2019-04-17 - Suburban Liability Insurance Pool - Agenda Packet m' Meetingof the Village of Buffalo Grove Fifty Raupp Blvd
g Buffalo Grove, IL 60089-2100
L u' Suburban Liability Insurance Pool Phone:847-459-2500
Regular Board Meeting
April 17, 2019 at 9:30 AM
I. Call to Order
II. Approval of Minutes
A. Suburban Liability Insurance Pool - Regular Board Meeting - Mar 20, 2019 10:00 AM
III. Treasurers Report
A. Treasurer's Report 2019-0417 (Julie Logan) (Staff Contact: Julie Logan)
IV. Authorization of Payments and Service Agreements
A. KEB—Accounting
B. Milliman -Actuarial
C. SLIP Highland Park Drone Endorsement-Approval of Invoice#2958801
V. Claims Report
A. Monthly Aggregate Claims Monitoring Report (Dane Bragg) (Staff Contact: Dane Bragg)
VI. Administrators Report
A. Building Appraisals -status update
VII. Other matters that May Come Before the Board
A. Policies
1. Investment Policy (Trustee Stein, Julie Logan) (Staff Contact: Julie Logan)
2. FOIA Policy (Scott Anderson) (Staff Contact: Scott Anderson)
3. Surplus Return Policy
4. Record Retention
5. Purchasing Policy
Vill. General Discussion
IX. Motion to Adjourn
The Village of Buffalo Grove, in compliance with the Americans with Disabilities Act, requests that
persons with disabilities, who require certain accommodations to allow them to observe and/or
participate in this meeting or have questions about the accessibility of the meeting or facilities,
contact the ADA Coordinator at 459-2525 to allow the Village to make reasonable
accommodations for those persons.
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SUBURBAN LIABILITY INSURANCE POOL
Meeting Minutes
Date: Wednesday, March 20, 2019
Location: Buffalo Grove Village Hall
Time: 9:30 am
I. Call to Order and Roll Call— Christine Tromp
II. Approval of Meeting Minutes from February 20, 2019 meeting—Scott Anderson
a. Motion to pass—Scott Anderson
i. Seconded by Christine Tromp o
III. Treasurers Report—Julie Logan
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a. Buffalo Grove is mailed bank statements,Julie at Highland Park has access to them online a
IV. Authorization of Payments and Service Agreements Q
a. KEB—Accounting Q
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i. All agreed to approve pending review from Chuck c
b. Milliman -Actuarial
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i. All agreed to approve pending review from Chuck N
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V. Claims Report
a. No outstanding claims to discuss at the moment c
VI. Administrators Report
a. Risk Partner Presentation—Tim Corr
b. Building Appraisals
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i. The Pool previously received an alternate quote from Gallagher Basset that ca
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reflected a higher price U
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ii. CBIZ will contact each municipality directly to schedule visits
iii. Goal is to complete all appraisals prior to July 1, 2019 c
c. Board Docs
i. Buffalo Grove will utilize Minute Tracker
ii. All meeting packet items must be sent to Buffalo Grove no later than 1 week prior
to the next meeting date
d. Meeting Minute Taker
i. Pool elected to continue documenting minutes as is
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Meeting Minutes
VII. Other matters that May Come Before the Board
a. Policies
i. Investment Policy—Julie and Scott
1. Scott and Julie will email out a sample
ii. FOIA Policy—Scott Anderson
1. Scott will email out a sample
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iii. Budget—Scott Anderson
1. Pool agreed to remove the miscellaneous expense of$2,500 and amend it o
to zero >
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iv. Surplus Return Policy—Dan O'Malley Q
1. Dan advised he is still looking into this and we'll discuss at a later date
v. Record Retention—Christine Tromp c
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1. Christine will begin uploading documents into their respective folders o
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based on the structure provided c
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vi. Purchasing Policy—Julie and Scott o
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1. Will look into a purchasing policy for the pool
Vill. General Discussion o
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a. Dykema Invoice#3245576 d
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i. Motion to approve to pay—Julie Logan M
ii. Seconded by Scott Anderson U
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IX. Motion to Adjourn fl
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Meeting Minutes
Date: Wednesday, March 20, 2019
Location: Buffalo Grove Village Hall
Time: 9:30 am
Call to Order and Roll Call for Open Session:
Time: 9:30 am -�
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Representative Municipality Present Absent c
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Mr. Dane Bragg—Chair P
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Mr.Scott Anderson Village of Buffalo Grove X Dane Bragg Q
Mr. Evan Michael Q
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Mr. Dan O'Malley—Vice Chair
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Mr. Patrick Seager Village of Hoffman Estates X N
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Mr. Kenneth Koop
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Mrs.Julie Logan—Treasurer City of Highland Park X
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Mrs. Christine Tromp—Secretary Village of Elk Grove Village X M
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Attendee Organization Present Absent
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Rich Stokluska,Tamarah Holm,
Gallagher X
Tia Incapreo,and Tim Corr
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Information Item : Treasurer's Report 2019-0417
........................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
Recommendation of Action
Presentation and acceptance.
See attached report.
ATTACHMENTS:
• SLIP Treas Rpt 2019-0417 (PDF)
• SLIP Month ly-Aggregate-Monitoring-Report-Valued-March-31-2019 (PDF)
• Treas Rpt 2019-0417 Att 3 -2019-2020 Invoice Reconciliation (PDF)
Trustee Liaison Staff Contact
Logan Julie Logan, Suburban Liability Insurance Pool
Wednesday, April 17, 2019
Updated: 4/10/2019 3:07 PM Page 1
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Suburban Liability e ryi�o ra i�r�i d u rn
Insurance Pool
Date: April 10, 2019
To: SLIP Board Members
From: Julie Logan, SLIP Treasurer
Subject: Treasurer's Report 2019-0417
Board Members:
Cash receipts and disbursements since the March board meeting include:
1,554-00 Received from the City of Highland Park on 4/9 for premium to insure two
drones (new purchase) 0
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0.00 Disbursements
Expenditures for disbursement on April 17:
1,554.00 Gallagher Invoice 29588019 for premium to insure two drones,to be P
Presented for approval at the April board meeting
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112 Dykema Invoice 3245576, approved at the March board meeting
.50 9
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Attached is an Investment Policy Draft,which I developed based Illinois Statute and Gallagher- N
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provided examples. Scott Anderson from the Village of Buffalo Grove reviewed the draft. I CL
recommend the Board approve this policy at the April 17, 20i9 Board meeting. W
I reviewed and recommend the Board accept the SLIP Financial Statements as of March 31, 2019 P
prepared by SLIP's accountant Phil Capps, as attached, at the April 17, 2019 Board meeting. Given e:
this is the first quarter of SLIP financial statements,the following notes are presented for your ease J
in reviewing the financial statements. It is recommended that you also reference the attached
updated 2019-2020 Invoice Reconciliation. Phil will not attend the April 17, 20ig Board meeting
due to a scheduling conflict with another Gallagher pool Board meeting. If you have questions for E
Phil,please let me know so that I can bring responses to the Board meeting.
Balance Sheet
i. Highland Park B&T Operating Account 452,349
Total SLIP Invoice Add-ul?457,234 less unpaid Dykema invoice 112.
2. CCNISI Claims Account 5,000
As approved by the Board.
3. Prepaid Insurance 762,6o8
75%of(Premium Totals 96o,017+ Claims Administration 58,349 —Premium for Two
Drones 1,554*).
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Insurance Pool
4. Accounts Payable 112
Unpaid Dykema Invoice 3245576, approved at the March board meeting.
5. Unearned Contribution 1,1o6jo8
Highland Park B&T Operating Account 452,349 + CCMSI Claims Account 5,000 + Prepaid
Insurance 762,608 -Accounts Payable 112-Net Position 113,736.
6. Net Position 113,736
Inception-to-date Net Income per Statement of Revenues, Expenses and Changes in Net
Position.
Statement of Revenues, Expenses and Changes in Net Position
REVENUE
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i. Insurance Premiums 193,365
25%of(Premium Totals 960,017- Risk Management Fee 185,000 —Premium for Two
Drones 1,554*).
2. Loss Fund 112,500
25%of(Loss Fund 450,000).
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3. Claims Fees 14,587 9
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25%of(Claims Administration(CCMSI) 58,349).
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4. Brokerage Fees 46,250 w
25%of(Risk Management Fee (AJG) 185,000).
5. Administrative Fees 2,000
25%of(Operations Fee(Various) 8,000).
6. Excess Coverage 77,801 E
25% of(Premiums for Excess Crime 7,839 + Excess Liability(Allied) 140,000 + Excess
Liability(StarStone) 10,057+ Cyber Liability 43,201 + Excess Property 94,874 + Equipment <
15,231).
7. Excess Loss Fund 77,801
25% of(Premiums for Commercial Package 462,261).
EXPENSES
8. Commissions 46,250
25% of(Risk Management Fee (AJG) 185,000).
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Suburban Liability e ryl o ra i�r�i d u rn
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9. Claims Fee Expense 14,587
25% of(Claims Administration(CCMSI) 58,349).
lo.LegalFees 600
Dykema Invoices previously approved by Board for 337.50, 150.00, and 112.50.
ii. Supplies&Materials 164
Highland Park B&T account set-up charges for 150 checks,5o deposit slips, i stamp, 1
disbursement journal, 1 check book cover, and 1 Logo fee.
NET INCOME = NET POSITION
12. Net Income 113,735
Add-up of Revenue less Add-up of Expenses.
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*-The Gallagher Invoice 29588o1g for the premium to insure City Highland Park's two drones,which
will be presented for approval at the April board meeting,was not forwarded to SLIP's accountant in
time to include in the March financial statements as an accounts payable. This premium will be
accounted for on the second quarter 2019 financial statements.
Please let me know if you have questions.
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Attachments: i-Investment Policy Draft
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2-SLIP Financial Statements as of March 31, 2019 CL
3 -2019-2020 Invoice Reconciliation
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vInformation Item : Monthly Aggregate Claims Monitoring Report
........................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
Recommendation of Action
Review report.
See attached report.
ATTACHMENTS:
• SLIP Month ly-Aggregate-Monitoring-Report-Valued-March-31-2019 (XLSX)
Trustee Liaison Staff Contact
Village Manager Bragg Dane Bragg, Office of the Village Manager
Wednesday, April 17, 2019
Updated: 4/10/2019 4:02 PM Page 1
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Information Item : Investment Policy
........................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
Recommendation of Action
Policy review and discussion.
See attached policy.
ATTACHMENTS:
• Treas Rpt 2019-0417 Att 1 - SLIP Investment Policy_April 2019_Draft (PDF)
Trustee Liaison Staff Contact
Stein, Logan Julie Logan, Suburban Liability Insurance Pool
Wednesday, April 17, 2019
Updated: 4/10/2019 3:15 PM Page 1
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Investment Policy
Updated April 2019
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SLIP I INVESTMENT POLICY I APRIL 20191 DRAFT
Investment of Funds
A. Scope
This investment policy applies to funds of the Suburban Liability Insurance Pool("SLIP").These funds are
accounted for in SLIP's independently prepared and independently audited annual financial report and
include all current funds, and any other funds that may be created from time to time.Transactions involving
the investment of funds and related activity of any funds shall be administered in accordance with the ;,
provisions of this policy and the Intergovernmental Cooperation Act(5 ILCS 220/16). 2
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B. Objectives
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1. Safety of Principal— Investments shall be undertaken in a manner that seeks to ensure the preservation y
of principal in the overall portfolio.To attain this objective only appropriate investment instruments will
be purchased and insurance or collateral may be required to ensure the return of principal. S
2. Liquidity— SLIP's investment portfolio shall be structured in such manner as to provide sufficient
liquidity to pay obligations as they come due.
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3. Return on Investments—The investment portfolio shall be designed to attain a market-average rate of N
return throughout budgetary and economic cycles,taking into account the risk constraints,the cash
flow characteristics of the portfolio, and legal restrictions for return on investments. Q-
4. Maintaining the Public's Trust — Investment officers shall seek to act responsibly as custodians of the
public trust and shall avoid any transaction that might impair public confidence in SLIP,the Board,the 0
a.
Executive Committee,the Chairman or the Treasurer.
5. Diversification-It is SLIP policy to diversify its investment portfolio. Investments shall be diversified to
eliminate the risk of loss resulting in over concentration in a specific maturity, issuer, or class of
securities. Diversification strategies shall be determined and revised periodically by the Treasurer and c
implemented after authorization by the Board or Executive Committee. a.
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6. Performance—The Board or Executive Committee shall develop performance measures appropriate for
the nature and size of the funds within its custody.The separately created Mandate Document provides
guidance of the performance measures. The Mandate Document, as developed, approved, and as may Q
be amended by the Board or Executive Committee from time to time, serves as a supplement to this
Investment Policy, which is incorporated herein by reference and shall provide for guidance to SLIP's c
Investment Advisor. c�
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C. Investment Instruments a
SLIP may invest in any type of security permitted the under the Public Funds Investment Act (30 ILCS
235/2)and/or the Intergovernmental Cooperation Act(5 ILCS 220/15)which are incorporated herein by i
reference as though fully set forth herein, except investment products that are considered as derivatives
or repurchase agreements are specifically excluded from approved investments.
D. Investment Guidelines
�o
1. "Prudent Person" Rule - SLIP hereby adopts the "Prudent Person" rule which provides as follows: a
"Investments should be made with the judgment and care, under circumstances then prevailing, that
persons of prudence, discretion, and intelligence exercise in the management of their own affairs, not
for speculation but for investment,considering the probable safety of their capital as well as the probable
income to be derived from the investment."
2. Investment Advisors-Any investment advisor retained by SLIP must be a fiduciary,who has the power
to manage, acquire, or dispose of any asset of SLIP, has acknowledged in writing that he or she is a
fiduciary with respect to SLIP and that he or she has read and understands SLIP's First Amended
Investment Policy.
K1_Liability Insurance\SLIP\Policies\Investment\SLIP Investment Policy_April 2019_Draft.docx Packet Pg. 21
7.A.1.a
SLIP I INVESTMENT POLICY I APRIL 20191 DRAFT
E. Collateralization
1. SLIP policy is to require that time deposits in excess of FDIC insurable limits be secured by collateral
or private insurance, at 11o% of value,to protect public deposits in a single financial institution if it
were to default.
2. Eligible collateral instruments are any investment instruments acceptable under the Public Funds
Investment Act(230 ILCS 235). The collateral must be placed in safekeeping at or before the time SLIP
buys the investments so that it is evident that the purchase of the investment is predicated on the
securing of collateral.Any change in collateral by the issuing bank will be exchanged for like kind •o
collateral. a.
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3. Safekeeping of Collateral
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a) Third party safekeeping is required for all collateral.To accomplish this,the securities can be >
held at the following locations: S
1) A Federal Reserve Bank or its branch office;
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2) At another custodial facility in a trust or safekeeping department through book-entry at the T'
Federal Reserve; N
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3) by an escrow agent of the pledging institution; and/or Q-
4) by the trust department of the issuing bank. 2
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b) Safekeeping will be documented by the SLIP Board or Executive Committee approved a
written agreement that complies with FDIC regulations.This may be in the form of a
safekeeping agreement.
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c) Substitution or exchange of securities held in safekeeping for SLIP can be approved exclusively by c
either the Chairman or Treasurer provided the market value of the replacement securities is equal to a.
or greater than the market value of the securities being replaced.
F. Safekeeping of Securities
Q
1. Third party safekeeping is required for all securities and commercial paper.To accomplish this,the r�
securities can be held at the following locations: c
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a) A Federal Reserve Bank or its branch office; c
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b) At another custodial facility—generally in a trust or safekeeping department through book-entry at a
the Federal Reserve unless physical securities are involved; and/or
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c) In an insured account at a primary reporting dealer.
2. Safekeeping will be documented by the SLIP Board or Executive Committee approved written
agreement.This may be in the form of a safekeeping agreement,trust agreement, escrow agreement
or custody agreement. U
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3. Original certificates of deposit will be held by the originating bank.A safekeeping receipt will be
acceptable documentation.
K1_Liability Insurance\SLIP\Policies\Investment\SLIP Investment Policy_April 2019_Draft.docx Packet Pg. 22
7.A.1.a
SLIP I INVESTMENT FOLIC`( I APRIL 20191 DRAFT
G. Qualified Financial Institutions and Intermediaries
1. Depositories —Demand Deposits
a) Any financial institution selected by SLIP shall provide normal banking services,including,but not
limited to: checking accounts,wire transfers and safekeeping services.
b) SLIP will not maintain funds in any financial institution that is not a member of the FDIC system. _
In addition, SLIP will not maintain funds in any institution not willing nor capable of posting a
required collateral for funds or purchasing private insurance in excess of FDIC insurable limits.
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c) To qualify as a depository, a financial institution must furnish the Treasurer with copies of the y
latest two statements of condition which it is required to furnish to the Comptroller of Currency as
the case may be.While acting as a depository, a financial institution must continue to furnish such c
statements to the Treasurer within 45 days of the end of each quarter.
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d) Fees for banking services shall be mutually agreed to by an authorized representative of the ❑i
depository bank and the Treasurer,with approval of the SLIP Board or Executive Committee. Fees
for services shall be substantiated by a monthly account analysis,when if needed. N
e) All financial institutions acting as a depository for SLIP must enter into a"Depository C
Agreement."
2. Banks and Savings and Loans— Certificates of Deposit a
Any financial institution selected to be eligible for SLIP's competitive certificate of deposit
purchase program must meet the following requirements.
N
a) Shall provide wire transfer and certificate of deposit safekeeping services. c
b) Shall be a member of FDIC system and shall be willing and capable of posting required
collateral or private insurance for funds in excess of FDIC insurable limits.
c) Shall have met the financial criteria as established in the SLIP investment policy. Q
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3. Intermediaries
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Any financial intermediary selected to be eligible for SLIP's competitive investment program must meet
the following requirements. N
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a) Shall provide wire transfer and certificate of deposit safekeeping services.
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b) Shall be a member of a recognized U.S. Securities and Exchange Commission SLIP Regulatory
Organization such as the New York Stock Exchange, National Association of Securities Dealers, };
Municipal Securities Rule Making Board,etc.
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c) Shall provide an annual audit upon request.
d) Shall have an office of Supervisory Jurisdiction within the State of Illinois and be licensed to a
conduct business in this State.
e) Shall be familiar with SLIP's Board's policy and accept financial responsibility for any
investment not appropriate according to the policy.
K1_Liability Insurance\SLIP\Policies\Investment\SLIP Investment Policy_April 2019_Draft.docx Packet Pg. 23
7.A.1.a
SLIP I INVESTMENT POLICY I APRIL 20191 DRAFT
H. Management of Program
1. The following individuals are authorized to purchase and sell investments, authorize wire transfers,
authorize the release of pledged collateral, and to execute any documents required under this policy:
a) Chairman
b) Treasurer _
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These documents include: a
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1) Wire Transfer Agreement
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2) Depository Agreement c
3) Safekeeping Agreement
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4) Custody Agreement
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2. Internal Controls N
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Management responsibility for the investment program is hereby delegated to the Chairman and a
Treasurer,who shall establish a system of internal controls and written operational policies designed to
prevent losses of funds that might arise from fraud,employee error,misrepresentation by third parties, 2
or imprudent actions by employees of the entity. Such policies shall include explicit deletion of authority a.
to persons responsible for investment transactions; check signing, check reconcilement,deposits,bond
payments,report preparation and wire transfers.No person may engage in any investment transaction m
except as provided for under the terms of this policy.The Treasurer shall be responsible for all y
transactions undertaken and shall establish a system of controls to regulate the activities of >
subordinates.
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3. Ethics and Conflicts of Interest (n
The Board or Executive Committee members and any other persons involved in the investment process
shall refrain from personal business activity that could conflict with the proper execution of the Q
investment program, or which could impair their ability to make impartial investment decisions.
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4. Indemnification
0
With the exception of any outside Investment Adviser retained by SLIP, any Board or Executive a
Committee member and any other persons,if applicable, acting in accordance with this Investment
Policy and any written operational procedures as have been or may be established, and exercising due
diligence and reasonable care, shall be relieved of personal liability for any individual investments credit
risk,monetary risk or market changes in fund values.
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5. Reporting E
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The Treasurer shall submit to the SLIP Board or Executive Committee an investment report at each 2
scheduled meeting, or at a minimum quarterly,which shall include information regarding portfolio a
investments,including securities by type or class,book value,income earned,and market value as of the
report date. Generally accepted accounting principles shall be used for valuation purposes.The report
shall indicate any areas of policy concern and planned revision of investment strategies.
6. Amendment
This Investment Policy shall be reviewed from time to time by the SLIP Board or Executive Committee
with regards to the policy's effectiveness in meeting SLIP's needs for safety,liquidity, rate of return,
diversification, and general performance. Any substantive changes will be reported to the SLIP Board
and approved by the SLIP Board or Executive Committee.
K1_Liability Insurance\SLIP\Policies\Investment\SLIP Investment Policy_April 2019_Draft.docx Packet Pg. 24
7.A.1.a
SLIP I INVESTMENT POLICY I APRIL 20191 DRAFT
7. Miscellaneous
Any investment policy provisions set forth in 5 ILCS 22o/16 and not specifically set forth in this
Investment Policy are incorporated herein by reference.
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K1_Liability Insurance\SLIP\Policies\Investment\SLIP Investment Policy_April 2019_Draft.docx Packet Pg. 25
7.A.2
............................................V
Information Item : FOIA Policy
........................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
Recommendation of Action
Policy review and discussion.
See attached policy.
ATTACHMENTS:
• Suburban Liability Insurance Pool FOIA Policy Draft (PDF)
Trustee Liaison Staff Contact
Director of Finance Anderson Scott Anderson, Finance
Wednesday, April 17, 2019
Updated: 4/10/2019 3:18 PM Page 1
Packet Pg. 26
7.A.2.a
Suburban Liability Insurance Pool
50 Raupp Boulevard
Buffalo Grove, Illinois 60089
Procedure for Request of Public Records
Suburban Liability Insurance Pool's Regulations Concerning the Illinois
Freedom of Information Act 5 ILCS 140/1 et seq.
ARTICLE I
Section 1.1 Summary and Purpose
a) These regulations are established to implement the provisions of the Freedom of 0
a.
Information Act (5 ILCS 140/1 et seq). The purpose of these regulations is to support the Q
policy of providing access to the public records in the possession of the Pool while, at the o
same time, protecting legitimate privacy interests and maintaining administrative
efficiency. o
b) These rules create a procedure by which the public may request and obtain public c
records. a
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Section 1.2 Definitions U.
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a) Terms not defined in this Procedure shall have the same meaning as in the Act (Section a
as
140/2). c
b) "Act" means the Illinois Freedom of Information Act. (5 ILCS 140/1 et. seq.)
c) "Freedom of Information Officer" shall be as defined in Section 140/3.5 of the Act.
d) "Requestor" means a person who submits a request for public records in accordance with
these regulations.
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ARTICLE II c�a
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Section 2.1 Requests for Public Records
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Requests for inspection or to copy public records shall be made to the President of the
Suburban Liability Insurance Pool. Written requests can be submitted to the Pool by personal E
delivery, mail, fax or other means available, including email. The Pool may honor a verbal
request to either inspect or copy a public record. The Pool will provide a standard form, a
identified as Exhibit D to this Directory to assist in the request for public records although
requests can be made in any other written manner as well.
Requests for public records submitted to the President of the Suburban Liability Insurance Pool
shall be directed to the entity responsible for maintaining the public records requested. Requests
for public records will be handled during the following normal working hours: Monday-Friday
8:00 A.M. to 4:30 P.M.
Packet Pg. 27
7.A.2.a
Section 2.2 Form and Content of Requests
a) Requests in accordance with the Act and these regulations may be made in writing or as
noted in Section 2.1 above. Such requests may be submitted on forms, provided by the
Pool as shown on Exhibit D. or in a similar format.
b) The requestor shall provide the following information in a request for public records:
1. The requestor's full name, address and phone number.
2. A description of the public records sought, being as specific as possible.
3. Whether the request is for inspection of public records, copies of public records,
or both. In addition, the requestor shall note if the public records that are being
requested are for a commercial purpose or whether there is a request to waive
any fees that may be due. a
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ARTICLE III O
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Section 3.1 Timeline for Pool Response
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a) The Pool shall respond to a request for public records within 5 business days after the
receipt of such request; please note that Day 1 of the 5 day timeline is the first business a°
day after the request is received by the Pool. Response would include either a compliance g
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with the request, a written request for an extension, or a denial, and said denial shall be U.
in writing. °o
b) The Village may give notice of an extension of time to respond which does not exceed an CD
additional 5 business days, from the original due date, or a total of 10 business days from
the request. Such an extension is allowable only if notice is provided within the original 5 y
business day time limit and only for the reasons provided in Section 140/3 (e) of the Act.
Such notice of extension shall state the reasons why the extension is necessary and be in
the format as shown on Exhibit E.
c) A requestor and the Pool may agree in writing to extend the time for compliance for a
period to be determined by both parties.
d) The response requirements for compliance or denial of a request for public records set
out in this Section 3.1 shall not apply to requests for records made for commercial cn
purposes. Such requests shall be subject to the provisions of Section 140/3.1 of the Act. c
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Section 3.2 Types of Pool Responses
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a) The Pool shall respond to a request for public records in one of following ways: a
1) Approve the request.
2) Approve in part and deny in part.
3) Deny the request.
4) Give notice of an extension.
Packet Pg. 28
7.A.2.a
5) Provide an opportunity for a conference.
b) Upon approval of a request for public records, the Pool may either provide the materials
immediately, give notice that the materials shall be made available upon payment of
appropriate fees, or give notice of the time and place for inspection of records.
c) Categorical requests creating an undue burden upon the Pool shall be denied only after
extending to the requestor an opportunity to confer in an attempt to reduce the request
to manageable proportions in accordance with Section 140/3 (g) of the Act. A letter for
this procedure is at Exhibit G.
d) A denial of a request for public records shall be made in writing. It shall state the reasons o
for the denial in accordance with Section 140/3 (g), Section 140/7, or Section 140/7.5 of a
a
the Act and the names and titles of individuals responsible for the decision, and shall o
include a detailed factual basis as to why the exemption was claimed. The format letter
for denial is at Exhibit H.
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e) The Pool can remove or black out information from documents released if the information
is exempt from disclosure under the Act. This process is called "redaction" and if used, a°
the Pool will release the remaining information, if it too is not exempt from disclosure. A g
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redaction is considered a partial denial and therefore, the requestor will be notified of U.
such partial denial. Depending upon the reason for the redaction, the letter noted in a
Exhibit I will be provided. 4)
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f) Copies of all requests and denials will be retained by the Freedom of Information Officers.
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ARTICLE IV
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Section 4.1 Right to Review of a Denial
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a) As part of a denial of a request for public records, the Pool will inform such requestor of Cn
their right to review by the Public Access Counselor and will be provided with the address
and phone number for the Public Access Counselor (Section 140/9.5 of the Act). E
b) In addition, each notice of denial shall inform the requestor of their right to a judicial
review as set forth in Section 140/11 of the Act. a
Section 4.2 Permission to Assert Two Specific Exemptions Under the Act
If the Pool believes that the records requested under the Act fall into one of two specific
exemptions in the Act, and intends to assert those exemptions and withhold the records in whole
or in part from disclosure, the Pool must provide written notice to the Public Access Counselor
("PAC'), within the Office of Attorney General, before asserting either exemption. A letter
specific to requests for such exemptions is at Exhibit K.
Packet Pg. 29
7.A.2.a
Specifically, if the Pool intends to withhold information from disclosure because either (1)
disclosure of the information would result in an unwarranted invasion of personal privacy (5 ILCS
140/7(1)(c)) ("personal information") or (2) the information falls into the exemption for
preliminary policy drafts (5 ILCS 140/7(1)(f)), the Pool must provide written notice to the PAC
asserting either of the exemptions.
Once the PAC receives the written notice from the Pool, they have five (5) working days to
determine if further inquiry is necessary. If it is determined that further inquiry is necessary to
determine whether either of the exemptions may be used,the timeline for a Request for Review
begins and the Pool must provide any information requested by the PAC within seven (7)working
days of receiving the PAC's request. During the time period that the PAC is reviewing whether
the Pool can assert either of these exemptions, the original response timeline requirements a°
cease for the Pool to respond to the request (5 ILCS 140/9.5(b)). Q
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ARTICLE V +,
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Section 5.1 Inspection of Records at Pool Offices
a) Generally, public records will be made available for inspection during normal working a°
hours of the Pool. g
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b) Documents which the requestor wishes to have copied shall be segregated during the U.
course of the inspection. Generally, all copying shall be done by Pool officials. °o
c) Unless otherwise arranged, the inspection of records shall take place at the office of the 4)
Department concerned. For purposes of convenience, either the Pool or the requestor
may request that inspection take place in another Department office location. y
d) An official of the Pool may be present throughout the inspection. A requestor may be
prohibited from bringing bags, brief cases or other containers into the inspection room.
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Section 5.2 Charges for Public Records
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a) Copies of public records shall be provided to the requestor only upon payment of any
charges which are due and are subject to the authority as further set forth in Section
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140/6 of the Act. ;
b) Except where a fee is otherwise fixed by State statute, charges for copies of public records
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shall be assessed as follows:
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No fees shall be charged for the first fifty(50) pages of black and white, letter or legal sized copies, a
requested by the requestor. Copies in excess of fifty(50) in a black and white format, on letter or
legal sized paper, shall be $.15/page. If color copies are requested, and can be provided, or if
copies are provided in a size other than letter or legal,the actual cost for reproducing the records
will be due.
The following company will photocopy and invoice any person or company who required many
copies to be made:
Packet Pg. 30
7.A.2.a
PR2 Blueprint
5100 Newport Drive, Suite 1
Rolling Meadows, IL 60008
(847) 3985-5855
Certification fees are $1.00 per record.
c) Charges may be waived, or provided at a reduced rate, in any case where the Pool
determines that the waiver serves the public interest. "Public interest" is set forth in
Section 140/6 (c) of the Act.
d) If a public record is provided to the requestor in an electronic format,the Pool may charge a
the requestor for the actual cost of purchasing any recording medium, including but not Q
limited to, disc, diskette, tape or other medium. o
ARTICLE VI
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Section 6.1 Requests for Commercial Purposes
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The Pool will respond to a request for records that will be used for a commercial purpose within g
twenty-one (21) working days after receipt. The response shall (i) provide to the requestor an O.
estimate of the time required to provide the records requested, along with an estimate of the °o
fees to be charged, which the Pool will require the requestor to pay in full before reproducing .
the requested documents, (ii) deny the request pursuant to one or more of the exemptions set c
forth in the Act, (iii) notify the requestor that the request is unduly burdensome and extend an
opportunity to the requestor to attempt to reduce the request to manageable proportions, or y
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(iv) provide the records requested. A letter specific to requests for commercial purposes is at _
Exhibit J.
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Unless the records are exempt from disclosure, the Pool shall comply with the request within a
reasonable period considering the size and complexity of the request. In addition,the Act allows
for a priority to be given to record requests of a non-commercial nature.
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It shall be a violation of the Act for a person to knowingly request or obtain a public record or
records for a commercial purpose without disclosing that such request has been fora commercial
purpose, if requested to do so by the Pool. °
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Section 6.2 Definition of Commercial Purpose
The Act defines a "Commercial Purpose" (5 ILCS 140/2 (c-10)) to mean the use of any part of a
public record or records, or information derived from public records in any form for sale, resale,
or solicitation or advertisement for sales or services.
For purposes of the definition, requests made by news media and non-profit, scientific, or
academic organizations shall not be considered to be made for a "commercial purpose" when
the principal purpose of the request is (i)to access and disseminate information concerning news
Packet Pg. 31
7.A.2.a
and current or passing events, (ii) for articles of opinion or features of interest to the public, or
(iii) for the purpose of academic, scientific, or public research and education.
ARTICLE VII
Section 7.1 Private Information & Personal Information
The Act is not intended to cause an unwarranted invasion of personal privacy. The Act allows for
an exemption of personal information contained within public records which would constitute a
clearly unwarranted invasion of personal privacy, unless the disclosure is consented to in writing
by the individual subjects of the information. "Unwarranted invasion of privacy "is defined to
mean the disclosure of information that is highly personal or objectionable to a reasonable o
person and in which the subject's right to privacy outweighs any legitimate public interest in Q
obtaining the information. (5 ILCS 140/7(1)(c)) O
Section 7.2 Private Information-Definition a
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Private information means unique identifiers, including social security numbers, driver's license 2
number, employee identification number, biometric identifiers, personal financial information, a°
passwords or other access codes, medical records, home or personal telephone numbers, and g
personal email addresses. Private information also includes home address and personal license U.
plates, except as otherwise provided by law or when compiled without possibility of attribution c
to any person.
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ARTICLE VIII >,
Section 8.1 Freedom of Information Officers
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The Pool has designated Freedom of Information Officers as identified within this Directory.
Except in instances when records are furnished immediately, Freedom of Information Officers,
or their designees, shall receive requests submitted to the Pool under the Act, ensure that the Cn
Pool, as represented by the responsible department or division, respond to a request in a timely
manner, and will issue responses, when necessary, as required by the Act. Freedom of E
Information Officers are also responsible to develop and maintain a list of documents or
categories of records that the Pool shall disclose upon request. a
PUBLIC ACCESS COUNSELOR
The Illinois Attorney General's Office provides for the position of Public Access Counselor("PAC")
whose mission is to assist individuals obtain public documents and to offer, as appropriate both
advisory and binding opinions as part of ensuring public bodies comply with the Act.The PAC also
has another responsibility under the Act, that being if the Pool wants to withhold information
from a requestor based upon one of two specific exemptions under the Act. They are (1)
disclosure of personal information that would result in an unwarranted invasion of personal
Packet Pg. 32
7.A.2.a
privacy; or (2) that the information requested falls under the exemption of preliminary policy
drafts. In these cases, the Pool must provide written notice to the PAC before asserting these
exemptions.
The Attorney General, through the PAC, can also provide the Pool with an advisory opinion
regarding compliance with the Act upon submittal of a written request. The request can only be
submitted by the Pool President or Pool Attorney. The request must contain sufficient accurate
facts in order for a determination to be made and if required to facilitate a review, the PAC may
request additional information from the Pool. While the Pool has a right to request an advisory
opinion, the Attorney General is not obligated to issue such an opinion and may decline to do so
(5 ILCS 140/9.5(h))
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If a requestor believes that the Pool has wrongly denied their FOIA request, a Request for Review Q
(Request) can be submitted to the PAC. The Request is a formal way of asking the PAC to look at o
the original request, as well as the Pool's response, so as to determine if a violation of the Act
has occurred. The Request must be in writing, signed by the requestor, and must include a o
summary of the facts supporting the allegation. In addition, the Request must contain a copy of
the original FOIA request and any responses from the Pool (5 ILCS 140/9.5(a)). The Request must o
be submitted to the PAC within 60 days afterthe denial of the FOIA request and can be submitted a
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either by email or U.S. Mail. The address is: U.
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Public Access Bureau
Office of the Attorney General
500 South 2nd Street
Springfield, Illinois 62706 c
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Via E-Mail:
publicaccess@atg.state.il.us cn
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Based upon the review of the Request, the PAC can decide no further review is necessary, go E
through the process of issuing a binding opinion or attempt to resolve the dispute using more
informal means. The PAC may choose informal mediation of a dispute where the PAC will work a
with the Pool and the requestor to reach an agreement and resolve the dispute. The results of
mediation will not include a binding opinion.
When the PAC receives a written Request, it has seven (7) working days to either: (1) decide no
further review is necessary in that the alleged violation is believed unfounded or (2) send a copy
of the Request to the Pool and request more information that may involve records needed to
complete their review. If a request for additional information is made, the Pool has seven (7)
working days to provide the requested information. Please note that the Pool, when providing
Packet Pg. 33
7.A.2.a
records, is permitted to provide a written answer to the allegations that may have been made
and may provide affidavits in support of its position (5 ILCS 140/9.5 (e)).
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