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HomeMy WebLinkAbout2014-01-23 Info PacketI = l �:..� ®� i� CITY COUNCIL INFORMATION PACKET CITY OF IOWA CITY www.icgov.org January 23, 2014 IP1 Council Tentative Meeting Schedule IP2 Agenda JANUARY 27 JOINT MEETING MISCELLANEOUS IP3 Memo from Public Works Dir.: Iowa City Gateway Project IP4 Memo from Human Rights Coordinator: Municipal Identification Cards IP5 Memo from Human Rights Coordinator: Ecological Human Rights IP6 Memo from Transportation Planner and Sustainability Coordinator: Walk Friendly Communities Program IP7 Memo from Community Development Coordinator: Affordable Housing Definition IP8 Response from City Attorney to Council Member Botchway: Conflict of Interest Inquiry I139 Letter from Mediacom: Installation and Activation Fees I1310 Article from Asst. to the City Manager: What A City Needs to Foster innovation: Cafes, Bike Lanes, and 3D Printers IP11 Excerpt of Iowa City Area Development (ICAD) Report from City Manager: Board Strategic Review — Notes from Chair Chuck Peters IP12 Excerpt of Iowa City Area Development (ICAD) Report from City Manager: America's Metro Regions Take Center Stage — 8 Reasons Why IP13 Excerpt of Iowa City Area Development (ICAD) Report from City Manager: Confronting Wicked Problems in the Metropolis: Is it Possible to make these Problems Tame? IP14 City of Iowa City Quarterly Investment Report— October 1, 2013 to December 1, 2013 IP15 Copy of mailing from City Manager: "How Does the East Side spell PROGRESS ?" DRAFT MINUTES IP16 Telecommunications Commission: December 30 r ��., --..:• City Council Tentative Meeting Schedule IP1 *MIN� Subject to change January 23, 2014 CITY OF IOWA CITY Date Time Meeting Location Monday, January 27, 2014 4:30 PM Joint Meeting /Work Session TBA / Coralville Thursday, February 6, 2014 5:00 PM City Conference Board Emma J. Harvat Hall Tuesday, April 1, 2014 5:00 PM Special Formal Meeting Emma J. Harvat Hall Tuesday, February 18, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall Tuesday, April 15, 2014 7:00 PM Formal Meeting Emma J. Harvat Hall Tuesday, March 4, 2014 5:00 PM City Conference Board Emma J. Harvat Hall Work Session Meeting 7:00 PM Formal Meeting Tuesday, March 25, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Special Formal Meeting Tuesday, April 1, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, April 15, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, May 6, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, May 20, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, June 3, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, June 17, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, July 1, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, July 15, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, August 5, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, August 19, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, September 2, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, September 16, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, October 7, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, October 21, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, November 4, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, November 18, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, December 2, 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting Tuesday, December 16 2014 5:00 PM Work Session Meeting Emma J. Harvat Hall 7:00 PM Formal Meeting AGENDA Joint Meeting Johnson County Board of Supervisors City of Iowa City City of Coralville City of North Liberty City of Tiffin Iowa City Community School District Board Clear Creek Amana School District Monday, January 27, 2014 City Hall in Coralville; Council Chambers 4:30 PM (Meeting preceded by 4:00 P.M. Reception) Call to Order Welcome and Introductions 1. Update on Jail and Courthouse facility needs. (Johnson County) 2. Legislative Priorities for 2014. (Johnson County) 3. County Road and Trail Projects for 2014. (Johnson County) 4. Alternative Technologies for the Iowa City Landfill. (Iowa City) 5. Other Business. Adjourn r CITY OF IOWA CITY IP3 MEMORANDUM DATE: January 23, 2014 TO: Torn Markus, City Manager �i FROM: Rick Fosse, Public Works Director tZ RE: Iowa City Gateway Project Outlined below is a summary of the discussion and decisions from the January 21, 2014 City Council work session and formal meeting. At the formal meeting a resolution was adopted that established the following primary design parameters for the project: 1. Protection level for Dubuque Street: 100 -year flood elevation plus one foot. 2. Backwater Reduction Goal (low steel elevation): 200 -year flood elevation plus one foot. 3. Structural Type for the Bridge: Through Arch. In addition to these primary design parameters, the City Council expressed an interest in having an active role in establishing a number of design element for the project, including: • Transportation model and forecast and findings for the corridor • Roadway alignment and medians • Roadway design speed • Vehicular travel lane width • Sidewalk locations and width • Turning lanes on Dubuque Street, Park Road and Park Road Bridge • Potential pedestrian- activated cross walk signal at the Mayflower dormitory At the present time we anticipate returning to discuss these design elements at the March 25, 2014 work session. Once these design elements have been established, the Concept Statement will be prepared and submitted to the Iowa DOT for review and approval. Prior to the work session noted above, we will host a Pre - Design meeting in late February to continue the public input process. January 23, 2014 Page 2 We will attend another City Council work session, probably in May, to discuss the corridor aesthetic elements. This will Include items such as: • Retaining wall concepts and aesthetics • Bridge aesthetic features • Lighting • Landscaping concepts Throughout the design process the web site and the public email distribution list VM1 continue to be used when there is new information available. As always, do not hesitate to contact staff with any questions or comments. Cc: Ron Knoche, City Engineer Melissa Clow, Special Projects Engineer r CITY OF IOWA CITY L-23-14 P aft 2 ,.� MEMORANDUM Date: January 23, 2014 To: Geoff Fruin, Assistant to the City Manager From: Stefanie Bowers, Human Rights Coordinat Re: Municipal Identification Cards Introduction: In August of 2013 University of Iowa College of Law Professor Stella Burch Elias contacted City Attorney Eleanor Dilkes offering to provide a student research paper for City staff on the topic of municipal identification cards as part of her Advanced Immigration Law and Policy course. The topic was of particular interest to Professor Elias as she was involved in the launch of the Elm City Resident Card when she lived in New Haven, Connecticut. Over the next several months Professor Elias and a small team of law students, Eren Fleck and Jordan Moody, met with City staff to discuss the research project. Discussions included but were not limited to any potential for conflict with existing state or federal law, information gathering on models used by other municipalities that currently issue cards, community interest in a card, community need for a card and the cost to implement and sustain municipal identification cards and whether information collected from those who applied for a card would be a public record under Iowa law. In addition to meeting with City staff Professor Elias and the law students gauged community interest and need by meeting with several local community leaders and organizations for further input on municipal identification cards. The full report entitled An Iowa City Community Identification Card: A Report for the City of Iowa City on the Feasibility of Implementing a Community Identification Card Program (hereinafter "Report") is attached to this memo. History/Background: In December 2012 the Human Rights Commission made the following recommendation to the City Council. The Human Rights Commission would support the City in pursuing a municipal issued identification card, implemented in a manner to protect the safety of undocumented persons. Human Rights Commission Meeting Minutes 12/18/12. In June of 2013 the City Council directed staff to research the feasibility of a municipal identification card as part of the recommendation put forth by the Human Rights Commission and supported by the Ad Hoc Diversity Committee in its recommendations to the City Council in March 2013. Staff subsequently began to meet and research the topic in order to report back to City Council. Financial Impact: The costs and expenses for a municipal identification card system vary. Costs and maintenance can fluctuate depending on who issues the card (a city, a non - profit or a for - profit). Costs are also influenced by the services delivered by the card. For example, a municipal identification that serves as a debit/credit card would be more costly to produce due to the sophisticated nature of the functions delivered and security needed for the card versus a card that was issued for identification and access to City services. In addition, to the costs associated with producing an actual card (materials, software, computer, printer) there are costs in the upkeep /maintenance of equipment and the continual production process. Report, p. 23. January 23, 2014 Page 2 As you will read, New Haven, Connecticut implemented its municipal identification cards with the assistance of philanthropic donations and grants. Since that time New Haven has not reported any additional costs to run the program. The city's Vital Statistics Office manages the issuance of municipal identifications as an additional duty of its responsibilities. Report, p. 17. For comparison, the city of San Francisco expended a large amount of its general fund ($828,000) to implement municipal identification cards. Two city employees are responsible for running the program. Ongoing costs including licensing, software and printer costs run over $200,000 annually. Report, p. 20. Cost implications for each model are addressed in the full report that follows. Needs Assessment: As part of their research Professor Elias and the students were able to collect data from 233 community members in October of 2013. Report, D. 12. The surveys were available in both English and Spanish. Id. Survey results show that there is a demand for a municipal identification card. Respondents ranked the benefits of such a card for use in interaction with law enforcement (94 %), medical service access (87 %), utility account creation (87 %), pharmacy access (84 %), feeling a part of the City (84 %), financial institution access (85 %), jail access (76 %), homeless shelter access (76 %), parking or bus fare (68 %), library card (67 %) and City recreation facility access (61 %). The survey is an incomplete sampling of the Iowa City community but does indicate a strong demand within the Latino and Sudanese communities for the issuance of a municipal identification card. Report, pp. 6, 78 -81. Staff notes that with the exception of identification required by the police and library cards, access to the City services identified by survey respondents (utility accounts, parking or bus fare, and recreation facility access) are all available without the need for photo identification. In this regard, the Report notes that "it is important to recognize that the CID has the potential to also create barriers for some residents if the CID becomes a requirement to access City services." Report, P. 13. Pro and Cons of Each Model: The report includes detailed information on 4 cities and 1 county that currently offer municipal identification cards. The cities are: New Haven, CT., San Francisco, CA.', Oakland, CA., and Richmond, CA. The county is Mercer County, N.J. None of the above listed locations have exactly the same program for the issuance of municipal identification cards but all can be placed into the category of city issued cards, non - profit issued cards or for - profit issued cards. City issued municipal identification cards has largely been successful in both New Haven and San Francisco. New Haven has issued over 10,000 cards and San Francisco over 19,000 since inception. Report, pp. 16 -19. In both communities proponents of a municipal identification card cited a concern that criminals targeted immigrants for theft because immigrants had difficulty opening bank accounts and as a result carried large amounts of cash. Due to immigration status or an uneasiness with interaction with law enforcement victims of crime often would not report the crime to law enforcement for prosecution. Report, pp. 18 -21. New Haven reports that after 5 years of issuing municipal identification cards there have been significant increases in crime reporting and a drop in crimes committed. Report, P. 15. The municipal identification cards issued in both New Haven and San Francisco can be used to access city services and at local lending institutions and businesses that chose to accept the identification. For example, the cardholder has the option of using the card to open bank accounts and cash checks which provides a much broader appeal to cardholders because of the multiple uses for the card. There are disadvantages to a city issued municipal identification card. The first is cost. As mentioned, New Haven was able to use donated funds and grants to implement the program while San Francisco spent a considerable amount of its general fund to initiate the program and 1 The City of San Francisco and San Francisco County are a consolidated governmental entity. January 23, 2014 Page 3 continues to spend large amounts annually for the continuation and maintenance of the program. Report, pp. 15 -21. The second is concern about whether applicant information would be a public record under Iowa law. Finally, some of the services identified by survey respondents are not city services (e.g., jail access) or are businesses that are located throughout the metropolitan area (e.g., pharmacies and medical services). In Mercer County the municipal identification cards are issued by a non - profit but are recognized and accepted by local city and county authorities. Report, P. 21. An advantage to a non - profit issuing the card is that it makes the card more accessible to all in a community. In Mercer County law enforcement worked alongside a non - profit in establishing what could verify an applicant's identity and residency. An additional benefit to a non - profit issued card is that it truly is a community card and not just a municipal identification card. In Mercer County the card may be presented for ambulance and medical services as well as for recreation and library services at the city and county level. The card in Mercer County is also recognized by city police and county sheriff officers. Report, pp. 22 -24. The downside to the Mercer County card is that is does not currently serve as a primary source to open a bank account or provide an ATM / Debit/Credit function. In the for - profit model Oakland and Richmond license their names to a for - profit entity that then handles all the details of issuing and maintaining the cards. The cities incur no costs as a result. Report, p. 24. Because partnering with a for - profit is a relatively newer model it can come with some undesired consequences depending on the services delivered by the card. For example, if the card allows holders to use it as a debit/credit card then the documentation one must produce for issuance of the card are much higher than what would be required for a card used just for identification purposes or to access city services. The higher documentation is a result of the regulations and policies that banking institutions must follow and as a result cannot be altered by the for - profit or the municipality. Report, P. 26.2 In addition to the higher tier of documentation required to issue the card, the debit/credit functions of the card also has costly service fees to the holder and provide little protection against loss of funds to the holder from human error or theft. Id. The Report provides a good summary of the pros and cons of the different models, stating as follows: A. If the City wishes to maximize the services and benefits provided by a Community Identification Card then the City itself should issue the card. B. If the City wishes to prioritize all local residents having access to a Community Identification Card then it should recognize a non - profit issued card. C. If the City wishes to minimize expenditures then it should recognize a non - profit or for - profit issued card. D. If the City wishes to maximize the security of cardholders' information then it may chose to recognize a community identification card from a non - profit or for - profit provider.3 Recommendation: If the City Council wishes to pursue this endeavor further, then staff would recommend the Mercer County, New Jersey Model. This model allows for a non - profit to issue what would be termed a community identification card (also referenced as "CID ") and the card would be recognized by the City as a lawful form of identification and to access City services. In this model the City would not issue the card; however, it may need to seed funds to the non - profit to cover the costs of labor, production and materials. 2 This would be true whether the card was issued by a municipality, non - profit or for - profit where the card also provides any banking type services such as a debit/credit card or to open a bank account. 3 Report, pp. 48 -51. January 23, 2014 Page 4 There are several benefits to this approach. The community identification card applicant does not necessarily need to demonstrate valid immigration status or produce difficult -to- obtain documents. Report, p. 1. A community identification card would be a more accessible form of identification for vulnerable populations, including those that may be homeless. Report, p.4.4 This model prioritizes all residents to have equal access within our community to the wide range of City services and provides a bridge between community members and law enforcement with the added appeal of being expanded to include other services within the entire community. Report, pp. 21 & 49. The non - profit model truly allows for the community identification card to be a card of the community. Non - profits do not have the jurisdictional boundaries a city is inherently bound by, non - profits often serve all in a countywide area and by this are able to serve a larger population which could allow a community card to be more widely accepted. The community members that were surveyed by Professor Elias and the students cite many benefits to community identification cards that extend beyond City services, such as pharmacy access, jail access and homeless shelter access. Based on the survey results a community card that would be recognized by other government entities in Johnson County, educational institutions, health care providers and businesses would maximize the many needs a holder may have for a community identification card. A non - profit issuing the card allows for the card to meet more needs and services as well as be accessible to more in the community. The non - profit approach also reduces the risk of an applicant's personal information being subject to a request for disclosure under Iowa's public records law. This is an important factor in encouraging all members of the community to feel comfortable in applying for the card. The Report notes that each of the communities that introduced a CID had developed a clearly defined protocol for CID use in the course of law enforcement operations. Report, p.47. Such a protocol would have to be developed in Iowa City and would require a review of the criteria used to issue the cards and a review of the Mercer County law enforcement practices. Although staff believes the non - profit approach would meet the needs and objectives of the original recommendation to the City Council by the Human Rights Commission and supported by the Ad Hoc Diversity Committee, it does have the potential to limit a holder's ability to use it as a form of identification to open bank accounts or use as a debit/credit card. City staff, the non - profit selected and area banks would need to further discuss this matter to determine whether it would be viable in this community. However, it should be noted that using the community identification card to utilize City services such as recreation, libraries, utilities or transit currently do not and would not involve any higher fees to a card holder or higher tier of documentation. Other details that would need to be fleshed out if the City Council approves the recommendation is the selection process for the non - profit who would issue the cards. Qualities would include but not be limited to objective analysis, good record keeping, strong administrative track record and good standing in the community. The Report notes that as with any identification document there is a strong risk that unscrupulous persons would attempt to obtain a card fraudulently and that other communities with CIDs have taken a variety of measures to ensure that cards cannot be obtained fraudulently. Report, p. 47. The City, and likely any other party choosing to recognize the CID, would need assurances that sufficient security measures were in place. The findings of the report do not indicate any barriers to the implementation of a community identification card based on state or federal law. The documents required for issuance of a card are going to vary largely based on the services the card provides the user. The details of what An affidavit from social service agency, faith based organizations or hospital could be used to establish a person's identity. Report, p.24. January 23, 2014 Page 5 would be required would need to be an engagement between communities as well as local law enforcement agencies to be recognized and accepted as a valid form of identification as they were in Mercer County. This recommendation and following report are intended to provide and inform any decision selected by the City Council on the issuance of municipal identification cards. It would be beneficial for this recommendation and report to be sent to the Human Rights Commission for review and comment in the near future. CC w/o enclo.: Stella Burch Elias, Professor of Law Eleanor M. Dilkes, City Attorney Rick Wyss, Police Captain Sue Dulek, 1 st Assistant City Attorney Human Rights Commission An Iowa City Community Identification Card A Report for the City of Iowa City on the Feasibility of Implementing a Community Identification Card Program Eren Fleck Jordan Moody THE UNIVERSITY OF IOWA COLLEGE OF L A \U 2C L IF ADVANCED IMMIGRATION LAW & P O L I C Y I. ABOUT THIS REPORT This report was commissioned by Iowa City staff currently tasked with investigating whether a community identification card program is feasible in Iowa City. On December 18, 2012, the Iowa City Human Rights Commission recommended that the City implement a community identification card program with the goal of protecting the safety of undocumented persons in Iowa City. In response to this recommendation, the City resolved to investigate this proposal. Students in the University of Iowa College of Law Advanced Immigration Law and Policy seminar, working under the supervision of Professor Stella Burch Elias, prepared this report to assist the City staff in their research and deliberations. Law students Eren Fleck and Jordan Moody are the lead authors of this report. Fellow law students in the Advanced Immigration Law and Policy seminar, Sam Aden, Andrew Giller, Seth Goertz, Julie Mehta, Steven Postolka, Kate Ono Rahel, Justin Shilhanek, and Dean Treftz also contributed to this report. II. ACKNOWLEDGEMENTS To ascertain the demand in Iowa City for a community identification card and the needs of the community, the authors worked with community groups to survey residents of Iowa City. The authors initially met with representatives from the Center for Worker Justice, the Iowa City Human Rights Commission, and the Consultation of Religious Communities to gauge community demand and hone in on what benefits community members would want a community identification card to provide. Then members from the Center for Worker Justice provided invaluable assistance in surveying 233 local residents to gauge demand and prioritize the benefits community members hope a CID might provide. In addition, the authors met with Frederick Newell of the Dream Center and Linda Kopping of the Senior Center who provided thoughtful input on how a community identification card would impact members of their organizations. To compile examples of other community identification card programs in the United States, the authors interviewed representatives from other cities or organizations that currently run a community identification card program. The authors spoke with Ms. Ana Nieves Winn from New Haven, Connecticut; Ms. Jennifer Hong from San Francisco, California; Ms. Maria Juega from the Latin American Legal Defense and Education Fund of Trenton, New Jersey; Ms. LaShonda Wilson from Richmond, California; Mr. Arturo Sanchez from Oakland, California; and Professor Paula Cruz Takash of SF Global, a for - profit supplier of community identification cards. Table of Contents I. ABOUT THIS REPORT II. ACKNOWLEDGEMENTS ........................................................................................... ............................... ii III. INTRODUCTION -WHAT IS A COMMUNITY IDENTIFICATION CARD? ........................ ............................... 1 IV. EXECUTIVE SUMMARY ............................................................................................. ..............................3 V. DEMAND FORA COMMUNITY IDENTIFICATION CARD IN IOWA CITY ........................ ............................... 6 VI. BENEFITS OF A COMMUNITY IDENTIFICATION CARD PROGRAM IN IOWA CITY ......... ............................... 8 A. Benefits Beyond Iowa Non - operator's Identification Card ...................... ............................... 9 B. A Community Identification Card Will Provide Benefits to Residents Beyond the City's Current Policy to Recognize All Governments'Photo Identification Documents ............... 11 C. Survey Ranking of Benefits and Services Provided by a Community Identification Card in IowaCity ........................................................................................................ ............................... 12 D. Potential for a Community Identification to Create Barriers to Accessing Community Services.......................................................................................................... ............................... 13 VII. EXAMPLES OF OTHER COMMUNITY IDENTIFICATION CARD PROGRAMS IN THE UNITED STATES ............. 14 A. City- issued Community Identification Card Programs ........................... ............................... 15 i. New Haven, Connecticut ........................................................................ ............................... 16 ii. San Francisco, California ....................................................................... ............................... 18 B. Non - profit- issued Community Identification Cards Recognized by Local Government.... 21 i. Mercer County, New Jersey ................................................................... ............................... 22 C. For - profit- issued Community Identification Cards Recognized by Local Government..... 24 i. Oakland, California ................................................................................. ............................... 24 ii. Richmond, California ............................................................................. ............................... 27 VIII. LEGAL ISSUES AND ANALYSIS ................................................................................ ............................... 28 A. Community Identification Cards Are Permitted Under Federal Law .... ............................... 28 i. Community identification cards are not preempted by federal law ............................ 28 ii. The REAL ID Act does not prohibit the City from issuing a community identification card............................................................................................................ ............................... 29 B. Community Identification Cards are Permitted Under Iowa Law ......... ............................... 30 i. Community identification cards are not expressly preempted by state law .............. 32 ii. Community identification cards are not impliedly preempted by Iowa law .............. 35 APPENDIX C: MERCER COUNTY, NEW JERSEY QUESTIONNAIRE AND RESPONSES ........................ ............................... iii. Community identification cards are not field preempted by Iowa law ....................... 38 C. Safeguarding City Residents'Private Information Under Federal Laws ............................ 38 APPENDIX F: SF GLOBAL MEMORANDUM ........................................................................... ............................... i. The City need not maintain immigration information .................... ............................... 40 ii. The 278(g) Program does not give the federal government access to community identification card applicant information ......................................... ............................... 40 iii. Secure Communities does not give the federal government access to community identification card applicant information ......................................... ............................... 41 E. Safeguarding City Residents'Private Information Under Iowa Open Records Laws........ 41 i. City- issued community identification card ........................................ ............................... 42 ii. City- recognized community identification card ............................... ............................... 44 D. Local Law Enforcement Use of Community Identification Cards .......... ............................... 45 IX. RECOMMENDATIONS .............................................................................................. ............................. 48 A. If the City Wishes to Maximize the Services and Benefits Provided by a Community Identification Card Then the City Itself Should Issue the Card .............. ............................... 48 B. If the City Wishes to Prioritize All Residents Have Access to a Community Identification Card Then it Should Recognize a Non - Profit Issued Card ....................... ............................... 49 C. If the City Wishes to Minimize Expenditures Then it Should Recognize a Non - Profit- or For - Profit - Issued Card ................................................................................. ............................... 50 D. If the City Wishes to Maximize the Security of Cardholders' Information Then it May Chose to Recognize a Community Identification Card from a Non - Profit or For - Profit Provider......................................................................................................... ............................... 50 APPENDIX A: NEW HAVEN QUESTIONNAIRE AND RESPONSES ................................................. ............................... 52 APPENDIX E: SAN FRANCISCO QUESTIONNAIRE AND RESPONSES ............................................. ............................... 56 APPENDIX C: MERCER COUNTY, NEW JERSEY QUESTIONNAIRE AND RESPONSES ........................ ............................... 59 APPENDIX D: RICHMOND QUESTIONNAIRE AND RESPONSES ................................................... ............................... 66 APPENDIX E: OAKLAND QUESTIONNAIRE AND RESPONSES ...................................................... ............................... 71 APPENDIX F: SF GLOBAL MEMORANDUM ........................................................................... ............................... 74 APPENDIX G: EXAMPLE OF COMMUNITY IDENTIFICATION CARD SURVEY APPENDIX H: RESULTS FROM COMMUNITY IDENTIFICATION CARD SURVEY.. 76 `] APPENDIX I: MEMORANDUM OF INTERVIEW WITH FREDERICK NEWELL .................................... ............................... 82 APPENDIX J: MEMORANDUM OF INTERVIEW WITH LINDA KOPPING ......................................... ............................... 84 IV III. INTRODUCTION— WHAT IS A COMMUNITY IDENTIFICATION CARD? A valid form of identification is a crucial part of daily life. When an individual needs to open a bank account, cash a check, travel on an airplane, sign a lease, obtain a job,' obtain certain behind the counter medicines,Z obtain a library card ,6 create a utility account, or interact with police she often must present valid identification — typically a valid passport, driver's license, or non - operator's identification card. However, a significant number of individuals may lack a valid form identification. An individual may lack valid identification because she does not have valid immigration status, is young or old, is poor, is homeless, has suffered loss because of natural disaster, is transgender, or has escaped a domestic violence situation .4 As a result of any of these life circumstances, individuals without valid identification cannot access crucial services both in the private and public sectors Cities have the ability to issue or recognize a community identification card to help individuals who lack valid identification. A community identification card (CID) is somewhat like a state - issued identification card but on a much smaller scale. However, unlike a state - issued identification card, an applicant for a CID does not necessarily need to demonstrate valid immigration status or produce difficult -to- obtain documents .b Therefore, the primary benefit of a CID is that it is a more accessible form of identification. Currently, cities such as New Haven, Connecticut; Trenton, New Jersey; Oakland, California; and San Francisco, California, have successful CID programs and Richmond, California, is in the process of implementing its program. All of these CID programs aim to address the unmet needs of immigrant communities by helping immigrants obtain photo identification that can be used to access city services, access financial institutions, and obtain the assistance of police.7 ' Why do/ need an ID ?, CITY OF NEW YORK, http: / /www.nyc.gov /html /id /html /why /why.shtmI (last visited Nov. 23, 2013). 2 Legal Requirements for the Sale and Purchase of Drug Products Containing Pseudoephedrine, Ephedrine, and Phenylproponolamine, U.S. FOOD & DRUG ADMIN. (JUI. 15, 2009), http: / /www.fda.gov /d rugs /drugsafety /information byd rugclass /ucm072423.htm. 3 IOWA CITY PUB. LIBRARY, Getting a Card, http: / /www.icpl.org /my- card /getting- a- card.php (last visited Nov. 23, 2013). ° See infra Part III. 5 See infra Part IV. 6 See infra Part IV. 7 JUNTA FOR PROGRESSIVE ACTION, INC. & UNIDAD LATINA EN ACCION, A CITYTO MODEL: SIX PROPOSALS FOR PROTECTING PUBLIC SAFETY AND IMPROVING RELATIONSHIPS BETWEEN IMMIGRANT COMMUNITIESAND THE CITY OF NEW HAVEN (2005) available at 1 However, in addition to helping immigrant communities, CIDs can provide services to the community at- large. For example, in Oakland, California, the CID serves as a bank card and can work as a debit card to pay for parkin g.8 In San Francisco, California, the CID functions as a library card and the city has contracted with financial institutions to ensure the CID is accepted for banking purposes. Therefore, a CID can be an important tool for a wide range of community members to access both civic and private sector services. http : / /www.cityofnewhaven.com /pdf_ whatsnew/ A _City_to_Model_New%20Haven.pdf, Lois Rogers, Community ID cards offer dignity, security to local residents, THE MONITER, Jul. 19, 2010, http: / /www.trentonmonitor.com/ Main. asp? SectionlD= 5 &SubSectionlD= 42 &ArticlelD =1174; See also infra Part V. 8 See infra Part V. 2 IV. EXECUTIVE SUMMARY New Haven, Connecticut, has the longest running community identification card (CID) program in the United States and the program has proven to be a success and has provided numerous benefits to residents and the city itself. Most notably, there has been an increase in crime reporting and a decrease in crime in the city.9 Cardholders have been able to secure numerous benefits including: a creation of a sense of community belonging for all residents regardless of immigration status, access to financial services at a local bank particularly for immigrants without documentation who had been targeted as "walking ATMs," supported the local economy, more easily access police of help and to report a crime, access city services, and assist recently released prisoners re- integrate into the community.10 Other cities have since followed New Haven's example and have implemented CID programs by a variety of methods, all with positive results in the community. City of Iowa City staff now seeks to learn more about whether a program similar to New Haven's could be implemented locally. In this Report, we seek to answer the City's questions regarding the feasibility of implementing a CID program. In particular, the City asked us to try to: (i) quantify the demand for a CID in Iowa City, (ii) examine the benefits a CID might provide to residents above and beyond other programs currently available, (iii) provide an account of other cities' CID programs to inform the City about the practical implementation of such a program, (iv) evaluate whether state or federal laws implicated by a CID prevent the City from acting, (v) examine whether state or federal laws would allow third - parties to access to cardholder information held by the City, and (vi) analyze whether a CID could be used by Iowa City Police in the course of their duties. We have investigated each of these areas of concern and have included our answers in this Report along with several recommendations for the City. More specifically, in Part V of this Report, we explore whether there is a demand for a CID program in Iowa City. To gauge this demand, we first attempt to quantify the undocumented immigrant population in Iowa City as this demographic is expected to have a high need for a CID program. We were unable (for self- evident reasons) to determine the exact number of undocumented immigrants in Iowa City but were able to determine that in 2010 approximately 7,000 residents of Iowa City are foreign -born. To further explore the demand in Iowa City, we distributed 233 surveys to local community members11 and found that ninety percent of survey respondents indicated they would use a CID in Iowa City if given the opportunity. 9 See infra Part VII.A.i. 10 See infra Part VII.A.i. 11 Because the survey was conducted anonymously, we are unable to quantify exactly how many of the respondents are resident within Iowa City or elsewhere in Johnson County, but our understanding is that the majority of respondents live within the City's boundaries. 3 In Part VI of this Report, we discuss the benefits a CID program in Iowa City might provide. We first conclude in Part VLA that a CID could provide benefits to Iowa City residents beyond those currently provided by the Iowa Department of Transportation non - operators' identification cards because a CID could be a more accessible form of identification for undocumented immigrants and other vulnerable populations including the homeless. We then conclude in Part VI.B that a CID program will provide benefits to residents beyond the City's current policy to recognize other governments' identity documents because there appear to be many individuals in Iowa City who either do not have government identity documents to present or who are extremely reluctant to produce foreign identity documents for fear of encountering discrimination or questions about their immigration status. We then discuss in Part VLC how survey respondents ranked the benefits a CID could provide. Finally, we note in Part VI.D that a CID program in Iowa City, in addition to offering many benefits also has the potential to create barriers to accessing community services if the card becomes a requirement. In Part VII of this Report, we provide examples of other CID programs in the United States. We discuss the programs in New Haven, Connecticut; San Francisco, California; Mercer County, New Jersey; Oakland, California; and Richmond, California. We found that New Haven and San Francisco had similar program models in that the city governments of each city directly issue the card to residents. The program in Mercer County is unique because a coalition of non- profits and government representatives came together to create the CID program and the community groups issue the CID while local governments recognize it as a valid form of identification. The programs in Oakland and Richmond are similar to each other and each city works with the same for - profit provider. Each city licenses out its name and then the for - profit provider manages and creates the card. For each city, we include information about start -up costs, basic procedures used to issue the card, benefits offered, and community responses. In Part VIII of this Report, we discuss some of the legal issues involved if the City choses to issue or recognize a CID. In Part VIII.A we conclude that a CID program is permitted under federal law. To reach this conclusion we examine federal preemption law and the REAL ID Act. In Part VIII.B we conclude that a CID program is permitted under Iowa law. To reach this conclusion we examine current state statutory and common law governing state express and implied preemption of local power. In Part VIII.0 of this Report, we conclude that if the City choses to administer a CID program directly, it may be able to protect the cardholder information that it keeps on file from public records requests under state and federal law. We advise, however, that if the City choses to directly issue a CID to the community that it keeps only limited information on file and does not ask for any immigration - related information from applicants, to further protect the identity of the applicants. Finally, in Part VIII.D we briefly discuss whether the Iowa City Police Department could use a CID as part of the process of obtaining a search or arrest warrant and what the implications might be for the City if a City - issued CID were fraudulently obtained and used. Finally, Part IX provides for our recommendations it the City moves forward with either issuing or recognizing a CID. First, we recommend that the City further investigates the demand and needs of the community so that a CID program in Iowa City would respond to the unique El needs of Iowa City residents. After engaging in this fact finding, we recommend that (1) if the City wishes to maximize the services and benefits provided by a CID then the City itself should issue the card, (2) if the City wishes to prioritize the accessibility of the card to all residents then it should recognize a non - profit issued CID, which could potentially be launched in Iowa City and then expanded to other parts of Johnson County, (3) if the City wishes to minimize its expenditures on a CID program then it should recognize a non - profit issued or for - profit issued card, and (4) if the City wishes to maximize the security of cardholder information and to limit its potential legal liabilities then it may choose to recognize a non - profit- issued or for- profit- issued CID. 5 V. DEMAND FOR A COMMUNITY IDENTIFICATION CARD IN IOWA CITY In this section, we attempt to quantify possible demand for a CID in Iowa City. To that, we have attempted to obtain a reliable estimate of the size of the immigrant population in Iowa City and gathered survey information from 233 local community members .12 A CID would likely be helpful to immigrant populations in Iowa City and this demographic of the population would likely use a CID. For example, in Mercer County, New Jersey, immigrants have embraced using the CID and nine out of every ten cardholders are not U.S. citizens. 13 Additionally, all programs surveyed for this Report indicated that each program started, in large part, to meet the needs of underserved immigrant communities. 14 Unfortunately, it is difficult to calculate how many immigrants in Iowa City need a CID. In 2010, the U.S. Census Bureau reported that ten percent of Iowa City's population is foreign born — approximately 7,000 people. 15 This calculation, however, does not indicate immigration status of the foreign born individuals counted or give an idea of the number of these who do not have adequate identity documentation. Even so, the survey results suggest that demand for a CID in Iowa City could be significant. With the assistance of members of the Center for Worker Justice, the authors created a survey to gauge the community's demand for a CID program in Iowa City. The survey was distributed in larger part to members of Saint Patrick's Church, the Sudanese community, and the Latino community over the span of two weeks in October 2013. Although this survey is an incomplete sampling of the Iowa City community as a whole, it does indicate a strong demand in the Latino and Sudanese community for a CID. Ninety percent of survey respondents said that they would use a CID if given the option. Below is a chart showing the survey respondents demand for a CID in Iowa City. 12 As noted above, because the survey was conducted anonymously, we were unable to quantify exactly how many of the respondents were resident within Iowa City or elsewhere in Johnson County, but our understanding is that the majority of respondents lived within the City's boundaries. 13 See infra Part VII. 14 See infra Part VII. 15 State & County QuickFacts: Iowa City (city), Iowa, U.S. CENSUS BUREAU, http:Hquickfacts.census.gov /qfd /states /19/1938595.html (last visited Nov. 19, 2013). N Demand for a Community Identification Card ■Yes,I would use aCID ON o, I would not use a CID 0 N response Additionally, depending on the services provided, the CID has the potential to be a civic staple in the community. For example, if community members can use a CID to access the library, pay bus fare, pay for parking, or access recreation facilities then demand will likely increase as the card will be more useful to a wider range of community residents. FA VI. BENEFITS OF A COMMUNITY IDENTIFICATION CARD PROGRAM IN IOWA CITY A valid form of identification is a crucial tool for accessing some of the most basic public and private sector services. For example, a valid form of identification may be required to secure employment, cash a check, open a bank account, rent a home or apartment, attend colleges or universities, travel on an airplane, obtain public benefits, gain access to government buildings, use public libraries, and use recreation facilities. 16 In addition, all current CID programs surveyed for this Report recognized that adequate identity documentation is important to ensure public safety and crime reporting. 17 In a discussion with representatives of the Center for Worker Justice, the Iowa City Human Rights Commission, Immigrant Justice Center, and the Consultation of Religious Communities, the authors identified the following areas of concern for those without adequate identity documentation: interactions with Iowa City police including the ability to report crimes without fear of negative consequences for failure to have adequate identity documents, access to pharmacy services, access to medical services including emergency services, creation of a utility account, access to county jail facilities to visit friends and family, access to the home shelter, and access to public library and city recreation facilities. 18 As evidenced by the experience of other CID programs in the United States, a CID recognized on a city- or county -wide level cannot provide the same access to services that a state or federal identification document can.19 First and foremost, a CID only has authority as a recognized document within the boundaries of the city or county recognizing the CID .20In addition, financial institutions will not automatically nor necessarily recognize a CID as a valid form of identification and government bodies issuing or recognizing a CID must take affirmative steps to ensure local financial institutions recognize the CID as valid .21 Finally, a CID will not function as a form of identification where federal law sets requirements —such as for entering a federal building or boarding an airplane under federal regulation. In addition, a CID does not take the place of other forms of documentation and does not grant a cardholder a license to drive or the right to vote. 16 Why do/ need on ID ?, CITY OF NEW YORK, http: / /www.nyc.gov /html /id /html /why /why.shtmI (last visited Nov. 17, 2013). 17 See infra Part VII. 1s Authors meeting with Charlie Eastham, Diane Finnerty, Kelly O'Brien, Hillary Moise, Marcela Hurtado, Misty Rebik, Robin Clark- Bennett, on August 30, 2013. 19 See infra Part VII for a discussion of the successes and limitations of the CID programs in New Haven, Connecticut; San Francisco, California; Mercer County, New Jersey; Oakland, California; and Richmond, California. 20 See infra Part VII. 21 See infra Part VII. 9 In this section, we further explore the benefits a CID in Iowa City might provide the community. To that end, we discuss (1) the benefits a CID could provide beyond those provided by an Iowa non - operator's identification card, (2) the benefits a CID could provide beyond the City's current policy to recognize all governments' photo identification documents, (3) the community survey rankings of the possible benefits a CID could provide, and (4) the possibility that a CID in Iowa City could actually create barriers in addition to benefits. A. Benefits Beyond Iowa Non - operator's Identification Card An Iowa City- recognized or - issued CID would provide a service beyond that provided by an Iowa Department of Transportation (DOT) non - operator's identification (ID) card. Currently, an applicant for a non - operator's ID must present adequate documentation to prove date of birth, identity, lawful presence in the United States, social security number, and residency in Iowa .22 To prove lawful presence in the United States a citizen must provide proof of citizenship while a non - citizen must show current immigration status by presenting proof of lawful permanent resident status or other valid and current immigration stat us.23 For an immigrant without current lawful status, there are two insurmountable barriers to obtaining an Iowa non - operator's ID: proof of lawful status and proof of social security number. First, if an immigrant does not have current immigration status then she will not be able to provide proof of current immigration status. Second, to obtain a social security number, an applicant must be able to show lawful current immigration status. 24 Therefore, both prerequisites to obtaining an Iowa non - operator's ID are inaccessible to an individual without current lawful immigration status. U.S. citizens may also have difficulty obtaining a non - operator's ID for failure to have adequate identity documentation. For example, individuals who have lost key required documents due to hardships such as natural disaster may not be able to obtain a non- operator's ID.25 Others may never have had appropriate documentation in the first place and will face difficulty obtaining an Iowa non - operator's ID .26 22 IOWA DEPT. OF TRANSP., IOWA DLAND ID CARDS: USETHIS CHECKLIST BEFORE YOU APPLY FOR A DRIVER'S LICENSE (DL) OR IDENTIFICATION (ID) CARD (2013), available at https :Hforms.iowadot.gov /FormsMgt /External /431053.pdf. 231d. 24 Learn What Documents You Need: Original Card fora Noncitizen Adult, SOC. SECURITY ADMIN., http: / /www.ssa.gov /ssnumber /ss5doc.htm (lastvisited Nov. 17, 2013). 25 See William Petroski, Iowa to adopt controversial driver's license program, DES MOINES REGISTER, Jan. 3, 2013, h ttp: / /www.des mo i n es regi ste r.co m/ article /20130103/N E W S/301030041/. 26 Id. r U.S. citizens may also be unable to provide adequate proof of citizenship to obtain a non - operator's ID. In 2007, the Brennan Center for Justice found that approximately seven percent (7 %) of U.S. citizens do not have access to documents to prove citizenship status .27 Women, individuals with low incomes, the elderly, and people of color fail to have adequate documentation of citizenship more frequently than others .28 In addition, the City of Richmond, California, in creating its CID program recognized that adult survivors of domestic violence, transgender individuals, children, students, and runaway youth also more often fail to have adequate documentation .29 As the documentary requirements of a CID program approach the same level of requirements of something like a non - operator's ID, the program's ability to provide a valid form of identification to vulnerable populations is undercut.30 For example, in Mercer County, New Jersey, homeless individuals were initially not able to meet the program's requirements to obtain a CID .31 In response to this difficulty, the program implemented a policy to honor affidavits from community and faith -based organizations to issue a CID to a community member. 32 While San Francisco and New Haven require a more stringent level of documentation than Mercer County to issue a CID. 33 In and Oakland, California the documentation requirements are restricted by federal banking laws (because the CID functions as a debit card) and more applicants encounter barriers to obtaining a CID because of these higher standard S.34 Therefore, depending on the documentary requirements to obtain a CID in Iowa City, the card may be inaccessible to vulnerable populations. 27 W ENDY R. WEISER & MVRNA PEREz, BRENNAN CENTER FOR JUSTICE, STATEMENT CONCERNING THE REAL ID OF 2005 ( 2007) available at http: / /www.brennancenter.org/ sites / default / files / legacy /d /down load_ file_48288.pdf. 29 Id. 29 RICHMOND, CA., ORDINANCE 16 -11 N.S. (Jul. 19, 2011), available at httP://www.ci.richmond.ca.us/DocumentCenter/View/24632. 30 Chip Johnson, How Oakland fouled up ID card plan, SF Gate, Mar. 21, 2013, http: / /www.sfgate.com /baya rea /Johnson /article /How - Oakland -fou led -up -I D- card - plan- 4374916.ph p. 31 See infra Appendix E. 32 See infra Appendix E. 33 See infra Part VII.A. 34 See infra Part VII.C. 10 B. A Community Identification Card Will Provide Benefits to Residents Beyond the City's Current Policy to Recognize All Governments' Photo Identification Documents A CID recognized or issued by the City could provide access to benefits beyond the City's current policy. Iowa City staff currently follow an administrative regulation that instructs all City staff shall accept a government issued photo identification from U.S. or foreign government authority where "presentation of an Iowa driver's license is customarily accepted as adequate evidence of identity for the purpose of obtaining city services in Iowa City. "35 This policy also instructs that city personnel, including police officers with the Iowa City Police Department, "shall not subject the person presenting the document to a higher level of scrutiny or different treatment than if the person has provided an Iowa driver's license . ,,36 Unfortunately, there may be individuals in Iowa City who do not have any valid form of government- issued photo identification and cannot take advantage of the City's policy. As noted above in Part VI.A, both citizens and non - citizens alike may not have access to any form of government issued identification. Moreover, anecdotal evidence suggests that immigrants in possession of foreign - government- issued identification cards and passports are extremely reluctant to produce them for City officials or private sector entities out of fear that these foreign identification documents will be used as per se evidence of alienage and therefore undocumented immigrant status. Therefore, a CID has the potential to fill this identification gap for particularly vulnerable populations. The City's current policy only ensures that the City itself recognizes alternative documentation and does not necessarily ensure that the private sector will recognize other governments' identification documents. If the City worked with local financial institutions, a CID could potentially function as either a primary or secondary source of identification to create bank accounts .37 Additionally, a CID could provide identification to emergency personnel, medical service providers, pharmacies, and stores where additional ID is required to make a purchase .38 35 CITY OF IOWA CITY, ACCEPTABLE IDENTIFICATION FOR CITY SERVICES, available at http: / /www.icgov.org /site /CMSv2 /file /empRes /policies /P hoto_l D_signed.pdf 36 Id. 37 See infra Parts VILA & VII.B. 38 The Mercer County Area Community ID Card, LATINAM. LEGAL DEFENSEAND EDUC. FUND, http:/ /www.laldef.org /laldef_english_ version / assets /pdfs/ Mercer% 201D %2OCard%20fact%20sheet- eng.pdf (last visited on Nov. 17, 2013). 11 The City's current policy still requires presentation of government- issued identity documents to police. As previously discussed, some community members will not have any form of government- issued identification to present, or are too afraid to provide foreign - government- issued identification to police. Therefore, these community members may feel reluctant to approach police to report crimes or request assistance. All other CID programs discussed in this Report aimed to encourage all individuals in a community feel safe to request assistance from the police via their CID prograMS.39 In fact, New Haven reported that five years after the inauguration of its CID program, crime reporting had significantly increased .40 C. Survey Ranking of Benefits and Services Provided by a Community Identification Card in Iowa City To gauge what benefits Iowa City residents would like a CID to provide, 233 community members were surveyed over the span of approximately two weeks in October 2013. Appendix G of this Report is an example of the survey distributed. Respondents completed the survey in English or Spanish. The survey asked respondents to rank the prospective benefits of a CID in Iowa City on a scale from "not important" to "important" to "very important." Appendix H details the results to each question. These survey results, while not complete, do indicate there is demand in the community for a CID. Below is a chart showing the 233 respondent's ranking of each potential category of service. The findings from the survey reveal that community members prioritize interactions with law enforcement above all other possible benefits a CID might provide. Ninety -four 39 See infra Part VII. 40 See infra Part VII.A.i. 12 Ranking of Importance of Benefits and Services Provided by a Community Identification Card in Iowa City 2so 218 195 293 292 195 1S7 2W 176 176 159 157 50 142 1W 56 52 43 a3S j]. 16 20 19 3' 1 0 1 a' 1 335 0 1. 2 331 2 3 ,, 4 1I 1 0 Phamary Medical UtilityAcouRFeeling Portal Law Fnaicel lai K,e Fbmeles Parkngoc6u5 LiGaryCard City Pareation Access $avke ACCea Creaim thPCity EMamemerrt Instkom $hehe-A= Fae Fxilrtypcces ACC¢s ACCT •N�t importam •Important ■Very impanam •NO response The findings from the survey reveal that community members prioritize interactions with law enforcement above all other possible benefits a CID might provide. Ninety -four 39 See infra Part VII. 40 See infra Part VII.A.i. 12 percent (94 %) of survey respondents answered that they felt it was very important that a CID function as an acceptable form of identification to present to law enforcement. Next, respondents prioritized the ability to use a CID to create a utility account (including an Iowa City utility account) and to access medical services: eighty -seven percent (87 %) answered that it was very important for them to be able to use a CID for these purposes. Eighty -five percent (85 %) of respondents answered that it was very important to them that a CID would provide access to bank or credit union services such as account creation. Respondents then prioritized access to pharmacy services and feeling part of a city: eighty -four percent (84 %) of respondents answered that these benefits were very important to them. Seventy -six percent (76 %) of respondents answered that access to the homeless shelter and the county jail was very important to them. Only sixty -eight percent (68 %) of respondents answered that using a CID to pay for parking or bus fare was very important. In addition, only sixty -seven percent (67 %) of respondents reported that it was very important to them to use a CID to access library services. Last, only sixty -one percent (61 %) of survey respondents reported that it was very important to them that a CID provide access to recreation services. D. Potential for a Community Identification to Create Barriers to Accessing Community Services Despite all the potential benefits of a CID program in Iowa City, it is important to recognize that the CID has the potential to also create barriers for some residents if the CID becomes a requirement to access city services. For example, Frederick Newell of the Dream Center noted that if a CID were required to access basic services like recreation facilities many youth might incapable of accessing such an excellent community resource .41 Ultimately, Mr. Newell raises the concern that if a CID were required to access basic civic services at all times it could itself become a barrier to access for some community members. 41 See infra Appendix L. 13 VII. EXAMPLES OF OTHER COMMUNITY IDENTIFICATION CARD PROGRAMS IN THE UNITED STATES Each city that currently offers or recognizes a CID has combined the cards' services differently depending on community demands and the needs of the community and city. For example, in Mercer County, New Jersey, the CID program emphasizes good relationships between the community and law enforcement above all other considerations while Oakland, California, emphasizes the financial aspect of the card. Each of these programs responds to the needs of each unique community. In the following section, we will give an overview of the programs in San Francisco, California; New Haven, Connecticut; Mercer County, New Jersey; Richmond, California; and Oakland, California. We have grouped each of these CID programs into three different model program styles: (1) city- issued community identification card programs, (2) non - profit issued community identification card programs recognized by local government, and (3) for - profit issued community identification card programs recognized by local government. In large part the information included in this section is the result of contacting various city officials to complete a questionnaire on each city's CID program. Appendix A contains the questionnaire response from New Haven, Connecticut. Appendix B contains the questionnaire response from San Francisco, California. Appendix C contains the questionnaire response from Mercer County, New Jersey. Appendix D contains the questionnaire response from Richmond, California. Appendix E contains the questionnaire response from Oakland, California. Finally, Appendix F contains the questionnaire response from SF Global, a for - profit provider of CIDs that works with Oakland and Richmond. All CID programs surveyed indicated that at initiation, proponents were primarily concerned with ensuring community members felt safe to contact police for assistance. For example, an immigrant without legal status may feel intimidated to contact the police to ask for help for fear that her immigration status will be discovered and reported to the federal government. To ensure all members of a community feel safe to contact police for help, each CID program discussed in this Report works in conjunction with either a sanctuary city ordinance 42 or a police order to ensure police do not investigate the immigration status of a cardholder or community member unless specific criteria are met. To further public safety concerns more generally, CID programs like the one in San Francisco also list critical medical information on the CID to ensure emergency personnel are notified. In addition to addressing public safety concerns, all CID programs have sought to ensure cardholder access to financial institutions. For example, early adopters San Francisco and New 42 For example, the San Francisco Sanctuary Ordinance "prohibits City employees from helping Immigration and Customs Enforcement (ICE) with immigration investigations or arrests unless such help is required by federal or state law or a warrant. The Ordinance is rooted in the Sanctuary Movement of the 1980's, when churches across the country provided refuge to Central Americans fleeing civil wars in their countries." Sanctuary Ordinance, CITY & COUNTY OF SAN FRANCISCO, http: / /sfgsa.org /index.aspx ?page =1067 (last visited Nov. 24, 2013). 14 Haven partnered with banks to ensure cardholders had access to traditional financial institutions. New Haven was motivated to partner with a local bank because it found that immigrants had a hard time opening a bank account and depositing money and, as a result, had become the targets of theft. Most recently, cities such as Oakland and Richmond have moved concern for banking and commerce to the forefront by partnering with SF Global, a for - profit provider, to create CIDs that may be used as a debit card. However, consumer advocacy groups have criticized this new CID scenario for the high service fees charged to cardholders and the lack of security measures provided by traditional financial institutions. Regardless of the drawbacks, Richmond and Oakland specifically aimed to bolster the local economy by ensuring all residents had the ability to participate in local commerce. Each city surveyed reported a wide range of start -up and continuing costs. Oakland and Richmond contracted with a for - profit provider to issue their CIDs and neither city had to expend any general funds to offer the card. Still, each city expended city staff hours during contract negotiations and early implementation. In Mercer County a non - profit issued the CID and provided the initial start -up fund of $2,000. Within a month of issuing the card, the non- profit recouped all of the funds it expended at start -up and the program continues to run self - sufficiently. The Mercer County program runs entirely on volunteer labor and there are no personnel costs associated with the program. The New Haven CID program used no general city funds and instead relied on philanthropic donations and grants. Currently, New Haven city staff administer the program as part of daily responsibilities. Finally, in San Francisco, the city expended general funds at start -up totaling $828,000. The annual budget for the San Francisco CID program is $350,000. Finally, each CID program has sought to integrate basic civic services into the functionality of the card. For example, New Haven allows a cardholder to pay for parking with the CID. In Mercer County and San Francisco cardholders can access public libraries and recreation centers with their CIDs. A. City- issued Community Identification Card Programs New Haven, Connecticut, and San Francisco, California, are the first two cities to issue CIDs in the United States. These two cities represent a model whereby the city itself directly issues the CID to residents. In creating their CID programs, both cities indicated a primary concern with ensuring the safety of all community members through their CID programs. After running its program for five years, New Haven reported a significant increase in crime reporting and a drop in crimes committed. The costs to implement the New Haven and San Francisco programs are vastly different. New Haven found grant money to start its CID program at no cost to the city while San Francisco spent a significant amount of its general funds to create its program. 15 Both cities took an active role in partnering with local businesses and groups to ensure the CIDs would have a maximum benefit to cardholders. For example, San Francisco required that all businesses contracting with the city must recognize its CID as a valid form of identification. i. New Haven, Connecticut New Haven launched its CID program on July 24, 2007, and has since operated this program successfully.0.3 New Haven's program was the first U.S. city to offer a CID .44 Since its inception, more than 10,000 cards have been issued to community members .45 NEW HAVEN CONNECTICUT Elm City Resident Card P Jahn DeStefano, Jr. 165 ChiaM Street Naw Mi . C r 05510 Doe: 01MrlM972 S Vabd Flan. May 7, 2007 May0r. John Da5M4m, Jr. II I I I li I ��.illNll III � �I IIII� . Prior to issuance of the card, proponents were concerned that criminals targeted immigrants for theft because immigrants had a difficult time opening bank accounts and consequently carried large amounts of cash .46 Therefore, access to financial institutions was a primary concern of proponents .47 In addition, to ensure that immigrants felt safe to ask police for help, the mayor issued a police order that prevents police from asking an individual about their immigration status unless that information is relevant to an investigation .48 Cardholders have used the CID to access a wide range of services including cashing checks, opening bank accounts, accessing a food pantry, getting a bus pass, getting health 43 Thomas MacMillan, Elm City ID Card Turns 5, NEW HAVEN INDEPENDENT, Jul. 23, 2012, http: / /www.newhaven independent.org /index.php /arch ives /entry /id_card_an n iversary /. 441d. 4s Id. 46 Id. 47 Id. 49 Id. 16 insurance, paying for parking at meters, as a tool in a city -run prison re -entry program for those recently released, and giving people stake in the community and a sense of belonging.49 The program started without costs to the city government and was funded by philanthropic donations and grants. In recent years, the city vital statistics office has managed the program.50 Therefore, there is no reported separate cost to run the CID program. City staff currently issues the card as just one part of their other job responsibilities Since its beginning, the New Haven CID program has faced opponents in the community along with resounding support. At the time of its inception, the national debate over immigration was particularly hot and the CID garnered national attention .51 The city faced a lawsuit from a private citizen seeking to stop the program and the federal government at one point tried to get cardholder information through a Freedom of Information Act request. However, both issues were resolved in favor of the New Haven program. Conflict over the card has died down and there have been no other issues since its early years of operation. For a community member to get a CID, they must present acceptable proof of identity and proof of residency in New Haven .52 If the applicant presents a passport, driver's license, birth certificate (if under 16 years of age), or consular identification card then the applicant need only present this one document as proof of identity.53 However, if the applicant does not have one of these forms of identification, then she may present two of the following: a national identification card, foreign driver's license, voter registration card along with original birth certificate, military identification card along with original birth certificate, a current visa, or an individual taxpayer identification card number card issued by the IRS. 54 To demonstrate residency, an applicant must present two of the following: a utility bill, bank statement, check book, pay check, property tax statement, voter registration card, or documents issued by a social service organization . 55 49 Thomas MacMillan, Elm City ID Card Turns 5, NEW HAVEN INDEPENDENT, Jul. 23, 2012, http: / /www.newhaven independent.org /index.php /arch ives /entry /id_card_an n iversary /. so See infra Appendix A. Note where no resource is cited in this section, the information conveyed derives from the information included in Appendix A of this Report. 51 Thomas MacMillan, Elm City ID Card Turns 5, NEW HAVEN INDEPENDENT (Jul. 23, 2012 1:28 PM), http: / /www.newhaven independent.org /index.php /arch ives /entry /id_card_an n iversary /. 52 New Haven's Elm City Resident Card: My City, My Card, CITY OF NEW HAVEN, http:// www. cityofnewhaven .com /csa /newhavenresidents/ (last visited November 13, 2013). 53 Id. 54 Id. ss Id. 17 To ensure the privacy of cardholder information, the city only keeps information on file that is actually displayed on the card. The city does not keep any copies of applicants' identity and residence documents. To ensure accurate issuance, city staff is trained to recognize valid forms of identification issued by other countries. Staff from foreign - government consulates trained city staff to recognize correct identification cards, look for the hallmarks of authentic documents, and catch fraudulent cards. City staff also use a reference book that details what each countries' identification cards look like. With this training, staff have been able to identify forged documents. In addition, the card has an embedded ultraviolet light hologram in it to protect against forgery. Ultimately, the CID has been a success. Cardholders have been able to use the CID to open bank accounts, use public transportation, create utility accounts, and cash checks .56 Assistant Chief of Police Luiz Casanova noted that, "The New Haven Resident Card has been very helpful from a law enforcement perspective. Since the card was introduced, crime reporting has increased in Fair Haven, yet there were double -digit drops in every category of crime. Overall, the card has improved interactions between police and undocumented residents, and has played an important role in building relationships and respect. ,57 ii. San Francisco, California San Francisco inaugurated its CID program in January 15, 2009, and was the second U.S city to create such a program. Notably, San Francisco was the first large U.S. city to implement a CID prograM58 —the population of San Francisco is 825,86359 while the population of New Haven is 130,741.60 On the first day the card was available, lines to get a card went out the door 56 OFFICE OF THE MAYOR, New Haven Marks Fifth Anniversary of Elm City Resident Card, City of New Haven, Connecticut, CITY OF NEW HAVEN, (July 24, 2012), http: / /www.cityofnewhaven.com /Mayor /Read More.asp ?I D= %7B434764C9- 2C6B -4BB3- 8241- 2CO24F621 FC1 %7 D. 57 Id. 58 Wyatt Buchanan, S.F. supervisors approve ID cards for residents, SF GATE, Nov. 14, 2007, h ttp: / /www.sfgate.co m /baya rea /article /S- F- supervisors -app rove -I D -ca rd s- for -res id a nts- 3236637. p h p. 59 State & County QuickFacts: San Francisco County, California, U.S. CENSUS BUREAU, http:Hquickfacts.census.gov /qfd /states /06/06075.html (lastvisited Nov. 14, 2013). 60 State & County QuickFacts: New Haven (city), Connecticut, U.S. CENSUS BUREAU, http:Hquickfacts.census.gov /qfd /states /09/0952000.html (last visited Nov. 14, 2013). IT and people had to wait for hours to obtain one .61 Since the program's inception, the city has issued 19,000 CIDs to residents .62 - SAN FRANCISCO CITY 11) CARE) om FLfOL149p IMIrM}gra� 01751467(19 N[YNG w.anw HlATHER 173 A+y S~ M 16Wn Gry SI1 17545 iacn. "I l flmj4m • rxraw RIMMIR i Proponents noted that the card would strengthen the community and provide marginalized individuals with better access to important resources such as banks, health care, and library books .63 Additionally, proponents were concerned with making sure marginalized individuals could report crimes without fear of negative consequences for failure to have appropriate identification .64 Notably, there was almost unanimous support for the CID in the commun ity.65 To ensure cardholder access to financial institutions, the ordinance creating the CID required that all companies in contract with the city recognize the CID as a valid form of identification .66 Six local banks in San Francisco currently accept the CID as a primary form of 61 Heather Knight, Hundreds wait for hours to buy S.F. ID card, SF GATE, Jan. 16, 2009, httP://www.sfgate.com/politics/article/H a n d red s -wait -for -h o u rs -to- buy -S -F -I D -ca rd- 3176276. ph p. 62 See infra Appendix B. Note where no resources is cited in this section, the information conveyed derives from the information included in Appendix D of this Report. 63 Son Francisco City ID Fact Sheet, SAN FRANCISCO IMMIGRANT LEGAL& EDuc. NETWORK, http: // www. sfimmigrantnetwork. org/ pdfs/ english /SFILENCitylDCardinfoENG.pdf (lastvisited November 13, 2013). 64 Wyatt Buchanan, S.F. supervisors approve ID cards for residents, SF GATE, Nov. 14, 2007, h ttp: / /www.sfgate.co m /baya rea /article /S- F- supervisors -app rove -I D -ca rd s- for -res id a nts- 3236637. p h p. 65 Id. (noting the ordinance creating the CID passed with ten supervisors voting to approve and only one voting against); See infra Appendix D. 66 Wyatt Buchanan, S.F. supervisors approve ID cards for residents, SF GATE, Nov. 14, 2007, h ttp: / /www.sfgate.co m /baya rea /article /S- F- supervisors -app rove -I D -ca rd s- for -res id a nts- 3236637. p h p. 19 identification . 67 Additionally, to promote local commerce, the city worked to provide discounts to cardholders at local businesses .68 In addition to its CID program, San Francisco has a sanctuary city ordinance that requires the city use no municipal funds or staff to assist federal immigration enforcement.69 The city also has an ordinance that requires the San Francisco Police Department accept the CID as a primary proof of identity unless a police officer believes the card was inappropriately issued or the cardholder is not the person identified on the card .70 San Francisco expended a large amount of its general funds to start the program. The total initial cost of the program including hardware, software and licensing, initial supplies, staff, maintenance, and other services totaled $828,000. At implementation no staff was dedicated to provide the service and today two staff members are tasked with running the program. The software alone cost approximately $60,000 and there are ongoing licensing costs. The printer cost $140,000 and the maintenance for the printer is $2,500 per service. Unlike New Haven, San Francisco has encountered no legal challenges to its CID program. The federal government at no time has tried to obtain the cardholder information San Francisco has on file. To further protect cardholder information, San Francisco maintains a database on a dedicated server 71 that only includes a limited amount of cardholder information. San Francisco has not had issues with counterfeited CIDs. The software the city uses prevents individuals from applying for multiple CIDs under different names. The card contains overt and covert security features including laser engraving. The city also uses a biometric scanner to issue the card. To apply for a CID, a resident of San Francisco must first make an appointment up to ninety days in advance by using an online appointment system or by calling the appropriate government office .72 At the appointment, the applicant must present proof of identity and residence within the city.73 There is a separate application for residents who are thirteen years 67 Id. 68 See SF City ID Card —Using Your Card, CITY & COUNTY OF SAN FRANCISCO, http : / /www.sfgov2.org /index.aspx ?page =114 (last visited November 14, 2013). 69 Wyatt Buchanan, S.F. supervisors approve ID cards for residents, SF GATE, Nov. 14, 2007, h ttp: / /www.sfgate.co m /baya rea /article /S- F- supervisors -app rove -I D -ca rd s- for -res id a nts- 3236637. p h p. "This essentially means that the information is stored on its own computer separate from other city data storage devices. J2 SF City ID Card — How to Get a Card, CITY & COUNTY OF SAN FRANCISCO, http : / /www.sfgov2.org /index.aspx ?page =113 (last visited November 24, 2013). 73 Id. 20 and younger and those who are fourteen years old and older .74 The cost for a CID is $5.00 for those who are thirteen years old or younger, over sixty -two years old, or are low-income .75 For all others, the card is $15.00.76 To prove identity an applicant must present one of the following: a passport, U.S. driver's license or state ID, green card, or consular identification card .77 If the applicant cannot present one of these, then she must provide two of the following: certified copy of birth certificate, social security card, foreign driver's license, military identification card, current visa, individual taxpayer identification number authorization letter, or school identification card .78 Although, applicants who are under thirteen years of age do not need to present a form of photo identification, all other applicants must.79 To prove residency in the city, applicants must provide one of the following: recent utility bill, property tax statement, mortgage receipt, bank account statement, pay check stub, a ruling from the residential rent stabilization and arbitration board, jury summons, income tax statement, bill from insurance provider, a letter from a homeless shelter, or a letter from a medical care or social services provider .80 B. Non - profit- issued Community Identification Cards Recognized by Local Government The Mercer County, New Jersey, CID program is unique in comparison to the others discussed in this Report because it is issued by a non - profit group but is accepted and recognized by city and county authorities. In many ways, it has the same functionality as the San Francisco or New Haven programs —it creates a bridge between all community members and law enforcement and provides access to civic institutions. However, it has had less success in providing direct access to financial institutions. The card is only accepted as a secondary form of identification at local banks and not as a primary form of identification. In contrast to San Francisco, the implementation costs and staffing for the CID program are entirely covered by the fees collected when issuing the CID. J4 Id. is Id. 76 Id. 77 Id. J8 SF City ID Card — How to Get a Card, CITY & COUNTY OF SAN FRANCISCO, http : / /www.sfgov2.org /index.aspx ?page =113 (last visited November 24, 2013). 79 Id. so Id. 21 i. Mercer County, New Jersey The Mercer County, New Jersey, CID program offers a unique example of how community groups can work with local governments to create such a program. Ms. Maria Juega is the Executive Director of the Latin American Legal Defense and Education Fund (LALDEF) based in Trenton, New Jersey, and spearheaded the implementation of the Mercer County CID program.81 In 2008, to create the CID, LALDEF brought together various community and local government groups to create the Tremendously Trenton Coalition (TTC). This coalition consisted of the Trenton Fire and Police Departments, the Trenton Public Schools, several community churches, civic associations, businesses such as CVS pharmacies, and a legal services organization. TTC's mission was to integrate immigrant populations into the community and support immigrant community leaders. In 2009, TTC and LALDEF 82 worked together to launch the CID program in Trenton, New Jersey. Within a year of the program's inception, LALDEF had issued more than 1,000 cards. At that point, LALDEF approached police and city leaders in Princeton, New Jersey, to expand the use of the CID into that community. Princeton then started recognizing the CID. In 2010, the CID had a two year track record of success and other local governments in Mercer County began to recognize it. Since then the CID has been used on a county -wide level and LALDEF has issued more than 5,500 CIDs. County Area Community /D Card Name: Jane Doe Address: 123 Street Ave. City/ State,, Trenton, NJ 08609 DOB: 12112195 / Mercer County Sheriff and Prosecutor, Police Beparhnents of.. Ewing, Plainsboro, Princeton Borough and Township, Trenton, West Windsor Ms. Juega attributes the success of the program in large part to the Trenton Police Department. The department supported the CID program as part of ensuring community policing efficacy. Additionally, the department provided assistance in writing the procedures used by LALDEF to verify applicant's identity and residence. Ms. Juega notes that "the police department's recognition of the Community ID Card shows a level of commitment and recognition by the police of the immigrant community, encouraging trust in police officers and reporting of crimes that they have been a victim of or have witnessed." To further support this 81 See infra Appendix C. Note where no resource is cited in this section, the information conveyed derives from the information included in Appendix C of this Report. 82 LALDEF created the coalition and continues to take the lead in issuing the Mercer County card to date. Therefore, this Report will refer to LALDEF as the issuing body although many groups are ultimately involved in issuing the card. 22 relationship, the mayor in 2009 issued an executive order to Trenton Police Department to refrain from asking residents about their immigration status unless the inquiry is connected to a felony. To start printing the CIDs, LALDEF used donated laptops, Card Five Vision software, a Fargo C30e ID printer, blank ID cards, and printing ink. The total cost to purchase all of these items totaled $2,000. LALDEF provided the initial start -up funds and was able to recoup all of this initial investment within one month by charging $10.00 per card. The program itself is volunteer -run and no funds are expended on staff. Demand for the card was so heavy that LALDEF purchased two additional printers and two used laptops for approximately $3,500. CID fees cover all the ongoing costs of operation including purchasing new blank cards, printer cartridges, and other maintenance. LALDEF has encountered no counterfeited cards and has taken steps to ensure CIDs are issued to the correct individual. To ensure it is difficult to copy the CID, only a few people actually have access to the CID template. Ms. Juega notes that if someone wanted to go the trouble of falsifying an identification document, they would likely pick a form of identification recognized throughout the state or nation. Applicants have rarely presented false documents to obtain a CID. However, if this situation arises, the volunteers have two books to assist them in ascertaining that state or international forms of identification are valid. If volunteers detect that a document presented to obtain a CID is falsified, they will decline to issue the card and ask the applicant to return with appropriate documentation. LALDEF has several policies and practices to ensure cardholder information is secure. LALDEF only maintains basic non - identifying information in its database for the purpose of statistical reports. It does not maintain the following information: "photograph, name, date of birth, address, height, weight, medical information or emergency contact." To date, neither the federal government nor a community group or member has sought to obtain the information LALDEF has on file. To further ensure cardholder information is secure, all volunteers and staff must sign a confidentiality agreement that restricts the sharing of cardholder information to anyone outside LALDEF unless it is approved by the Executive Director or Board of Trustees. The demographics of the cardholders are diverse. Cardholders have come from more than thirty countries. U.S. citizens make up approximately ten percent of the cardholder population. The largest age demographic of cardholders consists of individuals between twenty -six and thirty -five years old. Many homeless individuals also use the CID . 83 Currently, the card provides access to a variety of city services. A cardholder may present the CID to city police officers; county sheriff officers; many medical service providers including doctors' offices, ambulance services, and hospital emergency rooms; city and county 83 Lois Rogers, Community ID cards offer dignity, security to local residents, THE MON ITER, JUI 19, 2010, http: / /www.trenton mon itor.com /Mai n.asp ?SectionI D =5 &Su bSectionI D= 42 &ArticleI D =1174. 23 recreation services; and public libraries. Notably, the CID does not function as a primary source of identification for opening bank accounts. However, it does function as a secondary source and LALDEF worked with local banking institutions to ensure some level of recognition for the CID. Unlike the other programs discussed in this Report, LALDEF accepts affidavits from faith - based organizations, social service organizations, or hospitals for applicants who have no other sources of documentation to obtain a CID. LALDEF requires that the letter must be on official letterhead and include the applicant's name, date of birth, and address. This practice ensures that the most vulnerable populations have access to the card. C. For - profit- issued Community Identification Cards Recognized by Local Government Both the cities of Richmond, California, and Oakland, California, have approached issuing a CID in a novel way —by partnering with a for - profit entity. The city licenses its name and logo to the CID provider and in return the CID provider handles all the details of issuing and maintaining the cards. The benefit of this system is that the city incurs no costs and the CID has the potential to function as a debit card. However, the downside of this system is that it is relatively new and there are still kinks to be ironed out, implementation may be slow, the service fees for debit card users are high, the protections provided by traditional banking institutions are not provided by the for - profit entity to CID debit card users, and applicants must be able to produce a high level of documentation to obtain a debit CID card. i. Oakland, California Like San Francisco, New Haven, and Mercer County, the Oakland CID began with a concern that immigrants did not feel safe to approach police for assistance and proponents hoped to create trust via a CID .84 Oakland approached the CID as another tool of its sanctuary city policies. However, unlike San Francisco, Oakland could not afford a CID program in its general budget. Therefore, it took the novel approach of looking for a third party vendor to issue the card without cost to the city. After requesting proposals, Oakland created a licensing agreement with SF Global to create the CID. SF Global began issuing CIDs in February 2013 and has since issued approximately 4,900 CIDs. 84 Appendix E. Note where no resource is cited in this section, the information conveyed derives from the information included in Appendix E of this Report. 24 City of Oakland, CA Municipal Identification Card IDNumbec 18534Y8 %54123 a Las[Name: DO! I'm Na e:lane 1 12 An s: yo..., pr 13 Anystreet Ave CJ It Oakland, CA 94601 0o0:01102L7982 DI6COVER Card Number 6022 3045 67891234 Up: 03 /12 Oakland, through using a third party vendor, was also able to achieve something unique —the CID functions as a debit card .85 SF Global works with local merchants to essentially turn them into financial institution S.86 Each participating merchant is able to take money from a cardholder and then place it on the debit card .87 The participating merchant is also able to pay out money deposited on the debit card to the cardholder .88 However, Oakland's partnership with SF Global has had several drawbacks including the fact that the debit fees are quite high .89 As of August 2013 SF Global charged $35 for each debit transaction, a flat monthly charge of $2.99, a $1.75 fee for calling customer service, and $1.50 for an in- network ATM withdrawal. 90 Critics note that these transaction fees are unacceptably high and the service falls below the standards of traditional bank services.91 In response, Oakland staff noted that the cost of the financial transactions is slated to decrease as 85 Steve Fisher, Oakland municipal ID, debit card program expect to roll out in January, OAKLAND NORTH (Nov. 15, 2012, 5:02 PM) http: / /oaklandnorth. net / 2012 /11/15 /oakland- municipal -id- debit - card - program- expected -to -roll out -in- january /. 96 Id. 97 Id. BE Aa ron Sa nkin, Undocumented Immigrant Debit Cards: Oakland Introduces Landmark New Program, HUFFI NGTON POST (Feb. 26, 2013 8:27 PM) http://www.huffingtonpost.com/ 2013 /02/26 /undocumented - immigrant - debit- cards n 2769198.html. 89 Chip Johnson, How Oakland fouled up ID card plan, SF Gate, Mar. 21, 2013, http: / /www.sfgate.com /baya rea /Johnson /article /How - Oakland -fou led -up -I D- card - plan- 4374916.ph p 90 J.B. Wogan, Oakland's Debit -ID Cards That Aim to Help Unbanked, Immigrants Catching On, GOVERNING, (Aug. 8, 2013), http://www.governing.com/blogs/ view /gov- are - municipal -ID- cards - the - best - way -to- bank -the- unbanked.html. 91 Letter from Mishelle Jun of the Consumers Union to Denise Belser of the National League of Cities (May 3, 2013), available at httP:Hconsumersunion.org /wp- content / uploads /2013 /05 /NLC_Ltr_5_13.pdf. 25 more users sign up to use the debit portion of the card. Even so, some critics note that combining a debit card with a CID is too complex and oftentimes duplicates already available and more affordable and secure financial services in a community.92 To obtain an Oakland CID, an applicant must submit two different tiers of identification depending on whether the applicant wants to use the card as a debit card or solely as an identification card. 93 The higher tier is mandated by laws regulating banks and the city is unable to create alternatives for issuing a debit card CID. To prove identity and obtain a debit card CID, an applicant must present one of the following current identification forms: green card, U.S. passport, foreign passport excluding countries prohibited by U.S. Department of the Treasury Office of Foreign Assets Control, U.S. military identification, U.S. state driver's license, U.S. tribal identification card, employment authorization card, or foreign government ID card from El Salvador, Guatemala, Nicaragua, and MexiCo.94 Note, because of these requirements, many immigrants without current legal status will be unable to obtain a CID debit card. 95 If the applicant simply wants to use the CID for identification and not as a debit card, then she may use any of the documents previously listed that are expired and may also present a foreign government national identification card, foreign driver's license, or consular identification card excluding Mexico. 96 Oakland asserts that by using a third party vendor, cardholders' identifying information is more secure. 97 The cardholder's information is perhaps more secure because it is covered by financial regulations prohibiting disclosure of information .98 However, there is some concern that the debit card service does not provide enough protection against loss of a cardholder's funds through mistake or theft.99 92 Id. 93 Requirements for the Oakland City ID Prepaid MasterCard, OAKLAND CITY ID, http:// www. oaklandcityid .com /requirements.html (last visited Nov. 16, 2013). 94 Id. 95 See id. 96 Id. 97 Steve Fisher, Oakland municipal ID, debit card program expect to roll out in January, Oakland North (Nov. 15, 2012, 5:02 PM), http: / /oaklandnorth. net / 2012 /11/15 /oakland- municipal -id- debit - card - program- expected- to -roll- out-in- january /. 99 Id. 99 Letter from Mishelle Jun of the Consumers Union to Denise Belser of the National League of Cities (May 3, 2013), available at httP:Hconsumersunion.org /wp- content / uploads /2013 /05 /NLC_Ltr_5_13.pdf. 26 ii. Richmond, California Richmond, California, is the most recent city in the United States to add a CID program. In fact, the program is so new that no cards have yet been issued, although the city hopes CIDs will be issued as early as January or February of 2014.100 The ordinance creating the CID program passed on July 19, 2011, with a unanimous city council votelol and has received widespread support in the community. The city then requested proposals from qualified vendors to provide the service of issuing the CIDs at no cost to the city. 102 The city received only two vendor proposals and ranked SF Global as the significantly more qualified and desirable vendor. 103 After Oakland, Richmond is the second city client of SF Global. The city enacted its CID ordinance with the goals of promoting community safety by encouraging all residents to feel entitled to report crimes to the police, ensuring all residents have access to financial institutions, ensuring all residents have a source of identification, and unifying the community.104 The city noted that cities such as New Haven and San Francisco experienced an increase in reporting crimes after implementation of their CID programs. 105 Issuance of the CID has taken longer than expected and proponents of the card have been frustrated that the card has taken so long to issue. The ordinance creating the CID program was approved over two years ago and the first CID is expected to be issued in early 2014. In part, the delay appears to be part of ironing out all the details with SF Global as this is still a relatively new service. 100 See infra Appendix D. Note where no resource is cited in this section, the information conveyed derives from the information included in Appendix D of this Report. 101 RICHMOND, CA., ORDINANCE 16 -11 N.S. (Jul. 19, 2011), available at http: / /www.ci. richmond. ca .us /DocumentCenter /View/24632. 102 LASHONDA WILSON, CITY OF RICHMOND CITY MANAGER'S OFFICE, AGENDA REPORT ON THE CITY OF RICHMOND MUNICIPAL IDENTIFICATION /STORED VALUE CARD PROGRAM (May 1, 2012) available at http: / /www.ci.richmond.ca.us /DocumentCenter /Home /View /8792. 103 Id 104 RICHMOND, CA., ORDINANCE 16 -11 N.S. (Jul. 19, 2011), available at http: / /www.ci.richmond.ca.us /DocumentCenter /View/24632. ios Id 27 VIII. LEGAL ISSUES AND ANALYSIS The City Attorney asked us to research state and federal laws that might affect the potential implementation of a CID program in Iowa City. In this section, we will discuss (1) whether federal laws permit the introduction of a CID program in Iowa City, (2) whether state laws permit the introduction of a CID program in Iowa City, (3) how federal and state information - sharing laws might affect the operation of such a CID program, (4) how local law enforcement may use a CID as part of typical law enforcement duties such as obtaining arrest and search warrants. We conclude that CIDs are permitted by both federal and state law, the personal information of card - holders may be kept private under both federal and state law, and local law enforcement may use CIDs as part of obtaining search and arrest warrants. A. Community Identification Cards Are Permitted Under Federal Law There is no federal law that prohibits a municipal government from authorizing a CID. State and local governments hold a long recognized "police power," 106 which gives them authority to enact laws for the welfare of their residents. 107 The City would issue a CID for the welfare of its residents; e.g., to give its residents access to City services, and to increase interactions between its residents and City law enforcement. Therefore, the City's issuing a CID qualifies as a valid exercise of its police power. In the analysis that follows we explain (i) the scope of potentially relevant federal preemption doctrines and (ii) the potentially relevant provisions of the REAL ID Act of 2005. We conclude that neither federal preemption doctrines nor the REAL ID Act prohibit the City from issuing a CID. i. Community identification cards are not preempted by federal law The City's issuing a CID would not conflict with any federal laws. In certain circumstances, a state or municipal law that conflicts with a federal law is invalidated or "preempted" by the federal law. To be preempted, the state or municipal law must either occupy an area of law that the federal government has exclusive power over, or conflict with federal law so as to make it impossible to follow both the state /municipal and federal law. 108 The federal government holds plenary power to make policies and rules regarding immigration laws, 109 and certain state and municipal laws may be invalid if they seek to regulate 106 Arizona v. United States, 132 U.S. 2492, 2501 (2012). Sm Id., at 2530. 109 Id., at 2501. log Id., at 2498. %I immigration laws.110 In this section we explain that if the City decided to issue a CID it would not be seeking to regulate federal immigration laws, and we conclude that therefore if the City issued a CID, federal law would not preempt such a CID. If the City issued a CID, it need not seek to occupy the federal government's exclusive power to regulate immigration laws, nor would it need to create any obstacles to the federal government's administration of immigration laws. The CID could be intended to serve the entire Iowa City community. The immigrant community could be only one of the many groups served by a CID. Other cities issuing a CID have found that some of the highest volume users of the CID are not immigrants. 111 The purpose of a CID could be to give residents of the community access to City benefits. Giving many groups within the community wider access to City benefits does not approach creating laws that seek to regulate federal immigration matters. If the City decides to introduce its own CID or to grant official recognition to a CID produced by a third party, the City Council could pass an ordinance to authorize and give guidance to the CID program. The ordinance could be expressly designed to ensure that the purpose and usage of the CID does not conflict in any way with the federal government's administration of immigration laws. The CID ordinance need not seek in any way to regulate federal immigration laws, and would defer to federal law in the case of preemption. ii. The REAL ID Act does not prohibit the City from issuing a community identification card The provisions of the REAL ID Act of 2005 ( "Act "), which is a federal law that applies to the issuance of state identification cards, does not prevent a municipality from issuing a CID. The Act prohibits a federal agency from accepting an identification card issued by a state unless the state's ID meets the Act's requirements. 112 The Act does not apply to forms of identification issued by municipal governments. 113 In this section we explain relevant parts of the Act and conclude that the Act does not preclude the City from issuing a CID. One part of the Act that is relevant to a CID is the requirement that states may not issue IDs that may be used for federal purposes to applicants who cannot prove that they are in the United States lawfully.114 However, under the Act, states may issue IDs that are not for federal use as long as they "clearly state on its face that it may not be accepted by any Federal agency for federal identification or any other official purpose," and "use a unique design or color 110 Id., at 2501. "' See infra Appendix E. 112 Pub. L. No. 109 -13, 119 Stat. 302 (May 11, 2005). 13 See Id., § 201(5) (defining State). 114 Id., § 202(c)(2)(B). 29 indicator to alert Federal agency and other law enforcement personnel that it may not be accepted for any such purpose. ,115 This means that even if the Act did apply to municipalities, cards "not for federal use' could be issued under the Act as long as they complied with these requirements. Many states offer "not for federal use" driver's licenses and identification cards to undocumented persons. 116 Those IDs do not meet the requirements of the REAL ID Act, but are still valid because they are not used for federal purposes, and are therefore not subject to the Act's requirements. Iowa has a non - operator's identification card for those who do not qualify for a driver's license, 117 but it requires proof of valid immigration status before these IDs can be issued .118 A CID need not violate the REAL ID Act because the Act does not seek to regulate municipal governments. Even if the Act did seek to regulate municipalities, if the City decided to issue a CID, the City could ensure that such an ID would have a distinctive design, color, and /or text explicitly stating that it cannot be accepted by a federal agency for any official purpose. B. Community Identification Cards are Permitted Under Iowa Law Just as federal law may preempt states from acting within certain spheres, it is possible for state laws to preempt or restrict the scope of authority or action of city and county governments. Therefore, as the City considers either issuing or recognizing a CID, it must consider whether state laws prevent the City from acting. To evaluate this concern, the following section will examine current Iowa law governing state preemption of local authority to determine whether the City may act. Ultimately, this section finds that nothing in state law preempts the City from issuing or recognizing a CID. State preemption of local authority is based in the Iowa Constitution, statutes, and Iowa court -made common law. The basis of Iowa law governing state preemption and city power is the 1968 Municipal Home Rule Amendment to the Iowa State Constitution. Prior to the passage of this amendment, Iowa municipalities had little power to determine their local affairs.119 However, this amendment granted cities broad "power and authority ... to determine their 15 Id., § 202 (d)(11)(A)-(B). 116 See Nat'l Conference of State Legislatures, Immigrant Policy Project 1 (Sept. 2013), http: / /www.ncsl.org /issues- research /immig /immgration- report - august- 2013.aspx. 117 IOWAADMIN. CODE r. 761- 630.2(321)(2013) (Stating that Iowa's non - operator's identification card may only be used for identification purposes). "a IOWAADMIN. CODE r. 761- 601.5(321)(2013) (Stating that "[a] person who applies for a new driver's license or nonoperator's identification card ... shall submit proof of lawful status in the United States. ") 19 Jay P. Syverson, The Inconsistent State of Municipal Home Rule in Iowa, 57 DRAKE L. REv 263 (2008). 30 local affairs and government" so long as a local ordinance was not inconsistent with state law. 120 Iowa Code Section 364.2 further clarifies the powers of the cities of Iowa. This provision states that a municipality may not act where state statute expressly imposes limitations on the municipality. 121 It further states that municipal ordinances are inconsistent with state law only when they are irreconcilable. 122 The Iowa Supreme Court has further clarified the constitutional and statutory standard for when state law preempts a municipal ordinance. 123 City ordinances can be either expressly or impliedly preempted by state law. 124 The court stated that state law expressly preempts a municipal ordinance when the state "has specifically prohibited local action in an area . „121 State law impliedly preempts a municipal ordinance where either a municipal ordinance "prohibits an act permitted by a statute, or permits an act prohibited by a statute” or the state has enacted statutes "in such a manner as to demonstrate a legislative intention" to occupy a field .12' As will be explained in further detail below, under these standards of preemption —(i) express, (ii) implied, and (iii) field —state law does not preempt the City from issuing or recognizing a CID. However, before engaging in a preemption analysis, a reviewing court must first determine if a municipal ordinance governs a "local affair." The Iowa legislature has broadly defined the powers of municipalities as including the "exercise [of] any power and perform[ance] [of] any function it deems appropriate to protect and preserve the rights, privileges, and property of the city or of its residents and to preserve and improve the peace, safety, health, welfare, comfort, and convenience of its residents.i127 The Supreme Court of Iowa has recognized that this formulation of "local affairs" encompasses almost any activity. 128 A concern may be both of statewide importance and still be considered a "local affair" suitable for city action or regulation. 129 As a result, the only limitation on a municipality's ability to 126 IOWACONST. art. III, § 38A. 121 IOWA CODE § 364.2 (2013). 122 1d. 123 Goodell v. Humboldt County, 575 N.W.2d. 486 (Iowa 1998). 1241d. 1251d. at 492. 126 Id. at 493. 127 IOWA CODE § 364.1 (2013). 129 Worth County Friends of Agriculture v. Worth County, 688 N.W.3d 257, 261 (Iowa 2004) (discussing Iowa Code section 331.301(1) which defines the powers of county governments in a parallel wording to the Code's definition of the powers of municipal governments). 129 Goodell, 575 N.W.2d. 486 at 494 (citing IOWA CONST. art. III, § 39A). 31 regulate "local affairs" is when the state legislature preempts it through legislation and a reviewing court will likely not spend much time on this portion of this preliminary analysis. 130 i. Community identification cards are not expressly preempted by state law The first concern is that an Iowa statute expressly prohibits the City from issuing or recognizing a CID. In this section we first examine the legal standard for determining when a state law preempts a city's authority to act. We then examine whether anything in the state laws granting and restricting city authority restrict the City's ability to act. Then, since a CID is a form of government- issued identification, this section examines whether Iowa laws providing for government- issued identification prohibit the City's ability to issue a CID. Finally, this section examines other portions of the Iowa Code to determine that no other state laws restrict the City's authority. "[E]xpress preemption[] applies where the legislature has specifically prohibited local action in a given area ."131 Typically, the court can simply look to the wording of the statute to determine whether a local ordinance is expressly preempted by state law. 132 The court will also use all its other established guidelines for statutory construction. 133 In Chelsea Theater Corporation v. Burlington, the Court considered whether an Iowa statute expressly prohibited a municipal ordinance regulating the sale of obscene materials and "public displays of explicit sexual material. "134 At issue was Iowa Code section 725.9 which stated: In order to provide for the uniform application of the provisions of sections 725.1 to 725.10 relating to obscene material applicable to minors within this state, it is intended that the sole and only regulation of obscene material shall be under the provisions of these sections, and no municipality, county or 130 Worth County Friends of Agriculture, 688 N.W.3d at 261. 131 City of Davenport v. Seymour, 755 N.W.2d 533, 538 (Iowa 2008). 1321d. 133 Chelsea Theater Corporation v. Burlington, 258 N.W.2d 372, 373 (Iowa 1977) (noting that its established guidelines direct the court to (1) "avoid strained, impractical or absurd results," (2) give the ordinary meaning to the language of the statute "but the manifest intent of the legislature will prevail over the literal import of the words used," (3) avoid construction "where the language is clear and plain," (4) reach a reasonable construction of a statute by "look[ing] to the object to be accomplished and the evils and mischiefs sought to be remedied," (5) consider all parts of the law together and not elevate a single section above others, and (6) "give weight to the administrative interpretation of statute, particularly when they are of longstanding. ") 1341d. 32 other governmental unit within this state shall make any law, ordinance or regulation relating to the availability of obscene materials. (emphasis added) The City of Burlington argued that the prefatory wording of the statute limited the scope of the express preemption to the regulation of juvenile access to obscene materials.135 The court, however, found that the introductory clause was "merely descriptive of the state law' and that the statement of the statute barring local regulation of obscene material "plainly expresses a legislative intention to deny political subdivisions the power to enact any law, ordinance or regulation relating to the availability of obscene material. "136 The court, in a later case, clarified that this preemptory language applied to all materials regulated under the entirety of chapter 725.137 Therefore, it is necessary to examine the breadth of a state law to ensure that none of its sections include express preemption language. None of the Iowa Code provisions that grant and limit the City's governmental authority expressly preempt the City from issuing or recognizing a CID. Iowa Code section 364.3 provides some limitations on the powers of municipalities provided by Iowa Code section 364.1. Section 364.3 provides various explicit limits on the powers of municipalities including criminal and civil penalties; certain licensing fees; city run utilities such as cable, gas, and electricity; rent controls; and storm shelter construction .138 However, none of these provisions specifically restrict the City from issuing or recognizing a CID. Additionally, the state laws governing the Iowa Department of Transportation and the issuances of drivers' licenses and non - operators' identification cards do not expressly preempt the City from acting. The state legislature created the Department of Transportation (DOT) in 1974 and charged it with "planning, development, regulation and improvement of transportation as provided by la W."139 Through rulemaking, the DOT clarified that its mission "is to promote a transportation system to satisfy user needs and maximize economic and social benefits for Iowa citizens [and] to encourage and support programs to provide commodity movement and mobility for all citizens. ,140 Per its statutory mandate, the DOT issues drivers' licenses and non - operator photo identification cards to Iowa residents. 141 The Motor Vehicle Division of the DOT is tasked with 135 Id. at 374. 136 Id 137 Mall Real Estate v. City of Hamburg, 818 N.W.2d 190, 196 (Iowa 2012). 139 IOWA CODE § 364.3 (2013). 139 IOWA CODE § 307.2 (2013); IOWA ADMIN. CODE r. 761 -1.5 (2013). 140 IOWAADMIN. CODE r. 761 -1.5 (2013). 141 IOWA CODE §§ 321.189, 321.190 (2013). 33 licensing drivers in Iowa and administers a licensing examination to determine which drivers have the "ability to operate motor vehicles safely upon the highways. ,142 The exam includes a vision test, test of Iowa traffic laws and highway signs, and a driving test. 143 If a prospective driver fails any portion of the required tests, then she will not receive a license to drive. 144 While an Iowa resident may apply for a non - operator's identification card at a driver's license examination station 145 these cards are meant to serve as identification only and do not license an Iowa resident to drive. 146 The Iowa Code makes clear that only the DOT and certain authorized counties may issue "driver's licenses, nonoperator identification cards, and persons with disabilities identification devices .,,147 But, nowhere do the provisions that regulate the issuance of Iowa drivers' licenses or non - operators' identification cards indicate that the legislature intended these specific documents to be the one and only form of acceptable photo identification in the state. 148 Unlike the provision at issue in Chelsea Theater Corporation, nowhere in the Iowa Code provisions covering the issuances of drivers' licenses and non - operators' identification cards does it state that the issuance of identification cards shall be solely regulated and provided by the state. Finally, other sections of the Iowa Code and Iowa Administrative Code provide recognition for forms of photo identification other than drivers' licenses and non - operators' photo identification cards thereby indicating that alternate forms of identification may be recognized at the state level in certain situations. For example, a voter may demonstrate her identity and residence for the purpose of registering to vote with a current Iowa driver's license, Iowa non - operator's identification card, or "[a]n identification card issued by an employer[,] [or] [a] student identification card issued by an Iowa high school or postsecondary educational institution.i149 Another provision of the Iowa Administrative Code allows a mother to submit a 142 IOWAADMIN. CODE r. 761- 1.8(5); 761 -601.1 (2013). 143 IOWAADMIN. CODE r. 761- 604.7(321) (2013). 14 IOWAADMIN. CODE r. 761- 604.40 (2013). 145 IOWAADMIN. CODE r. 761- 630.2(1) (2013). 146 IOWAADMIN. CODE r. 716- 630.2(3) (2013). 14710 WACODE § 321M.2 ( "Notwithstanding provisions of chapter 321 or 321L that grant sole authority to the department for the issuance of driver's licenses, nonoperator identification cards, and persons with disabilities identification devices, certain counties shall be authorized to issue driver's licenses, nonoperator identification cards, and persons with disabilities identification devices, according to the requirements of this chapter. ") 149 IOWACODE §§ 321.189, 321.190 (commanding the issuance of drivers' licenses and non - operators' licenses); IOWAADMIN. CODE r. 761 (providing rules and regulations for the DOT). 149 IOWA CODE § 487A.7A(b)(1) (2013). 34 request for a birth certificate for her child after a home birth with her "current government - issued photo identification" or "other identifying documentation .,,150 These provisions indicate that drivers' licenses and non - operators' cards are not intended to be the sole form of identity cards in Iowa. ii. Community identification cards are not impliedly preempted by Iowa law The Iowa Supreme Court has recognized that a state statute may impliedly preempt a local ordinance if the "legislature has covered a subject by statute in such a manner as to demonstrate a legislative intention" to occupy the field or where the local ordinance is "inconsistent with the laws" of the Iowa legislature. 151 A local ordinance impermissibly "conflicts" with a state law when the two are "irreconcilable." 152 The Iowa Supreme Court has further defined what is irreconcilable with its "permit, prohibit" test. Under the "permit, prohibit test," a municipal ordinance irreconcilably conflicts with state law and is therefore impliedly preempted where it "prohibits an act permitted by statute, or permits an act prohibited by a statute .,,153 To determine what a statute permits or prohibits, the examining court looks to "the legislative intent in enacting the state statutes and [] require[s] that any local ordinance remain faithful to this legislative intent, as well as to the legislative scheme established in relevant state statutes. ,154 Under Iowa Code section 4.6, the court looks to the statute itself and legislative history to determine the legislative intent. 155 The reviewing court will try to avoid preemption where it can by reading the state statute in a way that harmonizes it with the local ordinance. 156 The Iowa Supreme Court has reviewed a wide spectrum of local ordinances under the prohibit prong of its implied conflict preemption test. In the majority of these cases the court reviewed municipal or county ordinances that set higher or different standards for the regulation of activities than a state statute already provided. 157 156 IOWAADMIN. CODE 641 - 96.7(5) (2013). 151 Goodell, 575 N.W.2d at 498, 500 (citing IOWA CONST. art. III, § 39A). 152 Goodell, 575 N.W.2d at 500 (citing Iowa Code § 331.301). 153 Goodell, 575 N.W.2d at 486, 500 (citing City of Des Moines v. Gruen, 457 N.W.2d 457, 342 (Iowa 1990)). 1541d. at 500. 155 Id. at 500. 156 Id. at 500. [ ?] 157 See Goodell, 575 N.W.2d at 500 -501; See also Cedar Rapids Human Rights Commission v. Cedar Rapids Community School District, 222 N.W.2d 391, 400 -03 (Iowa 1974) (finding a city ordinance which provided no 35 Here, the City is not interested in setting higher or different standards for regulating an activity already regulated by state statute and if it issued a CID its actions would not fall under the prohibit prong of the test. The state legislature has provided that the DOT will issue drivers licenses incident to licensing drivers for the safe operation of motor vehicles on the highway and will issue non - operators' identification cards. 158 The state legislature has provided a process for issuing these documents to Iowa residents. 159 However, the standards the legislature set for issuing a driver's license or a non - operator's photo identification card only apply to these forms of identification. 160 The statutory language in no way indicates that these requirements apply to any other type of photo identification card that might be issued throughout the state. 161 To conflict with the state laws governing the issuance of driver's licenses and non - operators' photo identification cards under the prohibit prong of the test, the city would need to take it upon itself to issue drivers' licenses or non - operators' identification cards and implement stricter standards than are provided for in Iowa law. However, the City has no interest in seeking to more strictly regulate the issuance of Iowa driver's licenses and non - operators' identification cards. Instead, the City seeks to potentially provide a different service to its residents which falls entirely outside the regulations provided in Iowa Code sections 321.189 and 321.190. Therefore, any standards the City would set to regulate the issuance of a CID could not conflict with state law —let alone set a higher or different standard for regulating an activity which would place it in danger of preemption via the prohibit prong of the conflict preemption test. appellate procedures for the decisions Cedar Rapids Human Rights Commission preempted a state statute providing a hearing on appeal in the district court); Bryan v. Des Moines, 261 N.W.2d 685, 686 -87 (Iowa 1978) (upholding a city ordinance setting educational requirements for police officer promotion despite the appellants argument that the state civil service commission had the sole authority to set requirements for promotion "because of its statutory duty to 'hold competitive promotional examinations for the purpose of determining the qualifications of applicants for promotion to higher grade under civil service. "'); Sioux City Police Officers' Association v. City of Sioux City, 495 N.W.2d 687, 694 (Iowa 1993) (upholding a city ordinance that set anti - nepotism criteria for employment and promotion for city employees that were beyond Iowa statutory provisions) ; Iowa City v. Westinghouse Learning Corp., 264 N.W.2d 771, 773 (Iowa 1978) (finding a city ordinance which provided procedures for its civil rights commission were inconsistent with the procedures provided under Iowa statute); Beerite Tire Disposal /Recycling v. City of Rhodes, 646 N.W.2d 857 (Iowa 2002) (finding a city ordinance governing tire disposal with stricter regulations than the Iowa statute governing tire disposal was not impliedly preempted by state law); Baker v. City of Iowa City, 750 N.W.2d 93 (Iowa 2008) (finding a City ordinance which regulated employment discrimination of employers with fewer than four employees was impliedly preempted by state law because the Iowa statute and the city ordinance were irreconcilable after examining the legislative intent of the Iowa legislature when it enacted of the statute). 159 IOWA CODE §§ 321.189, 321.190 (2013). 159 Id. 160 Id 161 See id. 36 The Iowa Supreme Court has had fewer occasions to examine municipal ordinances that permit activity that the state has proscribed. In Lewis v. Jaeger, the Iowa Supreme Court considered whether a city ordinance could authorize a city manager to order a landlord to immediately evict a tenant and change the locks on an apartment to rectify an emergency which impacts public health, safety, or welfare, where an Iowa statute provided an evicted tenant three -day notice and an opportunity to contest the eviction . 162 To determine whether the city ordinance and the statute conflicted, the court examined the Iowa Uniform Residential Landlord and Tenant Act (IURLTA) which provided a three -day notice procedure for eviction. 163 The court examined IURLTA to determine if it restricted the city's authority to act and found that it did not. 164 To make this conclusion, the court looked at the legislative context of IURLTA and found that the legislature passed the statute to recognize the minimum housing standards already supplied by many cities. 166 It also noted that the IURLTA specifically included a section which allowed its provisions to be supplemented for the purpose of "public health, safety and fire preventions. "166 Further, the court noted that Iowa Code section 364.17 actually requires certain cities to adopt a housing code which includes enforcement provisions. 167 Therefore, the court found that the city's ordinance providing more liberal standards for eviction in cases involving public safety and health was not preempted by state law. 168 Here, if the City chooses to issue a CID, it would not permit something currently prohibited by Iowa law. Unlike in Lewis, there is no Iowa law regulating the issuance of photo identification cards by municipalities or other actors. The statutory language providing for the issuance of Iowa drivers' licenses and non - operator identification cards in no way suggests that these requirements apply to any other type of photo identification card that might be issued throughout the state. 169 Therefore, if the City choses to issue a CID, it would not permit something otherwise prohibited by Iowa law. 162 Lewis v. Jaeger, 818 N.W.2d 165 (Iowa 2012). 1631d. at 178 (citing IOWA CODE § 562A.2(2)(a)). 1641d. at 178. 1651d. at 179. 1661d. at 179 (citing Iowa Code § 562A.3). 1671d. at 178. 169 Lewis, 818 N.W.2d at 178. 169 IOWA CODE §§ 321.189, 321.190 (2013). 37 iii. Community identification cards are not field preempted by Iowa law Where the state has extensively regulated a field then a city may not be able to operate in this field. The Iowa Supreme Court has found that the state did not occupy the field "despite the extensive statutory regulation of" an area of law and only found field preemption where the legislature specifically stated that a specific law "shall ... be uniform throughout this state and in all political subdivisions and municipalities therein." 170 The court concluded that "extensive regulation of an area is not sufficient in the absence of a clear expression of legislative intent to preempt regulation of field by local authorities, or a clear expression of the legislature's desire to have uniform regulations statewide." 171 State law does not occupy the field and the City may issue a CID if it chooses to do so. The state legislature has not extensively regulated the area of government- issued photo identification cards and has also not provided a clear statement of exclusive regulation in the area, 172 Iowa Code sections 321.189 and 321.190 do provide for and regulate the issuance of drivers' licenses and non - operators' identification cards by the DOT. Iowa Code Chapter 321 does not state that the Iowa legislature exclusively reserves the power to regulate photo identification cards in the state or that all photo identification cards are prohibited except as provided by Chapter 321 of the Iowa Code. 173In addition, other than Iowa Code sections 321.180 and 321.190, the state legislature has not categorically regulated government- issued photo identification cards. Therefore, the City may choose to act by issuing a CID without concern that state laws field preempt its authority to do so. C. Safeguarding City Residents' Private Information Under Federal Laws If the City decides that privacy of the personal information of CID applicants is a high priority, there are steps the City could take in order to safeguard that information under federal information - sharing laws. As shown by the graph below, many City residents consider it important that their personal information be kept private. 170 Goodell, 575 N.W.2d at 499 (citing Bryan, 261 N.W.2d 686; City of Vinton v. Engledow, 140 N.W.3d 857 (Iowa 1966)). 171 Id. at 499 -500. 172 See Goodell, 575 N.W.2d 486. 13 Iowa Grocery Industry Association v. City of Des Moines, 712 N.W.2d 675 (Iowa 2006). W Privacy of Information Concerns 140 120 1❑0 80 60 40 20 o - ■Yes ■NO ■NOresron Degree of Privacy Concerns ❑ 20 40 60 HO 1❑❑ ■ No respon ■ Very serious ■ Se'uus ■ Nor s bu This is also true in other cities; therefore, some cities choose to create only a limited database of applicants' basic information .174 The federal government cannot compel the City to share the personal information of CID applicants.175 Other cities have demonstrated that one of the safest ways to avoid potential conflicts in information sharing with the federal government is to not maintain copies of the identity documentation provided by CID applicants at the time they submit their applications. 176 These cities maintain a database that includes only the information found on the CIDs themselves. In this section, we will discuss one line of federal laws and two federal programs that are relevant in safeguarding City residents' private 14 See infra Appendix A. (Stating that the city of New Haven does not maintain copies of applicant documents.); See infra Appendix B. (Stating that the city of San Francisco keeps limited information on the database.) 175 Printz v. United States, 521 U.S. 898 (1997). (Stating that federal law could not require the state law enforcement officers to act by participating in its enforcement); see also New York v. United States, 505 U.S. at 188 (noting that the Radioactive Waste Act illegally required the state to act for the federal law and regulate the disposal of radioactive waste). But see Reno v. Condon, 528 U.S. 141 (2000). (Holding that the federal government could regulate states that engaged in interstate commerce under Congress' Commerce Clause authority) 16 See infra Appendix A. (Stating that the city of New Haven does not maintain copies of applicant documents.); See infra Appendix E. (Stating that the city of San Francisco keeps limited information on the database.) 39 information. The first law deals with information sharing with the federal government, and the two programs are the INA § 287(g) Program and the Department of Homeland Security Secure Communities Program. We conclude that neither the federal laws, nor the two relevant federal programs can compel the City to share the personal information of CID applicants with the federal government. i. The City need not maintain immigration information If the City followed the examples of other cities with CIDs and opted not to maintain any records pertaining to CID applicants' documentation or countries of origin, the City would not be violating any federal laws. Federal law states that local governments cannot prohibit a government entity from maintaining immigration information and exchanging it with the federal government, but nor can they compel such information sharing. 177 The CID database need not maintain any documentation provided by CID applicants, nor does it need to contain any information regarding the legal status of the applicants. The City cannot be compelled to share information that it does not maintain; therefore any law that requires information to be exchanged with the federal government would not apply.178 The limited information that the City might hold; e.g., the information found on the CID such as name, age, and resident address, need not give any indication as to the immigration status of CID cardholders. 179 Therefore, any personal information held by the City need not contain information regarding the immigration status of CID cardholders and the City would be in compliance with federal information sharing laws. ii. The 278(8) Program does not give the federal government access to community identification card applicant information The 287(g) Program180 allows a city to enter into a "Memorandum of Agreement" with ICE which allows local law enforcement to enforce federal immigration laws at the city's expense. 18'Although local governments may be encouraged to participate, they cannot be 177 8 U.S.C.A. § 1373 (West 2013); 8 U.S.C.A. § 1644 (West 2013); Sturgeon v. Bratton, 95 Cal. Rptr. 3d 718, 722 (Ct App. 2009). 178 Sturgeon, 95 Cal. Rptr. 3d at 731 -33. 19 The City Attorney's office has expressed some concern that individuals perusing a list of CID holders names might conclude that all persons with Latino last names are undocumented and to target those persons accordingly This has not proven to be an issue in other communities that have introduced CIDs. First, to reach such a conclusion based on names alone would be to engage in impermissible racial profiling. Second, because CIDs in those communities have been used by persons with a variety of different immigration statuses, including United States Citizens, Lawful Permanent Residents, Asylees, and undocumented individuals. ISO The 287(8) Program was named after the section of the Immigration and Nationality Act (INA) that enacted it. 181 INA § 287(g); 8 U.S.C. § 1357 (2013). we, required to participate in the 287(g) Program under both the INA182 and other federal laws. 183 No local government within the state of Iowa currently has a 287(g) agreement with ICE, and the City is under no obligation to participate in the Program.184 Even if the City were to begin to participate in the 287(g) program after the CID program were initiated, there need be no added risk for a community member to apply for or hold a CID because information regarding immigration status of applicants need not be maintained by the City. iii. Secure Communities does not give the federal government access to community identification card applicant information Secure Communities, which began in 2008, allows ICE to have access to the fingerprints of individuals who have been arrested for violations of local, state, or federal law. 185 ICE's access to fingerprints allows ICE to check if an arrested individual is unlawfully present in the United States. 186 If the arrested individual is unlawfully present, ICE then determines whether or not to remove the individual from the United States. 187 Although Iowa participates in Secure Communities, the Program does not require any additional information gathering from the state or local government aside from what was done before the program started. 188 Biographic information is only traced via the Secure Communities database when a person is arrested, which would form no part of the CID application process. E. Safeguarding City Residents' Private Information Under Iowa Open Records Laws The private information of CID applicants will remain protected under Iowa's open records laws. As shown in the previous section, privacy concerns are a high priority for community members who are potential CID card - holders. Even if an information request were made under Iowa's open records laws, the identity of "a person outside the government," 182INA 287(8)(9) (Stating that nothing within INA 287(8) "shall be construed to require any State or political subdivision of a State to enter into an agreement with the Attorney General under this subsection." (italics added). 183 New York v. United States, 505 U.S. 144 (1992). (Stating that although the Federal Government does lack the ability to compel a local government to act, that is not to say that it "lacks the ability to encourage a State to regulate in a particular way, or that [it] may not hold out incentives to the States as a method of influencing a State's policy choices. 18° ICE Website, Fact Sheet: Delegation of Immigration Authority Section 287(8) Immigration and Nationality Act, http: / /www.ice.gov/ news /library /factsheets /287g.htm. (lastvisited Nov. 15, 2013). 185 ICE Website, Secure Communities, http: / /www.ice.gov /secure communities/ (last visited Nov. 15, 2013). 186 Id. 197 Id. 188 Id. 41 namely, almost all CID applicants, would be protected .189 In this section, we will discuss how applicants' personal information will be treated under Iowa's open records laws if copies of applicant documentation are maintained. We explore how CID applicants' personal information will be treated if that information is held by (i) the City; (ii) a non - profit; or (iii) a for - profit organization. We conclude that, under Iowa law, CID applicants' information should be protected regardless of who holds the information, although ensuring that protection may be less costly if a third party, rather than the City itself, holds the relevant information. i. City- issued community identification card If the City decides to administer the CID itself, and to maintain copies of applicant documentation, it would be subject to information requests, but CID applicants' information would fit within an exception to the Iowa open records laws and would therefore remain protected. Documents of the City of Iowa City are considered public records.190 Because the City's documents are considered public, anyone can request information.191 However, if that information were requested, the City would be given the opportunity to demonstrate that applicants' information is protected by an exception to Iowa's open records laws. 192 Iowa courts interpret disclosure requirements broadly, and they interpret the confidentiality exceptions narrowly. 193 In this section, we discuss the potential downside to a CID issued by the City, and a relevant exception to Iowa's open records laws. We conclude that CID applicants' information will remain protected under the exception, but the City may need to expend resources to demonstrate that fact. The potential downside of the City issuing the CID itself is the possibility of the City having to spend resources to demonstrate to a court that information gathered from CID applicants fits within an open records exception. This would occur only if an information request were actually made, and if the City maintained copies of the documentation applicants provided. While the City can demonstrate that applicant information fits within the exception; if the City decided to contest the information request, the City would carry the burden of proof to demonstrate the exception's applicability, which would require the City to spend resources. 189 IOWACODEANN. § 22.7 (West 2013). ( "Information contained in the communication is a public record to the extent that it can be disclosed without directly or indirectly indicating the identity of the person outside of government making it or enabling others to ascertain the identity of that person. ") 190 IOWACODEANN. § 22.1 (West 2013). (Stating that records that are "of or belonging to this state or any... city... are subject" to the open records laws in Iowa). 191 IOWA CODE ANN. § 22.2(1) (West 2013). (Stating that "[e]very person shall have the right to examine and copy public records ...." (emphasis added). 192 Clymer v. City of Cedar Rapids, 601 N.W.2d 42, 45 (Iowa 1999). (Stating that the party "seeking the protection of one of the statute's exemptions bears the burden of demonstrating the exemption's applicability. ") 193 Am. Civil Liberties Union Found. of Iowa, Inc. v. Records Custodian, Atl. Cmty. Sch. Dist., 818 N.W.2d 231, 233 (Iowa 2012). 42 The exception that applies to applicants' information is the "communications not required by law" exception. 194 The purpose of this exception is to allow governments to encourage the sharing of useful information that individuals might not share if they knew the information could be "available for public examination. ,195 The Iowa Supreme Court has held that this exception was meant to protect a "broad category of useful incoming communications ... "196 To fit within the exception, it must be shown that i) information is given by persons outside the government, ii) the information to be gathered is not required by law, iii) the information is useful to the government body, iv) the government body gathering the information could reasonably believe that individuals would be discouraged from sharing the information if they know it would be available for public examination. CID information that would be held by the City would fit within the "communications not required by law" exception because i) the information gathered would be the information of persons outside of the government; namely, City residents, ii) City residents would not be required by law to apply for a CID, iii) the information provided by applicants would be useful to the City (e.g. the CID would allow increased interaction with community residents and law enforcement officers, access to city services, integration, etc.), and iv) the City reasonably believes that many potential applicants consider their concerns for the privacy of their information to be serious, and if applicants' information were subject to disclosure, individuals would be discouraged from applying for a CID. In some respects, the private resident information required to obtain a CID is analogous to the information pertaining to Iowa City residents' utility accounts and billing that is held by the City and which, under Iowa law is "private customer information" that may not be subjected to an open records request. 197 194 IOWA CODE ANN. § 22.7(18) (West 2013). ( "Communications not required bylaw, rule, procedure, or contract that are made to a government body or to any of its employees by identified persons outside of government, to the extent that the government body receiving those communications from such persons outside of government could reasonably believe that those persons would be discouraged from making them to that government body if they were available for general public examination. ") 195 IOWACODEANN. § 22.7(18) (West 2013); City of Sioux City v. Press Club, 421 N.W.2d 895, 898 (Iowa 1988).(Stating that the purpose of I.C.A. § 22.7(18) is "to permit public agencies to keep confidential a broad category of useful incoming communications which might not be forthcoming if subject to public disclosure." See also Des Moines Register & Tribune Co. v. Dwyer, 542 N.W.2d 491, 499 (Iowa 1996). (stating that part of the rationale for the rule is to eliminate the "chilling effect on our citizens' rights and willingness to contact their elected officials" if they knew it would be available for public examination). 196 City of Sioux City 421 N.W.2d at 898. (emphasis added). 197 IOWACODEANN. § 388.9A (2013) ( "Notwithstanding section 22.2, subsection 1, public records of a city utility or combined utility system, or a city enterprise or combined city enterprise as defined in section 384.80, which shall not be examined or copied as of right, include private customer information. Except as required pursuant to chapter 476, private customer information includes information identifying a specific customer and any record of a customer account, including internet -based customer account information. ") 43 To apply for a CID program, an applicant would need to provide documentation to prove basic personal information, including City residence. The City could choose to keep all of the documentation, or only limited information. Obviously, should the City opt to keep only minimal records —as other communities with CIDs have done —in the highly unlikely event that an Iowa open records request were successful, the immigration status of CID applicants would not be disclosed. Assuming this approach is adopted, the only potential downside to the City administering the CID itself would be the possibility of having to spend City resources to demonstrate that the applicants' information fits within an exception to Iowa's open records laws. This issue would only arise if an open records request were to be made to the City, and if the City itself maintained a database of CID applicants' documentation. ii. City- recognized community identification card If the City decides to recognize a CID issued by a non - profit or a for - profit organization, the applicants' personal information will be more protected than if the City were to administer the CID itself. Information held by a private organization is not considered "public" under Iowa's open records laws and is therefore not subject to information requests. 198 In this section, we explain that a non - profit or for - profit organization would not be "performing a government function," and is therefore not treated as a public entity. We conclude that a non - profit and a for - profit would not be treated as a public entity, and that information they maintain would therefore not be subject to disclosure requests. The only potential circumstance that would allow a non - profit's information to be subject to requests is if it can be shown that the non - profit was "performing a government function. "199 Cities are not expected to issue CIDs, and it would be very difficult to demonstrate that a non - profit issuing CIDs was performing a government function .200 The Iowa Supreme Court states that merely because a private entity is performing a function that "may be characterized as a government function" does not mean that it must "open its doors to public scrutiny. "201 199 IOWA CODE ANN. § 22.2(1) (West 2013). (Stating that "[e]very person shall have the right to examine and copy public records...." (emphasis added); IOWA CODE ANN. § 22.1 (West 2013). ( stating that public records include all "records, documents, tape, or other information, stored or preserved in any medium, of or belonging to this state or any county, city ... "). 199 Gannon v. Bd. of Regents, 692 N.W.2d 31 (Iowa 2005). zoo KMEG Television Inc. v. Iowa State Board of Regents, 440 N.W.2d 382, 385 (Iowa 1989) (network bid proposals received by communications company pursuant to company's contract with state university for broadcast of sporting events are not public records because broadcasting sporting events is not a governmental function). But see, Gannon v. Board of Regents, 692 N.W.2d 31 (Iowa 2005), overruling KMEG in part and holding that the Iowa State University Foundation "performs a government function by virtue of its contract with ISU. Therefore, its records are "public records" subject to examination." Id. at p. 44. 201 Gannon, 692 N.W.2d 31, 43. EM Iowa's Supreme Court has found a private entity to be performing a government function when the private entity and the government entity shared a "highly interwoven and symbiotic relationship.i202 If the City decided to model a CID program after other cities, this "highly interwoven" type of relationship would not exist between the City and a private entity. Some cities like Oakland and Richmond merely authorize the private entity that is administering the card to use the city's name and trademark, and let the private organization handle the rest.203 In order to avoid any risk of disclosure, the City could avoid a "highly interwoven and symbiotic relationship" with a private organization by acting as other cities have. D. Local Law Enforcement Use of Community Identification Cards Officers in the Iowa City Police Department are concerned about three related issues that might arise if they were to use an Iowa City CID in the course of their work. First, they are concerned about using CIDs to identify an individual to obtain a search or arrest warrant. Second, there is some concern that if a CID is used to identify a person for such a warrant, and the CID upon which the police rely does not contain accurate identifying information, the wrong person could be arrested, which would expose the City to civil liability for false arrest. Third, and finally, they are concerned about the crime of identity theft and the possibility that an individual could steal another person's identity documentation, fraudulently obtain a CID and /or counterfeit a CID, and then use that CID for criminal purposes. In this section, we briefly examine the state and federal legal standards governing the validity of search and arrest warrants. We then discuss the measures that other communities with CIDs have taken to ensure that CID information is accurate, to minimize the risk of reliance upon erroneous CID information in the course of law enforcement operations, and to combat identity theft and fraudulent use of CIDs. First, no provision in the Iowa Code or Iowa Constitution requires an individual's legal name must be included on the search warrant for it to be facially valid. The Iowa Constitution requires that all warrants must "particularly describe the place to be searched, and the persons and things to be seized .,,204 While Iowa Code section 808.3 further instructs that an officer applying for a search warrant must "describe the person, place or thing ... with sufficient specificity to enable an independent reasonable person with reasonable effort to ascertain and identify the person, place, or thing." Neither one of these provisions require a legally accurate name must be included in a search warrant to be valid. Under Iowa law, an arrest warrant is facially valid even if the incorrect name is included therein. According to the Iowa Code provisions regulating arrests, a valid warrant does not have to include the correct legal name of the person to be arrested .205 Iowa Code section 804.1 provides that a court issuing an arrest 202 Id. 203 See infra Appendix E. 204 IOWA CONST. art. 8, § 8. 205 IOWA CODE § 804 (2013). 45 warrant must determine that "there is probable cause to believe an offense has been committed and a designated person has committed it." While Iowa Code section 804.2 states that the warrant itself must "give the name of the defendant, if know to the magistrate; if unknown, may designate 'name unknown. . . . "'206 Finally, the Supreme Court of Iowa has maintained the facial validity of an arrest warrant where the warrant included the wrong name. 207 Under the Fourth Amendment of the U.S. Constitution and the matching Iowa Constitutional provision both require that a search warrant must "be sufficiently definite to enable the searcher to identify the persons, places, or things the magistrate has previously determined should be searched .,,208 Under these standards, the officer executing the warrant must not have discretion in determining the scope of the warrant and the officer "must be able to reasonably ascertain and identify the places and things authorized to be searched" from the warrant.209 This requirement is meant to "minimize the risk that officers executing the search warrant will mistakenly search [a] person not intended by the issuing magistrate. ,210 Under this standard, a search warrant may contain information that is technically incorrect but still valid under the Fourth Amendment .211 In practice, this means that a warrant that contains an incorrect name but otherwise describes the individual to be searched with accuracy is valid . 212 The description of the individual must only be reasonable and officer surveillance and actual knowledge of the place or person to be searched are factors that mitigate a technical error on a warrant. 213 Therefore, although the City would aim to ensure CIDs contained accurate information, if a CID did contain incorrect information, as long as the individual being detained and arrested was the individual sought by the authorities, a police officer could still rely on the CID to issue a valid search warrant. 206 IOWA CODE § 804.2 (2013). 207 Wilson v. Lapham, 195 N.W. 235, 238 (Iowa 1923). 208 State of Iowa v. Thomas, 540 N.W.2d 658, 662 (Iowa 1995). 209 State v. Buchanan, 683 N.W.2d 126 (Iowa 2004). 210 State v. Prior, 617 N.W.2d 260, 263 (Iowa 2000). 211 United States v. Gitcho, 601 F.2d 369 (8th Cir. 1979) 2121d. (finding a search warrant was valid under the Fourth Amendment despite listing the incorrect address of a premises to be searched); State v. Buchanan, 683 N.W.2d 126 (2004) (finding that a warrant to seize the blood of an individual was valid under the Fourth Amendment despite the fact that the wrong name was used on the warrant). 213 See id. UP To minimize the possibility of local law enforcement reliance upon potentially erroneous CID data to arrest individuals, which might leave the municipality issuing the CID open to civil liability, each of the other communities that introduced a CID has also developed a clearly defined protocol for CID use in the course of law enforcement operations. The City of San Francisco, for example, requires its officers to accept the CID as a primary identity document unless they have reason to believe that the person holding the card is not the person identified in the card or they believe that the County Clerk issued the card inappropriately.214 The City of New Haven, in contrast, will accept CIDs as evidence of identity for victims or witnesses reporting crimes, but will not issue arrest warrants for individuals identified solely on the basis of information contained in their CIDs .215 If the City of Iowa City were to issue a CID or recognize a third -party issued CID the City would need to determine what protocol was most appropriate for its use. We note that in our interviews with representatives of other communities with CIDs we were not informed of any civil lawsuits brought against municipalities by individuals claiming false arrest on the basis of information contained in CID documentation. Finally, as with any identification document, there is a risk that unscrupulous persons could attempt to obtain a CID by theft or fraud. Other communities that have introduced CIDs have taken measures to ensure that individuals cannot fraudulently obtain CIDs. In New Haven and Mercer County, for example, only a limited number of individuals are permitted to issue CIDs .216 Those individuals receive extensive training in identifying and examining identity documents from a variety of different countries and use an identity document "resource book" to verify the validity of such documents .217 When staff have doubts about the validity of foreign identity documents they err on the side of declining to issue CIDs. Other municipalities issuing CIDs have focused on the security of the CID card itself. For example, San Francisco uses custom proprietary software, secure cardstock, laser engraving, biometric scanning, and other covert and over security features to safeguard the integrity of its CID .218 If the City of Iowa City were to issue a CID, or to recognize a third -party issued CID, it could make such issuance or recognition contingent upon these or other security features being included in the card. 214 See infra Appendix B. 215 See infra Appendix A. 216 See infra Appendix A, Appendix C. 217 See infra Appendix A, Appendix C. 219 See infra Appendix B. 47 IX. RECOMMENDATIONS First and foremost, we recommend that the City further investigate the demand and needs of the community. Our early survey results indicate that residents placed the highest importance on using a CID as a form of identification to present to police. Respondents then prioritized, in descending order of priority, the following potential benefits provided by a CID: access to medical services, creation of utility accounts, access bank or credit union services, access to pharmacy services, feeling part of the city, access to the homeless shelter, access to the Johnson County jail, paying for bus fare, accessing the library, and accessing recreation centers .219 However, as we previously mentioned, our survey sample was limited in scope. Therefore, we recommend that by accurately gauging the needs of the community, the City will be better able to ensure a CID program would meet the unique needs of Iowa City residents. For example, Oakland chose to emphasize the financial aspect of its CID because it had a significant unbanked population ,220 while Mercer County chose to emphasize building trusting relationships between police and cardholders over access to financial institutions .221 San Francisco and New Haven have both attempted to provide for both access to financial institutions and public safety.zzz Therefore, depending on the requirements of the City and the needs of the community, we recommend the following: (1) if the City wishes to maximize the services and benefits provided by a CID then the City itself should issue the card, (2) if the City wishes to prioritize the accessibility of the card to all local residents then it should recognize a non - profit issued CID, (3) if the City wishes to minimize its expenditures on a CID program then it should recognize a non - profit issued or for - profit issued card, and (4) if the City wishes to maximize the security of cardholder information and limit its potential liabilities then it may choose to recognize a non - profit- issued or for - profit- issued CID. A. If the City Wishes to Maximize the Services and Benefits Provided by a Community Identification Card Then the City Itself Should Issue the Card San Francisco has had the most success at securing a wide range of services and benefits through its CID program. Notably, six banks in the San Francisco area recognize the city's CID as a primary form of identity documentation. San Francisco in part was able to secure the benefit of this service by directly including this requirement in its contracts with private banks. Through other negotiations, the city has ensured cardholders have access to discounts at local 219 See supra Part VLC 220 See supra Part VII.C. Note where no resource is cited in this section, the information conveyed about the Oakland and Richmond programs derives from the information presented in Part VILC of this Report. 221 See supra Part VILB. Note where no resource is cited in this section, the information conveyed about the Mercer County program derives from the information presented in Part VILB of this Report. 222 See supra Part VILA. Note where no resource is cited in this section, the information conveyed about the New Haven and San Francisco programs derives from the information presented in Part VILA of this Report. C[ businesses. Also, because the city itself issues the CID, the city uses the card as a method to access city services such as the public library and recreation facilities. However, San Francisco's program has come at an incredible expense. The city expended $828,000 at start -up and currently expends about $350,000 on its program annually. New Haven has been able to achieve almost as much functionality for its card as San Francisco but with fewer costs. As part of the implementation process, New Haven worked with a local bankers association to help ensure financial institutions would trust the CID. Currently, cardholders can use their CIDs to open bank accounts at one local bank. The city also uses its CID to provide access to recreation facilities and library services. In contrast to San Francisco, New Haven was able to achieve these goals without expending general fund money. Instead, New Haven relied on philanthropy and grants. Ultimately, the lesson learned from these two programs is that the cities' active engagement in working with financial institutions ensured their CID programs would provide cardholders with access to financial institutions. All cities surveyed for this Report noted that an active community is essential to keeping any program like this going. However, San Francisco and New Haven demonstrate that city governments' engagement is key to ensuring a CID provides a wide -range of services and benefits to cardholders. B. If the City Wishes to Prioritize All Local Residents Having Access to a Community Identification Card Then it Should Recognize a Non -Profit Issued Card The CID program in Mercer County, New Jersey, is the only CID program surveyed for this Report that will issue a CID to a community member who has no other official documentation of identity. Local City and County authorities recognize the CID (along with other official identity documents) for the purposes of accessing local government services. The non - profit issuing the card will accept a letter on official letterhead from a social service organization, faith -based organization, or hospital as proof of identity. This practice ensures that the most vulnerable populations have access to the card —most notably homeless residents. This standard is a stark contrast to the identification requirements of the other cities surveyed for this Report. San Francisco and New Haven require some other form of identity documentation to issue a CID and will not accept affidavits from social services organizations. Oakland and Richmond have the highest documentation requirements for issuing debit CIDs. Critics of the Oakland CID have noted that it has failed to provide community members with an accessible form of identification because it has overemphasized the financial aspect of the card which requires applicants present a higher level of documentation. The Mercer County CID program does not ensure access to financial institutions as a primary form of identification. The non - profit issuing the card worked with local banks to ensure the CID would function as a secondary form of identification but was unable to get local EU banks to recognize the CID as a primary form of identification. Of course, if the City worked with local financial institutions to ensure cardholder access to services, a non - profit- issued CID in Iowa City could potentially overcome this shortcoming. The Mercer County CID program also offers the advantage of countywide recognition. The card was first launched and recognized by the City of Trenton and then expanded to the wider local community, which could provide a useful, scalable model for the broader Iowa City /Coralville /North Liberty community in Johnson County. C. If the City Wishes to Minimize Expenditures Then it Should Recognize a Non - Profit- or For - Profit - Issued Card Both the non - profit- issued and for - profit- issued CID program models would require very few expenditures from the City. The CID in Mercer County, the only non - profit- issued CID discussed in this report, is entirely self- sustaining and requires no support from the city or county governments that recognize it. This program runs entirely on application fees and volunteer support. In Oakland, the CID program is run almost entirely by SF Global, a for - profit provider, and the city does not need to expend any funds to issue the card. However, there is some indication that prior to issuing the card in Oakland, city staff expended a significant amount of time on negotiating a contract with SF Global and preparing to implement the program. Either way, these two options will minimize City expenditures. D. if the City Wishes to Maximize the Security of Cardholders' Information Then it May Chose to Recognize a Community Identification Card from a Non - Profit or For -Profit Provider No CID program surveyed for this report has yet had any difficulty safeguarding cardholder information. To preemptively protect information, cities such as San Francisco only keep a limited amount of cardholder information saved on city databases. However, San Francisco has not had any requests for cardholder information to date. New Haven did face a request for cardholder information from the federal government but was able to defend against this request and was successful in protecting cardholder information. According to our analysis, under federal laws, the City should be able to protect cardholder information it keeps on file so long as it does not record immigration - related information. Under Iowa's law governing open records requests, the City should also be able to safeguard cardholders' information it has on file because that information falls into a category of information that is not accessible for request. Namely, the applicants for a CID would be providing information to the City that they otherwise would not be required to do so by law and might not otherwise share with the City if they knew it would be available via an open records request. Therefore, cardholders' information held by the City would not be available for public inspection under federal law or Iowa law. 50 However, CID programs provided by non - profit or for - profit providers can add another layer of protection to cardholder information. Under Iowa's law governing open records requests, information held by a private actor is not available for public inspection. Additionally, the information held by a non - profit or for - profit entity would not fall into a special category of information held by private actors that is nonetheless open to public inspection. Therefore, if the City wishes to maximize the security of cardholder's information to the highest possible levels, it may chose to recognize a card issued by a non - profit or for - profit provider. 51 APPENDIX A: NEW HAVEN QUESTIONNAIRE AND RESPONSES223 1. What were the costs associated with initiating your municipal ID program? • Any questions regarding costs should be directed to Lisa Wilson with the Office of Vital Statistics. Contact phone number: 203 - 946 -8085. • Ms. Nieves Winn was in the Vital Statistics office from 2007 -2010. 2. What is the overall maintenance cost of continuing to run the ID program? 3. How is your program funded? At start up? Continuing costs? • Not through general funds. Outside sources gave them the money to get off the ground. They solicited to get grants, it was done through philanthropy. 4. Do you have staff dedicated to this project? At implementation? Now? • Yes. It is all handled by the Office of Vital Statistics. 5. What software do you use to create the cards? What was the cost of the software? Are there ongoing licensing costs? • Software Higgins • Contact Kathleen Agid at 203 - 268 -5124 for more information about the software. 6. How are your cards printed? What was the cost of the printer? Maintenance costs for the printer? • Printed on site. • Background: they would print in the office, mail it to the applicant (just to verify their address). Proof of residency and documents. They had to confirm their address within 30 days. • Mobile units were used to go out into the community. They would bring laptops and portable equipment, then come back and run it in the office. • They did ID at high schools also: • Card would be scanned at the schools using a wand that would bring up their schedule. It was for attendance and to know where they were supposed to be, if they were suspended from school. It was also used in after school programs to make sure they were attended. She did 5 high schools there. 223 Questionnaire conducted by Jordan Moody via telephone with Ms. Ana Nieves Winn of New Haven, Connecticut, on October 9, 2013. 52 o They of course also did the Elm City ID card. 7. What are the safety precautions you have taken to make sure no one can counterfeit the ID? • It has an embedded ultraviolent light holograms that are invisible to the eye. 8. Do you keep a database of information containing the cardholder's information? If so, how do you store this information? • The only thing they have is the information on the card. They don't keep any personal information. They didn't keep copies of anything. 9. Has the federal government sought to obtain any of this information you have on file? • They have had at one point (can find online) they had a group protesting outside and were making it intimidating, but they overcame that. • They tried to take them to court, but they won. It was a FOIA issue. • We can ask Ms. Wilson or the office of court council Victor Bolden at 203 -946- 7951. The suit was brought by a private citizen, last name Pechinski, who tried to stop the progress of the program. • The person representing the city is Cathlene Foster at 203 - 946 -7971. 10. How many ID cards has your city issued? • When it started in 2007, their goal was to reach 5,000 cards issued. They surpassed that goal in 3 months. She's not sure now, but when she left in 2007, it was over 10,000. 11. Do you have any statistics on the demographics of the people who have obtained the community ID card? • No. Ms. Wilson might. 12. What information does an applicant have to present to obtain an ID card? • Need two forms of photo ID and proof of residency. o Photo ID can be from country, passport, consulate card, etc. 13. Have there been any issues with people not being able to obtain a card because they could not produce the required documentation? 53 • Absolutely. When she started, a lot of people didn't have documentation, and tried to obtain the card. They were strict on that. So they instruct applicants that they would have to go have it requested from where they were from or have a family member send it to them. 14. What is the process to obtain a card? • Show proof of residency within 30 days from the time you came in. • They mailed it to the address they told them. • They did walk -ins. 15. Has your city had any issues with individuals obtaining an ID by presenting false information? What were these issues? • In the beginning they tried, but it wasn't successful because they were trained. • They had consulates come in and give them training on the way their country's identification cards were like. They also trained them on what to look for as indications of authenticity, and what they would need to look for to catch fraudulent cards. • They also had a book of the countries and what their ID looked like. o Name of book, Ms. Wilson can tell us. • They have, for example, picked up on forged birth certificates, etc. 16. How did your community react to the creation of your ID program? • Advocates: Lines out the door and around the block. It has been very successful. • Opponents: Some were against helping immigrants. They had calls to the office, good and bad, expressing their thoughts on the program. Overall it was a success. 17. Does your police department have a policy on file that directs police in their interactions with undocumented immigrants? • With police, as long as they had the ID, they would not be asked if they were undocumented. It was used for their protection, and this was to encourage interaction with police. 18. Do banking institutions in your community accept the ID card as a valid form of identification? Did the city or issuing authority reaching out to the banks? • Bank of America was using it as a secondary form of ID to open an account. • Star Community Bank accepts it as primary. 54 • 3 other banks (Wilson). 19. What have been some of the major successes of your ID card program? • People open bank account and are not targeted for robberies. • People feel safe reporting crime to police. • It gives a feeling of belonging because it gives access to library. Also given to load money to use at parking meter of garage. • Subway, jimmy hip hop, several doctors, optometrists (she did a lot of marketing), furniture, chiropractors, driving schools, restaurants, laundromats, car dealership (used ID to get discount, like 500 off used, 100 new car). o She went out and these companies would give a 10 percent discount. • Access to parks, city golf course, city dump. • The card also contains emergency contacts and allergies, this is especially good for kids. 20. What have been some of the issues that came up after implementation that you did not foresee? • Did not have any issues that became anything substantial. 55 APPENDIX B: SAN FRANCISCO QUESTIONNAIRE AND RESPONSES224 1. How was your community ID initiative started? • Community -based organization and advocacy. County Supervisor sponsored local ordinance. 2. What were the costs associated with initiating your municipal ID program? • Total cost of $828,000, including hardware, software, professional services, initial supply of cards, licensing, first year staffing, and maintenance. 3. What is the overall maintenance cost of continuing to run the ID program? • Annual budget for ID card program is $350,000 4. How is your program funded? General fund. At start up? General fund. Continuing costs? General fund and revenue from issued ID cards. 5. Do you have staff dedicated to this project? No. At implementation? No. Now? 2 staff dedicated to processing applications and printing ID cards. 6. What software do you use to create the cards? Customized proprietary software. What was the cost of the software? Approx. $60,000. Are there ongoing licensing costs? Yes. 7. How are your cards printed? Card stock is secure printed. Personal information and photo are laser engraved. What was the cost of the printer? $140,000 Maintenance costs for the printer? $2,500 as needed service. 8. What are the safety precautions you have taken to make sure no one can counterfeit the ID? • Covert and overt security features on ID card, biometric scanner, and laser engraving. 9. Do you keep a database of information containing the cardholder's information? Yes, limited information. If so, how do you store this information? On a dedicated server. 10. Has the federal government sought to obtain any of this information you have on file? • No. 224 Questionnaire conducted by Jordan Moody via email with Jennifer Hong Yee, Director of the San Francisco County Clerk's Office on October 11, 2013. 56 11. If so, what was your response? How did that resolve? Do you have a policy on file to address this scenario if it arises? 12. How many ID cards has your city issued? • 19,000 13. Do you have any statistics on the demographics of the people who have obtained the community ID card? • No. 14. What information does an applicant have to present to obtain an ID card? • See website. 15. Have there been any issues with people not being able to obtain a card because they could not produce the required documentation? • Yes. 16. What is the process to obtain a card? • Make an appointment, arrive promptly for appointment, present acceptable proof of identity document(s), and proof of SF residency document(s), take photo, capture digital signature, verify ID card produced is accurate, and pay fee. 17. Has your city had any issues with individuals obtaining an ID by presenting false information? • No. 18. How did your community react to the creation of your ID program? • Advocates: Supportive. Understood that not every person will be able to meet the requirements for the ID card. • Opponents: None. 19. Does your local police department accept your ID as a valid form of identification? 57 • By law, the SFPD is required to accept City ID card as primary proof of identity unless 1) they believe the person holding card is not person identified in card, or 2) they believe the County Clerk issued the ID card inappropriately. 20. Does your police department have a policy on file which directs police in their interactions with undocumented immigrants? • Our office does not prescribe policy for undocumented immigrants. 21. Do banking institutions in your community accept the ID card as a valid form of identification? • Some financial institutions participating in "Bank on SF" accept as a form of ID. 22. Did the city or issuing authority reach out to the banks? • Yes. During project scoping, several sessions with financial institutions and the SF Treasurer were held. 23. What have been some of the major successes of your ID card program? • ID card program has been operating since January 15, 2009. There have been no legal or other challenges to the program. Card has not been counterfeited. Program and system prevents persons attempting to apply for multiple IDs under different names. 24. What have been some of the issues that came up after implementation that you did not foresee? • None. M APPENDIX C: MERCER COUNTY, NEW JERSEY QUESTIONNAIRE AND RESPONSES' 1. Please tell me more about how LALDEF created the Tremendously Trenton Coalition (TTC) to initially issue the Trenton community identification card. What groups were the initial founders of the organization? How do they work together to issue the Trenton community ID? In 2008, we spearheaded the creation of the TTC, a partnership of faith - based, civic, and municipal organizations with the dual purpose of serving as a catalyst for the integration and acceptance of immigrants in the city, and of developing emerging immigrant leaders. (See list below for organizations). The Community Photo ID Card Program was launched in Trenton in 2009, in order to strengthen ties among residents of Trenton, and allow members of certain traditionally excluded populations to acquire a photo ID which allows access to basic services and facilitates the work of emergency responders when encountering victims of accident or crime. Those who benefit from this ID include the homeless, immigrants, teenagers, the elderly, low income families and anyone who has had difficulty obtaining a photo ID though other means. Furthermore, the photo ID imparts on them symbolic recognition as members of the community. The initial idea came from a similar project developed in Asbury Park. The coalition members had been working closely with the Trenton PD previous to this project, to help educate and establish communications with the immigrant community, so this project was a natural transition. 2. Did TTC work with city officials at the initiation of the Trenton community ID program? How so? Yes; obtaining official recognition from the Trenton Police Department was vital to the success and credibility of the Community ID Card. The Trenton Police Department assisted us in setting up a formal protocol to verify an applicant's identity and residence, and the documentation that we could accept. Their recognition of the value of the card in fostering community policing, and their support from the beginning of the project eased the way for other law enforcement agencies to accept the card. We recommend that securing buy -in from the local police department be the first step for any organization looking to duplicate the Community ID model. 3. What were the costs associated with initiating the Trenton community ID program? The initial expenses of the program were a set of donated, used laptops, ID making software, ID printer, blank cards and ribbon cartridges; all together approximately $2,000. We recouped our investment within a month, charging $10 a card. This is a self- financed project. 225 Questionnaire conducted by Erin Fleck via email with Maria Juega, Executive Director of the Latin American Legal Defense and Education Fund on October 18, 2013. 59 4. What is the overall maintenance cost of continuing to run the Trenton community ID program? To satisfy the demand, we purchased 2 additional laptops and more used laptops printers at a cost of a little over $3,500. Blank cards, ribbon cartridges and occasional maintenance are the only ongoing expenses to maintain the program, which are covered by the cost of the ID cards; $10 for adults and $5 for minors. We spend about $70 on each ribbon cartridge (200 cards x cartridge approx..), and $40 for 500 blank cards. We are able to maintain our cost down due to a committed group of volunteers who give their time and skills to issue the Community ID Cards. The life of our printers may be coming to an end, after 4 years of use, and we may have to start replacing them. 5. How was your program funded at its inception and what were the start -up costs? The program was initially funded from LALDEF cash reserve. See answer for Q3 regarding start -up cost. 6. What are the costs to continue running the program? See answer for Q4. 7. Do you have staff dedicated to this project— either at implementation or now? As mentioned above, our program is run by a group of dedicated volunteers, however the Executive Director or Program Manager are often on site when the Community ID Cards are issued in case of any questions or doubts. 8. What software do you use to create the cards? Card Five Vision is the computer software that we use. 9. What was the cost of the software and are there ongoing licensing costs? The software was $400, with no ongoing licensing cost. 10. How are your cards printed? We use the Fargo C30e photo ID printer to print cards (now discontinued). 11. What was the cost of the printer and are there ongoing maintenance costs for the printer? The retail cost of ID printers is between $1,000 to $3,000, and typically come with a one or two -year service plan /warranty. Repairs after the warranty runs out can cost $200 -$500. 12. What are the safety precautions you have taken to make sure no one can counterfeit the community ID? Only a handful of people who are authorized to issue the ID have access to our Community ID Card template. There is no real threat that the Community ID Card will be counterfeited; if someone is going to go through the trouble of falsifying documents it will be for something recognized across the state or country. 13. Do you keep a database of information containing the cardholder's information? If so, how do you store this information? The only information we maintain from cardholders is basic non - personal information for the purpose of statistical reports, which does not include their photograph, name, date of birth, address, height, weight, medical information or emergency contact. The information is kept with all of our client's information in our password secured database in our main office. 14. Has the federal government or any other group sought to obtain any of this information you have on file? No. 15. If so, what was your response? How did that resolve? Do you have a policy on file to address this scenario if it arises? All volunteers and staff have signed a confidentiality agreement which prohibits the sharing of any information acquired by our office to anyone or any other agency, unless authorized by the Executive Director or Board of Trustees of LALDEF. Furthermore, if anyone involved (past or present) is subpoenaed they are required to notify the Executive Director or Board of Trustees of LALDEF in writing, along with a copy of the subpoena received, per the confidentiality agreement. 16. How many community ID cards have been issued to date? More than 5,500 Community ID Cards have been issued to date. 17. Do you have any statistics on the demographics of the people who have obtained the community ID card? 61 Yes; The Community ID Card has been issued to immigrants of more than 30 different countries, across all continents. Approximately one of every 10 applicants is U.S. -born. Majority of applicants are between the ages of 26 to 35. Overall, the Community ID Card has been obtained by more men than women. < 13 years 1.8% 14 -18 years 2.0% 19 -25 15.2% 26 -35 1 39.6% 36 -45 1 22.9% 46 -55 1 12.9% 56 -65 13.8% 66 -75 1 1.1% 1 Male 162% I > 75 vears 1 0.4% 1 Female 138% 18. Have there been any issues with people not being able to obtain a card because they could not satisfy the documentary requirements? Yes, this is most common with the homeless population, although on occasion we have residents who have lost or have had all their identification stolen. In such cases, we accept affidavits from faith -based and social organizations, as well as hospitals. We require the affidavits to be on letterhead, with the applicant's name, date of birth, and address as it appears on their records. 19. Has your city had any issues with individuals obtaining a community ID by presenting false information to the issuing entity? What were these issues? We rarely deal with applicants who present false documentation. To ensure that documentation that is being presented is true we have two resource books to every international and out of state identification, along with an ultraviolet -light pen to identify security features. When we do detect a questionable ID we politely decline to issue the card, and ask the applicant to come back with alternate documentation. 20. How did your community react to the creation of your community ID program? a. Advocates: 62 • The Community ID Card extends acceptance to traditionally marginalized population to the general community; • Allows access to basic municipal, social and health services; • It builds trust between community and law enforcement; and • Emergency respondents have contact information for anyone who requires assistance and cannot speak for themselves due to injury or language barrier. b. Opponents: • The Community ID Card encourages undocumented people to remain the community; and • It interferes with federal immigration policy. 21. From what I have read, I know the Trenton Police Department and other city police departments in Mercer County accept these community identification cards as valid. Can you please tell me about the process of bringing this about? We initially issued the card under the brand name "The Trenton Community ID Card ". After a year, we had issued more than 1,000 cards without incident, we proposed to do the same in Princeton, where the local police and municipal authorities were very supportive. In 2010 we started talking to other police departments in the county, who were able to verify our track record in Trenton and Princeton and also thought the card would be useful in their respective jurisdictions, so we re- launched the card under the current brand name "The Mercer County Area Community ID Card." Did TTC work with the Trenton Police Department from the inception of the card? See answer to Q2. How did the use of the ID card spread to other city police departments? See above. 22. Does the Trenton police department have a policy on file which directs police in their interactions with residents to ensure all persons including undocumented immigrants feel safe contacting the police for assistance? Yes, former Mayor Doug Palmer issued an Executive Order to that effect in 2009. It is our understanding that Trenton police officials are under orders not to ask residents about their immigration status, unless it is in connection with a felony. Furthermore, the police department's recognition of the Community ID Card shows a level of commitment and recognition by the police of the immigrant community, encouraging 63 trust in police officers and reporting of crimes that they have been a victim of or have witnessed. 23. Do banking institutions in your community accept the ID card as a valid form of identification? If so, how did this come about? Yes, but only as a secondary form of identification. This collaboration came about through meeting with local banks to explain the Community ID Card program, our protocol to ensure that the information is accurate, and that this was a program that benefited everyone, including the banks. 24. What have been some of the major successes of your ID card program? The ability to extend the Community ID Card outside of Trenton to the Mercer County area, it is now recognized by the Offices of the Mercer County Sheriff and Prosecutor, as well as four other police departments, aside from Trenton. The reason the program has been running for as long as it has, and expanded to a county level is the real need for it. However, this is not something that we are particularly pleased about as it signals that there is a large marginalized population. 25. What have been some of the issues that came up after implementation that you did not foresee? We were initially overwhelmed by the demand. Had to turn people away and create a waitlist that reached over 400 people. We now are able to deal with a steady flow of applicants in our two locations which number between 80 -100 people a month. We have also partnered with a local church which issues the cards in a third location, once a month. We are still unable to completely address requests from the Hightstown /East Windsor area of the county, where we go 3 or 4 times a year to issue cards at a church or the public library. IE TREMENDOUSLY TRENTON COALITION: CHANGE — Committee for Hispanic & Immigrant Students Colombian Civic Association Costa Rican Civic Association CVS Pharmacies Dominican Civic Association Ecuadorian Civic Association Guatemalan Civic Association Hispanic Parade of Mercer County Iglesia Pentecostal Asamblea de Dios La Casita Legal Services Latino Merchants Association Living Hope Church Liberian Community Association of Central NJ Mercer County Hispanic Association (MECHA) Mercer County Prosecutor's Office Mercer County Sheriff's Office Mexican Civic Association St. Joseph's RC Church Trenton Fire Department Trenton Police Department Trenton Public Schools Westminster Presbyterian Church 65 APPENDIX D: RICHMOND QUESTIONNAIRE AND RESPONSES226 1. First, I have emailed Oakland and haven't heard back, is there a contact in Oakland that you know of whose information you can pass to me? • Contact information will be emailed. She will do an introductory email. 2. To be clear, any software, printing, administering costs, etc. • That is all done by SF Global. She will pass their contact information. 3. How was your community ID initiative started, before City Council signed off on it? • Community groups were interested, this happened years ago and residents started getting behind the idea. • Mayor's assistant would know the beginnings of the program. Contact said she'll do an introductory email for her too. • She believes it was a group that formed over the issue. They brought the issue to the mayor and council member, who in turn sponsored the proposition. 4. Why did you choose to go with a 3rd party vendor? • Because city council wanted a 3'd party administrator from the beginning. One of the city's major requirements was that that there would be no cost to the city. Contact was aware that San Francisco does it themselves, and it costs them a lot of money. Private information would be more protected. • Contact said that the cost is a major benefit of going with a P party vendor. She said that they had learned from San Francisco's high cost to start and run their program. They wanted someone else to take the cost. • They felt that having a 3'd party handling the program also lowered potential liabilities for the city. • Public records requests would be avoided if they went through a private vendor. • The card can also function as a pre -paid credit card. The debt card function was only possible with a 3rd party's assistance. One of their major priorities was to help the unbanked. To have that, they needed someone working with a bank. • SF Global (the 3 d party vendor they chose) has been around for a while and they were around before they brought this idea to the table. • SF Global is still relatively small. They have just two clients in the U.S. - Richmond and Oakland. 226 Questionnaire conducted by Jordan Moody via telephone with LaShonda Wilson, Manage men tAnalyst in the Office of the City Manager of Richmond, California, on October 15, 2013. M • Client also mentioned that she received phone calls from Homestead, FL. They actually did a visit to hear about the program. She also said that the city of Los Angeles looking at their methods. • She can put me in contact with SF Global. • SF Global's goal is for a lot of other cities to do this and to expand their influence in the financial market. • She will put mein contact with: • Arturo Sanchez of Oakland. • Nicole Valentino at mayor's office in Richmond, • Paula Takash of SF Global. 5. What are the safety precautions you have taken to make sure no one can counterfeit the ID? • Answered on city's website. Ordinance § 2.64.090 Counterfeit and Fraudulent Cards. 6. Do you keep a database of information containing the cardholder's information? If so, how do you store this information? • Answered on city's website. Ordinance Section 4 Third party Administrator Selection § (B) 7. Has the federal government sought to obtain any of this information you have on file even though they are only with banks? • She said that was not an issue for them because they are going through a P party private vendor. • Their police understand the city is a sanctuary city, "maybe not technically, but they function as one." • It is a bank that is issuing the actual card. They are the ones who have the information, and ICE can't get bank information. • Their police have the basic information that has gone into a database that is made available by the third party. The police only use it to access basic information just to verify who they are, and that they are who the card says they are. • Privacy has been a concern for people in Richmond, which is why they set it up this way. • They don't have their own database, they just have to access a database hold by a P party vendor. • It's not just for the undocumented, there are other groups that are unbanked and this rules out the risk of a general information request based on criminal activity. 67 • They are also trying to connect to local merchants to get a 5% discount with use of the card. • In the Contract with SF, it states that SF Global will reimburse their city employees for time spent on the card (after the contract entered into). • City isn't making any money SF makes all the revenue and bears the expenses. • Even phone calls like this will be reimbursed by SF Global when the program is running. For the time being, she is working for the city. The contract is planned to be final before the end of this year. 8. How many ID cards has your city issued? • None yet. They started with Oakland's contract. They based their resolution modeled on the resolution passed in Oakland. They are hoping for the contract to be final by November 1, 2013, then SF Global requires 60 -90 days to get things going. They are looking to issue their first card in January or February of 2014. City Council started this whole process in 2011. 9. Do you have any statistics on the demographics of the people who have obtained the community ID card? • That's all SF Global. We don't know. 10. What information does an applicant have to present to obtain an ID card? • Answered on city's website. Ordinance § 2.64.030 Applications 11. What is the process to obtain a card? • Answered on the slide presentation on their website. 12. How did your community react to the creation of your ID program? • Advocates: There are a lot of people, unquestionably the majority, that support the program here. • Opponents: She hadn't heard of anyone. One council meeting, there were a few concerned that we were giving ID to undocumented, they had their opinions about helping undocumented people, this was a very small number. The proposition was unanimously passed by city council. 13. Does your local police department accept your ID as a valid form of identification? C:1 • Answered on city's website. Ordinance Section 4 Third party Administrator Selection § (B) 14. Does your police department have a policy on file which directs police in their interactions with undocumented immigrants? • Answered on city's website. Ordinance Section 4 Third party Administrator Selection § (B) 15. Do banking institutions in your community accept the ID card as a valid form of identification? Did the city or issuing authority reach out to the banks? • It is a MasterCard. You can choose to activate the prepaid debit portion, but you don't have to. Cardholders then have to put money on their account. There are fees there, and that is where SF is making some of their money. They can do direct deposit with their work. They can use the card anywhere MasterCard is accepted. Members of the community are used to paying a small check - cashing fee on all of their checks, this will help them avoid that extra cost. This makes them less vulnerable to robbery also. 16. What have been some of the major successes of your ID card program? • It has been great that the council and the mayor heard the voice of the community that they heard what was of interest to the community. They saw a need, and they are meeting it. • Also, they are very happy with their execution of their contract. It was great that the city made sure that a variety of people from the city were present. Police, IT, Library, recreation, finance. All these people making sure we're taking everything under consideration. The collaboration on the city level has been great. 17. What have been some of the issues that came up after implementation that you did not foresee? • Takes so long. It has taken year to get to where they are now. They have been learning along the way and it is taking time. Realistically, they could have shaved months off of the time it has taken maybe, but it took the time that it takes to do it right. • For us, if we decided to go to SF Global, the contract will be tighter and it will be easier to take the contract and just make small tweaks. She was confident that we would not have to go through the whole process they did. Now other cities will have examples of what implementation requires. She also mentioned that SF Global will learn how to work with city more efficiently. We] • But yes, the time it has taken is frustrating some residents. ZT APPENDIX E: OAKLAND QUESTIONNAIRE AND RESPONSES227 1. How was your community ID initiative started? • In 2008, city council was interested in starting a program like other cities had done that addressed the needs for the undocumented population. The need mostly arose from them being a "sanctuary city" and seeking to help build rapport and a bridge of trust between police department and the undocumented community. From there, they decided they wanted to do a program, but the city couldn't afford it (estimated $2.5 million and half a million in costs every year after that). They then decided to do an RFQ for a 3'd party vendor. A local debit card with identification capabilities was proposed because of the well -known issue of excess money lack of safety for the unbanked. 2. Why did you choose to go with a P party vendor? • It was the only way to do it for us. Cost was the major driver, and we also knew that many didn't have banking abilities. City council wanted banking because of unbanked. In Oakland, there is a predominantly African American community that does not have access to any traditional banks. They were paying a lot of money to cash their checks and have access to their money. We saw that a third party vendor would solve all of these problems with one card. 3. What can you tell us about SF Global as a company? • We found them through an RFQ. They bid against one other company, and we were their first client in the U.S. They have been good partners, they meet frequently to talk about the program and reducing fees which is a goal of the administration. We have a good partnership with them. Their office is right across the street so we are able to meet often. • The downsides have been that people have been disappointed with the long process and the fees were also higher than they wanted them to be. But along the way, they have dealt with the hiccups well. The one major issue is the relatively high fees, but that is being fixed as more people get the cards and the fees are decreased. Richmond is their second client here, and they should have a smoother ride than we have. 4. Have there been any legal challenges to your ID program? • No. 22' Questionnaire conducted by Jordan Moody via telephone with Arturo Sanchez, Assistant City Administrator, Oakland, California, on November 11, 2013. 71 5. If so, what was your response? How did that resolve? Do you have a policy on file to address this scenario if it arises? • Because they aren't managing the card, all we did was licensing out our name and logo, our image and name to SF Global, and as part of that licensing agreement, they had indemnify the city of liability. This is a common practice if one side licenses out a name, then the other side will defend your name. 6. How many ID cards has your city issued? • At this point 4,900. 7. Do you have any statistics on the demographics of the people who have obtained the community ID card? • We have generic statistics, age, area they live in, no demographics. They are signing up for a banking service and it's protected. • Surveys have been mostly focused on age, gender, area, etc. for marketing purposes. 8. How did your community react to the creation of your ID program? • Advocates: oThey wanted the program more accessible and for it to be rolled out faster. Identification has to be verified and that is frustrating to some people because they don't always have access to that kind of documentation. They need IDs, and some people don't have them. This is by ordinance, but also baking law, so there isn't really a way around that. • Opponents: o There haven't been many against it. 9. Does your local police department accept your ID as a valid form of identification? • Yes 10. Does your police department have a policy on file that directs police in their interactions with undocumented immigrants? 72 • They are a sanctuary city. Law enforcement recognizes the card for identification purposes. 11. What have been some of the major successes of your ID card program? • 4,900 is a great number to hit. Our goal was 5,000 at this point for the first year, but we really expected that they would have just 3,500, so this has been a great number to hit for us. • Use of the card has been good. Highest volume user is an older African American man (they thought it would be immigrants that used them the most). That means there are a subset of people with this need that we didn't anticipate, and that was a good surprise for us. 12. What have been some of the issues that came up after implementation that you did not foresee? • High fees. • Marketing is slow with the city, this needs to improve. We need to do publications, posters, radio, getting information out there. No trainings done yet. 13. Is there anything we haven't covered that you think would be helpful for us? • You need a strong licensing agreement with third party if that's the path you choose. • The contract should also include an agreement to lower the fees as you go along as your increase users. • You also need to put in place an effective problem - solving policy and procedure that dictates who is the decision maker. • Also, make sure that in the agreement, you have authority as a city to approve or disapprove marketing materials. 73 APPENDIX F: SF GLOBAL MEMORANDUM228 To: Professor Elias From: Jordan Moody Date: 10/28/2013 Re: Interview with Paula Cruz Takash of SF Global on October 25, 2013 Dr. Cruz Takash is a UCLA research developer who then started SF Global outside the university. SF Global is the third party vendor for Oakland, CA. Oakland is SF Global's first client in the U.S. Doing this kind of work (like the work they do with Oakland) requires checking of documents. Normally, banks don't want to do this, and that is where a company like SF Global comes in. Dr. Cruz Takash is also a city commissioner of Los Angeles, and the President of the HR division of Los Angeles. She was also put in charge of the ID taskforce for Los Angeles. Dr. Cruz Takash asked if we had active community groups that wanted a community ID to happen. She said that, based on what she has seen in other cities, it is extremely important that community groups, churches, and small businesses stay involved. She said that a city can often times not sustain the pressure that these programs require, and that they need help from community groups. She has a lot of information she wants to send us. Then we can pull out documents that they will find useful. Some will be dated. She said that SF Global have clients internationally. They focus on low cost banking. They work with micro banks. Oakland city is the domestic application of their business model. Oakland currently has 4,000 applications for IDs being processed. She asked what we knew about information requests in Iowa. I told her a short version of what we knew. She shared that FOIA request largely failed in New Haven because, based on evidence, the court found that a granted FOIA would have put the applicants in danger. To combat information requests, SF Global marries the ID card to a banking product. A prepaid debt card, by marrying to a banking product (FDIC secured banks), it comes under federal banking regulation. Applicant's information is not accessible because of the 1978 Financial Privacy Act. Information Dr. Cruz Takash may send via email for further investigation: They do presentations to cities and organizations. She will send FAQ and responses. 228 This Memorandum is the result of Jordan Moody's interview with Paula Cruz Takash of SF Global on October 25, 2013. Z! Robert (couldn't remember last name at the moment, but said it was likely Professor Elias's Clinical Professor) went to UC Irvine and there did research on liability to the city. This research was done by UC Irvine and was given to the city of Richmond. The report was presented to Richmond city council. She has all of that documentation and will send it. A diagram that shows specific security features. It's also a MasterCard which has a hologram that is near impossible to duplicate. There is also a section where community groups prepared PowerPoints. What the actual fees are included. More clients will drive the prices down. Financial services offered by the card are optional for card holders. Even if financial services are not used, applicants are still protected under the privacy act provision. A report answering "How do you support the ongoing program ?" They included a Pew report following the unbanked. 52 of most popular prepaid cards. They took that comparison and then compared their pricing that is part of this information. Also has news articles that show how to use community groups. They have the materials that Richmond used. Groups in Richmond formed a coalition and sent out members to go talk to PD, city officials, etc. Staff reports to city council Richmond, Oakland, Los Angeles. Richmond and Oakland went through an ordinance adoption. LA went through a committee, then put it before the council, so it didn't go through the resolution ordinance process. LA had to do this because of public backlash. 75 APPENDIX G: EXAMPLE OF COMMUNITY IDENTIFICATION CARD SURVEY Community Identification Card Survey A community identification card is a card issued by or recognized by a local government entity like a city or a county. It is not used as a driver's license or as documentation used to vote. A community identification card identifies the cardholder as a member of the community. The cardholder can then potentially use the card to access to services in the community regardless of immigration status or age. 1. The community identification card could hopefully provide numerous benefits to the community. Please rank the importance of the following potential benefits and services a community identification card might provide: a. Using it as a form of identification used to access pharmacy services including behind the counter medicines: 1.) Not important 2.) Important 3.) Very Important b. Using it as a form of identification used to access medical services or emergency room services: 1.) Not important 2.) Important 3.) Very Important c. Using it as a form of identification used to set up utility accounts with the City of Iowa City or other provider: 1.) Not important 2.) Important 3.) Very Important d. Feeling part of the city and part of the downtown: 1.) Not important 2.) Important 3.) Very Important e. Using it to present as an acceptable form of identification to law enforcement: 1.) Not important 2.) Important 3.) Very Important f. Using it as a form of identification used for visiting persons held in the county jail :229 229 Please note that questions 1(f) and 1(g) were switched in the Spanish language translation of the survey. In the Spanish language version of the survey, the question about bank access was question 1(f) and the question about 1.) Not important 2.) Important 3.) Very Important g. Using it as a form of identification used to access bank or credit union services such as opening an account: 1.) Not important 2.) Important 3.) Very Important h. Using it as a form of identification used to access the homeless shelter: 1.) Not important 2.) Important 3.) Very Important i. Using it as a method of paying for parking meters or bus fare: 1.) Not important 2.) Important 3.) Very Important j. Using it as a library card: 1.) Not important 2.) Important 3.) Very Important k. Using it as a recreation services card entitling you to access swimming pools and other recreation facilities: 1.) Not important 2.) Important 3.) Very Important 2. Would you use a community identification card? a. Yes b. No 3. If the city or county issued the identification card the information you provided to obtain the identification card could potentially be requested by independent groups or government agencies. Would have concerns about this? a. Yes b. No 4. If you would have concerns. How serious are they? 1.) Not serious 2.) Serious 3.) Very Serious jail access was question 1(g). Since the majority of the surveys were completed in Spanish, the final calculation of responses in Appendix H follows the Spanish language question order. 77 APPENDIX H: RESULTS FROM COMMUNITY IDENTIFICATION CARD SURVEY23. Frequency Table Survey Answers Not important =1, Important =2 Very Important = 3, No answer = 4 Question 1(a) Pharmacy Services Code Response Item Frequency Percent 1 Not important 3 1% 2 Important 34 15% 3 Very important 195 84% 4 No response 1 0% 233 100% Question 1(b) Medical Services Code Response Item Frequency Percent 1 Not important 0 0% 2 Important 29 12% 3 Very Important 203 87% 4 No response 1 0% 233 100% 230 With the assistance of the Center for Worker Justice, the authors gathered 233 surveys submitted in large part to the Latino and Sudanese community in Iowa City. Erin Fleck compiled this data into an Excel document to calculate the frequency of responses. Question 1(c) Utility Accounts Frequency Percent 1 Not important 0 0% 2 Important 30 13% 3 Very important 202 87% 4 No response 1 0% 233 100% Question 1(d) Feeling Part of the City Frequency Percent 1 Not important 3 1% 2 Important 35 15% 3 Very important 195 84% 4 No response 0 0% 233 100% Question 1(e) Law Enforcement Frequency Percent 1 Not important 1 0% 2 Important 12 5% 3 Very important 218 94% 4 No response 2 1% 233 100% Question 1(f) Bank Access Frequency Percent 1 Not important 3 1% 2 Important 31 13% 3 Very important 197 85% 4 No response 2 1% 233 100% ti] Question 1(g) Jail Access Frequency Percent 1 Not important 8 3% 2 Important 39 17% 3 Very important 176 76% 4 No response 10 4% 233 100% Question 1(h) Homeless Shelter Access Frequency Percent 1 Not important 11 5% 2 Important 43 18% 3 Very important 176 76% 4 No response 3 1% 233 100% Question 1(i) Paying for Parking and Bus Frequency Percent 1 Not important 19 8% 2 Important 47 20% 3 Very important 159 68% 4 No response 8 3% 233 100% Question 10) Library Card Frequency Percent 1 Not important 16 7% 2 Important 56 24% 3 Very Important 157 67% 4 No response 4 2% 233 100% Me, Question 1(k) Recreation Services Frequency Percent 1 Not important 20 9% 2 Important 52 22% 3 Very important 142 61% 4 No response 19 8% 233 100% Q2 Would you use a Community Identification Card? Frequency Percent 1 Yes 210 90% 2 No 14 6% 4 No response 9 4% 233 100% Q3 Would you have privacy concerns? Frequency Percent 1 Yes 117 50% 2 No 103 44% 4 No response 13 6% 233 100% Q4 How serious are your privacy concerns? Frequency Percent 1 Not serious 90 39% 2 Serious 31 13% 3 Very serious 68 29% 4 No response 44 19% 233 100% XI APPENDIX I: MEMORANDUM OF INTERVIEW WITH FREDERICK NEWELL MEMORANDUM To: Professor Elias From: Erin Fleck Re: Report of Meeting with Frederick Newell, Founder of the Dream Center Date: 10/17/2013 I met with Frederick Newell on Thursday, October 17, 2013, at 1:00 PM. The meeting lasted approximately thirty minutes. As background, when the Dream Center started its first program offered to the community was a class to assist fathers in learning the skills of successful fatherhood. Since then the youth programs have taken off and become the focus of the Dream Center. To date they have about 130 -150 students enrolled in their various programs. The Dream Center offers sports programs but it requires that youth maintain a 3.0 GPA to participate in these events. If the student falls below the standard, then he may attend tutoring four days a week and continue to participate in the sports programs. Mr. Newell formed the Dream Center in response to seeing a lack in institutional support for families in Iowa City. For example, he did not see that the Neighborhood Centers of Johnson County (NCJC) and United Action for Youth (UAY) were offering programs to make families independent of their services. He also looked to his own family and saw how his father's lack of engagement caused conflict and stress. In response, the Dream Center is aimed at addressing making the family a success and eventually independent from certain social services. Mr. Newell continues to work in, I believe, social services and operates the Dream Center as his second full -time unpaid job. In forming the Dream Center and continuing its operation, Mr. Newell has worked in partnership with the Neighborhood Centers of Johnson County, United Action for Youth, the Iowa City Department of Parks and Recreation, Worker Justice Center, and the Consultation of Religious Communities. The Dream Center has worked specifically with the Iowa City Department of Parks and Recreation regarding its requirement of a rec center identification card. Mr. Newell was and is concerned that the rec center card requirement prevents youth from accessing the rec centers. He mentioned that it is hard for a child or a teenager to keep track of cards or identification. Mr. Newell is concerned that an id requirement to access resources such as the rec center will cut kids off from accessing these important spaces. He has worked with the Iowa City Department of Parks and Recreation to try to make sure all children who want and need access to the rec centers may access them without a card. Mr. Newell has a rec center card for the Dream Center and can use this card to get kids into the rec centers for program sponsored events. However, this does not eliminate the concern of ;7 individual access. He also mentioned that the $5.00 replacement cost for a rec center ID is major barrier for youth. Taking all of this into account, Mr. Newell is, to a certain extent, skeptical of a community identification card. He is concerned that like the rec center card, a community identification card could place a barrier between youth and accessing services to which they need and want access. He could see how the card would then become a requirement and therefore a hindrance to youth access. He was also concerned that police in their interactions with African American youth would begin demanding a community identification card. Mr. Newell stated that he did not think youth should be required to have this form of identification. He also wondered if the community ID card would really add much benefit to African American youth. He said many of them can get non - operator's identification cards if they need them. He thought that youth as young as twelve had access to this program. I can look into this and find out more about youth access to non - operators' cards. Mr. Newell was also concerned that if a community ID were available, that the issuing authority would require a voucher from parents. I looked into DOT requirements for issuing a non - operator's card to youth under 18 years of age and it appears that a form must be signed by a parent and notarized before the DOT will issue a card to a person under 18. 1 believe this is what Mr. Newell referred to. Mr. Newell pointed out that there are many parents who have to work two shifts to make ends meet and this type of requirement would be difficult for parents to meet. Ultimately, Mr. Newell believes a community identification card could benefit youth and he would support it for the betterment of Iowa City as a whole so long as his concerns are addressed. He does think that youth could benefit from having one card to access all services — primarily rec centers and public library —so that they do not have to keep track of multiple cards. As coalition building, he would also support it as a benefit to undocumented persons in Iowa City. However, he was concerned that the City of Iowa City or other government agency could abuse the card as a way of identifying undocumented persons. I told him that part of our report will address the concern of privacy of information. At the end of our meeting, I asked Mr. Newell to recommend other people in the community I should talk to about our project. He said, first, that we should talk to the youth at the Dream Center to directly hear what they have to say. I told him that we could potentially do a presentation or meeting with Dream Center youth to get their input. He thought this was a great idea and told me to get in touch with him about it if we would like to pursue this idea. He also recommended that I speak with Matt Moran, the Director of Iowa City Department of Parks and Recreation. He said that Mr. Moran is particularly interested in combining city services into one card. Mr. Newell also recommended that I speak with Jim Throgmorton who is currently on city council and that I speak to city council candidates Kingsley Botchway and Royceann Porter. W, APPENDIX J: MEMORANDUM OF INTERVIEW WITH LINDA KOPPING MEMORANDUM To: Professor Elias and Erin Fleck From: Jordan Moody Date: Oct. 14, 2013 Re: Meeting with Linda Kopping, Coordinator of Johnson County Senior Center I met today with Linda Kopping, Coordinator at the Senior Center. I first gave an introduction of our project and told her that I was there to gauge demand among members of the Senior Center. I let her know that we wanted to make sure that members of the Senior Center were represented in our research. She reported that the Senior Center deals with the active elderly of Johnson County, almost all of them hold current driver's licenses. She did report that there are certain members that are homeless and she has observed that they do lack a valid form of identification often times. She also mentioned the potential demand of older community members than those found at the Senior Center. She gave her own mother as an example. She no longer has a driver's license, and therefore has no valid form of ID and cannot register to vote. She reported that many older people that relocate would have a problem registering to vote. She also mentioned that her mother probably would not get a CID if it were too hard to get, and it would depend on what documents she needed to provide in order to receive a card. She recommended that I speak with Bob Welsh, and that he might be interested in weighing in on a project like this one. M I _,. ®, CITY OF IOWA CITY L 1! -01 MEMORANDUM Date: January 22, 2014 To: Mayor Hayek and City Council Members From: Stefanie Bowers, Human Rights Coordinator Re: Ecological Human Rights The Human Rights Commission is forwarding the attached journal article to you for your review. This is not a recommendation and no further action is requested at this time. The Human Rights Commission discussed Ecological Human Rights at its November 2013 and December 2013 meetings. Stefanie Bowers From: Harry Olmstead <harryo3 @aol.com> Sent: Wednesday, October 30, 2013 8:46 AM To: Stefanie Bowers Cc: burns- weston @uiowa edu Subject: Universal Covenant affirming a human right to commons- and rights -based governance of Earth's natural wealth and resources*: Journal of Human Rights and the Environment http: / /www.@Iga oonline.com /view /ioumalsfjhre /4- 2 /ihre 2013 02 05 xml Stefanie: I went to the International Foreign Relations Council Luncheon yesterday and heard Burns Weston talk on Ecological Human Rights. He will be at our next meeting of the Iowa City Human Rights Commission to address us during public comments and ask us to consider introducing to the Iowa City Council a city ordinance supporting Ecological Human Rights. I have included a link to his paper on the subject and encourage Commissioners to read it prior to our next meeting, so that we become similar with what Professor Burns is talking to us about. Please forward to all Commissioners, Stefanie. Thanks, Harry Olmstead Journal of Human Rights and the Environment, Vol. 4 No. 2, September 2013, pp. 215 -225 Universal Covenant affirming a human right to commons- and rights -based governance of Earth's natural wealth and resources* PREAMBLE The 1948 Universal Declaration of Human Rights assertion that "Everyone is entitled to a social and international order in which the rights and freedoms set forth in this Declaration can be fully realized"' necessarily mandates a clean and healthy environ- ment, without which human beings cannot fully enjoy their rights. The principles set forth in the 1972 Stockholm Declaration of the United Nations Con- ference on the Human Environment2 unequivocally stipulate that "Man has the funda- mental right to freedom, equality and adequate conditions of life, in an environment of a quality that permits a life of dignity and well - being; "3 and that "[the environment] must be safeguarded for the benefit of present and future generations through careful plan- ning or management, as appropriate." I The scientific validity of global climate change and its underlying human causes is authoritatively substantiated by the United Nations Intergovernmental Panel on Climate Change (IPCC) with ominous environmental predictions for the near- and long -term future (the loss of land, forests, freshwater systems, and biodiversity and the increasing frequency of severe weather patterns, including intensified storms, prolonged draught, hurricanes, monsoons, typhoons, and climate shifts) accompanied by hardships to humankind (famine, displacement, disease, and violence) and to other living beings. * Prepared for the Commons Law Project by Bums H. Weston and David Bollier with assistance from Samuel M. Degree, Matthew J. Hulstein, and Dinah L. Shelton in the early stages and Jonathan C. Carlson, Anne Mackinnon, and Anna Grear in the final stage. Copyright m 2013 by Burns H. Weston and David Bother However, this Covenant (or "Green Governance Covenant "), as mod- estly revised in this Version 1.1, may be copied and shared under a Creative Commons Attribution - NonCommercial-ShareAlike 3.0 license ( https:// creativecommons .org /licenses/by- sa/3.0 /us). Indeed, it is encouraged that it be so shared and acted upon widely — adjusted to situational circum- stance as needed, of course. To that end, the Covenant is available for downloading, printing, and dissemination on the Commons Law Project website ( http : //www.commonslawproject.org). 1. Universal Declaration of Human Rights (UDHR), art. 28, G.A. Res. 217A, at 71, U.N. GAOR, 3d Sess., I st plen. mtg., U.N. Doc. A/810 (10 Dec 1948), reprinted in Ill INTERNATIONAL LAW AND WORLD ORDER: BASIC DOCUMENTS, at I1I.A.1 (Burns H. Weston & Jonathan C. Carlson eds., 1994 -) (hereinafter `BASIC DocuMENTS" for all five titles), available at http: //nijhoffonline.nl/ subject ?id =ILWO (accessed July 3, 2012). 2. Stockholm Declaration of the United Nations Conference on the Human Environment (16 June 1972), U.N. Doc A /CONF.48 /14 /Rev.1 at 3, available at http: / /www.unep.org/ Documents. Multilingual /Defau It. asp ?documentid =97 &articleid =1503; reprinted in V BASIC DocuMENTS, supra note 1, at V.13.3. 3. Id., Principle 1. 4. Id., Principle 2. Journal compilation ® 2013 Edward Elgar Publishing Ltd The Lypiatts, 15 Lansdown Road, Cheltenham, Glos GL50 21A, UK and The William Pratt House. 9 Dewey Court, Northampton MA 01060 -3815, USA Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access 216 Journal of Human Rights and the Environment, Vol. 4 No. 2 Other worsening environmental crises with stressful and life - imperiling conse- quences for humans and other beings include the depletion of non - renewable resources, the improper disposal of hazardous wastes, the defilement of precious food and water supplies, and the overall contamination and degradation of delicate ecosystems. State and Market abuse and destruction of nature has accelerated since the advent of an essentially unregulated globalization of capital. Investor and corporate interests, often with the active partnership of governments, unrelentingly exploit and pollute energy resources and increasingly commercialize water and other natural wealth and resources once considered beyond the reach of technology and markets. The lack of international consensus for the principles embodied in the 1997 Kyoto Protocols to the 1992 United Nations Framework Convention on Climate Change and the 1992 Convention on Biological Diversity, as well as the failure of these and other environmental instruments to protect the natural environment sufficiently to safeguard life on Earth for present and future generations, is well known. The continuing failure of the world's leaders to acknowledge or address the most fundamental causes of the accelerating ecological and social devastation of our planet, as manifested at the COP 15/MOP 5 2009 United Nations Climate Change Confer- ence in Copenhagen and the 2012 Rio+20 United Nations Conference on Sustainable Development in Rio de Janeiro, is unacceptable. State and Market leadership has either forgotten or neglects the fact that the author- ity of the State and the power of private business enterprise stem from the people as sovereign, and from the institutions of civil society that they have created to serve col- lective human interests. Also forgotten or neglected, often not even understood, is the reality that the inter- ests of humanity are interdependent with the interests of other creatures that cohabit our planet, and that therefore humanity cannot be adequately protected and sustained with- out recognizing and defending the rights of nature and of all beings within its surround. It thus appears that a new system of ecological governance capable of recognizing nature's worth and of embracing greater civil society participation must be developed if nature is to be adequately protected and nourished. The world community has recognized Antarctica, the deep seabed, and outer space as within "the interest of all mankind" or part of the "common heritage of mankind" in the 1959 Antarctic Treaty,s the 1982 United Nations Convention on the Law of the Sea," and the 1967 Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, Including the Moon and Other Celestial Bodies.10 However, the deep seabed's "common heritage" status was subsequently denied by powerful State and Market forces whose self - interests were threatened by it; the Outer 5. FCCC /CP /1997/7 /Add. 1, reprinted in 37 I.L.M. 32 (1998) and BAStc DOCUMENTS, supra note 1, at V.H.8a. 6. 1771 U.N.T.S. 107, reprinted in 31 I.L.M. 849 (1992) and BAstc DocumFNTS, supra note 1, at V.H.8. 7. 1760 U.N.T.S. 79, reprinted in 31 I.L.M. 818 (1992) and BASIC DOcUMENTS, supra note 1, at V.N.14. 8. 402 U.N.T.S. 71, reprinted in 19 I.L.M. 860 (1980) and BASic DOCUMENTS, supra note 1, at V.D.1. 9. 1833 U.N.T.S. 3, reprinted in 21 I.L.M. 1261 (1982) and BASIC DOCUMENTS, supra note 1, at V.1.22. 10. 610 U.N.T.S. 205, reprinted in 6 I.L.M. 386 (1967) and BAsic DOCUMENTS, supra note 1, at V.P.1. Journal compilation ® 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access Universal Covenant affirming a human right to commons - and rights -based governance 217 Space Treaty has yet to be put to the real test of competing economic, political, and strategic priorities; and the Antarctic regime is increasingly threatened by the same kinds of forces and priorities. On the other hand, the global proliferation of the Internet and new digital technol- ogies is today enabling imaginative new forms of informal, self- organized, collabora- tive governance on open platforms that provide powerful means for aggregating and distributing ecological information, coordinating collective responses, enlisting the knowledge and innovation of commoners, and improving management systems, all of which are enabling important "eco- digital" commons that can help preserve our planet and other vital ecological interests. For millennia, human communities have successfully and sustainably managed the use of ecological resources through commons -based governance, and these practices have long been sanctioned by national and international law, as has also the right of individuals and groups to establish and maintain commons to protect their vital eco- systems (the right of commoning). The historical record and social science research demonstrate the ability of commu- nities of varying sizes and kinds to manage natural wealth and resources equitably, allocate access and use -rights fairly, and preserve resources essentially unimpaired for present and future generations, thus serving as responsible long -term stewards of ecological resources. International law and policy increasingly validate these truths as, for example, in the 1992 People's Earth Declaration''— adopted by the International NGO forum of 170,000 civil society participants at the Global Forum that met parallel to the 1992 United Nations Conference on Environment and Development (UNCED) —which proclaims that "[o]rganizing economic life around decentralized relatively self - reliant local economies that control and manage their own productive resources and have the right to safeguard their own environmental and social standards is essential to sustainability." Especially notable is the 1998 Convention on Access to Information, Public Parti- cipation in Decision - Making and Access to Justice in Environmental Matters, 12 which codifies the central importance of public participation in setting environmental policy and calls on its State Parties to take every reasonable step to foster such participation. Also validating is the 2005 Paris Declaration on Biodiversity,13 in which scien- tists participating in the International Conference on Biodiversity Science and Governance — organized by the French Government, sponsored by UNESCO, and attended by over 1,000 participants representing governments, inter - governmental organizations and non - governmental organizations, as well as academia and the pri- vate sector —urged governments, policy makers, and citizens to take the actions necessary to ensure that "biodiversity [be] integrated without delay, based on existing 11. Adopted June 12, 1992, reprinted in V BASIC DOCUMENTS, supra note 1, at V.K.2, also available at http: // habitat .igc.org /treaties/at - Ol.htm (accessed July 3, 2012). 12. UNECE Convention on Access to Information, Public Participation in Decision - Making and Access to Justice in Environmental Matters, 25 June 1998, 2161 U.N.T.S. 447, U.N.Doc. ECE/CEP /43, reprinted in 38 I.L.M. 517 (1999) and V BAStc DOCUMENTS, supra note 1, at V.13.20; also available at http : /Aive,unece.org/fileadmin/DAM /env /pp /documents /Cep43e.pdf (accessed July 3, 2012). 13. Adopted Jan. 28, 2005. reprinted in 8 J. 1NT'l. WILDLIFE LAW AND PoLicv 263 (2005) and V BASIC DOCUMENTS, supra note 1, at V.K.4; also available at htttp: / /www.unesco.org /new/ fileadmi tl /MULTIMEDIA/HQ /SC/pdf/ Paris _declaration_biodiversity.pdf (accessed July 5, 2012). Journal compilation 0 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access 218 Journal of Human Rights and the Environment, Vol. 4 No. 2 knowledge, into the criteria considered in all economic and policy decisions as well as environmental management." Noteworthy, too, is a growing recognition of the severity of humankind's abuse of its planetary environment, the unprecedented threat it poses to future generations, and the disastrous harm it has begun already to unleash upon nature and society worldwide. Hence the emergence of a proposed crime of "ecocide," first in a 1972 Proposed International Convention on the Crime of Ecocide born of the use of Agent Orange during the Vietnam war;14 more recently urged as a fifth international crime of peace under the 1998 Rome Statute of the International Criminal Court;15 and today, in the context of the evolving disasters resulting from the excessive emission of greenhouse gases into the atmosphere and the scant State or Market resolve to stop it, seriously contemplated as a crime against humanity. 16 Hence also the 2000 Earth Charter' 7—created by a global consultation process and endorsed by organizations representing millions of people around the world —which calls for "a sustainable global society founded on respect for nature, universal human rights, economic justice, and a culture of peace" and to these ends affirms it to be "imperative that we, the peoples of Earth, declare our responsibility to one another, to the greater community of life, and to future generations." And hence, too, the 1997 UNESCO Declaration on the Responsibilities of the Present Generation Towards Future Generations'$ and the 2010 Draft Universal Declaration of the Rights of Mother Earth, 19 the purposes of which are self - evident from their titles. Energizing, then, is the World Social Forum's 2009 Reclaim the Commons Manifesto 20 calling upon "all citizens and organizations to commit themselves to recovering the Earth and humanity's shared inheritance and future creations" and in so doing "demonstrate how commons -based management — participatory, collabora- tive and transparent— offers the best hope for building a world that is sustainable, fair and life - giving." 14. Adopted by the Emergency Conference against Environmental Warfare in Indochina, at Stockholm, June 1972. Available at 4 Bull. Peace Proposals 93 (1973). Reprinted in V BASIC DOCUMENTS, supra note 1, at VNA (accessed July 5, 2012). 15. Adopted by the United Nations Diplomatic Conference of Plenipotentiaries on the Estab- lishment of an International Criminal Court, July 17, 1998, UN Doc. A/CONF.183/9 (July 17, 1998); reprinted in 37 I.L.M. 999 (1998) and I BASIC DocumErrrs I.H.18, supra note 1. 16. See, e.g., Polly Higgins, Closing the Door to Dangerous Industrial Activity: A Concept Paper for Governments to Implement Emergency Measures http: / /www.eradicatingecocide. com/wp- content /uploads/2012 /02/Ecocide- Concept - Paper.pdf (accessed July 11, 2012). 17. Adopted at The Hague by the Earth Charter Commission, June 29, 2000, available from the Earth Charter Commission at http: / /www.earthcharter.org, reprinted in V BAstc DOCUMENTS, supra note 1, at V.K.3. 18. Adopted Nov. 12, 1997 on the report of UNESCO Commission V at the 27th plenary meeting of the UNESCO General Conference. Available at http : / /unesdoc.unesco.orgfimages/ 0011 /001102/110220e. pdf#page =75 (accessed July 5, 2012). 19. Adopted Apr. 22, 2010 by the World People's Conference on Climate Change and the Rights of Mother Earth at Cochabamba, Bolivia. Available at http: / /celdf.org /downloads/ FINAL %20 UNI VERSA L% 20DECLARATION %200F %20THE %20RIGHTS %200F% 20MOTHER %20EARTH %20APRIL %2022 %202010.pdf (accessed July 5, 2012). 20. Opened for signature at the World Social Forum in Belem do Pard (Brazil), January 2009. Available at bienscommuns.org. Reprinted in V BASK DOCUMENTS, supra note 1, at V.K.5 (accessed July 5, 2012). Journal compilation 0 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:0013M via free access Universal Covenant affirming a human right to commons - and rights -based governance 219 THEREFORE, keenly aware of the urgency of taking decisive, collective action to transform existing systems and structures of ecological governance so as to reduce climate change, loss of biodiversity, and other severe threats to Earth's life - giving and life - sustaining capacity, WE, , CALL UPON all citizens, organizations, and governments of the world to commit themselves to recovering the Earth and humanity's shared inheritance and future crea- tions, and in furtherance of this pledge AFFIRM a Universal Human Right to Commons- and Rights -based Ecological Governance as a common standard of achievement for all humankind, and to this end ADOPT, PROCLAIM, AND IMPLEMENT this Universal Covenant, mutatis mutandi, by all manner of constitutional, legislative, administrative, judicial, and pri- vate sector initiative to facilitate the prompt and sustained recognition and observance of its ascribed definitions, principles, rights, and duties at all levels of social organiza- tion at home and around the world. ARTICLE 1. COMMONS - AND RIGHTS -BASED ECOLOGICAL GOVERNANCE All natural persons have a human right to commons- and rights -based ecological gov- ernance (green governance). 1. Commons- and rights -based ecological governance is a system for using and protecting all the creations of nature and related societal institutions that we inherit jointly and freely, hold in trust for future generations, and manage democratically in keeping with human rights principles grounded in respect for nature as well as human beings, including the right of all people to partici- pate in the governance of wealth and resources important to their basic needs and culture. 2. Typically, commons- and rights -based ecological governance consists of non - State management and control of natural wealth and resources by a defined community of natural persons (commoners), directly or by delegation, as a means of inclusively and equitably meeting basic human needs. It generally operates independently of State control and need not be State - sanctioned to be effective or functional. 3. Where appropriate or needed, the State may act as a guardian or trustee for commons- and rights -based ecological governance or formally facilitate its prin- ciples and practices by establishing commons -like State institutions to manage publicly owned natural wealth and resources. ARTICLE 11. PRINCIPLES OF INTERNAL_ GOVERNANCE 1. The natural environment is the common heritage of all humankind, belonging to all natural persons present and future, and shall be respected as such by all commons- and rights -based governance systems. 2. Commons- and rights -based governance systems shall at all times responsibly account for the fragile and complex interdependence of living ecosystems, social and cultural norms, the aesthetic value of the environment, the interests Journal compilation © 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access 220 Journal of Human Rights and the Environment, Vol. 4 No. 2 of future generations, and the ultimate dependence of humankind on our Earth for health and survival. 3. Social cooperation, trust, and reciprocity are essential to the success of commons- and rights -based ecological governance. a. To these ends the self - determined constitutive and operational rules of green governance systems must be conducive to ensuring that 1) reliable information is available about the immediate and long -term costs and benefits of actions as measured in both quantitative and qualitative terms; 2) individual commoners understand that their shared resources are impor- tant for their own interests and long -term security, and therefore are moti- vated to act as trustworthy, reciprocal, and openly communicative commoners in the shared management of ecological resources; 3) informal as well as formal monitoring of resource use and sanctioning of rules - violators are feasible and considered appropriate; and 4) the culture, leadership, and historical continuity of a commons enable it to adapt and learn in addressing ecological management challenges over time. b. To these ends also the self - determined constitutive and operational rules of green governance systems shall guarantee to all involved individuals and groups: 1) the right to be informed, which includes a) the right to prior notice of proposed decisions and policies that may significantly affect their common assets, governance covenant, com- munity ethos, and cultural identity; b) the right to clear and complete information on the ecological impact of activities that may significantly affect their common assets, govern- ance covenant, community ethos, and cultural identity; c) the right to effective access to legislative, administrative, judicial, or other proceedings during which decisions that may have significant ecological impact upon the common assets are under discussion; and 2) the right to participation, which includes a) when practical, the right to participate directly in decisions affecting their common assets, governance covenant, community ethos, and cul- tural identity; b) in the absence of a practical opportunity for direct participation, the right to adequate representation of their interests in the stewardship of common assets; c) the right to consistent and meaningful access to any representative eco- logical decision - makers as well as effective mechanisms of communi- cation and accountability; d) the right to timely and accessible public hearings before decisions are made that may significantly affect their common assets, governance covenant, community ethos, and cultural identity; and 3) the right to recourse, for themselves or as surrogates for future genera- tions, from competent internal decision - making institutions or processes for redress of violations of their rights to ecological information and participation. 4. Human rights (applicable to both present and future generations) and nature's rights (applicable to all species present and future) are likewise essential to Journal compilation © 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access Universal Covenant affirming a human right to commons - and rights -based governance 221 the success of commons- and rights -based ecological governance, including the human right to commons- and rights -based ecological governance recognized in this Universal Covenant. a. To this end, commons- and rights -based ecological governance shall embody the values of human dignity as expressed in the 1948 Universal Declaration of Human Rights21 and such human rights treaties evolved from it that have been designated "core international human rights instruments" by the Office of the United Nations High Commissioner for Human Rights." b. To the same end, commons- and rights -based ecological governance shall embody the values expressed in the Universal Declaration of the Rights of Mother Earth adopted by the World People's Conference on Climate Change and the Rights of Mother Earth in 2008 and submitted by the Plurinational State of Bolivia to the United Nations for consideration in 2010.23 c. If and when the application of human rights and nature's rights differ or con- flict, such disagreement shall be resolved in a way that best promotes the integrity, balance, and health of Earth for the benefit of present and future generations and other beings. 5. Commons- and rights -based ecological governance shall be based on the prin- ciple of local control and subsidiarity to the maximum extent feasible. Green governance by default should aspire to the lowest level of policy- and decision - making possible, with conscientious and generous support from institutions of greater scale and authority. 6. To protect common assets, commons- and rights -based ecological governance systems shall conscientiously adhere to a precautionary approach when threats of damage to ecological resources are serious or potentially irreversible. Lack of full scientific certainty shall not be used as justification for postponing cost - effective measures to prevent environmental degradation. 7. Commoners shall have collective control over the surplus value they create through the collective management of their shared wealth and resources. To this end, commons- and rights -based ecological governance shall not be cash -driven or market- mediated except with the explicit consent of commoners and clear rules for personal use and resource alienability. The freedom of com- moners to limit or ban the monetization of their shared assets shall not be compromised. 8. Property rights granted by commons- and rights -based governance systems for use of natural wealth and resources to individuals or groups (public, private, or commons - based) are not absolute; they must conform to the principles and prac- tices of commons- and rights -based ecological governance as recognized and reaffirmed in this Universal Covenant. 9. Conflicts and disputes within commons- and rights -based ecological govern- ance systems shall be settled through self- organized dispute resolution systems to the maximum extent feasible, using techniques and procedures that favor dialogue, mutual respect, and restorative outcomes among the disagreeing parties. 21. Supra note 1. 22. See Office of the United Nations High Commissioner for Human Rights (OHCHR) at hitp:// www2 .ohchr.org /englishAaw /index.htm #core (accessed July 5, 2012). 23. Supra note 17. Journal compilation cC� 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:WOOPM via free access 222 Journal of Human Rights and the Environment, Vol. 4 No. 2 ARTICLE 111. PRINCIPLES AND POLICIES TO GUIDE STATE SUPPORT OF COMMONS - AND RIGHTS -BASED ECOLOGICAL GOVERNANCE I . Earth belongs to everyone, and its services and infrastructure are necessary for the well -being and survival of all humans and other species. The State shall therefore facilitate and safeguard commons- and rights -based governance of Earth's wealth and resources as part of its mission to protect, conserve, and restore (where necessary) the integrity, health, and sustainability of the vital ecological balances, cycles, and processes that nourish communities and enhance all life on Earth. In these critical respects, the State shall strive to work as a generous partner, not a selfish overlord, of green governance systems. 2. In furtherance of foregoing Article III(l), the State and its agents at all levels shall: a. recognize and promote the full implementation and enforcement of the prin- ciples, rights, and obligations proclaimed or reaffirmed in this Universal Covenant, including the human right to commons- and right -based ecologi- cal governance recognized herein; b. without financial burden, assist commoners in fulfilling their rights to cur- rent, timely, and clear ecological information, including but not limited to: 1) the compilation, maintenance, and regular updating by all public authori- ties of environmental information relevant to their functions, 2) the assessment of the ecological impact of any activity that may signifi- cantly impact the environment, especially large -scale common -pool resources and prompt publication thereof on the Internet, with opportu- nities for public dialogue, and 3) the facilitation of crowdsourcing of knowledge, information, and new initia- tives to assist State activities designed to support the Commons Sector. c. further and similarly assist the public by guaranteeing its rights to participa- tion in ecological decision- and policy - making and to justice in environmen- tal matters, ensuring, inter alia, that individuals exercising their rights, including their rights to petition government, are not penalized, persecuted, or otherwise harassed or disadvantaged for raising and expressing their ecological concerns; d. fully and actively support the right of all individuals and groups, sanctioned by national and international law and reaffirmed in this Universal Covenant, to protect, conserve, and restore (where necessary) their vital ecosystems via commons governance in national, subnational, and transnational settings; e. in exercise of its partnership with commons- and rights -based ecological gov- ernance, collaborate with established and new green governance systems in the invention, recommendation, and initiation of new policy structures (normative, institutional, and procedural) that could work effectively to manage large -scale national, transboundary and global common -pool resources; and f. cooperate fully with other States, appropriate intergovernmental organiza- tions (including the United Nations and its system of organizations), and civil society in respect of vital ecological matters largely beyond the limits of the State's territorial jurisdiction, in particular in respect of large -scale transboundary and global common -pool resources, and the invention, recom- mendation, and initiation of effective new policy structures for the manage- ment of them. Journal compilation © 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access Universal Covenant affirming a human right to commons - and rights -based governance 223 3. In keeping with foregoing Articles I(4) and IH(1), when ecological or economic conditions require, the State may: a. serve as a trustee of common -pool resources belonging to commoners if the commoners so authorize or if protection of a given resource so requires it; and b. charter or otherwise authorize responsible parties to manage common -pool resources as ecological commons when such stewardship can be shown to serve the public interest; c. provided, however, that in each of the foregoing instances the State, its agents, and its surrogates shall create transparent and accountable ecological manage- ment systems under State law that are compatible with commons- and rights - based ecological governance principles, rights, and duties, and that beneficiary interests are well served with effective accountability systems. Commoners' rights shall not be alienated or diminished except for the purpose of protecting the commoners' shared resources for future generations. 4. The State has an affirmative duty to prevent enclosures of ecological commons and common -pool resources. To this end, it shall formally recognize such com- mons and resources by State law to the maximum possible. 5. The State has an affirmative duty also to ensure that private property owners— individuals and commercial interests alike —shall exercise maximum caution not to externalize environmental risks, damage, or costs onto the environment in general or ecological commons in particular, or otherwise act in ways that are incompatible with the principles, rights, and duties of commons- and rights -based ecological governance. To this end, the State shall, among other environmentally protective policies, conscientiously adhere to: a. a precautionary approach to prevent human activities from causing species extinction, the destruction of ecosystems, or the disruption of ecological cycles onto ecological commons in particular and the wider environment in general — the lack of full scientific certainty never to be used as justification for postpon- ing cost- effective measures to prevent environmental degradation, especially when such degradation is serious or potentially irreversible; and b. the principle that the polluter, not the general public or the commoner, remedies any harm that may occur despite best efforts --the remedy, however, shall not be considered the equivalent of the ecological loss if it be in the form of financial compensation exclusively and therefore shall not be considered exhaustive of remedial responsibility, which shall include, but not be limited to, restoration of the integrity and health of the damaged resource to the maximum extent pos- sible; ecosystems and their elements are not fungible. 6. The State has an affirmative duty to eliminate nuclear, chemical, and biological weapons, all of which are antithetical to a clean and healthy environment, including common -pool ecological resources (managed or unmanaged). ARTICLE IV. DUTIES OF MARKET ACTORS TOWARDS COMMONS- AND RIGHTS -BASED ECOLOGICAL GOVERNANCE 1. Market actors, comprised of both natural and juridical persons, shall honor and respect the existence and expansion of commons- and rights -based ecological gov- ernance and, to the extent possible, support the human right to commons- and Journal compilation @ 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access 224 Journal of Human Rights and the Environment, Vol. 4 No. 2 rights -based ecological governance recognized in this Universal Covenant. To this end, they shall: a. act in accordance with the principles, rights, and duties recognized in this Universal Covenant, including the full realization of the human right to com- mons- and right -based ecological governance recognized in this Universal Covenant; b. recognize and promote the full implementation of the aforementioned prin- ciples, rights, and duties to the maximum of their capabilities; C. cooperate fully with State officials in their efforts to facilitate commons- and rights -based ecological governance systems, in particular by providing, when requested, clear, current, transparent and timely environmental information to State and Commons officials alike; facilitating active commoner participation in ecological governance; and helping to ensure commoner access to justice in environmental matters, when needed. 2. Market actors shall conscientiously establish and apply effective norms to protect, conserve, and restore (where necessary) the natural resources with which they become involved, including the shared resources of ecological commons. In this regard, they shall assess fully and transparently any proposed activity of their own that might impact adversely the environment in general and common -pool ecological resources in particular. If ecological harm results nonetheless, the mar- ket actor, not the general public or commoners, shall remedy the harm. The remedy, however, shall not be considered the equivalent of the ecological loss if it be in the form of financial compensation exclusively, and therefore shall not be considered exhaustive of the market actor's responsibility, which shall include, but not be limited to, restoration of the integrity and health of the damaged resource to the maximum extent possible; ecosystems and their elements are not fungible. 3. Market actors shall cooperate fully with ecological commons systems, State offi- cials, intergovernmental organizations, and civil society in the management of vital ecological resources, both within and beyond the limits of their domiciles (in the case of natural persons) or executive and operational headquarters (in the case of juridical persons), in particular in respect of large -scale umsboundary and global common -pool resources. Market actors shall be invited to help invent, recommend, and initiate effective new policy structures for Market activity that are consistent with commons- and rights -based ecological management. 4. At no time shall private actors seek to undermine or otherwise compromise commons- and rights -based ecological governance systems. They shall undertake, instead, to partner with green governance systems, not to compete with or under- mine them, in the preservation, conservation, and, where necessary, restoration of vital ecological resources, including vital common -pool ecological resources. 5. Market actors shall at all times cooperate with the State in fulfillment of its affir- mative duty to eliminate nuclear, chemical, and biological weapons, as well as other toxic substances antithetical to a clean and healthy environment, including common -pool resources whether managed or unmanaged. ARTICLE V. (DUTIES OF UNITED NATIONS AND OTHER INTERGOVERNMENTAL ORGANIZATIONS) 1. The United Nations and its system of organizations shall contribute to the extent of their capacities to the creation, support, and proliferation of commons- and Journal compilation 0 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access Universal Covenant affirming a human right to commons- and rights - based governance 225 rights -based ecological governance through the mobilization of financial coop- eration, technical assistance, and other methods and means of promoting such governance. a. To this end, the Member States of the United Nations and the intergovernmen- tal organizations that have agreed to achieve eight Millennium Development Goals (MDGs)24 by 2015, including "ensuring environmental sustainability," shall strive both before and, if possible, after 2015, to make the creation, support, and proliferation of commons- and rights -based ecological governance an integral part of the MDG policy frame. b. The United Nations and its system of organizations shall contribute also to the full realization of the human right to commons- and rights -based ecolo- gical governance recognized and defined in this Universal Covenant. In this regard, 1) the General Assembly shall formally recognize this right to green govern- ance, and, in accordance with Article 22 of the Charter of the United Nations, shall establish and actively support a subsidiary organ empow- ered to refer cases to the International Court of Justice for compulsory advisory opinions on all matters pertinent to said right; and 2) the United Nations shall use its good offices to establish a permanent Eco- logical Governance Oversight Panel (or equivalent) charged with respon- sibility to help safeguard the human right to commons- and rights -based ecological governance for present and future generations. The Panel shall have legal standing before the Human Rights Council and all other rele- vant United Nations bodies, both treaty and non - treaty, on all matters per- tinent to this right. 2. All other appropriate intergovernmental organizations— including but not lim- ited to such global institutions as the International Monetary Fund (IMF), the World Bank, and the World Trade Organization (WTO); and such regional sys- tems as the African Union (AU), the Association of Southeast Asian Nations (ASEAN), the European Union (EU), and the Organization of American States (OAS) —shall a. at all times cooperate with the United Nations and its system of organizations in their efforts to promote and protect both commons- and rights -based eco- logical governance and the full realization of the universal right of all natural persons to it as set forth in this Universal Covenant; and b. to the extent of their financial, technical, and other capacities take initiatives of their own to promote and protect both green governance and the full rea- lization of the universal right of all natural persons to it as set forth in this Universal Covenant. 24. Millennium Development Goals, ht ip: / /www.un.org /millenniumgoals (accessed July 8, 2012). Journal compilation P 2013 Edward Elgar Publishing Ltd Downloaded from Elgar Online at 10/30/2013 01:38:OOPM via free access r ,p CITY OF IOWA CITY �P6 MEMORANDUM 2� Date: January 22, 2014 To: Tom Markus, City Manager From: John Yapp, Transportation Planner Brenda Nations, Sustainability Coordinator Re: Walk Friendly Communities Program Introduction: The City Council recently received an email from Bob Oppliger advocating for Iowa City to apply for the Walk Friendly Communities Program. The Walk Friendly Community Program is a recognition program for cities which have shown a commitment to pedestrian safety and walkability through programs, plans and policies. Background: The Walk Friendly Communities Program appears to be very similar to the Bicycle Friendly Communities program, in that cities are recognized with a bronze, silver, gold or platinum designation. Through the exercise of applying for the program, it is intended that cities identify their walkability weaknesses, and address them over time to reach a higher designation. We would receive feedback from the Walk Friendly Community staff (based at the University of North Carolina's Bicycle and Pedestrian Information Center) on how to improve walkability and safety, based on our application. The type of information required for the application is similar to the Bicycle Friendly Communities application and process. The time it would take to complete the application is not insignificant — the Walking Friendly Communities staff estimates it takes 40 — 60 hours in total to complete and will require information from planning, engineering, law enforcement and parks and recreation staff. The program does overlap with existing similar efforts in our area, including Blue Zones, Bicycle Friendly Community, I -Walk (an Iowa Department of Public Health initiative), and local efforts to emphasize walkability. The resources available via the Walking Friendly Community website are similar to the resources available through the Blue Zones project, which is aligned with the Walkable and Livable Communities Institute. Benefits: There are no grant funds available through the Walking Friendly Communities Program. The benefits are recognition as a `Walk Friendly Community' which can be promoted, and third -party advice on methods to improve on walkability and safety. Discussion of Solutions: Sustainability Coordinator Brenda Nations is working on an application to partner with the University's Sustainable Communities Program in 2014 -15. Given the staff time necessary for the application and other on- going, concurrent efforts, this is good project for the Sustainable Communities Group to consider taking on. If the partnership with the Sustainable Communities Program is not ultimately approved, we would devote local staff resources to the Walk Friendly Communities Program. Applications are taken twice per year, June 15 and December 15. Financial Impact: 40 -60 hours of staff time for the application, and an ongoing small amount of staff time in assessing recommendations, promoting our designation and developing projects or policies based on the feedback we receive. Recommendation: Work with the UI Sustainable Communities Program to develop the application, or if this is not successful, devote staff time to completing the application. January 22, 2014 Page 2 Previosuly distributed as #2f(10) of 1/7 Consent Calendar FYI December 31, 2013 Dear City Council, I urge the City of Iowa City to apply for the designation as a Walking Friendly Community (http: / /www.walkfriendly.org). According to US Community census data about one in six people in Iowa City use walking as a form of transportation which ranks us in the top ten cities nationally. Along with bicycling, becoming walking friendly would move our community towards the City Council's stated goal of enhancing environmental friendliness. Becoming walking friendly would be consistent with the goals of the Chamber of Commerce's Blue Zone Project which kicks -off in 2014, and the goal of the Downtown Association's recent Inspire Downtown initiative to make itself walkable. Making Iowa City walking friendly would have market appeal to population demographics such as millennials and baby boomers who would reside in the new River Crossing area which is within a mile of the entire downtown business area. There is no fee to submit the application, and the evaluation provides significant free expert input towards meeting all of the civic goals mentioned above. Walking friendly communities enhance the quality of life, provide significant economic benefit to the community and appeal to "creative" class professionals. I encourage the council to embrace this challenge. Sincerely, Bob Oppliger 1928 Delwood Dr. Iowa City r CITY OF IOWA CITY MEMORANDUM Date: January 23, 2014 To: Tom Markus, City Manager From: Steve Long, Community Development Coordinator Re: Affordable Housing Definition As requested by the City Council, this memo is to clarify the definition of affordable housing. The generally accepted definition of affordability is for a household to pay no more than 30% of its annual income on housing, including utility costs. The definition of affordable housing often depends on the source of funding for a particular project. For instance, City staff administer a variety of federal programs that require housing to be affordable for those households under 80% of area median income as annually defined by the U.S. Department of Housing and Urban Development (HUD). For rental projects, rent is capped at the HUD Fair Market Rent (FMR) for Community Development Block Grant (CDBG) and HOME Investment Partnerships Program (HOME) funded projects. A copy of the Table of Income Guidelines and rent limits is attached for your reference. Under the HOME program, the initial purchase price or after - rehabilitation value of homeownership units may not exceed 95 percent of the area median purchase price for single family housing, as determined by HUD. The maximum price for acquisition or after - rehabilitation value is currently $200,000. Staff recommends that the City define affordable housing as housing that is affordable for households under 80% of area median income. In addition, maximum rents should be at or below the HUD Fair Market Rent levels and purchase prices should be capped at $200,000. Workforce housing for downtown and Riverfront Crossings was discussed and defined at the March 5, 2013 City Council meeting. Please feel free to contact me if you have any questions. Z� ON a L Z.0 0 Zz Q W W Z 0 V W = 0 LU G O r C) Z O a`) LL 0 o� J E m E P Q V u � m .,� w LLI Ix Go to U �r n o n IL � O {� � J '� u � m .,� w LLI Ix Go to n � n N � N {� 64 '� O LO W C7 CD O O O O LO LO LO 64 64 I LL b4 i!i 69 V} 61i E)- 69' W I W � L CV r 2 W Z o 2 O O m U W .° In O ui O O O O O 0 O N cD I'- w O O .. 64 64 lf} 6). 69. W. 69. Q _p y Lo 064 � &M9 64 69 603 � 604 c T- GO 000 GOO' ti W M tLO ' " N M CO) CO) sN� V V 64 U-)) Et? tl Ef)- 63 64 6$ 6F} 64 J o ° o ° a LO O C 0 0 0 n .- L GO oR. r- co LO m N N N N M N +� 64 64 64 64 63 69} 63 69 �d N 2 u � m .,� w LLI Ix Go to n � n N � N {� 64 co co OD 63 6F? 60. O O O LO LO LO 64 64 I LL ts t5 W I W � L CV r 2 W Z o 2 O O m U W .° 'So aci 16 U W C m Co C O V o`°a AO � � C N N r a � d W V C c o c m� w O 4) N N N N t9 C TI >, x t � 5 � 1 c m a _ 4- E = .4 r- � ,— TL In CD �2 E �Eowe T Q g= C a 3 a a cw ° H w .2 2 M to LIJ o= o wOr d :5= N Cn.0 .5m O U h C t C '- aca 21— LL s EQz fi U C � O 'm7-1r off¢N N cm3: F- a> F-- CL W o X r N N Z N Marian Karr I IP8 7 From: Eleanor M. Dilkes Sent: Tuesday, January 21, 2014 9:03 AM To: Kingsley Botchway Cc: Marian Karr; Council Subject: RE: Conflict of Interest Inquiry Hi Kingsley, In my opinion your employment by the County is not incompatible with your position as a Council person for the City. There may or may not be conflicts of interest on particular issues in the future, which we can address in the event they arise. Eleanor Eleanor M. Dilkes City Attorney City Hall 410 East Washington Street Iowa City, IA 52240 319- 356 -5030 319- 356 -5008 Fax eleanor - dilkes ct,iowa- city.org Notice: Since e -mail messages sent between you and the City Attorney's Office and its employees are transmitted over the internet, the City Attorney's Office cannot assure that such messages are secure. You should be careful in transmitting information to the City Attorney's Office that you consider confidential. If you are uncomfortable with such risks, you may decide not to use e -mail to communicate with the City Attorney's Office. Without written notification that you do not wish to communicate with the City Attorney's Office via e -mail communication, the City Attorney's Office will assume you assent to such communication. This message is covered by the Electronic Communication Privacy Act, 18 U.S.C. Sections 2510 -2515, is intended only for the use of the person to whom it is addressed and may contain information that is confidential and subject to the attorney - client privilege. It should not be forwarded to anyone else without consultation with the originating attorney. If you received this message and are not the addressee, you have received this message in error. Please notify the person sending the message and destroy your copy. Thank you. From: Kingsley Botchway Sent: Thursday, January 16, 2014 3:57 PM To: Eleanor M. Dilkes Cc: Marian Karr Subject: Conflict of Interest Inquiry Hello Eleanor, Regarding my position in the County, I've already received confirmation from the County Attorney, the Secretary of State's Office, and the Iowa Campaign and Ethics Board there are no current conflicts of interests. However, I want to do my due diligence and confirm, from your legal opinion, that I'm not currently under any conflict of interests. Please let me know if you have questions. Marian, can you please place this correspondence in the next packet? Kingsley Botchway II Iowa City Council Member Mediacom January 17, 2014 Ms. Marian Karr City of Iowa City 410 E. Washington St. Iowa City, Iowa 52240 -1826 RE: Installation and Activation Fees Dear Ms. Karr: FILED 29 Ili JAN 22 PM 1: 43 CITY CLERK 01VA CITY.IMIf'k 0 At Mediacom, the customer experience is important. In recent years, Mediacom has improved the customer installation experience by implementing night and weekend appointments and offering 30- minute arrival windows'o. These innovations and improvements, as well as associated business costs, necessitate adjustment in our installation rates. Accordingly, on or about February 22, 2014, the following rate changes will be implemented: In addition, on or about February 22, 2014, Mediacom will begin to charge all new customers an activation fee of $10.00 to help offset back office and provisioning costs associated with setting up a new customer in our system. We look forward to continuing to serve you and your community's telecommunications needs. If you have any questions, please contact me directly at 319 - 395 -9699 ext.3461 or by e-mail larassley@mediacomcc.com . Sincerely,,,%� L1Se�Grassley Senior Manager, Government Relations 10 30- minute arrival windows are not available in all areas and available on a limited basis. Current Fee New Fee Prewired TV installation $27.50 N/A Unwired aerial TV installation $41.99 N/A Unwired underground TV installation $41.99 N/A Standard phone installation $39.95 N/A Standard Internet installation $59.95 N/A Wired Ultra Internet installation $99.00 N/A Wireless Ultra Internet installation $149.95 N/A Service installation fee for single service N/A $49.99 Service installation fee for two services N/A $74.99 Service installation fee for three services N/A $99.99 In addition, on or about February 22, 2014, Mediacom will begin to charge all new customers an activation fee of $10.00 to help offset back office and provisioning costs associated with setting up a new customer in our system. We look forward to continuing to serve you and your community's telecommunications needs. If you have any questions, please contact me directly at 319 - 395 -9699 ext.3461 or by e-mail larassley@mediacomcc.com . Sincerely,,,%� L1Se�Grassley Senior Manager, Government Relations 10 30- minute arrival windows are not available in all areas and available on a limited basis. What A City Needs to Foster Innovation: Cafes, Bike Lanes, and 3D Printers I Brookings ... Page 1 of 3 From Asst. to the City Manager Fruin BIROOKI NGS 01-23-1 IP10 Quartz Opinion I January 16, 2014 What A City Needs to Foster Innovation: Cafes, Bike Lanes, and 3D Printers By: Bruce Katz and Julie Wagner Once upon a time, innovation was an isolationist sport. In America's innovative economy 20 years ago, a worker drove to a nondescript office campus along a suburban corridor, worked in isolation, and kept ideas secret. Today, by contrast and partly a result of the Great Recession, proximity is everything. Talented people want to work and live in urban places that are walkable, bike -able, connected by transit, and hyper- caffeinated. Major companies across multiple sectors are practicing "open innovation" and want to be close to other firms, research labs, and universities. Entrepreneurs want to start their companies in collaborative spaces, where they can share ideas and have efficient access to everything from legal advice to sophisticated lab equipment. These disruptive forces are coming to ground in small, primarily urban enclaves —what we and others are calling "innovation districts." By our definition, innovation districts cluster and connect leading -edge institutions with startups and spin -off companies, business incubators, and accelerators in the relentless pursuit of cutting -edge discoveries for the market. Compact, transit - accessible, and highly networked, they grow talent, foster open collaboration, and offer mixed -used housing, office, retail, and 21st century urban amenities. In many respects, the rise of innovation districts embodies the very essence of cities: an aggregation of talented, driven people assembled in close quarters, who exchange ideas and knowledge. It's in the vein of what urban historian Sir Peter Hall calls "a dynamic process of innovation, imitation and improvement." Globally, Montreal, Seoul, Singapore, Medellin, Barcelona, Cambridge, and Berlin offer just a few examples of evolving innovation districts. In the US, the most iconic innovation districts can be found in the downtowns and midtowns of cities like Atlanta, Cambridge, Philadelphia, Pittsburgh, San Diego, and St. Louis, where advanced research universities, medical complexes, research institutions, and clusters of tech and creative firms are sparking business expansion, as well as residential and commercial growth. Even a cursory visit to Kendall Square in Cambridge, University City in Philadelphia, or midtown Atlanta shows the explosion of growth and mixed development occurring around institutions like MIT, the University of Pennsylvania, and Georgia Tech. http: / /www.brookings. edu /research/opinions /2014/01 / 16- city - innovation- cafes - bike - lanes -... 1/21/2014 What A City Needs to Foster Innovation: Cafes, Bike Lanes, and 3D Printers I Brookings... Page 2 of 3 Other innovation districts can be found in Boston, Brooklyn, San Francisco, and Seattle, where former industrial and warehouse areas are charting a new innovative path, powered by their enviable location along transit lines, their proximity to downtowns and waterfronts, and their recent addition of advanced research institutions (reflected by Carnegie Mellon University's decision to place its Integrative Media Program at the Brooklyn Navy Yard). Perhaps the greatest validation of this shift is found in the efforts of traditional exurban science parks (like Research Triangle Park in Raleigh- Durham) to urbanize, in order to keep pace with the preferences of their workers for walkable communities and the preference of their firms to be near other firms and collaborative opportunities. Innovation districts are already attracting an eclectic mix of firms in a diverse group of sectors, including life sciences, clean energy, design, and tech. We even see a return of small -scale and customized manufacturing, made possible by 3D printing, robotics, and other advanced techniques. Unlike efforts to grow the "consumer city" via sports stadia, luxury housing, and high -end retail, innovation districts are intent on growing the firms, networks, and sectors that drive real, broad -based prosperity. At a time of increasing concerns over inequality and resilience, innovation districts can spur productive, inclusive, and sustainable growth. If properly structured and scaled, they can provide a strong foundation for the commercialization of ideas, the expansion of firms, and the creation of jobs. They also offer the tantalizing prospect of expanding employment and educational opportunities for disadvantaged populations —many innovation districts are close to low- and moderate - income neighborhoods —as well as sparking more sustainable development patterns, given their embrace of transit, historic buildings, traditional street grids, and existing infrastructure. Innovation districts represent one of the most positive trends that have emerged in the aftermath of the Great Recession. Smart cities, innovative companies, advanced universities, and financial institutions would be wise to embrace them. This piece originally appeared on Quartz. AUTHORS Bruce Katz Vice President and Director, Metropolitan Policy Program The Adeline M. and Alfred I. Johnson Chair in Urban and Metropolitan Policy @bruce_katz Julie Wagner Nonresident Fellow, Metropolitan Policy Program http:// www. brookings.edulresearch/opinions /2014/01 / 16- city - innovation- cafes - bike - lanes -... 1/21/2014 What A City Needs to Foster Innovation: Cafes, Bike Lanes, and 3D Printers I Brookings ... Page 3 of 3 http:// www. brookings.edu/research/opinions /2014/01 /16- city - innovation- cafes - bike - lanes -... 1/21/2014 IP11 LM ICAD Board Strategic Review January 17, 2014 Notes from Chair Chuck Peters As we were doing our strategic planning, reflected in the case statement that accompanied our fundraising in 2012, we were aware of two major trends - the acceleration of hyper - connectivity in the world, sometimes called radical connectivity, and the importance of regional natural economies as the effective players in this new global economy. If you have not seen Andy Stoll's TEDx talk from California, it is well worth a view, as it creatively puts our efforts into that global context - httl2:://www.youtube.com/watch?v=brqfK45d-P-Q In essence, each region needs many attributes to compete, including a sense of place and possibility, an open and accessible innovation ecosystem, a welcoming and caring community, smart governance, world class education and an entrepreneurial spirit. Our current efforts are toward that end, including our traditional recruitment efforts, our CoLab initiative, the innovation culture programming that we present and participate in, the workforce development work that we are doing in concert with Kirkwood and others, and our efforts on regional collaboration, including the regional branding on Iowa's Creative Corridor, www.creativecorridor.co For those who would like to go deeper, we have attached two research papers, one on why the region is critical and one on the very wicked problem of regional governance on critical regional issues. On that wicked problem, we believe we should start with awareness, invitation and connection. We believe that a 'road trip' to the Twin Cities for those interested in reviewing their regional approach would be helpful, and should be arranged soon. For those who just will not open a PDF, here are some highlights from "America's Metro Regions Take Center Stage" by the Citistates Group, 2012, attached as the PDF "Region Critical ", which also features a look at the Twin Cities: METROPOLITAN REGIONS are the dominant demographic and physical form, the citistates of the 21st century. They're the critical base for the globalized economy. In a world of expanding trade flows and borderless economies, they represent a framework — flexible, organic, creative —that makes practical sense. (page 1) Regions that can't craft clear development strategies, distinctive domestically or globally but preferably both, face bleak prospects. The challenge requires having "all hands on deck" —each region's metropolitan chambers of commerce, universities, lead corporations and community foundations, working collaboratively to define and then create the conditions that invite investment and prepare people with the knowledge and skills they need to participate. (page 3) A macro look at organizational charts in regions reveals a warren of small municipal borders to councils and commissions, special purpose authorities, and counties enveloping other jurisdictions. Each has its own policies and perceived limits. It can be a thicket, a maze with no exit in sight. By contrast, the regions whose people and businesses are moving forward effectively are those that see themselves as a whole. And they talk the language of "results." They are serious about data systems to track progress. They are as concerned about outcomes as process — whether it's moving forward a major infrastructure project, developing a selected economic sector, improving workforce readiness, crafting a robust economic strategy. Under this common language, coalitions can be built. Networks of people and organizations can be formed and aligned with goals. Resources get used more effectively. Assignments to get the work done get made and timetables get set. People feel —and are —more accountable to get results. Regions, organized for results, are set to be the critical platform for meeting the formidable challenges of this century, Regions' borders and legal powers may be hazy. But pragmatically, they constitute the "real cities" of an urbanized century, And they represent a logical scale to draw together the most concerned players, from economic strategists to utilities to universities and trade schools, in forging strategies that fit both the economy and the geography. (page 25) L IP12 EiL America's Metro Regions Take Center Stage 8 Reasons Why Regions Refine Federalism: Analysis by the Citistates Group With Reflections from a Pocantico Conference April 2012 America's Metro Regions Take Center Stage: 8 Reasons Why Based on the Citistates Symposium on States and Regions, held October 26 -28, 2011 at the Pocantico Conference Center of the Rockefeller Brothers Fund in Tarrytown, NY. This report was authored by: Neal Peirce, Chairman, with Curits Johnson, President, and Farley Peters, Vice President, The Citistates Group 7008 Gleason Road Minneapolis, MN 55439 -1605 Published in cooperation with: Community Growth Education Foundation 4875 Eisenhower Avenue, Suite 250 Alexandria, VA 22304 This project and report was may possible by support from: Rockefeller Brothers Fund William Penn Foundation Carnegie Corporation of New York With assistance from: Community Growth Education Foundation The opinions expressed herein are those of the authors and do not necessarily reflect the positions or viewpoints of any supporting organizations, their staffs or board of directors. Copyright © 2012 by the Citistates Group. All rights reserved. First edition. Published in the United States of America. Permission to reproduce must be obtained from the Citistates Group by contacting Farley Peters, Business Manager by telephone ( +1 301- 855 -6482) or e-mail. Introduction: America's Regions Take Center Stage ....... ............................... 1 Reason 1: Economics Now Reign .................................... ..............................3 Reason 2: Smart Growth: Regions' New Dollars and Sense .......................... 6 Reason 3: Regions on Their Own ..... ............................... .................... 9 Reason 4: Getting Down to Business ............................... .............................12 Reason 5: But Business Means More Than Business ..... .............................15 Reason 6: States Moving from Paternalism to Partnership ...........................18 Reason 7: A New Federal Role ...................................... ............................... 22 Reason 8: All About Outcomes ....................................... ............................... 25 Symposium Participants ................................................... .............................26 Resources....................... --- ..... -......................... ......................... 27 America's Metro Regions Fake Center Stage Introduction METROPOLITAN REGIONS are the dominant demographic and physical form, the citistates of the 21st century. They're the critical base for the globalized economy. In a world of expanding trade flows and borderless economies, they represent a framework — flexible, organic, creative —that makes practical sense. Some metros are far larger in population than entire states (or even nations). Yet because of their relative compactness, metros —even those with millions of population —offer more opportunities for direct connections, to deal pragmati- cally with shared challenges, than either states or nation states. Face -to -face contact makes it possible for metro economies, universities, transportation, en- vironmental systems to work in tandem. Metros can bring many sectors to the table and forge widely supported agendas. They are are- nas to build relationships and trust — respect, empathy, in- clusiveness--in stark contrast with the divisive partisan- ship and ideologies that easily paralyze decision- making at the level of states and nations. Collectively, metros now represent an overwhelming share (the largest 100 alone are 66 percent) of the United States' population --and even more of its economy. They're home to all but a few corporate headquarters and financial institutions. They're centers of innovation, the site of most of the nation's great universities, the 21st century's hotbeds of innovation and talent building. Without them, the United States would be a pale shadow of its present self. Metros can bring many sectors to the table and forge widely supported agendas. But-- metros are also well described as "messy." Regional problem - solving is usually complicated, difficult, frustrating and full of surprises. Each multi-juris- dictional issue has its own scale and scope, its own "region " -- sometimes the same as, sometimes quite different from regions designated by state govern- ments. Many challenges are made ail the more complex when the physical region actually spreads across state lines. (There are actually 30 such regions in the U.S. today). Regional accords don't always come easily — they're more often the fruit of grit and public interest vision. They're about working through competing interests and values, dealing with disagreements but also searching out new synergies, compatible goals. An essential component: broad - minded regional leadership ---- political, business, university, foundation or other, that can see beyond differences to mutual gain. a cifstotes group report I Pope 1 INTRODUCTION Avibrant federal system is critical to the well -being and progress of the American nation and all its people. But there's a serious disconnect as metropolitan ck tistate regions become the focal point of the nation's population and lead play- ers in its economy. Federal policy is barely catching up with their needs and priorities. And state governments, which hold vast (in fact absolute) legal power over the splintered governance, often support their urban regions even less. Aware of the disparities, the Citistates Group —an infor- mal association of journalists and other professionals concerned about viable 21st century regions— under- took a fresh analysis of the problem, partnering with the Community Growth Education Fund of the American Chamber of Commerce Executives. The initial focus was on state - region relations and the clear lack of regional autonomy. Regional problem- salving is usually complicated, difficult, frustrating and full of surprises. But generous support from the Rockefeller Brothers Fund to hold a conference at its Pocantico estate on the Hudson River provided an opportunity to tap the thinking of a distinguished cross - section of close observers and operational veterans of metropolitan affairs and governance. And the discus- sions, at an October 2011 session, yielded a surprise. The panelists found metro regions on an upward swing —increasingly recognized and influential. The result was less focus on problematic rules and regulations of the state and federal governments (though those issues haven't gone away). Rather, the conferees concentrated on the ways that many regions are starting to assert themselves where it really counts today: as economic forces important not just to themselves, but to the entire nation, and as players on the world stage. The clear conclusion: a more expansive range of more supportive policies, both at the state or federal levels, could yield critically important results for the nation as a whole While this report reflects and builds on many of the ideas raised at the Pocantico sessions --the authors' "take" on many of the themes that were introduced —it's definitely not a formal group report. Several of the attendees did follow up with essays expressing their individual views, which can be seen at the Citistates Group's website (www.citiwire.com). In addition to the Rockefeller Brothers Fund, support for this project was con- tributed by the William Penn Foundation and the Carnegie Corporation. The au- thors are most grateful to all, but hasten to note that the viewpoints expressed do not necessarily reflect those of the foundations or their staffs. a citislates group report I pogo 2 Economics Now Reign s domestic consumerism falters and the United States faces increasingly strong competition on every front from manufacturing to specialized high- er education, smart metropolitan economic clusters become more vital than ever. Regions that can't craft clear development strategies, distinctive do- mestically or globally but preferably both, face bleak prospects. The challenge requires having "all hands on deck " - -each region's metropolitan chambers of commerce, universities, lead corporations and community foundations, working collaboratively to define and then create the conditions that invite investment and prepare people with the knowledge and skills they need to participate. This doesn't mean that the existing issues of metropolitan region's governance, the ties and conflicts among cities, counties, regions and states, have disap- peared. But they're not getting the headlines they once did. Hit by the eco- nomic downturn of recent years, regions across the United States have placed priority, more than ever, on the bottom line -- developing industries, creating jobs, fighting off decline. And in one sense regions should be well positioned because they're more coherent as economic entities than either their entire states or their individual cities or suburbs. Economic competitiveness has emerged as a great unifier for regions, a rallying point for individuals with different political affiliations and groups with different agendas. What's evolving is a set of visions, varied methods, by which regions at various points of development grasp the idea of collaborative economic strategies ---not unlike the mix of strategies and approaches that emerged from the Progressive good government movement a century ago. Collaboration is the key, but leadership remains critical. Seeing the world An increasing number of regions, looking for markets, are focusing more efforts globally and are following the lead of such citistates as New York, Los Angeles, Dallas and Seattle, which early on worked to bolster their international trade position by capitalizing on their seaports and airports. Combined agendas of financing, marketing, and goods distribution are all part of the picture. These regions recognized earlier than most that the entire world is now the operative platform for imagining things, designing new products and services, plus manufacturing, sales and distribution. Today nearly everything can be done from nearly everywhere. For example, even the term "outsourcing" is fast fading; there is no more "out," only sourcing. a 6 istates group report I page 3 REASON I: Economics Now Reign A prime example of this foresight is the 21 -year old Trade Development Alliance of Greater Seattle, a joint effort involving all of the region's counties, major cities, ports and unions coordinated by the Greater Seattle Chamber of Commerce. The rationale was clear in the organization's tag line: "recognition that new local partnerships are necessary to retain our region's future competitiveness in a rapidly changing global economy." In addition to extensive international trade and study tours, the Alliance has a marketing kit in 18 languages, focused on research, manufacturing, environment and global health. Globally connected cor- porations such as Boeing and Microsoft are involved. Former long -time Alliance head Bill Stafford often de- scribed their international visits as a way to introduce his region to the world (and leaders in other major inter- national citistates to the Puget Sound region), building cultural as well as economic understanding and forging relationships. Achieving serious political coherence Anything more ambitious than ordinary logistics de- mands a heightened regional coherence. A prime ex- ample was the effort that went into constructing the Alameda Corridor project, a 20 -mile freight expressway to move goods from the Ports of Los Angeles and Long Beach through the region. The effort involved removing blockages and lawsuits that were threatening the devel- opment of the ports. Regions that Can't craft clear development strategies, distinctive domestically or globally but preferably both, face bleak prospects. Negotiated by the Southern California Association of Governments, the resolu- tion involved painstaking negotiations among a mind - boggling list of regional agencies, big railway corporations, local governments and businesses, tran- sit agencies, and community groups. Benefits ranged from expedited traffic to public health (reduction of noxious emissions), while undergirding Los Angeles' competitive position to handle trade shipments pouring in from Asia and Latin America. A brand new organization was formed to make the deal succeed —the Alameda Corridor Authority. A federal loan accelerated the development of the project, but the leadership came from within. But will the trade focus of the U.S., the Alameda Corridors of the future, help the country turn around its high trade deficit, creating goods and services with the quality, the inventiveness, and the price points to compete more robustly on an international scale? And to compete even when many foreign governments un- abashedly subsidize individual firms and technologies, and invest in ambitious infrastructure (high -speed rail, for example) in ways that the U.S. political cul- ture resists? The answer may lie less in Washington or state capitals (though their help is needed) than in the ingenuity and cohesion of America's metros. a dtis!rates group report I page 4 REASON 1: Economics Now Reign That ingenuity must include a heavy dose of transformation -level thinking, while hewing to the central challenge to create the conditions that prepare people, preserve the environment, and foster investment both private and public. It means gearing up angel and venture capital. It means a struggle for environ- mental quality, clean air and water, and quality of place. It means building a qualified workforce, with strong regional support for higher learning --a base of strong community colleges but also universities with research laboratories that can create new, improved, and potentially marketable technologies. Looking forward it may involve frontiers regional orga- nizations have rarely if ever addressed. One notable example would be K -12 educational quality --a serious commitment to apply American -style ingenuity and inno- vation to the chronic challenges in inner cities and strug- gling suburbs that have the lowest tax base availability yet highest preponderance of behind -grade students. a cihs�a4es group report I page 5 Economic competitiveness has emerged as a great unifier for regions. Smart Growth: Regions' New Dollars and Sense tom an issue first clothed in environmentalism, pushed by reform- minded planners from the early 1990s forward, the idea of more strategic and con- serving development — "smart growth " ---has evolved dramatically. Today it is a clear economic priority for regions. The history is familiar. Starting immediately after World War 11, the United States went on a decades -long growth tear. Each year vast amounts of previ- ously open space and farmland yielded to development. The Sunbelt exploded with growth. Even older Northeast and Midwest regions with static or declining populations expanded dramatically in the size of their physical footprint. The accelerators were homebuilders and office real estate interests, national chain stores, corporate office parks and road builders, and Wall Street funding that was limited to a narrow set of standard development forms. Decline of center cities and racial divisions were largely assumed to be among the prices to pay for the American way. Then, in the early 1990s, New Urbanists and other advocates began to lay the groundwork for what, in time, would be called America's smart growth movement. And from the start, the reformers' values of more compact and less sprawling communities, of the quality of the physical and built environment, of land conservation --were clearly regional in scope. Over time advocates in- creasingly claimed the gain for cities and regions that could advertise high quality of life, focused on lively town centers and quality neighborhoods, as a powerful tool for cities and regions to attract and hold a talented workforce. Advocates began to add issues of equity ---a focus on shared opportunity and diversity. And the issue of climate change emerged, underscoring the dangers to the planet in wasteful expansion, as well as the huge economic savings available to individuals, businesses and governments through more conserva- tionist, low - energy demand practices. Then came the dramatic jolt to the old order when gasoline prices suddenly escalated north of $4 a gallon — followed in 2008 by the heavy blow of the Great Recession, triggering the loss of millions of jobs and home foreclosures soaring, especially in fringe suburbs. And it was crystal clear: our economy, our communities were in for radical change. a citistates group report I purge 6 REASON 2: Smart Growth Transformed: Regions' New Dollars and Sense Today the smart growth case for economically efficient, compact, pedestrian - friendly, "green" communities, for restraining new land use, for less auto and more public transit use, has become the most economically feasible scenario for development of the cities and regions that are home to a vast majority of the U.S. population in an ever -more metropolitan nation. he idea of conserving natural resources had become joined with the idea of conserving public resources. Indeed, in the new economics of land development, sprawl looks like financial disaster, both for developers and buyers. No level of government can afford further extension of the road system, or its long -term upkeep. Houses at the edge of metros have cratered in value, marooning many who thought that the "drive until you qualify" rule was a safe standard. While the majority of buyers still select a house outside the central cities, more and more they're picking a place that is a real community, with sidewalks and connections and urban amenities. Smart suburbs, especially those close in, have awak- ened to this movement and are fast adapting. That doesn't mean political leaders necessarily recognize the sprawl -high cost connection. Or that non -urban areas won't continue, where they can, spread development. In the new economics of land development, sprawl looks like financial disaster, both for developers and buyers. A case in point: opposition to the "Plan Maryland" land use proposal put forth by Maryland Governor Martin O'Malley. From 11 percent in 1973, developed land has advanced to 27 percent of Maryland's land area. State planners have projected that 400,000 acres of land currently in agricultural or forest use will likely be lost to development in the next 20 years. Gov. O'Malley is seeking to prevent much of that expansion by denying state funds to rural areas that fail to channel most development into established towns. Supporters say the plan will deter harmful runoff into the Chesapeake Bay and save some millions yearly in state subsidies to counties for new schools, sewers and roadway construction. Rural counties and Republican lawmakers have declared the effort —which is based on executive order rather than legislation —a virtual war on rural Marylanders' property rights. While much is changing on the land -use, regional transportation and energy fronts, the shift is largely driven by market realities and consumer decisions. Lagging far behind are any discernible systems to achieve some semblance of regional coherence in policy and investments. Federal analysis, for example, shows that more than half of the average U.S. homeowner's income goes for housing and transportation, ample reason to embrace growth strategies that at least reduce commuting distances and costs. But translating that finding into actual regional policy making is-- politically — °a stretch." a citistates group report I page 7 REASON 2: Smart Growth Transformed: Regrows' New Dollars and Sense The nation also has a regional infrastructure of Metropolitan Planning Organizations (MPOs). Can they, will they pick up this challenge and pursue an aggressive regional agenda? (see box, page 000) Will the national government do anything to give MPOs a new form, with new incentives? Looking at that prospect in 2012, skepticism is the smart mood. If regions are to organize to achieve a coherent policy on how land is used, where develop- ment occurs and what kind of development it is —not to mention how people and goods will move around in the region —they will have to commit acts of policy and financial audacity and do it on their own. But they'll have one asset denied them for the half century following World War II: a compelling case that environmental conservation and more compact growth, represents the best economic path forward as well. o citistwe:s grgrip report I page 8 Regions on Their Own owever contradictory it may sound, in today's politics of regions, no one's in charge and everyone is responsible. No longer able to look to the federal government for much assistance, leaders in regions now have to design their own new models for fending off trouble and addressing their chal- lenges. Inside the regional boundary, the fiery partisan debates that spark na- tional headlines and blogs each day matter very little. The metropolitan regions in the United States are entering, however cautiously, a critical intersection. Some will figure out a formula to coalesce around common interests and find a way to thrive in the new realities. Others will not, and will see their economic prospects wither. First steps are obvious: wake up and see how much has changed. Public budgets — federal, state and local --are seriously constrained. The performance of the nation's education system now lags that of international com- petitors. The state of the nation's basic infrastructure is slip - sliding toward third -world conditions. Individuals and families living in poverty now reside more outside cen- tral cities than within. And other nations around the world are catching up, pushing hard and fast to be competitive places. In today's politics of regions, no one's in charge and everyone is responsible. All that said, there's a case to be made that America has a bright future. It still has immense resources and a pop- ulation culturally conditioned to rise to challenges. But in each metropolitan region, where most Americans live and work, the nation has decided by default to make these challenges local. And that means regional, because no city in a metropolitan region can do what needs to be done all by itself. This explains the emergence of new governance arrangements. Over the past decade mayors have been organizing themselves into coalitions ---- notably in Chicago, Denver, Philadelphia, and Minneapolis Saint Paul. These arrange- ments are not official but they are quite serious; where they've emerged they are platforms where elected officials voluntarily confess that there are prob- lems and opportunities that surpass their city's capacity, that they need help from around the region to be successful. It is notable to see how much these informal governance arrangements not only have an impact on regional policy, but reduce the likelihood of intrare- gional "friendly fire" negating the economic prospects of participating cities. Reason 3 continues on page 11. See sidebar on page 10, a citistates group report I page 9 REASON 3. Regions On Their Own The Denver and Atlanta Stories East or West ---- compelling ideas can crash through political walls Whether it's a heritage of a more ambitious cultural DNA or the work of the gods of serendipity, some regions seem exceptionally willing to step out first, take a risk, and con- front a major problem head -on. Examples from Denver and Atlanta help to tell the story In 2004, Denver region voters decided, 57 percent to 42 percent, to back FasTracks —a $4.7 billion initiative to build some 122 miles of light rail and commuter rail, plus another 18 miles of bus rapid transit. It would be an ou- thentically regional system reaching out as for as Boulder and the Denver airport, Gov. Bill C>wens, conservative think tanks, and auto dealers opposed FasTracks. But they were rolled over by a previously unthinkable alliance of then -Mar orJohn Hickenlooper of Denver, supported by 30 of his fel- low mayors across the region --plus environmentalists, real estate development organizations, and the Greater Denver Chamber of Commerce. (A light rail proposal four years earlier, locking the broad base of support, had failed). Fifty-one of the 57 stations originally envisioned along Denver's FasTracks lines were expected to pose major op- portunities for transit - oriented development (TODsj —com- pact new, transiFserved communities in which people can jive, work, dine or shop in urban settings with significantly reduced auto needs. Citing the FasTracks experience, Hickenlooper, now Colorado's governor, notes: Regionwide "collaboration is like a muscle: the more you use it, the stronger it gets," Among regions today, he said in 2011, "collaboration is the new competition." Another example: Atlanta. Expanding at dizzying speed in recent decades (though now in early 2012 leading the nation in declining housing values), metropolitan Atlanta found itself over a decade ago convulsed by world -doss traffic congestion, its existing road and anemic public trons- portation systems increasingly inadequate, The situation threatened to trigger some corporate defections and repre- sented a red flog for potential new employers. Alarmed, the Metro Atlanta Chamber of Commerce began a multi -year campaign to persuade the Georgia legislature to let Atlanta the counties of the Atlanta region hold a referendum on a one -cent sales tax increase to pay for roadway and transit improvements. Yet, even though the extra penny sales tax would be paid only by Atlanta region residents, resistance in the legisla- ture proved difficult to overcome, reflecting a state history of deep rural and small town antipathy to the capital city. (Notionally state governments provide about 15 percent of their cities' operating budgets, but for Georgia cities the fig- ure is just 5 percent. And for Atlanta it's 2 percent.) Among many sticking points, one was who would decide on the ex- penditures if a referendum succeeded. Atlanta's leadership was not willing to let Georgia's historically powerful state Department of Transportation make the decisions. Yet, over time the Chamber and its allies gained support, partly by letting it be known that candidates for state office who didn't support the measure might see their campaign contributions from Atlanta-area donors imperiled. But prospects remained uncertain until Gov. Sonny Pardue, a conservative Republican, stepped into the debate in early 2010. His proposal was simple, and radical: let the proposal to go forward, with its possible 1 cent sales tax for transportation. But authorize the process not just for metro Atlanta, but for all 12 Georgia regions. Incorporating that compromise, the bill passed in 2010. The 12 districts were defined as be those of existing region- al commissions. Each region was to be required to hold a "roundtable" including mayors and county representatives, with an executive committee including area legislators. The roundtable would produce an investment list of transporta- tion projects – highways, rail or public transit – coordinated across jurisdictional boundaries. The Georgia Department of Transportation would offer advice on projects' feasibility. The fist of projects would require voter approval, district by district (starting with initial votes in. 2012). The fox, if ap- proved, would be imposed for 10 years, with the regionol commissions' continuing oversight of approved projects. (legislative maneuvering in the Georgia legislature's 2011 session threatened to derail the process, although the con- cept of district -by- district voter decision on major public in- vestment, a potential boon for major metro areas, had been brought into public dialogue -- and offered a model for other states to consider.) a 6tistote5 group report j page 10 Reason 3 continues on page 11. REASON 3: Regions On Their Own Reason 3 con inued fivnr page 9. Like many American phenomena that had origins in the creative juices of the Silicon Valley, this tendency to voluntarily get organized as a region was pio- neered by Joint Venture Silicon Valley, a network of political, business, civic, and academic leaders that formed in the early '90s to help assure the contin- ued competitiveness of the region. An early achievement, however modest, was on a core issue of metropolitan efficiency: a "Smart Permit" exercise of getting 25 local cities together, agreeing to a streamlin- ing of their building codes, and making the codes stan- dard across the region. Another is the yearly publication of a Silicon Valley Index that tracks the Valley's progress and challenges based on tough analysis, realistic num- bers, released and discussed before an audience of more than 1,000 local stakeholders. Often regions gain coherence by focusing on difficult challenges. One example of long standing is the Oregon Business Council an organization of CEOs focused on a relevant civic agenda. In St. Louis, the Regional Commerce and Growth Association was able to catalyze a long string of significant regional initiatives. Denver and Atlanta made breakthroughs with civic environmentalists, Regions that organize, assemble broad support coalitions, can break through historic resistance and register advances, chambers of commerce and committed local govern- ments. (For a description of the Deaver and Atlanta regions' campaigns, see box on "Landmark Regional Breakthroughs, p. 10) The bottom line is clear: Regions that organize, assemble broad support co- alitions, can break through historic resistance and register advances. Even smaller regions, utilizing today's advanced information technology, now have the means to develop sophisticated development plans. It's a matter of will, in- telligence, strategy ---and building strong coalitions, a "networked governance" model for the times. o citistates group reparl I page 11 Getting Down to Business conomics, wealth, productivity. How do regions leverage their skills and resources? How do they position themselves to get into the World Series of job competition? "Business plans" and "cities" or "regions" are terms not normally seen in the same sentence. Almost always, when there is regional agreement on anything, it results from political compromise, some deal made that trades off benefits and risks. Rarely is there an actual underlying strategy, agreed to by the cities in the region, used as a roadmap for leaders to do their work. But this may be changing. The Brookings Institution is a key change agent on this agenda. By sponsoring the development of what they called `business plans' in selected regional markets, Brookings has pushed a change in the way the challenge is framed. Regional business plans were initially developed, from Brookings support, in three test markets- Seattle, Minneapolis - Saint Paul, and Northeast Ohio. So in this region new models have emerged. One is the sentence. Itasca Project, a coalition of some 50 CEOs who are fo- cused on the regional civic agenda. With Brookings' guid- ance, the Minnesota chapter of the Urban Land Institute (ULI) produced a business plan in 2011 that focused on how to leverage the advantages of the existing economic clusters of the region. This is an area that for decades took a regional approach to a wide range of challenges —from better treatment of wastewater to transit to land use planning. But these efforts rarely connected to how the regional economy was performing, and were never rooted in any- thing resembling formalized strategy. With the support of Brookings and ULI, a rather sophisticated strategy -- called a "business plan," was articulated and publicly embraced. For the first time, otherwise competing mayors and county commissioners of a 14- county, 187 -city region agreed to underwrite one economic development office: the Greater MSP. Even five years ago, no one in the region would have predicted that there could be this degree of coalescence. 0 citistates group report I page 12 "Business plans' Minneapolis -Saint Paul is a useful example. It's a region that still has the nation's largest number (now at 20) of and "cities" or "regions" Fortune 500 headquarters per capita. That number used to be much higher, before mergers and acquisitions took are terms not normally their toll. Still, what American region would not envy this in the base of large enterprises? seen same So in this region new models have emerged. One is the sentence. Itasca Project, a coalition of some 50 CEOs who are fo- cused on the regional civic agenda. With Brookings' guid- ance, the Minnesota chapter of the Urban Land Institute (ULI) produced a business plan in 2011 that focused on how to leverage the advantages of the existing economic clusters of the region. This is an area that for decades took a regional approach to a wide range of challenges —from better treatment of wastewater to transit to land use planning. But these efforts rarely connected to how the regional economy was performing, and were never rooted in any- thing resembling formalized strategy. With the support of Brookings and ULI, a rather sophisticated strategy -- called a "business plan," was articulated and publicly embraced. For the first time, otherwise competing mayors and county commissioners of a 14- county, 187 -city region agreed to underwrite one economic development office: the Greater MSP. Even five years ago, no one in the region would have predicted that there could be this degree of coalescence. 0 citistates group report I page 12 REASON 4: Getting Down to Business But regions are on their own in this regard, and they need to get organized for the challenge. Meanwhile, the need is immense, says Bruce Katz, director of the Brookings Institution's Metropolitan Policy Program, a lead advocate of the concept. To survive in the new global economy, he suggests, each metro needs to mobilize its array of wealth, human talent, and special assets --to be "purposeful, deliberate, collaborative, pragmatic." Another regional business planning effort has been underway in Northeast Ohio —the region of Cleveland and its sister cities of Akron and Youngstown, erstwhile continental champions in steel, rubber, chemicals, and auto assembly that were thrown onto the economic ropes by the decline of U.S. manufactur- ing in recent decades. Here, a strong initiative has been advanced by, among other actors, the "Fund for Our Economic Future," a consortium of more than 50 regional foundations with an unprecedented collection of the area's local government, business, civic, and academic leaders. Aimed at boosting the pro- ductivity of the region's 1,600 small to mid -sized manufacturing firms, the new initiative is working firm by firm with a select group of the region's small- and medium -sized enterprises to help transition more of them into higher - value, growing lines of production. Regional business plans start to proliferate Through firm -by -firm consulting, the new strategy focuses on areas of growth opportunity such as manufacture of wind turbine parts. But more generally, to tap the collaboration's new business planning, marketing insights and analysis, capitalizing on ties to the region's university labs and lending institutions. The idea, as one supporter puts it, is to spark creativity and growth by such innova- tions as taking "a Rolls Royce facility in fuel cells in North Canton, hooking up with Case Western Reserve University in Cleveland, with polymer technology in Akron, and materials and metal strength in Youngstown." And for the Seattle -Puget Sound region — Seattle, Tacoma, Bellevue and their neighbors —a new energy efficiency applications testing center and network has been developed with the goal of turning the region's enviable cluster of building - control software and energy efficiency firms into a major global ex- porter. The idea is to seize on the massive export opportunity implicit in the growing national and global market for the latest technologies and services to boost the energy efficiency of buildings. Similarly, the Central Indiana Corporate Partnership, which includes higher education leaders as well as business leaders, has developed a blueprint for economic progress over recent years. It is focused on key clusters of advanced manufacturing, the life sciences, distribution logistics, and information technol- ogy, with a strong emphasis on entrepreneurship and economic diversity. a dksta*s group report I page 13 REASON 4: Getting Down to Business On a parallel track, the Climate Prosperity Project has worked with four re- gions— Denver, St. Louis, Portland and Silicon Valley —to help corporations (as well as local governments, universities and other groups) create "greenprints" to help them save money and increase their efficiency and competitiveness, A broad array of related strategies —led by green building standards, renewable energy, efficient water use and reuse, alternative fuel vehicles —are employed. In St. Louis, nearly 70 firms responded to the St. Louis Green Business Challenge inspired and coordinated by the St. Louis Regional Commerce and Growth Association. Sports teams, corporations and NGOs showcased their advances in technology, energy efficiency, and waste reduction, in effect challenging each other to show progress. Corporations promised to make sig- nificant energy use reductions, partly through the creation of internal "green teams." Nearly two- thirds of the firms adopted a green purchasing policy and more than half pledged to reduce waste by 25 percent. 0 citistotes group reporl I page 14 But Business Means More Than Business uccessful and resilient regions "get it that economic success involves more than smart companies. Critical factors: Equity- Anew premium is on regions that are open and friendly to all classes and races, combined with fair, shared access to opportunity. Research by Manuel Pastor and Chris Benner shows that more equitable cities grow faster — whether the breakdown is by race, by income or center city poverty contrasted to levels of poverty in suburbs. This relation between equity and growth also seems to be stronger in slow - growing or declining regions than in fast growing ones, which suggests that a focus on equity is not simply a luxury limited to more prosperous regions but perhaps a critical component to jump - starting growth in down economies. One regional route to equity is building and rebuilding Infrastructure should connect Public infrastructure in a way that connects workers to jobs, increases business efficiency, and revitalizes dis- workers to jobs, tressed neighborhoods. An example: community work- force agreements that let Los Angeles public works, increase business efficiency, schools and community college districts create more revitalize distressed than 30,000 jobs for low - income neighborhood residents in building and rebuilding city schools, community col- neighborhoods. leges, and other infrastructure. In the Minneapolis Saint Paul region, a $1 billion light rail project includes three stations in especially poor neigh- borhoods, linking residents to job opportunities and en- livening prospects for businesses of color. The Kansas City region, acting through its Mid - America Regional Council, took funding from the 2009 federal stimulus fund package and focused it on a newly dubbed "Green Impact Zone," a 150 -block area of the inner city long plagued by pover- ty, violence, abandonment and joblessness. The goal: nothing less than turning around every negative indicator in an area that's long been a glaring exception to the Kansas City region's general prosperity —notwithstanding its proximity to major roads and a major health sciences cluster. Top agenda items ran from weatherizing every home that needs it to a bus rapid transit system, community policing, and a home -by -home outreach effort that included job training and placement. 0 citistntes group report I page 15 REASON S: But Business Means More Than Business Long -term collaborative regional alliances —efforts to share understanding of issues among diverse constituencies— appear to yield significant benefits, ac- cording to the Banner and Pastor research. In Jacksonville, Florida, for example, a highly effective and long- lasting community council has been working since the early 1970s, creating collaborative community processes to determine pub- lic policy responses to the region's social and economic challenges, and help- ing to weave together a shared sense of regional destiny. In Nashville, it's a business - catalyzed leadership devel- opment program that has been working since the early 1970s to develop cross - constituency civic leadership with deliberate efforts to bring growth and equity perspectives together in long -range collaborative learning processes. Such initiatives seem to suggest it's not just what you know, but who you know it with that makes a difference. In our contemporary world of segmented television news markets, filtered social media networks, and seemingly intractable political conflicts between the major political parties, more efforts to rebuild our collaborative civic infra- structure at this regional scale seem especially important. Quality of place Air and water quality are key to competitiveness In today's economy, dull development patterns —from tired streetscapes to road- ways of cookie - cutter franchises --rare serious downers, especially in employee recruitment. The premium, instead, is on livability: attractive open spaces, in- viting streets, well -kept parks, enticing cultural and entertainment facilities. All are increasingly seen as keys to retaining high talent and to drawing footloose young professionals to settle in, seek employment, start enterprises in a region. Air and water quality are key to competitiveness as well. Regions leading on lowered greenhouse gas emissions —for example New York, Seattle and Chicago —are also positioning themselves for more secure futures. Chattanooga, dubbed America's most "heavily polluted" city in 1969 by the U.S. Department of Health, Education and Welfare, provides a prime example of en- vironmental resilience leading to economic transformation. Through the work of both public and private sectors, the Chattanooga region implemented voluntary emission reduction measures to meet all EPA targets before 2008. Civic action led to handsome development of the city's Tennessee River waterfront. Billions of dollars of investment flowed to the region, both in tourism and through such victories as landing Volkswagen AG's first U.S. manufacturing facility. a citistotes group report I page 16 REASON 5: But Business Means More Than Business Infrastructure Most American regions have serious infrastructure deficiencies, ranging from decayed roads and parks to waterfronts, plus antiquated water supply and dis- charge systems. But efforts to fix and upgrade are not only tickets against future decay and emergencies: they signal a region on the top of its game, reliable and a good target for investments. Imagine a New York City that hadn't cleaned up its sub- ways, a Washington, D.C., without its Metro, or a Portland without its quality network of light rail and streetcars. Timelv. smart investment Timely, smart investment does matter. saes matter. o cat €stotos group report I page 17 States Moving from Paternalism to Partnership he history of state recognition and empowerment of metro regions is me- diocre at best. But there are encouraging recent signs related directly to metropolitan economic development —a new model to work on. A shift is long overdue. Constitutionally, state governments hold all the legal cards; in fact many of their constitutions don't recognize the existence of cities, much less metro areas. Rationally, 21st century state governments would prize metro regions as immense economic assets, the "cash cows" that fill state cof- fers and subsidize rural areas. They'd be well- advised, like smart corporations dealing with subsidiaries, to give regions autonomy and demand performance. Instead, the states have routinely left metro regions frag- mented into thousands of local units -- cities, townships, villages, boroughs (a 50 state total of roughly 39,000). Some states allow inter -local agreements, but few en- courage them. luny state constitutions State governments have often defined major sub-state or1't recognize the regions, but rarely granted them much autonomy. There have been exceptions. Minnesota and Oregon autho- existence of cities rized the creation, respectively, of the Metropolitan , Council of the Twin Cities area and the Metro Portland much lass metro areas, regional government. Indiana allowed the creation of °Unigov" for the Indianapolis region. Jackson, Nashville and Louisville have all achieved, with state consent, a degree of metro -wide governance. State governments, through interstate agreement in 1921, formed the Port Authority of New York and New Jersey, the agency that builds and operates the critical bridges, tunnels, and airports of the New York City region. Interstate agreement in the Washington, D.C., region formed the Washington Metropolitan Transit Authority, the agency that runs regional bus lines and the area's Metro rail system, second in size only to New York City's. But such actions, compared to the hundreds of major metros in the U.S., remain the exceptions, not the rule. Just one example: the Charlotte region, which cov- ers 14 counties in two states. Although there have been examples of regional cooperation —mare than can be said for many other metros —the region is fragmented among a half -dozen regional transportation planning agencies and three regional councils of government. That lack of structural cohesion almost guarantees splintered and incoherent government decision- making. There's an a citistates group report I page 18 REASON 6: States Moving from Paternalism to Partnership active and assertive Charlotte Chamber and a truly regional body of business leaders in the Charlotte Regional Partnership. But no one asks them to weigh in on regional quality -of -life issues, and there are few connecting points between business and governmental organizations. That no consensus has been built, no plan designed for the entire regions land use or transportation, comes as no surprise. Meanwhile, growth, staggered but not stopped by the 2008 financial meltdown, continues. In the words of Lavea Brachman, executive director of the Greater Ohio Policy Center: "State laws, regulations and policies establish the rules for what cities can and cannot do and set the stage for how and where devel- opment occurs." And all too often, they've "stacked the Sometimes states deck against central cities" by "perpetuating fragmented local governance, encouraging cities to compete with cit- simply quasi t, I valuable ies for business and economic development "—in effect initiatives ��bUbbllCi �� "incentivizing greenfield development over the reuse of 111aVaS g U urban sites." from their cities A 2012 report from the American Assembly, "Rebuilding and regions. America's Legacy Cities," suggests a turnaround: to give center cities, especially areas around the economic anchors of universities and medical complexes, strong preference in state funding for transportation, sewer and water facilities. The report also recommends making lo- cal city - suburb government mergers much easier, and encouraging regional revolving loan funds for infrastructure and development projects. Sometimes states simply quash valuable initiatives "bubbling up" from their cities and regions. A prime example: the refusal of the New York State govern- ment, in 2008, to permit implementation of a New York City - designed system of congestion pricing to follow London, Singapore and Stockholm examples through fees imposed on vehicles in downtown streets during business hours. The intent was to relieve some of the excruciatingly slow city traffic, estimated to cost 50,000 jobs and $13 billion in lost annual productivity, not to mention the unbooked cost of damage to air quality. The revenue from the fees was to upgrade the city's clogged massive pub- lic transit system. The effort was a key part of PIaNYC, the city's advanced sustainability program for the 21st century. But the proposal required State Legislature approval and slammed into a wall of opposition from suburban and outer borough residents driving into the city —and was compounded by Albany politics. Result: America's lead city, a top global competitor, was denied the right to make a basic decision to enhance its environment, economy, and qual- ity of life. a dtistaies group teporl I page 19 REASON 6: States Moving from Paternalism to Partnership But there's no question that today's national and global economic challenges set the stage for a shift in state government policies from indifference and op- position to leadership. Better and more economical performance by local gov- ernments is becoming a pressing state need. Smart states would take action to incentivize, spell out legal and acceptable ways, for regional groups of local governments to merge (or closely collaborate) services ranging from public safety to accounting, waste disposal to economic devel- opment. And to simplify, to rationalize local government procurement rules in the process. New information technologies, enabling networking, co- ordinated operations and heightened efficiencies, could be brought applied, along with more robust and relevant data systems. Often today's 20- and 30- somethings are asking: Why aren't we using up -to -date information technology to pinpoint concentrations of jobs, of poverty, across entire regions, and then build corrective strate- gies around them? Why aren't we using up -to -date information technology to pinpoint concentrations of jobs, of poverty, across entire regions, and then A first dramatic recognition of the policy performance potential of regions was provided by California when it build corrective strategies decided, some years ago, to allocate the lion's share of around them? its federal transportation funding directly to its regions (MPOs) rather than leaving the funding decisions to the discretion of the state Department of Transportation. Then, in 2008, a landmark California measure (SB 375) tied state transportation money to regional smart growth plans to cut back on vehicle emissions, requiring that regions toward infill locations and transit - oriented development projects. direct dollars States can also provide direct service as regional coordinators. In Maryland, for example, the state Department of Transportation is providing strong support — supplementing efforts of the Greater Baltimore Committee and local council of governments —to construct a four - county regional transit system linking such facilities as the Baltimore- Washington International Airport, the Johns Hopkins Hospital complex, and upper regions of suburban Baltimore County. The state is also the lead force and official applicant for federal funding for a proposed Washington area Metro line to connect Montgomery and Prince Georges County. The Colorado initiative, devised under Gov. John Hickenlooper in 2011, en- gaged citizen - business groups in all the state's counties, then focused in 14 regions covering the state, in a "bottom -up" (rather than the familiar "top- down ") process to design a statewide economic growth plan. Industry clusters, align- ment of local and regional infrastructure, and paths to engaging industries were all included. a cit sta!es group report I page 20 REASON 6: States Moving from Paternalism to Partnership In New York, Gov. Andrew Cuomo designated 10 regional economic devel- opment councils covering the state. Each was co- chaired by a business and academic community person. This was a deliberate break with what Cuomo called the "one-size-fits-all" approach of the past. The regions, in a competitive process to win a larger share of a $200 million pool of funds, were encouraged to identify and develop their own unique strengths to foster growth. Each was asked to work with a diverse mix of regional leaders from major local industries, small businesses, higher educa- tion, community organizations, and labor. And Cuomo frankly told regions such as Western New York, anchored by Buffalo, that it was time for them to lay aside internal rivalries and "parochialism" to produce their unified eco- States from nomic development plans. To significant degree, Cuomo's message clearly caught on. The region surrounding Albany was not a winner of the top funds. But Shirley Ann Jackson, president of Rensselaer Polytechnic Institute and a local co- chair, said "This is a tremendous start in our effort to nurture a Capital Region economic ecosystem that is locally collab- orative, globally competitive, and economically vibrant... a process that has brought focus to the extraordinary as- sets, resources and potential in the region." Likewise, in Tennessee, Gov, Bill Haslam created a "Jobs4TN" plan aiming to unleash entrepreneurial emerges and align state resources to support regional initiatives. Part of the plan was to establish regional "jobs base camps" to support coordination and fund a regional in each. New York io Colorado have taken steps to make regions responsible and important partners in their overall economic strategies. business accelerator And most recently, recession - blasted Nevada embraced "bottom up" strategies in a new state plan for economic development that positions the state as a catalyst —and supporter - -of regional initiatives. The significance of the Colorado, New York, Tennessee and Nevada initiatives: State leaders of diverse political stripe are starting to recognize that their econ- omies need to be built from the base of effective regional economies. It's fresh and overdue insight in many states where politics has often forced investment in the economy of rural areas which have far fewer supporting resources. a dl spates grovp report I page 21 A New Federal Role s regions across the nation work to invent their own agendas for sus- tainable growth and economic competitiveness, is there a rationale for strong federal assistance? The answer would seem to be "yes." The federal government has a direct interest in creating a competitive economy, which in turn requires strong infrastructure systems, reduced social disparities, a well- educated populace. And there's no question that federal investments in a broad array of areas, among them economic growth, air quality, public health, agriculture, education, workforce development and housing, will be stronger and more effective, if they are aligned with the investments made in localities and regions. Strong new interest in a federal role in regions was inau- gurated by the Obama administration in its Partnership for Sustainable Communities. Encouraged and endorsed by the White House Domestic Policy Council, the three official players were Housing and Urban Development (HUD), the Department of Transportation (DOT) and the Environmental Protection Agency (EPA). Key personnel from the three agencies began to meet not just occasion- ally but every week to mesh their policies and approach - es—a virtually unprecedented interdepartmental partner- ship. Strong new interest in a federal role in regions was inaugurated by the Obama administration in its Partnership for Two major funding initiatives emerged. One was the Sustainable Communities Sustainable Communities program, a HUD award pro- gram challenging local areas to overcome the "silo" im- pact of isolated policies in such areas as land use, trans- ......... . ... portation, workforce and economic development, and infrastructure investments. The program mandated noth- ing but did challenge regional communities to show they could merge programs and agendas for cumulatively higher quality results, taking risks that would be difficult without federal support and working toward more sustainable futures. Local governments engaged with chambers of commerce and economic de- velopment corporations in the applications. Two competitive rounds were held before Congress (in a mid -2011 economy move) cut off future funding. The last round, with $96 million available for awards, prompted eight times as many ap- plicants as awardees. Reason 7 continues on page 24. See sidebar on page 23. a citistates group report I page 22 REASON 7: A New Federal Role MPOs—Awakening the 'Sleeping Giants' Can Washington's top regional program be improved? Beyond the perimeter of policy pundits and government insiders, few would even recognize what MPOs mean. A question about them would surely sink a Jeopardy contestant on television. But for decades, Metropolitan Planning Organizations (MPOs) hove. represented a significant mechanism to receive and make decisions on federal Highway Trust Fund monies flowing to their regions. Their decisions have major impact on what happens in regions. Since MPOs are already positioned for impact, why not make their mission explicitly comprehensive? Why not make them responsible for how transportation and land use connect? And why not use transit to expand choices in travel and create incentives for higWensity land uses? In setting up the system in 1973, Ike congressional intent was to hove the individual regions' MPOs, including "principal local elected officials," create three -to -five year transportation improvement plans (TIPS) for both roads and public transit. In the early years the intent was subverted by state highway departments unwilling to cede power to the regions. Exceptions were the regions of Portland and Minneapolis Saint Paul, both forming strong regional government organizations with clear (and use powers. That status quo held until 1993, when progressive planners, mass transit advocates, historic preservation supporters, rails -to- trails advocates and others mobilized a new national lobby - the Surface Transportation Policy Project. Its goal, to lobby for federal policy supporting state and local transportation broody, not just auto and truck traffic, and to make the environment {including the recently- passed Clean Air Act) an integral part of transportation funding, New York's Sen. Daniel Patrick Moynihan championed their cause and was instrumental in writing and passing the new "ISTEA "— Intermodal Surface Transportation Efficiency Act of 1991. Doubling the prior MPO funding, the law required the agencies to consider such alternatives to new highways as repair of decaying roads, installation of new rail fines or bus ways, measures to reduce air pollution, and alterations to make it easier and safer to bicycle or walk. But ISTEA (and successor federal transportation bills) have failed to match the vision the sponsors had in mind. Citistates Associate Bill Hudnut, the former long -time mayor of the Indianapolis, suggests that the MPOs be called "sleeping giants." The reason, in his words; "They can propose, but not dispose, can veto federally funded projects allocated under state plans, but not rewrite them. So they have few if any teeth." . Those few teeth, however, take a big bite on regional policy.as they reinforce the fragmentation of investment in transportation infrastructure. Today more than 381 MPOs operate under varying structures and differing degrees of clout and planning outhority. Staff capacity and expertise vary widely, as does typical MPO interest in truly planning for all transportation modes Jos opposed to divvying up road -building money). And despite legislative language to the contrary, many are not truly regional. Several regions have multiple MPOs. In no way can any one of them represent the full regional interest. It's a problem that Congress could Jbut hasn't) fixed by requiring that their borders to conform to those of the federal government's defined Standard Metropolitan Statistical Areas (SMSAs). In an ideal world, regional councils of government would be the lead conveners and policy leaders in their areas. The councils in fact were the one -stop locotion to review federal grants under the so- called A -95 review process from 1969 until 1982. But President Ronald Reagan discontinued the process by executive order. As a result, MPOs today are often "the any game in town," even if many if not most ore faulted for failing to play a stronger leadership role. MPOs also represent a significant amount of sunk copital —and regional knowledge --that would be sorely missed if they disappeared. Current congressional proposals to withdraw funding for almost two - thirds of MPOs would remove the last regional body of significance in high numbers of metro regions ---a very serious loss. Conversely, MPOs encouraged or required by jaw to expand their vision might play a significant role in pushing for elements of higher density development, morewalkable neighborhoods, expanded transit, farmland preservation, and other carbon-emission-reducing policies. Some critics also suggest they change their composition to require proportional voting by members (rather than one -vote- a- government, regardless of population), It's also been suggested they be popularly elected. a citistotes corctp report I page 23 Reason 7 continues on page 24. REASON 7: A New Federal Role Reason 7 continued from page 22. Meanwhile, the DOT managed a series of highly competitive "TIGER" grants for local transportation projects. A significant number were regional grants, de- signed both for sustainability and high economic impact. They represented a form of federal transportation assistance dramatically different from the essen- tially formulaic nature of monies flowing to regions for allocation by MPOs (see box, p. 23.) The interesting economic rationale that lay behind the HUD and DOT efforts was research showing that the av- erage American family is obliged to spend some 52 cents of every dollar just for housing and transportation, short - shrifting every other need such as food, and clothing, and education. The Sustainable Communities programs were Since MPOs said to be a way to push the figure down by helping work- ers and families gain easier, more affordable access to are already positioned jobs and schools. A clear regional approach was cited: impact, W17 not to help communities pivot away from yesterday's prefer- ence for larger homes at lower prices but at farther dis- make their mission tances. Instead the embrace was of such development strategies as housing closer to work centers, homes explicitly comprehensive? closer to schools, and transit services available to help households spend less on car travel. The strategy also embodied an effort to focus on supplying more compact, efficiently located housing units to accommodate the ag- ing American family of shrinking size. o citistn'es group report I page 24 All About Outcomes macro look at organizational charts in regions reveals a warren of small municipal borders to councils and commissions, special purpose authori- ties, and counties enveloping other jurisdictions. Each has its own poli- cies and perceived limits. It can be a thicket, a maze with no exit in sight. By contrast, the regions whose people and businesses are moving forward ef- fectively are those that see themselves as a whole. And they talk the language of "results." They are serious about data systems to track progress. They are as concerned about outcomes as process --- whether it's moving forward a major infrastructure project, developing a selected economic sector, improving work- force readiness, crafting a robust economic strategy. Under this common language, coalitions can be built. Networks of people and organizations can be formed and aligned with goals. Resources get used more effectively. Assignments to get the work done get made and time- tables get set. People feel —and are- --more accountable to get results. Regions, organized for results, are set to be the criti- cal platform for meeting the formidable challenges of this century. Regions' borders and legal powers may be hazy. But pragmatically, they constitute the "real cities" of an urbanized century. And they represent a logical scale to draw together the most concerned players, from economic strategists to utilities to universities and trade schools, in forging strategies that fit both the economy and the geography. "Upper" governments —the federal and state govern - ments --may well stimulate regions to define their own versions of approaches to critical problems, mobilizing to produce results. Regions, organized for results, are set to be the critical platform for meeting the formidable challenges of this century. But many of the regional strategies named here, among them the Alameda Corridor, the federal Sustainable Communities program, and regional business plans and state efforts to stimulate their creation, speak to the effectiveness of defining clear outcomes. They take the politics of individual hobby -horse projects off the table and instead focus on how to get region -wide results. They oblige political leaders to respond to regional priorities, to bargain on those terms. For the 21st century, they represent a powerful impetus toward out- come -based strategies —from the grassroots up. a citistates group report I pogo 25 Participants in the Citistates Symposium on States and Regions October 26 -28, 2011 Pocantico Hills Conference Center Tarrytown, New York Dennis Archer Former Mayor of Detroit Bill Barnes National League of Cities Chris Benner University of California, Davis Kathryn Foster Brookings Institution Salin Geevarghese Department of Housing and Urban Development, Office of Sustainable Communities Jacky Grimshaw Center for Neighborhood Technology Former adviser to Chicago Mayor Harold Washington Peter Harkness Founder, Governing Magazine Feather Houstoun Former President of the William Penn Foundation William H. Hudnut, III Former Mayor of Indianapolis and U.S. Representative from Indiana Joseph Paul McLaughlin Temple University Former adviser to Pennsylvania Governor Edward Rendell James Miller League of Minnesota Cities Mary Newsom University of North Carolina at Charlotte Former columnist for the Charlotte Observer Neal Peirce Citistates Group Columnist, Washington Post Writers Group Farley Peters Citistates Group Former Political Operative in Illinois Andre Pettigrew Climate Prosperity Project Marie Pisano University of Southern California Former Executive Director, Southern California Association of Governments Ian Scott American Chamber of Commerce Executives William Stafford Curtis Johnson Trade Development Alliance of Seattle Citistates Group Former Deputy Mayor of Seattle Former Chief of Staff to Minnesota Governor Arne Carlson David Warm Mid - America Regional Council, Kansas City George McCarthy Ford Foundation Metropolitan Opportunities Sam A. Williams Program Metro Atlanta Chamber Bruce McDowell Harold Wolman Intergovernmental Management George Washington University Associates Thomas Wright Regional Plan Association, New York o citistcrtes group report I Page 26 Commentary from Symposium Participants Smart Regions Will Listen To Approaching Hoof Beats William Stafford New Cluster- Focused Models for Regional Growth and Collaboration William H. Hudnut III Confessions of a,Mess,y „Regionalist Bill Barnes Studying Regionalism on a Palatial Estate Ian Scott Regionalism: Wonky but Real Mary Newsom Federal_ Leadership in Sustainable Development — It Is fmgortant David Warm The Jig is Ut;_Unless We `Change the Rules of the Game' Mark Pisano Eight Offerings „From „the Academic Stacks Kathryn A. f=oster Cities, Metros Respond to,a New Global Economy Neal Peirce Regionally -based Economic Initiatives Collaborate: Leading, Regional innovation Clusters, from the Council on Competitiveness, 2010. Strateciies for Globally Competitive Cities: Local Roles in Foreign Direct Investment and International Trade, from the National League of Cities. Sustainable Economies and Stron Communities: Regional chamber Strategies for Growth, from the Alliance for Regional Stewardship. 0 cirislotes group report I page 27 F - -14 7IN 3 Confronting Wicked Problems in the Metropolis: Is it Possible to make these Problems Tame? Jered B. Carr and Brent Never Department of Public Affairs University of Missouri- Kansas City earribaumkc.edu / neverbaumkc.edu Abstract These problems facing many metropolitan regions in the U.S, are complex, open -ended and seemingly intractable. The obstacles to regional governance created by these "wicked" problems are the root of the criticisms of the consensus -based "self- organizing" strategies described by frameworks such as New Regionalism and Institutional Collective Action. The self - organized solutions described by these frameworks require substantial consensus exist among the participants and this creates a bias toward solving low- conflict problems where consensus already exists. We discuss the limitations of these two influential research programs in the context of wicked problems and draw on the concept of nested institutional action situations to suggest a research agenda for studying intergovernmental collaboration on problems requiring the development of consensus about the nature of the problem and acceptable solutions. The Advocacy Coalitions and Institutional Analysis and Development frameworks have been effectively used to explain regional collaboration on wicked environmental problems and likely have insights for confronting the wicked fiscal and social problems of regional governance. The implications are that wicked problems are tamed through iterated games and that institution- making at the collective- choice level can then be scaled up to achieve agreement at the constitutional level of analysis. Paper prepared for presentation at the annual meetings of the American Political Science Association in Chicago, Illinois, August 29— September 1, 2013. Confronting Wicked Problems in the Metropolis Detroit's bankruptcy filing in June 2013 was less a failure of the city's government to effectively deal with its serious problems as much as it was a failure of the region to develop solutions to these longstanding issues. Despite having more than fifty years to develop solutions to the problems created by the staggering reduction of population and tax base in Detroit, the consequent inability of the city to provide adequate public services to its residents, including education and public safety, and the resulting disproportionate concentration of the region's poorest residents in the city, the region failed to address these issues. Many regions have made progress on developing shared services arrangements among cities, producing regional economic development plans, and "regionalizing" the funding for cultural institutions, but most have failed to confront their most serious issues. in metro- Detroit and other regions, this failure often has extremely high costs. The term "wicked problems" (Rittel and Weber, 1973) has come to be used to describe seemingly intractable problems that combine obstacles arising from issue complexity, outcome uncertainty, and value divergence among key stakeholders.' The central cities in regions throughout the Northeast and Midwest suffer from many of the same issues as Detroit. These regions sniffer from what Feiock (2013) calls "ICA dilemmas" and we describe as "structurally- induced" wicked problems because of the obstacles created by the polycentric nature of the institutions governing public service delivery, land use decisions, and tax and expenditure policies. The wicked problems in U.S. regions usually include: O Large and chronic spatial mismatches between resources and problems with the region's poverty disproportionately concentrated in central city and inner- ring suburbs and its wealth relatively concentrated in suburban cities. • Land use policies that undei-irtine the_.f_tscat and social sustainability of the older parts of the region by permitting urban development further and further from the central city and core neighborhoods. Economic development policies that permit intraregional competition for residents, jobs, and tax base. In the worst cases, tax expenditures are used to encourage companies to move a few miles to relocate in a new jurisdiction. These problems are not new to anyone who studies regional governance, but why are they wicked problems? Head (2008: 103) asserts that "mere disagreement among stakeholders does not make a problem wicked, but when serious disagreements are combined with complexity and uncertainty we have crossed a threshold." For example the regional problems described in the preceding paragraph share several characteristics. z First, these issues are highly complex and interdependent. Virtually a] I of these issues are a series of linked problems that cannot be solved in isolation from the others and the calculations of short- and long -term costs, benefits, and impacts of possible interventions in these issues will be highly variable. The fact that regional economies are simultaneously impacted by local, regional, national, and global factors increases the difficulties of isolating the effects of specific policies. Second, these issues are characterized by deep divisions in the perceptions by residents and decisions makers about the causes and consequences of these issues and the changes that should be made. A third shared characteristic is an uncertainty about the risks posed by the status quo and the consequences of changing policy. The causes of these issues are subject of great debate and most proposed strategies will generate considerable opposition from interests benefiting from the status quo. Decisions about how the allocation of responsibility for the adverse consequences of these problems among the different governments in the region, corporate interests, and residents are controversial and highly conflictual. Similarly, conflict arises around the equity issues around how the costs of proposed changes will be shared across the region and how fast any changes should be made. Finally, the choice of policy instruments to deal with these problems is usually contentious. Regional governance scholars have called for a better understanding of "regional processes, structures, or institutions that can identify regional problems, formulate regional solutions, implement those solutions, and coordinate regional actions" (Briffault, , 2000: 6). Foster and Barnes (2012) have proposed that research on regional governance must focus more on understanding how regional capacity and purpose are created and sustained. Scholars working through frameworks such as New Regionalism (NR) and rt1/e S/.l r� Institutional Collective Action (ICA) are generally producing work that is consistent with these calls, and these two approaches have made important contributions to our e �"�- i understanding of regional governance (Mock, 2004, 2013; Feiock and Scholz, 2010; Uv� � ��l� ,S Nunn and Rosentraub, 1997; Rusk, 1999; Savitch and Vogel, 1996, 2000; Wheeler, 1 'f ' PIC 2002).3 This research has been important in moving us past the increasingly stilted debate j.. between advocates of monocentric and polycentric institutions and illustrated how - significant progress on regional governance can be made. However, despite the contribution of these two research programs, serious concerns exist about the utility of 9 strategies that depend on the self - organization of local actors for action on wicked problems, Self - organized solutions must be mutually advantageous and this feature is a source of strength and a significant limitation of both approaches, This requirement creates a bias toward solving low - conflict problems where consensus already exists because "[aIny single unit can scuttle decisions made and policies adopted for the good of the overall territory" (Norris, 2001: 567). ']'his paper applies the concept of wicked problems to the analysis of regional governance. We believe that this framework has great utility for analyzing the obstacles to regional governance by highlighting the types of problems that will be resistant to solutions through the self - organizing strategies proposed by New Regionalism and Institutional Collective Action. The remainder of this paper is organized as follows. First, we briefly describe the NR and ICA frameworks and identify their limitations for dealing with wicked problems. Second, we propose that the Institutional Analysis and Development (IAD) and Advocacy Coalition (AC) frameworks may provide important insights for understanding how the wicked problems of regional governance can be � --�� - effectively .confrouted. These two policy frameworks have been used effectively to explain regional collaboration on wicked environmental problems and likely have insights for confronting the wicked fiscal and social problems of regional governance. We describe how these frameworks have traditionally viewed wicked problems, with particular attention paid to (a) the unit of analysis, (b) the set of actors, (c) the perceived outcome of the policy process, and (d) the limitations of each framework. We conclude with a discussion of how wicked problems might be made more tame. The implications are that wicked problems are tamed through iterated games, and that institution - making at the collective- choice level can then be scaled up to achieve agreement at the constitutional level of analysis. Self - Organizing Solutions to Problems in Regional Governance: The New Regionalism and Institutional Collective Action Frameworks Research collectively known as New Regionalism and Institutional Collective Action has been particularly productive for identifying, analyzing, and explaining the use of self - organized efforts to develop solutions to collective problems.4 Both research programs stark from the premise that significant governmental consolidation is unlikely to occur and that regional problems can be managed through interlocal cooperation, public- private partnerships, the creation of special districts, and other various ad lioc, informal arrangements that span jurisdictional lines. Both frameworks also focus on how policy coordination among local governments can be improved. NR scholarship describes several strategies that participants can use to confront regional problems and identifies tools that the locals can create, implement, and amend as necessary to address these problems. 1CA builds upon these insights, but seeks to explain the situation whens these tools are most likely to be used. 1CA seeks to identify the optimal mechanism for overcoming the collective action problem faced by local governments in a particular situation. New Regionalism New Regionalism (NR) consists of a collection of strategies that seek to empower communities and actors within the metropolitan region to solve a variety of problems related to resource inequities and financial unsustainable activities throughout the region (Bollens, 1997; Lowery, 2000; Orfield, 1997; Peirce, Johnson and Hall, 1993; Rusk, 1995, 1999; Savitch and Vogel, 1996, 2000; Wheeler, 2002). According to Vogel and Harrigan (2007: 300), NR objectives include: • Reducing fiscal disparities among local governments • Reducing radical and class segregation among local governments • Reurbanizing core cities • Stemming the outward sprawl of development and encouraging ecologically and economically sustainable patterns of land use and development New Regionalism focuses on improving policy coordination across local governments and calls for increased resources and autonomy for local governments to address their problems. The strength of new regionalism approaches is that participants create and amend the rules for collaborative action and design levels of flexibility and enforcement that are appropriate for the concerns of the participants. NR does not argue for regional policies that are politically unfeasible, but is focused instead on identifying what can be accomplished through voluntary, self - organized, initiatives to solve problems. However, it's clear that increased flexibility and the need for consensus also increase decision costs and many analysts have concluded that NR may only be relevant to intergovernmental cooperation on less contentious issues, such as the provision of infrastructure and utility services (Bollens, 1997; Frisken and Norris, 2001; Norris, 2001; Swanstrom, 1996; 2001). These critics suggest that locals will not confront the difficult problems in regions because the costs will be too high to overcome. NR scholars have sought to avoid this criticism by suggesting that regional economic development provides the basis for aligning the self - interest of participants. NR scholars eschew the traditional equity -based arguments for regional cooperation in favor of a rationale based on increased economic growth. They make the argument that regional economic prosperity requires both a healthy central city and suburbs and that a strong central city is in the interest of the suburban communities. In this way, NR assumes consensus is possible because it is in the collective interest of most (if not all) of the region's stakeholders. Many critics are skeptical of this argument (Bollens, 1997, Frisken and Norris, 2001; Norris, 2001; Swanstrom 1996, 2001).5 For example, former HUD Secretary Henry Cisneros observed that this approach is better equipped to accomplish "things" regionalism, rather than "people" regionalism (Bollens, 1997). Similarly, Vogel and Harrigan (2007) observe that NR has been successful in explaining the use of interlocal agreements on system maintenance services, but they acknowledge that the biggest conflicts in regions are over "the substance of issues that threaten suburban lifestyle issues" (p. 303). Finally, Swanstrom (1996) writes that "most of the new regionalists' arguments that are based on economic factors focus on the substance of regional policies but overlook the importance of the process of consent" (p. 16). Finally, critics of new regionalism see NR approaches as severely limited in their ability to persuade local governments and their residents to accept changes in governance that may alter existing patterns of power and resource distribution in the regions ( Frisken and Norris, 2001). The promise of the new regionalism lies in its putative ability to break political deadlocks on the solution of metropolitan problems and to make the complex task of governing metropolitan areas more effective, responsive and flexible (Pastor et al., 2000). However, when viewed from the ground level of actual regional experience, it is unclear through what mechanisms this might take place (Scott, 2007: 16). Ultimately, there is little evidence that NR is feasible beyond a few isolated cases. Norris (2001) contends that the arguments of the new regionalists have failed to produce the results intended by its proponents, He suggests that a simple shift of the rationale for regional governance to that of economic competitiveness is rather inadequate "to overcome the powerful political factors that militate against the adoption of both formal structures and informal mechanisms of regional governance. Indeed, because the new regionalists fail to take into account the politics of regional governance, their arguments are little more than wishful thinking" (2001: 566), Institutional Collective Action The Institutional Collective Action framework combines insights about transaction costs in contracting relationships with the theory of collective action. ICA is complementary to the theory of local public economies, but is grounded in transaction cost economics. The various extensions of the framework posit that the extent of these costs and the ability of local actors to overcome them and to forge bilateral and multilateral cooperative agreements depend on the context of the decision setting, which includes the characteristics of the good or service being considered, the configurations of political institutions under which they function, and the networks of existing relationships among local government officials (Andrew 2006, 2009; Carr, LeRoux, and Shrestha, 2009; Feiock, 2004, 2007, 2008, 2009; Feiock and Scholz, 2010; Feiock, Steinacker, and Park, 2009; Lee, Feiock, and Lee, 2012; LeRoux and Carr, 2010; Shrestha, 2008). ICA is considerably more developed than NR. It recognizes that intergovernmental relationships are embedded in a larger social, political, and economic 8 structure, and the ICA research program focuses explicitly on identifying the externalities of choice in polycentric systems. "The ICA framework compares the impact of alternative mechanisms introduced to mitigate these collective action problems and how these mechanisms evolve, are selected, or are imposed" (Feiock, 2013: 398). ICA is strongly focused on identifying the mechanisms that mitigate collective action problems by examining the fundamental roles of institutions and institutional change. Feiock (2013) describes the existence of horizontal, vertical, and functional manifestations of ICA dilemmas. A horizontal collQcti. -c_aQtion problem arises if governments are too small or too large to efficiently produce services on their own or if serious production externalities arise when governments produce certain services on their own. Vertical collection action problems occur between actors from different levels of government when organizations from different levels simultaneously pursue similar policy objectives, such as in economic development or environmental management. Finally, functional collective action problems are defined by "the connectedness of services, policies, and resource systems as externalities occur between functional areas and policy arenas as well as governmental units" (Feiock, 2013: 398). The strength of the ICA framework is its identification of the contextual and relational elements of collective action that can help minimize transaction costs. NR generally ignores (or assumes away) how risks affect the willingness of stakeholders to participate in cooperative arrangements. Ircontrast,.tl�e, ICA ftamework emphasizes how "Whe risks of collaboration are shaped by the underlying ICA problem, the composition of affected jurisdictions, and the institutional contexts under which they operate" (Feiock, 2013:398). The ICA framework has great value for understanding when mutually 9 advantageous collaboration will take place for a narrow set of regional problems, but it does not provide significant insights about how wicked problems might be resolved. The framework is more narrowly focused on service delivery issues, As Feiock (2013: 398) explains, "[i]n most general terms, the problem is how to provide and produce a multitude of public goods and services that have different economies of scale and that are demanded by citizens at different levels of quantity and quality" (Feiock, 2013: 398). Developing Consensus on Wicked Problems: IAD and AC Consensus is a prerequisite to policy development and implementation, yet research under the New Regionalism and Institutional Collective Action does not provide much insight about how to develop consensus where it does not already exist.6 Here we consider two frameworks for understanding public policy formulation that explicitly have been used to address wicked problems, notably in the fields of environmental policy: the Advocacy Coalition Framework pioneered by Paul Sabatier and Hank Jenkins-Smith and the Institutional Analysis and Development Framework developed by Elinor Ostrom and colleagues. Each framework conceptualizes the complex and iterative process through which solutions are developed over a significant amount of time. Frameworks are _ tn.pgPtarlt tools for organizing key variables of interest, providing definitional clarity, and __.desc.ri,l?ing the basic relationships between variables. Perhaps the greatest strength of the ACF and IAD frameworks is the clarity that they provide about the appropriate scope of interest for their application, which is evidenced by their extensive use across a host of policy domains. One misguided criticism of these two frameworks is that they are typically used to describe particular situations, rather than produce testable hypotheses. Ostrom (2011) refutes the criticism by articulating that frameworks are the foundation upon which theories and models are built. A theory creates testable hypotheses about the direction and valence of relationships between variables. The ACF draws on prospect theory to understand the ability of individuals to overcome collective action problems and farm advocacy coalitions; the TAD uses game theory to animate the choices that actors face in action situations. Models are particular applications of theories to particular empirical situations, such as deforestation in Bolivia or land erosion in Lake Tahoe. Scholars can use the findings from these tests to eventually update theories and frameworks. Ostrom et al. (1991) was able to take findings from lab experiments considering resource allocation problems to alter her theory of bounded rationality to include different types of individuals ranging frorn egoists to altruists. Frameworks will not solve wicked problems, but they can serve to focus thinking on seemingly ungainly nested empirical situations, Here we describe how these frameworks have traditionally viewed wicked problems, with particular attention paid to (a) the unit of analysis, (b) the set of actors, (c) the perceived outcome of the policy process, and (d) the potential blindspots inherent in each. We conclude with implications for fixture research. The Advocacy Coalition Framework The Advocacy Coalition Framework has been developed and refined to account for basic mechanisms of public policy change over long periods of tirne, particularly a decade or more. Sabatier and Jenkins -Smith (1988) developed the framework to focus attention on the mechanisms of policy- oriented learning in technical or scientific policy domains where the public problems and their solutions are not always clear to actors. in contrast to the dominant frameworks of the 1980s, where policy was seen as a linear progression fi•om initial conception through formal government institutions such as committee structures (e.g. Brewer and deLeon, 1983), the ACF focused on the long periods of seeming inaction between enactment of new policies. The lack of change did not indicate inactivity, but a process where ideas were formulated, coalitions around those ideas were carefully constructed, and these coalitions in turn would seek an opportune time to alter the status quo. The beliefs and ideas that serve as coalitions' glue are perhaps more important than the structures through which public policy is enacted. The core assumption upon which the ACF is based is that the process of public policy formulation is rooted in systems of interaction rather than in a linear process as assumed for the stages heuristic. The two shortcomings of the stages heuristic are that it is merely a lens to hack the flow of public policy, but does not identify relevant variables or relationships; in addition, given the nature of a heuristic, there is no sense of causality in order to understand how policy progresses through the stages (Sabatier, 2007). Particularly troubling is that there is no explanation for stasis or regression in a process where human agency is invisible. Sabatier and Jenkins -Smith (1988) consider the swirling, non - linear nature of complex policy fields to be important for understanding both stasis and movement over long periods of time. A systems -based framework carefully delineates the scope and boundaries of the system, or else it could quickly 12 devolve into tautology where any action or inaction could be described as inherent to the system (Weible et al, 2011). The unit of analysis for the ACT is a policy sub - system: a geographically and substantively- delineated space. Examples of sub - systems would be a commercial - development policy sub - system in Arlington County, Virginia, a public transportation sub - system in the New York City tri -state region, or a national coal -fired emissions sub- system. While the policy that addresses a public problem may not extend across the geographic or technical scope of the problem, the analytical frame should be wide enough to capture the full range of actors. Sub- system actors are broader than the iron - triangle conception of policymakers, agency officials, and lobbyists (ffeclo, 1978); in the technical or scientific domains, actors can also include scientists, academics, activists, and journalists. The public transit sub- system would include relevant agency officials in federal, state, and local governments, elected officials and industry lobbyists; in addition, one would expect to find policy analysts, environmental activists, and investigative journalists. Within the policy - subsystems, communication and negotiation occurs within and among at least two advocacy coalitions. Advocacy coalitions form around the content of ideas, and solidify based on a fear of competing coalitions. Deep core, policy core, and secondary beliefs are nested. Deep core beliefs concern basic ontological beliefs about how the world operates. Individuals are socialized into these beliefs as children, meaning that they are almost entirely fixed without major conflicting information. Advocacy coalitions are based on congruent deep -core beliefs, policy -core beliefs are coterminous with the policy sub- system, and likewise provide the "glue" around which coalitions are 13 built. The public- transportation sub - system may contain an advocacy coalition of environmental organizations such as the Sierra Club, young activists, and climate- change scientists that all hold that public transportation is a cost- effective means of addressing airborne pollution from private vehicles. Lastly, secondary beliefs are rooted in the specific empirical facts of a particular public problem and are most likely to flex as information and c i reurn stances change over time. Secondary beliefs can allow for the horse- trading that is essential for the evolution of coalitions over long periods of tirne. Public policy is enacted over time for four reasons. First, external events can fundamentally alter resource allocation, coalition size or power. A watershed election, such as occurred in 1994, provided a re- ordering of the advocacy coalitions surrounding welfare policy at the federal level. Second, advocacy coalitions learn over time and are able to grow as belief systems become congruent. Interestingly, the `green' coalition surrounding the military rapidly evolved due to external events- namely foreign wars in remote locations such as Afghanistan- and policy- oriented learning where environmental groups and military leaders were able to align policy -core beliefs on conservation that could both save money and improve environmental impact over time. Third, internal events to the policy sub- systern can change resource allocation. The phasing -out of federal funding for light -rail has meant that coalitions face a different cost calculus in developing new policy. Last, the ACF has increasingly adopted Alternative Dispute Resolution (ADR) techniques to understand how coalitions can negotiate an end to policy disputes over time. The ACF focuses analytical attention on coalitions, yet coalitions are built on assumptions of individual behavior developed in sociological neo- institutional theories. 14 Individuals are boundedly rational actors and organize around belief systems. They are imperfect calculators of cost and benefit, and are particularly motivated by fears of others' actions as foreseen by prospect theory, Coalitions are glued together by the strength of beliefs and fear that other coalitions are interested in defeating these beliefs. This conflict makes compromise difficult, Li»ritatiotis of the AC Frainework The ACF has been criticized, unfairly, for its lack of testable hypotheses or predictive capabilities. Sabatier counters that a framework was never intended to predict behavior, but merely identify relevant variables and relationships into which models can be integrated. A germane criticism comes out of the pluralist tradition of the ACF, where it is assumed that individuals will seek out opportunities to articulate their policy preferences; this tradition does not explicitly consider the costs of collective action. Rather, the failure of coalitions can be described as collective action problems without an explicit explanation of the costs involved in overcoming free -rider problems. The construction of coalitions, particularly resource -poor coalitions, requires a significant investment of resources and time in complex policy domains. While Sabatier holds that the strength of beliefs is enough to produce action, the ACF also draws on prospect theory to highlight a tendency to vilify the intentions of rival groups; as time passes, the cost of developing larger coalitions with greater resources becomes increasingly difficult as the devil's shift solidifies understanding of other beliefs. The ACF is increasingly incorporating theories of bargaining and dispute resolution in order to understand how coalitions form and operate over long periods of time. This stream of thought may lead to 15 stronger explanations for why collective action works in some policy sub - systems, and not in others. A final criticism of framework is that it views the end solution to a public problem to be public policy. There is little description as to what public policy actually means: for example, are voluntary industry curbs on air pollution emissions, in order to forestall tougher government sanctions, public policy? How about informal norms? Many public problems are addressed outside of formal laws, yet it is unclear as to if these solutions can be applied through the ACE The second framework under consideration, the IAD framework, disaggregates public policy into formal rules and informal social norms that may or may not be create and sanctioned by governments. The Institutional Analysis and Development Framework The Institutional Analysis and Development (IAD) framework has a different intellectual lineage than the ACF, but at its creation posed a critique of dominant frameworks and heuristics of the policy process as well as policy analysis techniques. The concept of the TAD was based on an empirical observation: political scientists through the behavioral school tended to look at behavior without considering the micro - foundations of that behavior, while economists and policy analysts tended to assume away those micro - foundations and opt for the simplicity of the homo economrcas model (E. Ostrom, 2009). Elinor Ostrom and her colleagues at the Workshop on Political Theory and Policy Analysis at Indiana University were concerned with creating an analytical framework to understand the effects of institutions on human behavior. Institutions are both formal rules that have sanctions attached, and informal norms that do not have formal sanctions III (Crawford and E. Ostrom, 1995). While the ACF is a framework to order thinking about public policy, the IAD is a framework to aid in understanding human behavior. The unit of analysis for the [AD, generally, is flexible due to the wide range of institutions; scholars have considered irrigation projects (e.g. Lam, 1998; Shivakoti and Ostrom, 2002), forestry (e.g. Gibson, McKean, and E. Ostrom, 2000; Wollenberg et a[., 2007), and fisheries (e.g. Acheson, 1998). A more accurate portrayal of the unit of analysis is what E. Ostrom (2011) calls the action arena, where actors interact in an action situation. An action situation includes information about the participants, their positions, what they are allowed to do, the control that they have over their actions, and the costs and benefits inherent to those actions. An implication for non - action in complex policy domains is that there may be a series of interlinked action situations where any durable institutional solution to the problem would rely on concomitant actions in each situation. Action is determined by three sets of variables: physical/material conditions, attributes of the community, and rules -in -use. For example, using the IAD to dissect whether actors in a bi -state region adopt a common sales tax to support the metropolitan zoo, one would first have to take into account the nature of the bi -state boundary and allocation of resources on each side of the state line. The location of the zoo in relation to those resources is also an important indicator of how different actors interpret its value. Then, one would consider the attributes of the community or communities: what are the general attitudes to supporting public institutions? Who uses the zoo? How do people understand duality of life in their community? Lastly, one would consider how rules are used in the situation. Who is able to decide on the tax: individual voters, a city council, a 17 metropolitan organization? What is the scope of the situation? Does this bi -state tax then set precedence for future initiatives? Most importantly, de jure rules can be less important than de facto rules; even though every citizen may be entitled to vote, perhaps certain groups are disenfranchised and hence disinclined to participate. Actors are boundedly rational with limited cognitive capacities to frilly understand their preferences, as well as costs and benefits to potential actions. E. Ostrom (1990: 33) uses this assumption to highlight the need for institutions to circumscribe the potential choices that actors face as well as create stability in relationships over time. Unhappy with the state of knowledge about how boundedly rational individuals appropriate common pool resources, Ostrom, Gardner, and Walker (1994) constructed a series of experiments to understand behavior in the face of different institutional constraints. Perhaps the most important insight to emerge has been the importance of iterated games where actors can not only plan on their current actions, but also approximate what future behavior will be. In iterated action situations, free- riding or shirking collective costs is monitored and rapidly sanctioned. If the negative behavior is allowed to continue, a prisoners' dilemma game rapidly develops leading to a tragedy of the commons. Institutions are nested into three layers: constitutional, collective- choice, and operational levels (Kiser and E. Ostrom, 1982[2000]). Constitutional rules overlay all others and describe who is al lowed at the table to create institutions, the scope of that power, and any means to amend constitutional -level rules. In the situation of a bi -state zoo tax, there are constitutional -level rules in each state as well as federal and local levels each defining the scope of action for all actors. A mechanism for administering the tax may be the creation of a bi -state commission populated by appointees by each of the 18 constituent jurisdictions. Collective- choice rules describe how decisions will be made directly in the action situation; how will decisions be made, how will agendas be set, when will those decisions take place. For the zoo tax, collective- choice rules dictate when the commission will meet, who will decide how it will operate, and how preferences will be aggregated. Lastly, operational -level rules are subsumed under the collective- choice level. Operational rules consider the actual "work" of a collective body. For example, rules will determine citizens in the bi -state region will receive reduced zoo admission for having approved the tax, or whether proceeds from the tax can be used to support the construction of new exhibits. The nesting of institutions provides a means for addressing choke - points in the process of institution - making; operational rules build on the levels above, so the actors empowered to operate at the operational level must defer to the actors at the collective - choice or constitutional level. Even though zoo officials may be convinced that a bi -state tax is essential to the zoo's survival, the U.S. Supreme Court Justices have the power at the constitutional level to dictate whether one state can impose a tax for use in another state. It also follows that changing institutions at higher levels is more costly as they affect greater populations with different preferences. The greatest disruption to addressing public problems through institution making comes from a mismatch in incentives between the three nested levels; maybe individual citizens in a region would love an upgraded zoo, but political disagreements between the governors of the two states could thwart the ability to enact a bi -skate tax. 19 Limitations of the IAD Fiwmework The IAD has been applied to hundreds of cases, particularly in the realm of natural common -pool resources. The flexibility of the framework can also be a challenge as it can seemingly be applied to every conceivable situation where rules or norms are in use, yet as a framework it cannot provide explanation beyond the concept that institutions are at work even in cases where it is unclear as to why individuals act as they do, To this point, much of the field research has involved case studies intended to illustrate tl }e applicability of the IAD as a tool; oftentimes these cases are constrained in some facet. Studies of institutions to protect forests in Columbia (see Cardenas, 2000) consider the actions of local inhabitants vis -a -vis national governments, yet it is much more difficult to situate forest policy in the swirling, nested games of forests, agriculture (legal and illegal), and cross -state relations that is endemic of forests in many developing countries. The construction of the IAD has been a protracted, stepwise effort over a thirty- year period, where scholars have sought to refine particular parts of the framework or to extend its application to new, divergent cases. One could argue that this evolutionary system, typified by a `workshop' where scientists are encouraged to play with the toolbox of ideas, has yet to grasp the terribly complex systems where answers are nested and interrelated, Perhaps the answer to some of these problems is simply that the mechanisms for understanding complex adaptive systems are unable to provide meaningful insights (Rittel and Webber, 1973). A final criticism is that while the IAD framework has been relatively stable since Kiser and F. Ostrom (1982), the theories and models frequently used to provide testable hypotheses have become sufficiently complex that they can only be used to describe 20 situations rather than predict them. As theories of bounded rationality begin to identify types of actors, predicting how each type of actor will behave in the so- called real - world, with cross - cutting institutions, approaches impossibility. But one must say that the flexibility of the ]AD, and its successive development over time is a testament to the universality of institutions and the need to crack open how they guide human behavior. Having a framework as a guide to identifying variables has focused research into the types of problems that previously were considered unsolvable. Discussion Analytical frameworks cannot tame wicked problems alone, but they can serve to focus attention on the fundamental nature of each case. Given the lengthy trajectory of both the Advocacy Coalition and Institutional Analysis and Development frameworks, it is unwise to create a hybrid framework for a particular case. With that said, there are elements in each framework that are complementary and useful. Both frameworks treat complexity as a natural facet of public problems, and these problems should be addressed as systems of conflicting interpretations of what is best for actors. Systems -level thinking provides a means of teasing apart cases, in order to account for individual variables, yet then develop structures for re- aggregating those variables in order to see the macro -level results of micro -level interactions. A wicked problem is one where there is complexity both around the actors involved and the interpretation of the problem (Head, 2008). Each framework provides a lens for comprehending how actors interpret the situation. 21 The ACF unabashedly starts with ideas, and builds people around them. Cases of wicked problems where intellectual foment has already developed as opposed to emergent situations where actors have not had time to invest in developing policy -core beliefs, to a certain extent would be appropriate for the ACF. For example, debates about the proper role of tax abatements to incept economic development are well- formed, with advocacy coalitions being constructed around these beliefs. The ACF indicates that failures to address wicked problems can come from advocacy coalitions that have solidified, thus protecting the status quo policy solutions. Policy- oriented learning is the main pathway to policy change that individuals control, as external and internal shocks to the policy system are difficult to foresee and capture. The implication is that effectively addressing problems involves dissecting the beliefs that undergird advocacy coalitions. What are the deep -core beliefs that are unshakable, while what are the secondary beliefs that could readily be used for trade in any attempt to increase the size of a coalition? Next, how can actors better engage each other's policy -core beliefs without aggravating the devil's shift? Given particular problems, there are forums that only serve to increase conflictual relationships, such as city council hearings, while others can serve to ease tensions, such as academic convenings (e.g. Head, 2008). Lastly, one can consider the types of individuals or organizations best able to intervene between actors with potentially complementary belief systems. Metropolitan councils have routinely served this role. The challenge to the ACF is two -fold: one, it sees the logical endpoint of analysis the creation or amendment of a formal public policy; two, it focuses on government structures, such as Congress, which hampers the study of multi jurisdictional situations 22 where there may be several competing structures involved. Institutional economists would hold that formal public policy, however defined, is only one piece to understanding how hurnan activity is constrained or facilitated (North, 1990: 47). While the public policy to ban lead in paint was an essential stepping stone in facilitating the mental development of children, it was a part of the equation. Ill addition, a series of programs were required to incentivize the rehabilitation of older homes in a safe manner; a public - relations campaign was required to alert parents to the danger of lead in paint, and then to change the behavior of parents towards safe - proofing a house for young children. This example is of a problem that was largely addressed at the federal level, through public policy, but then had a large set of institutional changes throughout local jurisdictions and within families. Wicked problems often bleed across jurisdictions, yet the ACF does not explicitly consider nested situations where advocacy coalitions must act in concert across boundaries. Each jurisdiction also has a different resource endowment and set of rules through which actors must pass in order to enact policy change. The level of resources necessary to change policy in the City of Detroit is much different than in the United States Congress, due to the resource allocation of resources in each policy subfield as well as the hurdles necessary to clear. The TAD does not ascribe normative value to beliefs, but as one considers how value -laden issues such as the siting of a toxic -waste dump or instituting sex education in a school system, it is apparent that the valence behind beliefs do matter. The ]AD uses beliefs as means to understand actors' preferences. Preferences are relational and determined by the choice at hand: voters may prefer to use tax incentives to attract an 23 automaker over a casino, although they may prefer uses those same incentives to attract a sports franchise over the automaker, The TAD is less concerned about the formulation of beliefs and more concerned about how they influence boundedly - rational individuals in given action situations. it would also ascribe the longevity of beliefs to the institutions that guide decision making: similar institutions will beget similar preferences over time. A particularly attractive attribute of the IAD is that it provides a logic for understanding nested situations that typify wicked problems. One is not able to address suburban crime in Detroit's first suburbs without considering the failure of the Detroit school system, which is likewise influenced by property tax revenue in the district. The IAD would focus on at least three different action situations in these cases, each with a set of rules that dictate who is at the table, what they can discuss, and the costs and benefits that they face. With each nested analysis comes greater uncertainty as to what the outcome of the situation may be, yet the IAD does accommodate the "messy" nature of system -wide interactions. A final implication of the IAD cannot be ascribed to the framework, in particular, but to the intellectual lineage undergirding the `Bloomington School" of thought: polycentricity. V. Ostrom, Tiebout, and Warren (196 1) sought to project an alternative to the trend in metropolitan governance to create unitary monocentric structures. V. Ostrom, over the course of his career, argued that polycentric systems with multiple overlapping jurisdictions that right -sized the solution to the public problem could not only enhance values of representativeness and effectiveness, but even efficiency. Polycentricity embraces the empowerment of citizens to design solutions to their problems, no matter the apparent messiness of the ensuing overlapping institutions. The IAD uses the logic to 24 say that inductive, bottom -up solutions can work to address wicked problems and that elected leaders can trust individuals to effectively self - govern. It is also important to not lose sight of the fact that solutions need to be scaled to the problem, so it is the role of the analyst to tease apart a wicked problem to see what institutional solutions are appropriate to address each element of that problem (p. Ostrom, Parks, and Whitaker, 1978). The success of the two frameworks in generating robust empirical analyses is a credit to their flexibility and usefulness. Deciding on what framework to use will, in turn, drive the type of answer that one will get to wicked problems. As the ACF highlights, ideas matter in technical domains where actors have invested in developing beliefs about public problems and solutions. Likewise, the IAD may be preferable in situations where the problems are nested into complex adaptive systems, and where answers may be multi- faceted and not limited to public policy. Conclusion As Rittel and Webber (1973) articulate, the interesting and intractable problems in urban planning are wicked in nature; we hold that metropolitan regions, cross -cut by geographic boundaries and fragmented by programs that follow different levels of government, are particularly susceptible to wicked problems. Ranging from de facto racial segregation and patterns in poverty, to the shift in tax revenues and economic development, wicked problems require a level of consensus and resource allocation that is very difficult in these types of regions. We have laid out two frameworks that can help disentangle the conflicting understandings of the problems and the divergent preferences that actors hold. 25 This paper is merely a starting point in the continuing discussion on how regions can collectively address problems and escape the "cheap talk" (Ostrom et al, 1994) that is endemic in consensual region -wide solutions. We hold that wicked problems are nested in a hierarchy of rules that dictate how resources flow in a region. Taming wicked problems involves delineating how constitutional -level rules constrain choices at the collective- choice and operational levels. The ability to change this system of rules is filtered through the matrix of beliefs around which corporate actors are arranged. Moving from cheap talk- the platitudes that do not have the backing of resources or sanctions- to "real" talk involves cutting through beliefs to understand how new regional coalitions can be cobbled together. There is ample room for continued empirical study of how regions grapple with their wicked problems. Great value lies in proce.ss traci_ngjuj_order to identify points where problems devolve into cheap talk. Metropolitan regions are different- different actors, different patterns of resource allocation- yet many face similar problems. The Advocacy Coalition and Institutional Analysis and Design Frameworks are valuable tools for comprehending why regional problems remain wicked. 26 Notes 'Wicked problems defy definitive description, there is no particular outcome that can be called the undisputable public good, there is no objective definition of equity and fairness, policy solutions cannot be categorized as right or wrong, and it is impossible to identi fy and discuss optimal policy solutions unless severe qualifications are imposed first (Rittel and Webber, 1973; Head and Alford, 2013). Nicked problems do not have solutions in the sense of definitive and objective answers (Rittel and Webber, 1973; Head and Alford, 2013). 2`fhis discussion borrows heavily from [lead (2008: 113). 3This is a small but representative sample of the research from these two different programs. 4For our purposes, the New Regionalism associated with H.V. Savitch and Ronald Vogel and the Institutional Collective Action research identified with Richard Feiock and his associates deals with the same issue of understanding the potential for self - organized solutions to collective problems in regions, 'Some critics have attacked this proposition on different grounds. As Swanstrom (2001: 480) explains: [N]ew regionalism can be viewed as an effort to shift the case for urban policy from the unstable terrain of values like equality and fairness to the solid rock of economic self- interest. There may be economic benefits from regional reforms, but the research suggests that regional reforms are neither necessary nor sufficient for metropolitan prosperity. The economic rationale for the new regionalism is not wrong, I argue, but radically incomplete. Similarly, in an earlier paper he wrote that, "[w]hen political institutions are viewed as expressions of economic interests, as they are in much of the recent debate on the new regionalism, the broader vision of politics is lost" (1996: 13). Research using ICA is geitieially moie focused on consensus building than NR because of the framework's- - focus on social networks, but these studies rarely unpack the process by which consensus on contentious y} issues is created, . ...... ._. 27 References Acheson, James M. 1998. Lobster Trap Limits: A Solution to a Communal Action Problem. Human Organization 57(1): 43 -52. 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Oakland, CA: ICS Press. 32 M IP14 CITY OF IOWA CITY QUARTERLY INVESTMENT REPORT October 1, 2013 to December 31, 2013 Finance Department Prepared by: Brian Cover Senior Accountant OVERVIEW The City of Iowa City's investment objectives are safety, liquidity and yield. The primary objective of the City of Iowa City's investment activities is the preservation of capital and the protection of investment principal. The City's investment portfolio remains sufficiently liquid to enable the City to meet operating requirements that cash management procedures anticipate. In investing public funds, the City's cash management portfolio is designed with the objective of regularly exceeding the average return on the six month U.S. Treasury Bill. The Treasury Bill is considered a benchmark for riskless investment transactions and therefore comprises a minimum standard for the portfolio's rate of return. The rolling average return on the six -month U.S. Treasury Bill for the prior 365 days was 0.08% at 12/31/13. The investment program seeks to achieve returns above this threshold, consistent with risk limitations and prudent investment principles. The rate of return on the City's entire portfolio for the quarter was 0.54% which is 46 basis points higher than the threshold. (See exhibit A) Investments purchased by the City of Iowa City for the second quarter of this fiscal year had an average return of 0.44 %. Rates on new investment purchases in our operating cash portfolio for the second quarter were approximately 15 basis points higher than investments purchased at this time last year. Financial institutions are beginning to offer higher rates on time deposits than they were in recent quarters. The federal funds rate is the interest rate at which banks lend to each other. In the June meeting of the Federal Open Market Committee, the decision was made to keep the target range for the federal funds rate at 0 to 1/4 percent and currently anticipates that exceptionally low levels for the federal funds rate are likely to be warranted at least as long as the unemployment rate remains above 6 -1/2 percent. (See exhibit B) The quarterly investment report lists investments by fund, by institution, by maturity date, and investments purchased and redeemed. New official state interest rates setting the minimum that may be paid by Iowa depositories on public funds in the 180 to 364 day range during this quarter were 0.05% in October, 0.05% in November, and 0.05% in December 2013. Q H m w a0 a0 O c� 01'�a � O _0 0/1 4 * r co 60��a co LL O 60,E � 12r � �0'�a � � O lep'aa O 0 CO 90'� 0 0 0 0 0 o a L6 IT M N O O aje�j Isajajul CITY OF IOWA CITY INVESTMENTS ON HAND DETAIL LISTING BY MATURITY DATE 12/31/2013 INSTITUTION INVESTMENT PURCHASE MATURITY INVESTMENT INTEREST NAME TYPE DATE DATE AMOUNT RATE IOWA PUBLIC AGENCY INVEST TRUST IPAIT 13- Jun -02 N/A $ 1,500,000.00 VARIABLE HILLS BANK MONEY MARKET 30- Mar -10 N/A $ 9,000,000.00 VARIABLE WELLS FARGO SAVINGS 20- Apr -10 N/A $ 10,000,000.00 VARIABLE WELLS FARGO SAVINGS 20- Apr -10 N/A $ 15,000,000.00 VARIABLE UICCU CD 28- Jun -10 26- Jun -15 $ 846,700.00 2.510 UICCU CD 28- Jun -10 26- Jun -15 $ 300,000.00 2.510 WELLS FARGO BANK CD 27- Feb -12 27- Feb -14 $ 2,112,014.00 0.450 WELLS FARGO BANK CD 27- Feb -12 27- Feb -14 $ 450,000.00 0.450 UICCU CD 16- Nov -12 02- Jan -14 $ 1,000,000.00 0.351 TWO RIVERS BANK CD 18- Jan -13 01- Jul -14 $ 1,000,000.00 0.300 TWO RIVERS BANK CD 18- Jan -13 02- Jan -14 $ 145,000.00 0.300 UICCU CD 14- Feb -13 31- Jan -14 $ 1,000,000.00 0.226 MIDWESTONE BANK CD 14- Feb -13 07- Feb -14 $ 2,000,000.00 0.230 MIDWESTONE BANK CD 14- Feb -13 14- Feb -14 $ 1,000,000.00 0.240 MIDWESTONE BANK CD 14- Feb -13 01- Jul -14 $ 1,000,000.00 0.270 UICCU CD 14- Mar -13 21- Feb -14 $ 2,000,000.00 0.227 UICCU CD 14- Mar -13 28- Feb -14 $ 2,000,000.00 0.227 UICCU CD 14- Mar -13 07- Mar -14 $ 2,000,000.00 0.231 UICCU CD 14- Mar -13 14- Mar -14 $ 2,000,000.00 0.231 CR BANK & TRUST CD 12- Apr -13 01- Jun -14 $ 2,000,000.00 0.260 CR BANK & TRUST CD 12- Apr -13 11- Apr -14 $ 2,000,000.00 0.260 CR BANK & TRUST CD 12- Apr -13 04- Apr -14 $ 2,000,000.00 0.220 CR BANK & TRUST CD 12- Apr -13 28- Mar -14 $ 2,000,000.00 0.220 MIDWESTONE BANK CD 17- May -13 09- May -14 $ 2,000,000.00 0.250 MIDWESTONE BANK CD 17- May -13 16- May -14 $ 2,000,000.00 0.270 MIDWESTONE BANK CD 17- May -13 02- May -14 $ 2,000,000.00 0.230 MIDWESTONE BANK CD 12- Jul -13 03- Jul -14 $ 2,000,000.00 0.310 MIDWESTONE BANK CD 12- Jul -13 11- Jul -14 $ 2,000,000.00 0.340 UICCU CD 12- Jul -13 27- Jul -14 $ 2,000,000.00 0.285 UICCU CD 12- Jul -13 01- Jul -14 $ 2,000,000.00 0.305 IPAIT CD 22- Aug -13 08- Aug -14 $ 2,000,000.00 0.390 IPAIT CD 22- Aug -13 01- Aug -14 $ 2,000,000.00 0.390 UICCU CD 22- Aug -13 15- Aug -14 $ 2,000,000.00 0.360 UICCU CD 22- Aug -13 22- Aug -14 $ 2,000,000.00 0.360 UICCU CD 20- Sep -13 19- Sep -14 $ 2,000,000.00 0.460 UICCU CD 20- Sep -13 30- May -14 $ 1,000,000.00 0.430 UICCU CD 20- Sep -13 30- Jun -14 $ 1,000,000.00 0.440 UICCU CD 20- Sep -13 29- Aug -14 $ 2,000,000.00 0.450 UICCU CD 20- Sep -13 05- Sep -14 $ 2,000,000.00 0.460 UICCU CD 20- Sep -13 12- Sep -14 $ 2,000,000.00 0.460 FARMERS & MERCHANTS CD 27- Sep -13 19- Sep -14 $ 1,000,000.00 0.430 FARMERS & MERCHANTS CD 27- Sep -13 26- Sep -14 $ 1,000,000.00 0.430 MIDWESTONE BANK CD 30- Sep -13 30- Sep -15 $ 14,824,850.63 1.000 UICCU CD 25- Oct -13 03- Oct -14 $ 2,000,000.00 0.435 UICCU CD 25- Oct -13 10- Oct -14 $ 2,000,000.00 0.445 UICCU CD 25- Oct -13 17- Oct -14 $ 2,000,000.00 0.455 UICCU CD 25- Oct -13 24- Oct -14 $ 2,000,000.00 0.465 MIDWESTONE BANK CD 15- Nov -13 07- Nov -14 $ 2,000,000.00 0.440 MIDWESTONE BANK CD 15- Nov -13 31- Oct -14 $ 2,000,000.00 0.410 MIDWESTONE BANK CD 15- Nov -13 14- Nov -14 $ 2,000,000.00 0.450 MIDWESTONE BANK CD 16- Dec -13 21- Nov -14 $ 2,000,000.00 0.400 MIDWESTONE BANK CD 16- Dec -13 26- Nov -14 $ 2,000,000.00 0.415 MIDWESTONE BANK CD 16- Dec -13 05- Dec -14 $ 2,000,000.00 0.430 MIDWESTONE BANK CD 16- Dec -13 12- Dec -14 $ 2,000,000.00 0.445 TOTAL $ 133,178,564.63 CITY OF IOWA CITY INVESTMENTS ON HAND SUMMARY BY FUND FUND TYPE ALL OPERATING FUNDS GENERAL OBLIGATION BOND FUND BOND RESERVE FUND TOTAL CITY OF IOWA CITY INVESTMENTS ON HAND LISTING BY INSTITUTION 12/31/13 12/31/12 INVESTMENT INVESTMENT AMOUNT AMOUNT $120,324,850.63 $126,138,953.68 $ 3,000,000.00 $ 11,500,000.00 $ 9,853,714.00 $ 20,146,029.00 $133,178,564.63 $ 157,784,982.68 TOTAL $133,178,564.63 $157,784,982.68 12/31/13 12/31/12 INSTITUTION INVESTMENT INVESTMENT DEPOSITORY NAME AMOUNT AMOUNT LIMIT BANK OF THE WEST $ - $ - $ 75,000,000.00 BANKER'S TRUST $ - $ - N/A CEDAR RAPIDS BANK & TRUST $ 8,000,000.00 $ 7,000,000.00 $ 20,000,000.00 FARMERS & MERCHANTS SAVINGS BANK $ 2,000,000.00 $ - $ 15,000,000.00 FIRST AMERICAN BANK $ - $ - $ 35,000,000.00 FREEDOM SECURITY BANK $ - $ - $ 15,000,000.00 HILLS BANK & TRUST $ 9,000,000.00 $ 9,000,000.00 $ 25,000,000.00 IOWA PUBLIC AGENCY INVESTMENT TRUST $ 5,500,000.00 $ 18,138,953.68 N/A LIBERTY BANK $ - $ - $ 25,000,000.00 MIDWESTONE BANK $ 42,824,850.63 $ 60,490,000.00 $100,000,000.00 TWO RIVERS BANK $ 1,145,000.00 $ 7,197,315.00 $ 10,000,000.00 U OF I COMM CREDIT UNION $ 37,146,700.00 $ 28,396,700.00 $ 50,000,000.00 US BANK $ - $ $ 65,000,000.00 US TREASURY NOTES AND AGENCIES $ - $ - N/A WELLS FARGO BANK $ 27,562,014.00 $ 27,562,014.00 $ 50,000,000.00 WEST BANK $ - $ - $ 35,000,000.00 TOTAL $133,178,564.63 $157,784,982.68 City of Iowa City Economic Development Division 410 E. Washington Street Iowa City, IA 52240 How does the East Side spell IM IP15 S.,* iteration Iowa City Hospice facade renovations 1 1025 Wade Street Alk Two new medical buildings j William Street This spring, we'll complete the Towncrest streetscape project: / Street paving and new, wider walkways / Brick paver crosswalks / Perpendicular parking / New streetlights / Street amenities: benches, bike racks, and trash receptacles / New landscaping: trees, shrubs, and grasses / Towncrest entrance sign: a 7 -foot stainless steel and cast stone gateway arch &000 _ New bike racks Development funds are still available! Contact us for more information on grants, low- interest loans, and other financial incentives that will help get your new business or construction project off the ground! City of Iowa City Economic Development 1 319.356.5230 tracy- hightshoe @iowa- city.org I www.icgov.org / towncrest _.01-23-14_ IOWA CITY TELECOMMUNICATIONS COMMISSION DRAFT IP16 MONDAY, DECEMBER 30,2013--5:30 P.M. CITY CABLE TV OFFICE, 10 S. LINN ST. -TOWER PLACE PARKING FACILITY MEMBERS PRESENT: Alexa Homewood, Matt Butler, Laura Bergus MEMBERS ABSENT: Bram Elias, Nicholas Kilburg STAFF PRESENT: Mike Brau, Bob Hardy, Ty Coleman OTHERS PRESENT: Hans Hoerschelman, Bond Drager SUMMARY OF DISCUSSION Hardy said the City will continue to play a role in resolving consumer complaints despite Mediacom now functioning under a state issued franchise. Hoerschelman said that if the Commission is satisfied with the draft broadband survey it will be forwarded to Mediacom and CenturyLink to provide them an opportunity to add a comment and provide input. After a few weeks it will be released to the public. Recommendations resulting from the survey results can follow at a later date. Hardy said he will need a memo for the central administration informing them that survey will be forwarded to Mediacom and CenturyLink. Homewood moved and Butler seconded a motion to accept the current draft of the survey as a final pending any input from Mediacom and CenturyLink. The motion passed unanimously. APPROVAL OF MINUTES Butler moved and Homewood seconded a motion to approve the October 28, 2013 minutes. The motion passed unanimously. ANNOUNCEMENTS OF COMMISSIONERS None. SHORT PUBLIC ANNOUNCEMENTS None. CONSUMER ISSUES Hardy referred to complaint report in the meeting packet and noted that all complaints have been resolved. Hardy said the City will continue to play a role in resolving consumer complaints despite Mediacom now functioning under a state issued franchise. MEDICAOM REPORTS Hardy said the Grassley had nothing new to report. Mediacom will continue to provide operating funds for PATV through 2018 when the former municipal franchise would have expired. Hoerschelman asked about the status of PATV's payment from the City for December. Hardy said that the City is in the process of implementing a new computer system and PATV's check got mishandled. The problem has been resolved and PATV has received their payment. Hoerschelman asked Mediacom has sent the City PATV's operating funds for 2014. Hardy said that check has not yet arrived. It is due January 1, 2014. LOCAL ACCESS CHANNELS REPORTS Bergus noted that the City Channel and PATV had written reports in the meeting packet. The library distributed a written report at the meeting. CABLE TV ADMINISTRATOR REPORT Hardy said he will be retiring effective March 31, 2014. BROADBANDSURVEY Hoerschelman said that if the Commission is satisfied with the draft broadband survey, it will be forwarded to Mediacom and CenturyLink to provide them an opportunity to add a comment or provide input. After a few weeks it will be released to the public. Recommendations resulting from the survey can follow at a later date. Hardy said he will need a memo for the central administration informing them that survey will be forwarded to Mediacom and CenturyLink. Homewood moved and Butler seconded a motion to accept the current draft of the survey as final pending any input from Mediacom and CenturyLink. The motion passed unanimously. ADJOURNMENT Bergus moved and Homewood seconded a motion to adjourn. The motion passed unanimously. Adjournment was at 5:57 p.m. Respectfully submitted, Michael Brau Cable TV Administrative Aide