-16, H-16, J-16 to P-16 to S-16 QUENTIN CT. J-16 RALEIGH AVE S. J-15, K-15, L-15, L-16, M-16, O-15, Q-15, Q-16, R-16 RANDALL AVE. N-18
REPUBLIC AVE.. N-10, N-11, O-11 RHODE ISLAND AVE S. E-9, F-9, I-8, I-9 to Q-9 RIDGE DR.. H-14, I-14 RIDGEWAY RD.. E-8, E-9 ROBIN OAK RD.. J-4 RUNNYMEADE LN. H-3, H-4 SALEM AVE S.. J-15 to N-15, R-15, S-15 SANDRA LN.. N-3, N-4 SARATOGA LN N..D-2 SERVICE RD.. Q-14, Q-15, R-14 SHELARD PKWY.. D-3, D-4, E-2, E-3, F-3 SOUTH ST.. P-10, P-11 STANLEN RD.. J-5, J-6 STEPHENS DR.. I-15 SUMTER AVE S.. E-8, E-9, F-8, I-8, J-8, J-9, K-9, L-9 to P-9 SUMTER DR.. H-8, H-9, I-8 SUNNYSIDE RD.. T-16, T-17 SUNSET BLVD. K-19, L-18, L-19 SUNSET RIDGE RD.. N-6 TAFT AVE S.. P-10 TARGET SERVICE DR. O-6, P-6 TEXA TONKA AVE.. K-8, L-8 TEXAS AVE S..F-8, F-9, G-8, G-9, H-8 to P-8 TEXAS CIR S..G-8, G-9 THIELEN AVE..T-14 TOLEDO AVE S..J-15 to M-15, R-15, S-15 TRANSIT CENTER SERVICE RD.F-10 TURNERS XRD S. F-14 UTAH AVE S.. E-8, G-8 to I-8, L-8 to O-8 UTAH DR S. G-8, H-8 UTICA AVE S..F-15, G-15, I-15 to L-15, M-14, M-15, Q-15 to S-15 VALLACHER AVE..P-17, Q-16, Q-17 VAN BUREN AVE N.. P-6 VERMONT AVE S. F-8 VERMONT ST.. S-14 VERNON AVE S.. H-14, J-14 to L-14, R-14 to T-14 VICTORIA CIR.. J-9, K-9 VICTORIA CRV. J-8, K-8 VICTORIA LN..K-8 VICTORIA WAY.. K-8, K-9 VIRGINIA AVE S..G-7, G-8, H-8 to O-8 VIRGINIA CIR N..I-7, J-6 to J-8 VIRGINIA CIR S..J-6 to J-8 WALKER ST.. N-13, N-14, O-8 to O-13 WATERSTONE PL.. L-4, M-4 WAYZATA BLVD.. D-4, E-2 to E-4, E-7, E-8, E-11, F-2 to F-16, G-16 WEBSTER AVE S..J-14 to S-14 WESTMORELAND LN..G-5, G-6, H-6, H-7 WESTRIDGE LN..I-16 WESTWOOD CIR.. D-2 WESTWOOD HILLS CRV..H-7, H-8, I-7, I-8 WESTWOOD HILLS DR..F-8, G-7, G-8, H-7, H-8, I-8 WESTWOOD HILLS RD..F-8 WESTWOOD RD.. D-2, E-2 WILLOW LN N..H-17, I-17 WILLOW LN S.. I-17 WINNETKA AVE S.. D-8 to F-8 WISCONSIN AVE S. E-7, F-7, F-8 WOLFE PKWY..P-16 WOOD LN..T-14 WOODDALE AVE..N-12, N-13, O-13, T-16 WOODDALE AVE S.O-13, O-14, P-14, Q-14, Q-15, R-15, R-16 to T-16

City Council Meeting of March 21, 2011 (Item No. 4d) Subject: Federal Early Retiree Reinsurance Program (ERRP) Disbursement
This includes active employees who participate in our health insurance program, retirees who continue on our plan and those on COBRA. Employees who opt out of paying for insurance premiums are not eligible for this reimbursement under federal program guidelines. Those qualified must be actively participating in payment of premiums on the date(s) of the premium disbursement. Have we had any experience with this in the past? In December, 2003, Medica declared a premium holiday to return cost savings to employers. Medica did not charge premiums to the employer for a half month, and the City elected to pass those savings on to employees who were enrolled with Medica. ERRP is a different program, but the recommendation is to pass savings to participants in a similar manner. What about the possibility of receiving future funds? We will continue to participate in ERRP. As stated above, additional funds may be distributed to the City based on federal funding. After we obtain approval from Council on disbursement, we will move ahead as planned and will also review this method used for disbursement and make a recommendation on future (if any) disbursements for Council review and approval. Any reimbursement funds remaining after this ERRP premium reduction will be banked for future disbursements. If this disbursement method is successful, and no other methods of disbursement are recommended, it is recommended that the City Manager be authorized to approve future premium disbursements. If the disbursement method is recommended to change, staff will present the updated program to Council for review and approval. What are the next steps? Communication with Benefits Committee, all employees (union and non-union), and former employees who are plan participants. FINANCIAL OR BUDGET CONSIDERATION: None. VISION CONSIDERATION: Not directly applicable. Attachment: Prepared by: Reviewed by: Approved by: Resolution Ali Fosse, HR Coordinator Nancy Deno, Deputy City Manager Tom Harmening, City Manager
RESOLUTION NO. 11-____ RESOLUTION APPROVING FEDERAL EARLY RETIREE REINSURANCE PROGRAM (ERRP) DISBURSEMENT WHEREAS, in the Affordable Care and Patient Protection Act of 2010, an Early Retiree Reinsurance Program (ERRP) was established by the federal government to provide approved entities with a reimbursement of health care expenses incurred by their early retirees and; WHEREAS, the purpose and intent of the ERRP program is to lower premium costs for all plan participants who may have high premiums because of claims incurred by retirees and; WHEREAS, the City of St. Louis Park applied and was approved to participate in this program with the first reimbursement of funds received on January 12, 2011 and; WHEREAS, due to program requirements, we are prohibited from using reimbursement funds as general revenue and must be able to demonstrate that funds (including any interest accrued) were used exclusively to reduce or offset increases in plan participants health benefit premium contributions, copayments, deductibles, coinsurance, or a combination of these costs and; WHEREAS, we will continue to participate in ERRP with any funds remaining after this ERRP premium reduction banked for future disbursements. If this disbursement method is successful, and no other methods are recommended, the City Manager is authorized to approve future premium disbursements. If the disbursement method is recommended to change, staff will present the updated program to Council for review and approval. NOW THEREFORE BE IT RESOLVED, by the City Council of the City of St. Louis Park that the following method for ERRP fund disbursement will be applied in 2011: The disbursement of funds received in January, 2011 will be applied to one month where all premiums are reduced by $420 for each plan participant, and A plan participant is an individual that purchases health insurance from the City and is required to pay a premium at the time the disbursement is issued, and The appropriate City officials are hereby authorized and directed to make this change in payroll for the ERRP disbursement at a time approved by the City Manager. Reviewed for Administration: Adopted by the City Council March 21, 2011

Meeting Date: March 21, 2011 Agenda Item #: 4h
TITLE: Vendor Claims. RECOMMENDED ACTION: Motion to accept for filing Vendor Claims for the period February 26, 2011 through March 11, 2011. POLICY CONSIDERATION: Not applicable. BACKGROUND: The Finance Department prepares this report on a monthly basis for Councils review. FINANCIAL OR BUDGET CONSIDERATION: None. VISION CONSIDERATION: Not applicable. Attachments: Prepared by: Vendor Claims Connie Neubeck, Account Clerk
City Council Meeting of March 21, 2011 (Item No. 4h) Subject: Vendor Claims
R55CKSUM LOG23000VO CITY OF ST LOUIS PARK Council Check Summary 2/26/2011 Vendor 3D SPECIALTIES INC Business Unit ROUTINE MAINTENANCE Object OPERATIONAL SUPPLIES 3/11/2011 Amount 549.24 549.24 3RD LAIR SKATEPARK SKATEBOARD PROGRAMS OTHER CONTRACTUAL SERVICES 850.00 850.00 A-1 OUTDOOR POWER INC PARK AND RECREATION BALANCE SH INVENTORY 82.76 82.76 AAA-LICENSE DIVISION PARK AND RECREATION BALANCE SH INVENTORY 1,522.94 1,522.94 ABLE HOSE & RUBBER INC SEWER UTILITY G&A EQUIPMENT PARTS 44.14 44.14 ACME TOOLS PARK AND RECREATION BALANCE SH INVENTORY 1,871.37 1,871.37 ACTION FLEET INC PARK AND RECREATION BALANCE SH TECHNOLOGY REPLACEMENT TECHNOLOGY REPLACEMENT INVENTORY OFFICE EQUIPMENT POLICE EQUIPMENT 60.14 101.00 1,191.92 1,353.06 ADLER, LAURA EMPLOYEE FLEX SPEND G&A TUITION 751.34 751.34 AECOM INC MUNICIPAL BLDG BUILDINGS & STRUCTURES 5,840.00 5,840.00 AIM ELECTRONICS BUILDING MAINTENANCE ICE RESURFACER EQUIPMENT MTCE SERVICE BLDG/STRUCTURE SUPPLIES 181.01 459.56 640.57 ALLIANCE MECH SRVCS INC PARK GROUNDS MAINTENANCE OTHER CONTRACTUAL SERVICES 193.50 193.50 AMERIPRIDE LINEN & APPAREL SER PUBLIC WORKS OPS G & A PARK MAINTENANCE G & A ENTERPRISE G & A VEHICLE MAINTENANCE G&A WATER UTILITY G&A SEWER UTILITY G&A OPERATIONAL SUPPLIES OPERATIONAL SUPPLIES GENERAL SUPPLIES OPERATIONAL SUPPLIES OPERATIONAL SUPPLIES OPERATIONAL SUPPLIES 137.56 89.54 53.42 97.90 61.82 61.82
3/14/2011 11:07:25 Page 1

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3/14/2011 11:07:25 Page 8
R55CKSUM LOG23000VO CITY OF ST LOUIS PARK Council Check Summary 2/26/2011 Vendor KUSSMAUL ELECTRONICS CO INC Business Unit PARK AND RECREATION BALANCE SH PARK AND RECREATION BALANCE SH Object INVENTORY DUE TO OTHER GOVTS 3/11/2011 Amount 1,169.38 75.221,094.16 LADEN'S BUSINESS MACHINES INC IT G & A EQUIPMENT MTCE SERVICE 173.27 173.27 LAKE FOREST NEIGHBORHOOD ASSOC HOUSING REHAB BALANCE SHEET CONTRACTS PAYABLE 206.08 206.08 LAKES GAS CO ROUTINE MAINTENANCE EQUIPMENT PARTS 133.59 133.59 LARSEN, MELINDA WATER UTILITY G&A GENERAL CUSTOMERS 53.23 53.23 LEAGUE OF MN CITIES ADMINISTRATION G & A POLICE G & A SUBSCRIPTIONS/MEMBERSHIPS TRAINING 80.00 4,335.00 4,415.00 LEAGUE OF MN CITIES INSURANCE UNINSURED LOSS G&A UNINSURED LOSS 3,136.85 3,136.85 LENTNER, LAURA INSTRUCTIONAL SKATING LESSONS OTHER CONTRACTUAL SERVICES 432.00 432.00 LIND ELECTRONICS INC TECHNOLOGY REPLACEMENT OFFICE EQUIPMENT 2,083.26 2,083.26 LOGIS IT G & A POSTAL SERVICES SUPPORT SERVICES G&A NETWORK SUPPORT SERVICES TECHNOLOGY REPLACEMENT COMPUTER SERVICES COMPUTER SERVICES COMPUTER SERVICES COMPUTER SERVICES OFFICE EQUIPMENT 43,004.57 28,798.00 6,996.00 4,152.00 4,076.00 87,026.57 LUCKEN, RICK INSPECTIONS G & A MECHANICAL 215.00 215.00 MACGREGOR-HANNAH, MAREN INSTRUCTIONAL SKATING LESSONS OTHER CONTRACTUAL SERVICES 218.00 218.00

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R55CKSUM LOG23000VO CITY OF ST LOUIS PARK Council Check Summary 2/26/2011 Vendor MACQUEEN EQUIP CO Business Unit PARK AND RECREATION BALANCE SH GENERAL REPAIR Object INVENTORY EQUIPMENT MTCE SERVICE 3/11/2011 Amount 276.41 165.60 442.01 MADISON, CHARLES BROOMBALL EMPLOYEE FLEXIBLE SPENDING B/S OTHER CONTRACTUAL SERVICES WAGE GARNISHMENTS 1,687.50 617.961,069.54 MADISON, DANIEL BROOMBALL OTHER CONTRACTUAL SERVICES 1,425.00 1,425.00 MAMA ADMINISTRATION BUDGET SUBSCRIPTIONS/MEMBERSHIPS 45.00 45.00 MANAGED SERVICES INC WATER UTILITY G&A BUILDING MTCE SERVICE 1,641.81 1,641.81 MCCAGUE, ANN & SCOTT WATER UTILITY G&A GENERAL CUSTOMERS 31.23 31.23 METRO BLOOMS STORM WATER UTILITY G&A OTHER CONTRACTUAL SERVICES 1,666.50 1,666.50 METRO VOLLEYBALL OFFICIALS VOLLEYBALL OTHER CONTRACTUAL SERVICES 424.00 424.00 METRO WATER CONDITIONING INC PLUMBING MTCE EQUIPMENT MTCE SERVICE 1,747.13 1,747.13 MICKELSON, LAUREL GREEN REMODELING PROGRAM OTHER CONTRACTUAL SERVICES 150.00 150.00 MICRO CENTER E-911 PROGRAM WATER UTILITY G&A OFFICE SUPPLIES GENERAL SUPPLIES 75.09 85.81 160.90 MIDWAY FORD PARK AND RECREATION BALANCE SH INVENTORY 21,590.05 21,590.05 MIDWEST ASPHALT CORP PATCHING TEMPORARY OTHER IMPROVEMENT SUPPLIES 1,048.42 1,048.42

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R55CKSUM LOG23000VO
CITY OF ST LOUIS PARK Council Check Summary 2/26/2011 3/11/2011 Amount 3,135.40
3/14/2011 11:07:25 Page 17

Vendor

Business Unit

Object

VIKING INDUSTRIAL CTR

ROUTINE MAINTENANCE

OPERATIONAL SUPPLIES

89.17 89.17

WATER CONSERVATION SERVICE INC

WATER UTILITY G&A

OTHER IMPROVEMENT SERVICE

1,207.61 1,207.61

WATSON CO INC

CONCESSIONS/HOCKEY ASSOC

CONCESSION SUPPLIES

1,540.16 1,540.16

WEBER ELECTRIC

SEWER UTILITY G&A

EQUIPMENT MTCE SERVICE

490.56 490.56

WELCH, JENNIFER

OPERATIONS

GENERAL PROFESSIONAL SERVICES

968.75 968.75

WOLNEY ELECTRIC LLC

ELECTRICAL SYSTEM MTCE

BUILDING MTCE SERVICE

730.94 730.94

XCEL ENERGY

ENTERPRISE G & A

ELECTRIC SERVICE

13,396.37 13,396.37

ZEE MEDICAL SERVICE

BUILDING MAINTENANCE

GENERAL SUPPLIES

123.93 123.93

ZIEGLER INC
PARK AND RECREATION BALANCE SH

INVENTORY

512.71 512.71

ZIMAN, HEIDI

FACILITY ROOM RENTAL

RENT REVENUE

100.00 100.00 Report Totals 833,140.75

the 1986 Act means the Insolvency Act 1986(c);
the 1988 Act means the Income and Corporation Taxes Act 1988(d);
the 1993 Act means the Pension Schemes Act 1993(e);
the 1995 Act means the Pensions Act 1995(f);
the FSMA means the Financial Services and Markets Act 2000(g);
1the assessment date means the date on which the assessment period in relation to the scheme or section, or (where there has been more than one such assessment period) the last one, began; the Authority has the meaning given in section 124(1) of the 1995 Act (interpretation)(h); 2EEA credit institution means a credit institution, authorised under Directive 2006/48/EC of the European Parliament and of the Council dated 14th June 2006 relating to the taking up and pursuit of the business of credit institutions, which has its relevant office in an EEA state other than the United Kingdom;
( a ) 2004 c. 35. Section 318(1) is cited because of the meaning there given to prescribed and regulations. Sections 122(3), 126(1), 129(1)(b), 134(3), 146(1) and 147(1)(a) are modified in their application to multi-employer schemes by the Pension Protection Fund (Multi-employer Schemes) (Modification) Regulations 2005 (S.I. 2005/441) which also modifies other provisions of Part 2 of the Pensions Act 2004. Sections 129(1), 138(12), 146(1), 147(1)(a) and 151(8) are also modified in their application to partially guaranteed schemes by the Pension Protection Fund (Partially Guaranteed Schemes) (Modification) Regulations 2005 (S.I. 2005/277) which also modifies other provisions of Part 2 of the Pensions Act 2004. (b) See section 317 of the Pensions Act 2004 which provides that the Secretary of State must consult such persons as he considers appropriate before making regulations by virtue of the provisions of that Act (other than Part 8). This duty does not apply where regulations are made before the end of six months beginning with the coming into force of the provisions of that Act by virtue of which the regulations are made. (c) 1986 c. 45. (d) 1988 c. 1. ( e ) 1993 c. 48. (f) 1995 c. 26. (g) 2000 c. 8. (h) See section 7(2)(b) of the Pensions Act 2004 which provides that the Authority in section 124(1) of the Pensions Act 1995 means the Pensions Regulator.
Defn. of the assessment date inserted by reg. 4(2)(b) of S.I. 2005/2113 as from 19.8.05.
Defns. of EEA credit institution, EEA insurer, EEA regulator, first non life. & home state regulator inserted by reg. 2(2)(a) of S.I. 2009/451 as from 1.4.09.

5.10752

The Law Relating to Social Security
PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 EEA insurer means an undertaking, other than a UK insurer, pursuing the activity of direct insurance (within the meaning of Article 2 of the life insurance directive or Article 1 of the first non-life insurance directive) which has received authorisation under Article 4 of the life insurance directive or Article 6 of the first non-life insurance directive from its home state regulator; EEA regulator means a competent authority (within the meaning of Article 1(1) of the life insurance directive or Article 1(k) of the third non-life insurance directive) of an EEA state; the first non-life insurance directive means Council Directive 73/239/EEC of 24th July 1973 on the co-ordination of laws, regulations and administrative provisions relating to the taking up and pursuit of the business of direct insurance other than life assurance; home state regulator means the relevant EEA regulator in the EEA state where its head office is located; the Insolvency Rules means the Insolvency Rules 1986(a); 1the life insurance directive means Directive 2002/83/EC of the European Parliament and of the Council dated 5th November 2002 concerning life assurance; 2the Multi-employer Regulations means the Pension Protection Fund (Multi employer Schemes) (Modification) Regulations 2005(b);

4(4) Paragraph (2) shall not apply in relation to an eligible scheme where before the beginning of an assessment period in relation to the scheme any of the following are in place (a) a scheme apportionment arrangement under the Occupational Pension Schemes (Employer Debt) Regulations 2005(d); (b) a regulated apportionment arrangement under those Regulations; ( a ) See Article 2 of the Pension Protection Fund (Eligible Schemes) Appointed Day Order 2005 (S.I. 2005/599) which provides that the day appointed is 6th April 2005. (b) 1985 c. 6. Section 425 was amended by section 248(3) of, and paragraphs 3 and 5 of Schedule 17 to, the Enterprise Act 2002 (c. 40). ( c ) See section 159 of the Pensions Act 2004 which makes provision in respect of further assessment periods in respect of schemes which are authorised under section 153 of that Act to continue as closed schemes. (d) S.I. 2005/678, amended by S.I. 2005/993, 2224, 3377 and 3378, 2006/467 and 558 and 2007/60. 1(1A)
Para. (1A) inserted in reg. 2 by reg. 3(2)(a) of S.I. 2010/196 as from 8.3.10. 2 Words in reg. 2(2) substituted by reg. 4(a)(iv) of S.I. 2005/ 993 as from 1.4.05. 3 Words in reg. 2(2) & (3) omitted, substituted & inserted by reg. 2(3)(a)-(e) of S.I. 2005/ 2153 as from 24.8.05.
Reg. 2(4) substituted by reg. 18 of S.I. 2008/731 as from 6.4.08.

5.10757

PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 (c) a withdrawal arrangement under those Regulations; (d) an approved withdrawal arrangement under those Regulations.
1(e) a restructuring within regulation 6ZB or 6ZC of those Regulations.
(5) Where the Board has determined to validate or not to validate an estimate and statement provided to it by the actuary under paragraph (3)(a)(iii), it must issue a notice to this effect (a validation notice) and must give a copy of that notice to (a) the trustees or managers of the scheme, (b) the actuary, 2and

2 (c) the Regulator

(6) A notice issued by the Board under paragraph (5) shall be in writing and shall contain the following information (a) the name or type of the notice issued; (b) the date on which the notice is issued; (c) the date on which the Board received the estimate and statement from the actuary; (d) the Boards determination to validate or not to validate the estimate and statement received from the actuary; (e) a statement of reasons for the Boards determination; (f) the address for communications at which the Board may be contacted in connection with the issue of the notice; (g) whether the issue of the notice by the Board is a reviewable matter and, if so, the time limit for applying for a review of or appeal against the issue of the notice; (h) the date on which the notice issued will become binding; and (i) whether or not the notice issued contains any restricted information and, if so, the nature of the restrictions. (7) The Boards determination to validate or not to validate the estimate and statement provided to it by the actuary under paragraph (3)(a)(iii) above does not take effect (a) until (i) the Board has issued a notice under paragraph (5) relating to the determination, and (ii) the period within which the issue of that notice may be reviewed by virtue of Chapter 6 of Part 2 of the Act (reviews, appeals and maladministration) has expired, and (b) if the issue of the notice was so reviewed, until (i) the review and any reconsideration, (ii) any reference to the PPF Ombudsman in respect of the issue of the notice, and (iii) any appeal against his determination or directions, has been finally disposed of.

( a ) Part 2 of the Insolvency Act 1986 (c. 45) was substituted by section 248 of the Enterprise Act 2002 (c. 40).
Words in reg. 3(1)(a) substituted by reg. 21(4) of S.I. 2006/580 as from 6.4.06. 2 Reg. 3(1)(c) & para. (3) inserted into reg. 3(1) by reg. 2(2) & (3) of S.I. 2008/1810 as from 2.8.08.
In reg. 5(1), sub-para. (a) substituted & (aa) inserted by reg. 2(4) of S.I. 2005/2153 as from 24.8.05.

5.10763

SI 2005/590 Reg. 5
PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 (ii) a notice from an administrator under paragraph 83(3) of Schedule B1 to the 1986 Act(a) (moving from administration to creditors voluntary liquidation) in relation to the company is registered by the registrar of companies; (iii) the company moves from administration to winding up pursuant to an order of the court under Rule 2.132 of the Insolvency Rules(b) (conversion of administration to winding up power of court); or (iv) an administrator or liquidator of the company, being the nominee in relation to a proposal for a voluntary arrangement under Part 1 of the 1986 Act (company voluntary arrangements), summons meetings of the company and of its creditors, to consider the proposal, in accordance with section 3(2) of the 1986 Act (summoning of meetings); (aa) in relation to a partnership, where (i) the partnership moves from administration to winding up pursuant to an order of the court under Rule 2.61 of the Insolvency Rules (conversion of administration to winding up power of court) (as applied by an order under section 420 of the 1986 Act(c) (insolvent partnerships)) as that Rule stood before the coming into force of the Insolvency (Amendment) Rules 2003(d); or (ii) an administrator, liquidator or trustee of the partnership, being the nominee in relation to a proposal for a voluntary arrangement under Part 1 of the 1986 Act (as applied by an order under section 420 of the 1986 Act), summons meetings of the members of the partnership and of the partnerships creditors, to consider the proposal, in accordance with section 3(2) of the 1986 Act (as applied by an order under section 420 of the 1986 Act); (b) in relation to a relevant body, where (i) any of the events referred to in section 121(3) of the Act (insolvency events) occurs in relation to that body by virtue of the application (with or without modification) of any provision of the 1986 Act by or under any other enactment; or (ii) an administration order is made by the court in respect of the relevant body by virtue of any enactment which applies Part 2 of the 1986 Act (with or without modification); (c) in relation to a building society, where there is dissolution by consent of the members under section 87 of the Building Societies Act 1986(e) (dissolution by consent); (d) in relation to a friendly society, where there is dissolution by consent of the members under section 20 of the Friendly Societies Act 1992(f) (dissolution by consent); and (e) in relation to an industrial and provident society, where there is dissolution by consent of the members under section 58 of the Industrial and Provident Societies Act 1965(g) (instrument of dissolution).

( a ) Schedule B1 to the Insolvency Act 1986 was inserted by section 248 of, and Schedule 16 to, the Enterprise Act 2002. (b) Section 256A of the Insolvency Act 1986 was inserted by section 3 of, and paragraph 6 of Schedule 3 to, the Insolvency Act 2000 (c. 39). (c) Sections 256(1) and 262 of the Insolvency Act 1986 were amended by, and section 256A of that Act was inserted by, section 3 of, and Schedule 3 to, the Insolvency Act 2000 (c. 39).

5.10766

PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 of Schedule A1 (moratorium where directors propose voluntary arrangement) to the 1986 Act (as applied by an order under section 420 of that Act) but (aa) the resulting moratorium comes to an end without a voluntary arrangement taking effect, or (bb) where a voluntary arrangement has effect, it later ceases to have effect as a result of a court order under paragraph 38 (application where company in liquidation) of Schedule A1 to the 1986 Act (as applied by an order under section 420 of that Act); (iii) an administration order in relation to a partnership under Part 2 of the 1986 Act(a) (administration orders) is discharged except where (aa) a winding up order is made by a court immediately upon the discharge of the administration order, or (bb) the discharge is pursuant to an order of the court for the administration to be converted into winding up under Rule 2.61(1) of the Insolvency Rules (conversion of administration into winding up - power of court) as those rules stood before the coming into force of the Insolvency (Amendment) Rules 2003(b); or (iv) all proceedings in a winding up of the partnership are stayed altogether or an order for the winding up of the partnership is rescinded or discharged. (2) The prescribed circumstances referred to in section 122(3)(a) of the Act in which insolvency proceedings are stayed or come to an end shall also include circumstances where a deed of arrangement made by or in respect of the affairs of an employer in relation to an occupational pension scheme who is an individual who has been registered under the Deeds of Arrangement Act 1914(c) but the deed is void in accordance with the provisions of section 3(1) of that Act (avoidance of deeds of arrangement unless assented to by majority of creditors). Applications and notifications to the Board 7. 1Except in a case to which regulation 7A applies, the prescribed requirements referred to in section 129(1)(b) and (4)(b) of the Act (applications and notifications for the purposes of section 128) that are to be met in relation to the employer in relation to an eligible scheme are that the employer is either (a) a public body (i) in relation to which it is not possible for an insolvency event as defined in 1, or in regulations made under, section 121 of the Act (insolvency event, insolvency date and insolvency practitioner) to occur; and (ii) which is not the employer in relation to an occupational pension scheme in respect of which a relevant public authority has either (aa) given a guarantee in relation to any part of the scheme, any benefits payable under the scheme or any member of the scheme, or (bb) made any other arrangements for the purposes of securing that the assets of the scheme are sufficient to meet any part of its liabilities;

Reg. 7A(2)(d) & (e) added by reg. 2(3) of S.I. 2009/451 as from 1.4.09.
Words substituted in reg. 8(1) by reg. 2(7) of S.I. 2005/2153 as from 24.8.05.
8.(1) 4Except in a case to which regulation 8A applies, the prescribed period for making an application to the Board under section 129(1) of the Act (applications and notifications for the purposes of section 128) shall be the period of 28 days beginning with the date on which the trustees or managers of an eligible scheme become aware that the employer in relation to the scheme is unlikely to continue as a going concern. (2) Applications to the Board for the purposes of section 128 of the Act shall be in writing and shall contain the following information (a) a description of the type or purpose of the application; (b) the name, address and pension scheme registration number of the scheme in respect of which the application is made;
( a ) Part 3 is substituted by regulation 10(3) of S.I. 2005/2113. (b) Part 6 is substituted by regulation 10(4) of S.I. 2005/2113. ( c ) Subsection (4) is substituted by the modifications in Parts 3 and 6 of S.I. 2005/441 as substituted by regulation 10(3) and (4) of S.I. 2005/2113.

5.10768

PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 (c) the name of the employer in relation to the scheme in respect of which the application is made; (d) a statement by the trustees or managers of the scheme that the employer in relation to the scheme is unlikely to continue as a going concern and that the requirements prescribed under section 129(1)(b) of the Act have been met in relation to that employer; (e) the date on which the trustees or managers of the scheme became aware that the employer in relation to the scheme is unlikely to continue as a going concern; and (f) the date on which the application was sent to the Board by the trustees or managers of the scheme. (3) Where the Regulator becomes aware that the employer in relation to an eligible scheme is unlikely to continue as a going concern and that the requirements prescribed under section 129(1)(b) of the Act are met in relation to that employer, the prescribed information to be contained in the notice referred to in section 129(4) of the Act which the Regulator must give to the Board is as follows (a) the name or type of notice issued; (b) the date on which the notice is issued; (c) the name, address and pension scheme registration number of the scheme in respect of which the 1notice is issued; (d) the name of the employer in relation to the scheme in respect of which the notice is issued; (e) a statement by the Regulator that the employer in relation to the scheme is unlikely to continue as a going concern and that the requirements prescribed under section 129(1)(b) of the Act are met in relation to that employer; and (f) the date on which the Regulator became aware that the employer in relation to the scheme is unlikely to continue as a going concern. (4) Where the Board receives a notice from the Regulator to which paragraph (3) applies, the prescribed information that must be contained in the notice referred to in section 129(5) of the Act which the Board must give to the trustees or managers of the scheme concerned and copy to the employer in relation to that scheme is as follows (a) the name or type of notice issued; (b) the date on which the notice is issued; (c) the name, address and pension scheme registration number of the scheme in respect of which the notice is issued; (d) the name of the employer in relation to the scheme in respect of which the notice is issued; (e) a statement that the Board received a notice from the Regulator under section 129(4) of the Act and the date on which that notice was received by the Board; (f) the date on which the Regulator became aware that the employer in relation to the scheme is unlikely to continue as a going concern; (g) the address for communications at which the Board may be contacted in respect of the issue of the notice; and (h) whether the notice issued by the Board contains any restricted information and, if so, the nature of the restrictions.

5.10771

(c) the name, address and pension scheme registration number of the scheme, or section of the scheme, in respect of which the notice is given; (d) a statement that the Board received the notice from the Regulator under section 129(4)(a) or (b) of the Act and the date on which the notice was received by the Board; (e) where the notice referred to in sub-paragraph (d) is a notice under section 129(4)(a) of the Act, the date on which the Regulator became aware that the employer in relation to the scheme, or section of the scheme, is unlikely to continue as a going concern; (f) where the notice referred to in sub-paragraph (d) is a notice under section 129(4)(b) of the Act, the date on which the Regulator became aware that the person or persons referred to in paragraph (6)(e) is no longer an employer or are no longer employers in relation to the scheme, or section of the scheme, at the time referred to in section 129(4)(b) of the Act; (g) the address for communications at which the Board may be contacted in respect of the giving of the notice; and (h) whether the notice given by the Board contains any restricted information and, if so, the nature of the restrictions.

5.10772 (5.10774)

SI 2005/590 Reg. 9
Confirmation of scheme status by insolvency practitioner 9.(1) The prescribed matters referred to in section 122(5)(a) of the Act (insolvency practitioners duty to issue notices confirming status of scheme) which the insolvency practitioner in relation to the employer in relation to an occupational pension scheme must be able to confirm are (a) in circumstances where the employer is a company, that (i) the company has been rescued as a going concern and the employer (aa) retains responsibility for meeting the pension liabilities under the scheme, and (bb) has not entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) another person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme; (b) in circumstances where the employer is an individual, that (i) there has been a rescue of all or part of the employers business as a going concern and the employer (aa) retains responsibility for meeting the pension liabilities under the scheme, and (bb) has not entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) another person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme; (c) in circumstances where the employer is a partnership, that (i) there has been a rescue of all or part of the employers business and the employer (aa) retains responsibility for meeting the pension liabilities under the scheme, and (bb) has not entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) another person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme. (2) The prescribed matters referred to in section 122(5)(b) of the Act which the insolvency practitioner must be able to confirm are (a) in circumstances where the employer is a company (i) that employer has entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) that employer is not continuing as a going concern and (aa) no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme, and (bb) the insolvency practitioner is of the opinion that the employers pension liabilities under the scheme will not be assumed by another person; (b) in circumstances where the employer is an individual (i) that employer has entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) no part of that employers business is being continued by that employer as a going concern and (aa) no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme, and

5.10776

PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 Confirmation of scheme status by Board 10.(1) This regulation applies in a case where section 129 of the Act (applications and notifications for the purposes of section 128) applies and where the requirements prescribed in regulation 7 1or 7A have been met in relation to the employer in relation to an eligible scheme. (2) The prescribed matters referred to in section 130(5)(a) of the Act (Boards duty where application or notification received under section 129) which the Board must be able to confirm are that (a) all or part of the employers business has been rescued as a going concern and the employer (i) retains responsibility for meeting the pension liabilities under the scheme, and (ii) has not entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (b) the Board is satisfied that another person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme. (3) The prescribed matters referred to in section 130(5)(b) of the Act which the Board must confirm are that (a) in circumstances where the employer is a company 1, an EEA credit institution or an EEA insurer (i) that employer has entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) that employer is not continuing as a going concern and (aa) no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme, and (bb) the Board is of the opinion that the employers pension liabilities under the scheme will not be assumed by another person; (b) in circumstances where the employer is an individual (i) that employer has entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) no part of the employers business is being continued by that employer as a going concern and (aa) no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme, and (bb) the Board is of the opinion that the employers pension liabilities under the scheme will not be assumed by another person; (c) in circumstances where the employer is a partnership 1but is not an EEA credit institution or an EEA insurer (i) that employer has entered into an agreement to which paragraph (3)(c) of regulation 2 applies; or (ii) no part of the employers business is being continued by one or more of the partners as a going concern and (aa) no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme, and (bb) the Board is of the opinion that the employers pension liabilities under the scheme will not be assumed by another person. (4) A notice issued by the Board under section 130(2) or (3) of the Act shall be in writing and shall contain the following information (a) the name or type of notice issued; (b) the date on which the notice is issued; Supplement No. 87 [June 2009] The Law Relating to Social Security

SI 2005/590 Reg. 10

Words inserted in reg. 10(1), (3)(a) & (3)(c) by reg. 2(4)(a)-(c) of S.I. 2009/451 as from 1.4.09.

5.10777

SI 2005/590 Regs. 10-11
PENSION PROTECTION FUND (ENTRY RULES) REGULATIONS 2005 (c) the name, address and pension scheme registration number of the scheme in respect of which the notice is issued; (d) the name of the employer in relation to the scheme in respect of which the notice is issued; (e) a statement by the Board that a scheme rescue has occurred or that a scheme rescue is not possible; (f) if a scheme rescue has occurred, the date or the approximate date of the scheme rescue and, if there is a new employer in relation to the scheme, the name and address of that employer; (g) if a scheme rescue is not possible, a statement by the Board to that effect; (h) the address for communications at which the Board may be contacted in connection with the issue of the notice; (i) whether the issue of the notice by the Board is a reviewable matter and, if so, the time limit for applying for a review of or appeal against the issue of the notice; (j) the date on which the notice issued will become binding; and (k) whether the notice issued contains any restricted information and, if so, the nature of the restrictions. Confirmation of scheme status by insolvency practitioner - multi-employer schemes 11.(1) This regulation applies to (a) a section of a segregated scheme with only one employer in relation to that section; (b) a multi-employer section of a segregated scheme; or (c) a non-segregated scheme, where the scheme rules contain a provision for the partial winding up of the scheme, or the section, in circumstances where an employer in relation to the scheme, or the section, ceases to participate in the scheme. (2) Where, by virtue of section 122 of the Act(a) (insolvency practitioners duty to issue notices confirming status of scheme), an insolvency practitioner is required to issue a notice under subsection (2)(a) (a scheme failure notice) or (2)(b) (a scheme rescue notice) of that section in relation to (a) a section of a segregated scheme; (b) a segregated part of a multi-employer section of a segregated scheme; or (c) a segregated part of a non-segregated scheme, to which this regulation applies, regulation 9 shall have effect and shall be read as if, for the words the scheme in each place where they appear in that regulation, there were substituted the words the section or, as the case may be, the segregated part.

( a ) Section 122 of the Pensions Act 2004 is modified by the Pension Protection Fund (Multi employer Schemes) (Modification) Regulations 2005 (S.I. 2005/441) in its application to sections and multi-employer sections of segregated schemes and segregated parts of multiemployer sections of segregated schemes and non-segregated schemes.

5.10778

SI 2005/590 Regs. 11-12
(3) Where, by virtue of section 120(3A) or, as the case may be, 129(1B) of the Act(a), the trustees or managers of a scheme or a section of a scheme to which this regulation applies are required to give a non-segregation notice to the Board, the notice shall be in writing and shall contain the following information (a) the name or type of the notice issued; (b) the date on which the notice is issued; (c) the name, address and pension scheme registration number of the scheme in respect of which the notice is issued; (d) the name of the employer in relation to the scheme in respect of which the notice is issued; and (e) a statement that the trustees or managers have decided not to exercise the option to segregate under the scheme. (4) Where, under section 130 of the Act (Boards duty where application or notification received under section 129), the Board is required to issue a notice under subsection (2) (a scheme failure notice) or (3) (a scheme rescue notice) of that section in relation to (a) a section of a segregated scheme; (b) a segregated part of a multi-employer section of a segregated scheme; or (c) a segregated part of a non-segregated scheme, to which this regulation applies, regulation 10 shall have effect and shall be read as if, for the words the scheme in each place where they appear in that regulation, there were substituted the words the section or, as the case may be, the segregated part. Confirmation of scheme status by Board - multi-employer schemes 12.(1) This regulation applies to (a) a non-segregated scheme; or (b) a multi-employer section of a segregated scheme, the rules of which do not contain a provision for the partial winding up of the scheme, or the section, in circumstances where an employer in relation to the scheme, or the section, ceases to participate in the scheme. (2) Where, under section 122(2)(a) of the Act (insolvency practitioners duty to issue notices confirming status of scheme), an insolvency practitioner is required to issue a scheme failure notice in relation to a multi-employer section of a segregated scheme or a non-segregated scheme to which this regulation applies, regulation 9(2) shall have effect and shall be read as if (a) in the case of a multi-employer section of a segregated scheme (i) for the words no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme in sub-paragraph (a)(ii)(aa), there were substituted the words no other person or other persons has or have assumed responsibility for meeting all of the pension liabilities under the section; and

Regs. 12-13

not be assumed by another person; and (b) in the case of a non-segregated scheme (i) for the words no other person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme in sub-paragraph (a)(ii)(aa), there were substituted the words no other person or other persons has or have assumed responsibility for meeting all of the pension liabilities under the scheme; and (ii) for the words the Board is of the opinion that the employers pension liabilities under the scheme will not be assumed by another person in sub-paragraph (a)(ii)(bb), there were substituted the words the Board is of the opinion that all of the pension liabilities under the scheme will not be assumed by another person. (5) Where, under section 130(3) of the Act (Boards duty to issue notices confirming status of scheme), the Board is required to issue a scheme rescue notice in relation to a multi-employer section of a segregated scheme or a non-segregated scheme to which this regulation applies, regulation 10(2) shall have effect and shall be read as if (a) in the case of a multi-employer section of a segregated scheme (i) for the words retains responsibility for meeting the pension liabilities under the scheme in sub-paragraph (a)(i), there were substituted the words assumes responsibility for meeting all of the pension liabilities under the section; and (ii) for the words the Board is satisfied that another person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme in sub-paragraph (b), there were substituted the words the Board is satisfied that another person or other persons has or have assumed responsibility for meeting all of the pension liabilities under the section; and (b) in the case of a non-segregated scheme (i) for the words retains responsibility for meeting the pension liabilities under the scheme in sub-paragraph (a)(i), there were substituted the words assumes responsibility for meeting all of the pension liabilities under the scheme; and (ii) for the words the Board is satisfied that another person or other persons has or have assumed responsibility for meeting the employers pension liabilities under the scheme in sub-paragraph (b), there were substituted the words the Board is satisfied that another person or other persons has or have assumed responsibility for meeting all of the pension liabilities under the scheme. Confirmation of scheme status - binding notices 13.(1) Where the Board determines to approve or not to approve a notice issued by an insolvency practitioner or former insolvency practitioner in relation to an employer in relation to 1an occupational pension scheme under section 122 of the Act 1(insolvency practitioners duty to issue notices confirming status of scheme), the determination notice which the Board must issue under section 122(4) of the Act to that effect shall be in writing and shall contain the following information (a) the name or type of notice issued; (b) the date on which the notice is issued; (c) the name, address and pension scheme registration number of the scheme in respect of which the notice is issued; (d) the name of the employer in relation to the scheme in respect of which the notice is issued; (e) a statement that the Board received a notice from the insolvency practitioner, or former insolvency practitioner, under section 122 of the Act, the effect of that notice and the date on which it was issued by the insolvency practitioner;

(a) have permission under Part 4 of the FSMA (permission to carry on regulated activities) to accept deposits, 2and (b) are incorporated in the United Kingdom and carrying on there a regulated activity of accepting deposits, and quote a base rate applicable to sterling deposits. (4) 2In paragraph (3), paragraph (b) of the definition of reference banks above must be read with (a) section 22 of the FSMA (the classes of activity and categories of investment), (b) any relevant order under that section, and (c) Schedule 2 to that Act (regulated activities). Withdrawal following issue of section 122(4) notice 19.(1) A notice issued by the Board under section 148(3) or (4) of the Act (withdrawal following issue of section 122(4) notice) shall be in writing and shall contain the following information (a) the name or type of notice issued; (b) the date on which the notice is issued; (c) the name, address and pension scheme registration number of the scheme in respect of which the notice is issued;
( a ) 1993 c. 48. section 101AB was inserted by section 264 of the Pensions Act 2004.
Words inserted in para. 3(a) of the defn. of reference banks, and words in para. (4) inserted by reg. 4(f)(i) & (ii) of S.I. 2005/993 as from 1.4.05.

5.10790

Regs. 19-20
(d) the name of the employer in relation to the scheme in respect of which the notice is issued; (e) if the notice is issued pursuant to a determination by the Board under section 148(3) of the Act, a statement of the Boards determination and the date on which that determination was made; (f) if the notice is issued by the Board under section 148(4) of the Act, a statement by the Board of the basis on which the notice is issued; (g) the address for communications at which the Board may be contacted in connection with the issue of the notice; (h) whether the issue of the notice by the Board is a reviewable matter and, if so, the time limit for applying for a review of or appeal against the issue of the notice; (i) the date on which the notice issued will become binding; and (j) whether the notice issued contains any restricted information and, if so, the nature of the restrictions. (2) Where a notice issued by the Board under section 148(3) or (4) of the Act becomes binding, the notice which the Board must issue to this effect under section 148(7) of the Act shall be in writing and shall contain the following information (a) the information described in paragraph (1)(a) to (g) of this regulation; (b) the date on which the withdrawal notice referred to in paragraph (1) of this regulation was issued; (c) a statement that the withdrawal notice referred to in paragraph (1) of this regulation has become binding; and (d) the date on which the Board ceases to be involved with the scheme in respect of which the binding notice is issued. Consequences of the Board ceasing to be involved with a scheme 20.(1) Where an assessment period in relation to an eligible scheme comes to an end by virtue of the Board ceasing to be involved with the scheme 1following the issue of a withdrawal notice under section 122(2)(b) of the Act (scheme rescue has occurred) in relation to the scheme which has become binding then, subject to paragraphs (2) and (3), benefits are to accrue under the scheme rules to or in respect of any member of the scheme in respect of any period of service in employment during that assessment period which, but for section 133(5) of the Act (no benefits may accrue to or in respect of members during an assessment period), would have qualified that member for those benefits under the scheme rules. (2) No benefits shall accrue under 1the scheme rules to or in respect of any member of the scheme in the circumstances described in paragraph (1) unless contributions are paid to the scheme by or on behalf of that member before whichever is the earlier of (a) the end of the period of one year beginning with the date on which the assessment period in relation to the scheme came to an end, or (b) the end of the period beginning with the date on which the assessment period in relation to the scheme came to an end and ending at least 28 days before the date on which the member requests the trustees or managers of the scheme to put his entitlement to a pension or other benefits under the scheme into payment. (3) Where, during the period prescribed in paragraph (2)(a) or (b), contributions are paid to a scheme by or on behalf of a member in respect of any period of that members employment during an assessment period, contributions shall also become payable to the scheme by the employer in relation to the scheme in respect of that period of the members employment during that assessment period.

Words in reg. 20(1) & (2) substituted by reg. 4(g) of S.I. 2005/993 as from 1.4.05.

5.10791

SI 2005/590 Regs. 20-22
(4) Where, during the period prescribed in paragraph (2)(a) or (b), contributions are paid to a scheme by or on behalf of a member of the scheme or by the employer in relation to the scheme in respect of any period of that members employment during an assessment period, those contributions must be accepted by the trustees or managers of the scheme for the assessment period or for any part of that period. Refusal to assume responsibility - schemes which become eligible schemes
Words in reg. 21(1) & (1)(b) substituted by reg. 4(h) of S.I. 2005/ 993 as from 1.4.05.
21.(1) The prescribed period 1referred to in section 146(1) of the Act (schemes which become eligible schemes) throughout which the Board must be satisfied that an occupational pension scheme is not an eligible scheme shall (a) in the case of a scheme which was established at least three years before the date on which an assessment period began in relation to the scheme, be the period of three years preceding the date on which that assessment period began; and (b) in the case of a scheme which was established less than three years before the date on which an assessment period began in relation to a scheme, be the period beginning with the date on which the scheme was established and 1ending with the date on which that assessment period began. (2) Paragraph (1) shall have effect in relation to (a) a section of a segregated scheme; (b) a multi-employer section of a segregated scheme; or (c) a segregated part of (i) a multi-employer section of a segregated scheme; or (ii) a non-segregated scheme, as if that section, or segregated part, were a separate occupational pension scheme(a).
Reg. 21(3) inserted by reg. 3(3) of S.I. 2010/ 196 as from 8.3.10.
This regulation shall not apply where either (a) regulation 2(1A) (schemes which are not eligible schemes) of these Regulations; or (b) regulation 2A of the Pension Protection Fund (Partially Guaranteed Schemes) (Modification) Regulations 2005 (schemes to which paragraph (1) of regulation 2 does not apply),
applies to a scheme. Refusal to assume responsibility - new schemes created to replace existing schemes 22.(1) The prescribed period referred to in section 147(1)(a) of the Act (new schemes created to replace existing schemes) during which the Board must be satisfied that a new occupational pension scheme was established shall be the period of three years preceding the date on which an assessment period began in relation to the scheme. (2) Paragraph (1) above shall have effect in relation to (a) a section of a segregated scheme, (b) a multi-employer section of a segregated scheme, or (c) a segregated part of (i) a multi-employer section of a segregated scheme, or (ii) a non-segregated scheme,

( a ) Section 147(1) of the Pensions Act 2004 is modified by the Pension Protection Fund (Multi employer Schemes) (Modification) Regulations 2005 (S.I. 2005/441) in its application to sections and multi-employer sections of segregated schemes and segregated parts of multiemployer sections of segregated schemes and non-segregated schemes.
Words in reg. 24(1)(b)(ii) substituted by reg. 4(i) of S.I. 2005/993 as from 1.4.05.

5.10793

SI 2005/590 Regs. 24-25
(c) the name and address of the employer in relation to the scheme; (d) the name and address of the trustees or managers of the scheme in respect of which the application is made; (e) the date on which the trustees or managers of the scheme received a binding scheme failure notice issued by the Board in respect of the scheme; (f) the date on which the trustees or managers of the scheme received a binding valuation notice issued by the Board in respect of the scheme; (g) the date on which the application was sent to the Board by the trustees or managers of the scheme; (h) the cost quoted in the protected benefits quotation which accompanies the application; (i) the value of the assets of the scheme adjusted to take into account any outstanding liabilities of the scheme which are not covered by the protected benefits quotation which accompanies the application; and (j) the estimated cost of winding the scheme up. (3) The prescribed period referred to in section 151(6) of the Act as the authorised period for making an application for reconsideration is the period of six months. Form and content of audited scheme accounts 25. The prescribed requirements referred to in section 151(9)(b) (application for reconsideration) which are to apply in respect of the preparation of audited scheme accounts are that those accounts shall (a) contain the information specified in the Schedule; (b) show a 1true and fair view of (i) the financial transactions of the scheme during the period to which the accounts relate (the accounting period); (ii) the amount and disposition of the assets at the end of the accounting period; and (iii) the liabilities of the scheme, other than the liabilities to pay pensions and benefits, after the end of the accounting period; and (c) include a report by the auditor in writing as to whether or not in his opinion the requirements of paragraphs (a) and (b) above are satisfied.
Words in reg. 25(b) substituted by reg. 2(6) of S.I. 2009/451 as from 1.4.09.
Signed by authority of the Secretary of State for Work and Pensions.

10th March 2005

Malcolm Wicks Minister of State, Department for Work and Pensions

5.10794

SI 2005/590 Sch.