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120213a Agenda PackageHARNETT COUNTY BOARD OF COMMISSIONERS County Administration Building 102 East Front Street Lillington, North Carolina Regular Meeting December 2, 2013 9:00am 1. Call to order -Chairman Jim Burgin 2. Pledge of Allegiance and Invocation-Commissioner Joe Miller 3. Reorganization of the Board-Margaret Regina Wheeler, Clerk to the Board 4. Consider additions and deletions to the published agenda 5. Consent Agenda A. Minutes B. Budget Amendments C. Tax refunds, rebates and release D. Senior County Staff Attorney requests approval to destroy the closed session audio recordings of county manager and finance officer candidate interviews pursuant to the County Management Records Retention Schedule. E. County Engineer requests approval of increasing change order #5 with WECC Inc. in the amount of$34,925 that includes the approach apron redesign for Dunn-Erwin Transfer Station. F. Emergency Services requests approval of Angier & Black River Fire Department's request to purchase a vehicle to replace the Fire Chiefs current aging vehicle. G. Emergency Services requests approval ofNorthwest Harnett Volunteer Fire Department's request to spend $60,000 to purchase land to build a new sub-station. H. Resolution recognizing Edison H. Johnson, Jr., for his dedicated public service in North Carolina as Executive Director of the NC Capital Area MPO since 2003. I. General Services/Transportation requests approval of the Fiscal Year 2014 Community Transportation Program Agreement. The amount awarded to the County is $342,108 which includes a local match of$45,167. J. Consider Resolution Levying an Additional One-Quarter cent (114¢) County Sales and Use Tax K. Cooperative Extension/Parents As Teachers, requests permission to increase the Parents As Teachers budget by $77,669 to reflect 100% allocation by Harnett County Partnership for Children for a total of$155,337 for the 2013-2014 fiscal year. L. Legal Services requests approval of waiver of claims agreement with carrier. 6. Period of up to 30 minutes for informal comments allowing 3 minutes for each presentation 7. Appointments Page 1 8. Public Utilities respectfully requests approval by the Board of Commissioners of the County of Harnett, North Carolina, sitting as the Governing Body of the South Central Water and Sewer District of Harnett County, ofNC DOT right-of-way easement from South Central Water and Sewer District of Harnett County. The property is located off of Overbills Road and is owned by the South Central Water and Sewer District of Harnett County. This District will receive $15,650 as compensation for the right-of-way. 9. Fayetteville Area Metropolitan Planning Organization (F AMPO) requests consideration of Resolution Approving Memorandum of Understanding for Transportation Planning in the Fayetteville Metropolitan Area, Michael Rutan, F AMPO Transportation Planner 10. Discuss Sidewalk Maintenance for Ray Road, Michael Rutan, F AMPO Transportation Planner 11. Public Disclosures: 1) Public disclosure per NCGS 143-318.11(a)(3) of Melvin C. Stewart, et. al. vs. County ofHarnett, 10 CVS 1874. In order to resolve and receive a general release for any and all claims against Harnett County and in exchange for an easement, Harnett County paid $20,000.00 of the total settlement amount to Plaintiffs. 2) Public disclosure per NCGS 143-318.11(a)(3) of County ofHarnett vs Rogers, et. al. vs., 12 CVS 890. 12. County Manager's report-Tommy Burns, County Manager -Audit of Sandhills Center for Mental Health, Development Disabilities and Substance Abuse financial statements 13. New Business 14. Closed Session 15. Adjourn Page2 Agenda Item 5 -If HARNETT COUNTY BOARD OF COMMISSIONERS Minutes of Regular Meeting November 18, 2013 The Harnett County Board of Commissioners met in regular session on Monday, November 18, 2013, in the Commissioners Meeting Room, County Administration Building, 102 East Front Street, Lillington, North Carolina. Members present: Staff present: Jim Burgin, Chairman Gary House, Vice Chairman Beatrice B. Hill, Commissioner Joe Miller, Commissioner C. Gordon Springle, Commissioner Tommy Bums, County Manager Joseph J effiies, Deputy County Manager Tony Wilder, Deputy County Manager Dwight Snow, County Attorney Kimberly Honeycutt, Interim Finance Officer Margaret Regina Wheeler, Clerk to the Board Chairman Burgin called the meeting to order at 7:00pm. Commissioner Hill led the pledge of allegiance and invocation. Chairman Burgin administered the Oath of Office of the Finance Officer to Kimberly A. Honeycutt. Chairman Burgin also thanked the Finance Office staff present for the job they do. Chairman Burgin called for additions and deletions to the published agenda. Mr. Bums requested the addition of a Proclamation proclaiming November 2013 as National Hospice Palliative Care Month. Commissioner Miller moved to approve the agenda as amended. Commissioner Springle seconded the motion which passed unanimously. Commissioner Hill requested Public Utilities' request for approval of write-offs for the third quarter of 2013 be removed from the consent agenda for discussion purposes. Commissioner Hill moved to approve the items listed on the revised consent agenda. Commissioner Springle seconded the motion which passed unanimously. 1. Minutes: October 21,2013 Regular Meeting Minutes November 4, 2013 Regular Meeting Minutes 2. Mid-Carolina RPO requested approval ofthe 2013 Locally Coordinated Human Service Transportation Plan. November 18,2013 Regular Meeting Minutes Harnett County Board of Commissioners Page 1 of 4 3. Public Utilities requested approval of a utility easement on existing Harnett County property located on Alpine Drive in Barbeque Township to the Central Electric Membership Corporation. 4. Proclamation Proclaiming November 2013 Family Caregiver Month 5. Planning Services requested approval of a contract agreement with TRS Range Services to provide evaluation and consultation services related to firing range regulations. This requests also asks for funding approval in the amount of$3,000 to perform such services. A review committee formed to assist in the development of potential text amendments related to this topic, feels that this professional assistance will be helpful in drafting new regulations surrounding firearm related land development. 6. Public disclosure per NCGS 143-318.11(a)(3) of the worker's compensation claim of Donna Renee Collins. A copy ofthe Order approving the final settlement of$10,000 was provided. 7. Public disclosure per NCGS 143-318.11(a)(3) of the worker's compensation claim of Ashley Rosser. A copy of the Order approving the final settlement of$70,000 was provided. 8. IT requested approval to purchase (7) Motorola MCC 7500 Consoles direct from the Manufacturer-Motorola at cost of$459,786 using the sole source purchasing option. This is part of the overall Radio Communications Project and is a 911 eligible expense and will be paid out of the Emergency Telephone System Fund Balance (Fund 240) 9. Proclamation Proclaiming November 2013 as National Hospice Palliative Care Month Chairman Burgin opened the floor for informal comments by the public, allowing up to 3 minutes for each presentation up to 30 minutes. No one spoke. Vice Chairman House moved to approve the appointments listed below. Commissioner Hill seconded the motion which passed unanimously. HARNETT COUNTY PUBLIC LIBRARY BOARD OF TRUSTEES Margaret House (nominated by Chairman Burgin) was appointed to serve as a member on this board for a term 3 years ending November 30, 2016. JUVENILE CRIME PREVENTION COUNCIL Chris Carr (nominated by Commissioner Springle) was appointed to serve on this council for a term of2 years ending November 30, 2015. November 18,2013 Regular Meeting Minutes Harnett County Board of Commissioners Page 2 of4 Public Utilities requested approval ofwrite-offs for the third quarter of2013 in the amount of $25,939.17. Commissioner Hill expressed concern regarding the amount ofwrite-offs. Mr. Bums said it could be any number of reasons including renters walking away from the account and the deposit not being sufficient to cover the balance due, customers not honoring their payment agreements, bankruptcy or foreclosure. Mr. Bums said we do a lot of things to try to work with customers to keep their bills current. Mr. Bums explained the need to declare these debts as write-offs so we can then submit them to the Debt Set-OffProgram in an attempt to collect. Mr. Bums confirmed that a customer would have to pay their old bill before they could set up a new account and customers must provide a copy of a signed lease if renting. Commission Hill moved to approve the request as presented. Commissioner Springle seconded the motion which passed unanimously. Dionne While, Transit Services Manager, petitioned the Board for a public hearing to allow citizens an opportunity to comment on the proposed Fiscal Year 2014/2015 Community Transportation Program Application. The Community Transportation Program provides assistance to coordinate existing transportation programs operating in Harnett County as well as provide transportation options and services for the communities within the service area. These services are currently provided using demand response and subscription routes. Serves are rendered by center aisle, lift equipped, minivans and light transit vehicles. The estimated amount requested is $640,108 with the County's estimated contribution of$74,967. Chairman Burgin called to order a public hearing on the matter and opened the meeting for comments from the public. Seeing no one move, Chairman Burgin closed the public hearing. Steve Berube with Harnett County Animal Services petitioned the Board for a public hearing and approval of proposed amendment to the Municipalities Animal Control Ordinance (Town of Angier, Coats, Erwin and Lillington) regarding the keeping of chickens. Mr. Berube reported that the Town of Angier, Coats, Erwin and Lillington have approved the amendment. Chairman Burgin called to order a public hearing on the matter and opened the meeting for comments from the public. Seeing no one move, Chairman Burgin closed the public hearing. Commissioner Springle moved to approve the proposed amendment to the Municipalities Animal Control Ordinance (Town of Angier, Coats, Erwin and Lillington) regarding the keeping of chickens. Commissioner Miller seconded the motion which passed unanimously. Chairman Burgin thanked Animal Services staff for all they are doing. Mr. Bums presented the following report: Planning Services Report October 2013 Veteran Affairs Activities Report October 2013 Community Development Monthly Performance Status Report Oct. 2013 Inter-Departmental Budget Ordinance Amendments/change orders November 18, 2013 Regular Meeting Minutes Harnett County Board of Commissioners Page 3 of4 Mr. Bums reminded commissioners of the upcoming Local Government Association Meeting at 6:30pm on November 19,2013, at the Brass Lantern in Dunn. Chairman Burgin called for any new business. Chairman Burgin thanked everyone for supporting the y,t cent sales tax referendum. Mr. Bums gave an overview of the process, including a forthcoming resolution, which would make the sales tax increase effective April 1, 2014. Commissioner Miller moved that the Board go into closed session to 1) to consult with the County's legal counsel in order to preserve the attorney-client privilege concerning the handling of certain claims including the following legal action: "County of Harnett vs. Randy D. Rogers and Gary A. House" File No. 12 CVS 890; 2) discuss matters relating to the location or expansion of industries or other businesses in Harnett County; and 2) to discuss certain personnel matters. This motion is made pursuant to N.C. General Statute Section 143-318.11 (a)(3)(4)&(6). Commissioner Springle seconded the motion which passed unanimously. Commissioner Hill moved that the Board come out of closed session. Commissioner Springle seconded the motion which passed unanimously. Commissioner Hill moved to adjourn the meeting at 8:13 pm. Commissioner Springle seconded the motion which passed unanimously. Jim Burgin, Chairman Margaret Regina Wheeler, Clerk November 18,2013 Regular Meeting Minutes Harnett County Board of Commissioners Page 4 of4 Agenda Item 5-8 BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the General Fund, Cooperative Extension, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-7310-465.11-00 Salaries & Wages; Full Time 38,438 i 110-7310-465.12-00 Salaries & Wages; Part Time 21,767 110-7310-465.21-00 Group Insurance 52 110-7310-465.21-05 Employee Clinic 287 110-7310-465.22-00 FICA 4,536 110-7310-465.23-00 Regular Retirement 4,612 110-7310-465.25-00 Unemployment Benefits 786 110-7310-465.26-08 Worker's Camp 910 110-7310-465.41-11 Telecommunications & Postage 370 110-7310-465.44-21 Building & Equipment Rent 360 110-7310-465.58-14 Travel 4501 110-7310-465.60-53 Dues & Subscriptions 1,050 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-0000-334-73-10 Parents as Teachers 77,669 EXPLANATION: APPROVALS: To increase the Parents as Teachers budget by $77,669 to reflect the 100% allocation by the Harnett County Partnership for Children for a total of $155,337 for the 2013-2014 fiscal year. Department Head {date) Hk County Manager {date) tt/:LS/!3 Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this day of Margaret Regina Wheeler Clerk to the Board Jim Burgin, Chairman Harnett County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the Transportation, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-4650-410.32-70 Capital Assistance-TDP $95,000 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-0000-334.55-03 NC Transportation-Capital $107,300 110-0000-339.00-00 Fund Balance Appropriated $12,300 EXPLANATION: To adjust expenditure and revenue lines to reflect the amount granted by the NCDOT Capital Assistance Program for FY1314. APPROVAlS: anager (date) ( ( (1 25 (3 il \; Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this Margaret Regina Wheeler Clerk to the Board day of Jim Burgin, Chairman Harnett County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the General Fund, Sheriff's Department, the appropriations are to be changed as follows: : EXPENDITURE AMOUNT AMOUNT 1 CODE NUMBER I DESCRIPTION OF CODE INCREASE DECREASE ! 110-5100-420-43-21 1 Maintenance & Repairs-Auto 12,767.00 :- : I I I : ! ' REVENUE I AMOUNT AMOUNT 1 , CODE NUMBER I DESCRIPTION OF CODE INCREASE DECREASE I 110-0000-356-30-00 !Insurance claims 12,767.00 I l I I I I I EXPLANATION: To transfer$ 12,767.03 received for an accident into the Sheriff's auto repairs expenditure line. APPROVALS: J()J~v' ~ ,,, Finance Officer,(date) anager (date) (: _/ . : tl L5f... I 3 Department Head (date) Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this Margaret Regina Daniel, Clerk to the Board day of 12013. Jim Burgin, Chairman Harnett County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the Finance Department, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-4400-410.33-50 Contracted Services (Mise) 10,000 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-0000-3 54-01-00 Sale of Other Assets 10,000 EXPLANATION: To budget funds needed for both the GovDeals internet auction costs {$3000) and RAM software ($3650) and increase revenue line to show revenue from sales of assets. APPROVAlS: / I '-K)-I '\ \ /~ _JC) \{ t£-·-t v-' ~ -epartment Head (date) Finance Officer tdate) Co y Manager (date) ~ ( /1 12.. -s/ ( J Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to {he Budget Officer and the Finance Officer for their direction. Adopted this Margaret Regina Wheeler Clerk to the Board day of James A. Burgin, Chairman Harnett County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2013: Section 1. To amend the General Fund, Re Entry Healthy Choice, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE l l 0-5899-420-32-64 Re-Entry Healthy Choice $5,622 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE l l 0-0000-334-4 l -08 Re-Entry Healthy Choice $5,622 EXPLANATION: To budget reallocation of funds from the Department of Juvenile Justice and Delinquancy Prevention. for the Re-Entry Healthy Choice Program. The ten percent required match will be an in-kind provided by the Re-Entry program. APPROVALS: Projects/ raniS' Finance & Accounting Specialist '\/) ~'\ \)<-)\?:__,_j t ;'\.(-LV.---1--~ •. ' Finance Officer (date) unty Manager (date) U /2. <;(/'3. Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted ____________________________________ _ Margaret Regina Daniel, Clerk to the Board Jim Burgin, Chairman Harnett County Board of Comm BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the Transportation Budget, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-0000-322.46-50 Transportation/Dial-A-Ride 25,000 110-0000-322.46-51 Transportation/ Agency 200,000 110-0000-34 7.17-00 Sales & Services/Transportation Fees 225/000 To separate transportation's agency and client fees and also move those fees from an inactive account into new account lines. APPROVALS: ~ tfl-~/,1 ?/1/ 1/ Department Head (date) )(?J C)-'-',, ~~1 ,\.~.\ Finance Officer {~ate} I ' Manager (date) t t ( 2.5//.3 Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this-------day of _______ .....~ 2013. Margaret Regina Daniel/ Interim Clerk to the Board Jim Burgin, Chairman Harnett County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2013; Section 1. To amend the General Fund, Health Department, the appropriations are to be changed as follows: EXPENDITURE CODE NUMBER 110-7510-441.32-10 REVENUE CODE NUMBER 11 0-0000-353-15-00 EXPLANATION: AMOUNT AMOUNT DESCRIPTION OF CODE INCREASE DECREASE Recognition $ 385.00 AMOUNT AMOUNT DESCRIPTION OF CODE INCREASE DECREASE Contributions/Donations/RSVP-Special Projects $ 385.00 Budget Amendment to reduce the Donations received in the RSVP budget. They had budgeted $1,920 for the Mt. Airy trip and only received $1,535. Finance Officer {Oat~ ( ! ,) Section 2. Copies of this budget amendment shall be furnished to the Clerk of the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this Margaret Regina Wheeler, Clerk to the Board day of Jim Burgin, Chairman Harnett County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, That the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the WIA Youth Program, the appropriations are to be changed as follows: EXPENDITURE AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE 234-7406-465.35-26 Participant Cost 6,294.00 Total 0.00 REVENUE AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE 234-0000-331.74-06 Sampson-Youth (IN) 6,294.00 Total 6,294.00 EXPLANATION: Additonal funding awarded by the Triangle South Workforce Development Board to operate the youth program in Sampson County. Section 2. Copies of this budget amendment shall be furnished to the clerk to the Boar Budget Officer and the Finance Officer for their direction. Adopted this------day of _________________ _ AMOUNT DECREASE 0.00 AMOUNT DECREASE 0.00 Margaret Regina Daniel, Interim Clerk to the Board Timothy B. McNeill, Chairman Harnet County Board of Commissioners BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the WIA Youth Program Fund, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 234-7407-465.32-73 Training Vouchers 5000.00 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 234-0000-331.74-07 Harnett Youth-Out of School 5000.00 EXPLANATION: To cover expenditure in the above line items. APPROVALS: c~ t.L ,u11tt /UJ1lJ 1 fltQ ,3 Department Head (date) -)(J __ ):) \t v~~~c~ ~ "Finance Officer (date) ounty Manager (dat~ ! J ) tA i 2-S I Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this Margaret Regina Wheeler Clerk to the Board day of Jim Burgin, Chairman Harnett County B"~··rl of Commissioners Agenda Item S-C Date: 12/02/2013 Approved By=-------- TO : HARNETT COUNTY BOARD OF COMMISSIONERS RE: CONSIDERATION OF REFUND FOR TAXES, INTEREST AND PENALTIES FOR ALL MUNICIPALITIES AUSTIN, DEMERY M AUSTIN, FRANCES G PO BOX 519 0000001942-2013-2013-000000 BUIES CREEK NC, 27506-0000 2 CURRIN, NELSON T ESTATE, GARDIAN OF 0000013367-2009-2009-000000 PO BOX 1700 BUIES CREEK NC, 27506-0000 3 HAYES, SHARRY LYNN 291 PINE NEEDLES DR LILLINGTON NC, 27546-0000 0000043981-2013-2013-000000 4 MULDER, KELLY M HUSBAND, ORLOSKY BRIAN 420 RUNNINGBROOK LANE 0000029662-2013-2013-000000 CAMERON NC, 28326 5 POND HOLDING LLC POST OFFICE BOX 1029 0000023250-2010-2009-000000 COATS NC 275210000 COATS NC, 27521-0000 6 POND HOLDING LLC POST OFFICE BOX 1029 0000023250-2010-2010-000000 COATS NC 275210000 COATS NC, 27521 -0000 7 POND HOLDING LLC POST OFFICE BOX 1029 0000023250-2011-2011-000000 COATS NC 275210000 COATS NC, 27521-0000 8 POND HOLDING LLC POST OFFICE BOX 1029 0000023250-2012-2012-000000 COATS NC 275210000 COATS NC, 27521-0000 9 TEW,ADAMA 210 BISHIP LANE 0000027691-2013-2013-000000 DUNN NC, 28334 WM. A. TONY WILDER Revenue Administrator City 0.00 County 1,035.09 City 0.00 County 710.81 City 0.00 County 534.47 City 0.00 County 2,682.03 City 0.00 County 848.55 City 0.00 County 848.55 City 0.00 County 863.55 City(CI01) 511.78 County 783.55 City(CI05) 366.50 County 667.40 City Total County Total Total to be Refunded 1,035.09 Refund 710.81 Refund 534.47 Refund 2,682.03 Refund 848.55 Refund 848.55 Refund 863.55 Refund 1 ,295.33 Refund 1,033.90 Refund 878.28 8,974.00 9,852.28 Veterans Exemption Value Decrease Disability Exemption Veterans Exemption Value Decrease Value Decrease Value Decrease Value Decrease Clerical Error Date : 12/02/2013 Approved By : TO : HARNETT COUNTY BOARD OF COMMISSIONERS RE: CONSIDERATION OF REFUND FOR TAXES, INTEREST AND PENALTIES FOR ALL MUNICIPALITIES BINGHAM, CAROL PATRICIA City 0.00 Military BINGHAM, ROBERT DONALD 0001673657-2009-2009-000000 53.60 Refund Exemption 224 LATTIMORE RD County 53.60 CAMERON, NC, 28326-6151 2 BINGHAM, CAROL PATRICIA City 0.00 Military 224 LATTIMORE RD 0001673657-2010-2010-000000 83.24 Refund Exemption CAMERON, NC 283266151 County 83.24 CAMERON, NC, 28326-6151 3 BINGHAM, CAROL PATRICIA City 0.00 Military 224 LATTIMORE RD 81.35 Refund Exemption CAMERON, NC 283266151 0001673657-2011-2011-000000 CAMERON, NC, 28326-6151 County 81.35 4 BROOKS, RYAN SHAE City 0.00 Military 32 CATTlE DR 0002084688-2012-2012-000000 175.89 Refund Exemption CAMERON, NC, 28326-9475 County 175.89 5 BROOKS, RYAN SHEA City 0.00 Military 32 CATTlE DR 0002087060-2013-2013-000000 168.55 Refund Exemption CAMERON, NC, 28326 -9475 County 168.55 6 BROWN, CANDICE ROCHELLE City(CI05) 61.49 Military 904 S SAMPSON AVE 0002089700-2013-2013-000000 157.42 Refund Exemption DUNN, NC, 28334-6112 County 95.93 7 CRENSHAW, JAMES LEWIS City 0.00 Military 57 LEGGETT DR 0001990406-2013-2013-000000 75.80 Refund Exemption CAMERON, NC 283266087 County 75.80 CAMERON, NC, 28326 -6087 8 CURRIN, NELSON T City 0.00 Value Decrease ESTATE, GARDIAN OF PO BOX 1700 0000013367-2008-2008-000000 261.14 Refund BUIES CREEK NC, 27506-County 261.14 0000 9 HAWKINS, DARREN ALAN SR City() 22.23 Situs Correction 16 CYRACT 0001413394-2013-2008-000000 22.59 Refund FUQUAY VARINA, NC, 27526-County 0.36 5692 10 HAWKINS, DARREN ALAN SR City() 20.02 Situs Correction 16 CYRACT 0001413394-2013-2009-000000 20.34 Refund FUQUAY VARINA, NC, 27526 -County 0.32 5692 11 HAWKINS, DARREN ALAN SR City() 19.06 Situs Correction 16 CYRACT 0001413394-2013-2010-000000 19.36 Refund FUQUAY VARINA, NC, 27526-County 0.30 5692 12 HAWKINS, DARREN ALAN SR City() 18.49 Situs Correction 16 CYRACT 0001413394-2013-2011-000000 18.77 Refund FUQUAY VARINA, NC, 27526-County 0.28 5692 13 HAWKINS, DARREN ALAN SR City() 16.90 Situs Correction 16 CYRACT 0001413394-2013-2012-000000 17.16 Refund FUQUAY VARINA, NC, 27526-County 0.26 5692 14 0001677895-2013-2008-000000 City() 71.82 64.86 Refund HAWKINS, DARREN ALAN SR HAWKINS, STELLA MARIE 16 CYRACT County 0.00 Situs Correction FUQUAY VARINA, NC, 27526- 5692 15 HAWKINS, DARREN ALAN SR City() 62.70 Situs Correction HAWKINS, STELLA MARIE 16 CYRACT 0001776025-2013-2010-000000 65.10 Refund FUQUAY VARINA, NC, 27526-County 2.40 5692 16 HAWKINS, DARREN ALAN SR City() HAWKINS, STELLA MARIE 59.53 Situs Correction 16 CYRACT 0001888891-2013-2011-000000 61.80 Refund FUQUAY VARINA, NC, 27526-County 2.27 5692 17 HAWKINS, DARREN ALAN SR City() 58.38 Situs Correction HAWKINS, STELLA MARIE 16 CYRACT 0001888891-2013-2012-000000 60.60 Refund FUQUAY VARINA, NC, 27526-County 2.22 5692 18 HAWKINS, DARREN ALAN SR City() 55.26 Situs Correction HAWKINS, STELLA MARIE 16 CYRACT 0001888891-2013-2013-000001 57.35 Refund FUQUAY VARINA, NC, 27526-County 2.09 5692 19 HAWKINS, DARREN ALAN SR City() 19.74 Situs Correction 16 CYRACT 0001995147-2013-2012-000000 20.35 Refund FUQUAY VARINA, NC, 27526-County 0.61 5692 20 HAWKINS, DARREN ALAN SR City() 19.35 Situs Correction 16 CYRACT 0001995147-2013-2013-000001 19.95 Refund FUQUAY VARINA, NC, 27526 -County 0.60 5692 21 HAWKINS, STELLA MARIE City() 64.28 Situs Correction 16 CYRACT 0001887907-2013-2011-000000 66.75 Refund FUQUAY VARINA, NC, 27526-County 2.47 5692 22 HAWKINS, STELLA MARIE City() 63.90 Situs Correction 16 CYRACT 0001887907-2013-2012-000000 66.35 Refund FUQUAY VARINA, NC, 27526 -County 2.45 5692 23 HAWKINS, STELLA MARIE City() 89.38 Situs Correction 16 CYRACT 0002085226-2013-2012-000000 92.90 Refund FUQUAY VARINA, NC, 27526-County 3.52 5692 24 JOHNSON, BLAKE DAMIEN City 0.00 Military 1444 HOLLY SPRING CHURCH 0002083238-2012-2012-000000 111.46 Refund Exemption BROADWAY, NC, 27505 -8865 County 111.46 25 JOHNSON, CYNTHIA MARIE City 0.00 Military JOHNSON, BLAKE DAMIEN Exemption 1444 HOLLY SPRINGS 0002083940-2012-2012-000000 4.06 Refund CHURCH County 4.06 BROADWAY, NC, 27505 -8865 26 JOHNSON, JOSEPH L Ill City 0.00 Value Decrease M, JOHNSON MELISSA 0002002422-2013-2013-000000 134.23 Refund 604 MELODY LANE County 134.23 CAMERON NC, 28356 27 JOHNSON, MIL TON GALE SR City 0.00 Value Decrease JOHNSON, BRENDA NORRIS 0001777004-2010-2010-000000 29.25 Refund 1595 LANE RD County 29.25 DUNN, NC, 28334 -0000 28 0001777004-2011-2011-000000 City 0.00 37.66 Refund JOHNSON, MIL TON GALE SR JOHNSON, BRENDA NORRIS 1595LANE RD County 37.66 Value Decrease DUNN, NC, 28334-0000 29 JOHNSON, MIL TON GALE SR City 0.00 JOHNSON, BRENDA NORRIS Value Decrease 1595lANE RD 0001777004-2012-2012-000000 45.88 Refund DUNN, NC, 28334-0000 County 45.88 30 KUBENY, ROSSE KUBENY, CATHERINE C City 0.00 Value Decrease PO BOX937 0000029804-2008-2008-000000 247.15 Refund LILLINGTON NC 275460000 County 247.15 LILLINGTON NC, 27546 31 KUBENY, ROSSE City KUBENY, CATHERINE C 0.00 Value Decrease PO BOX937 0000029804-2009-2009-000000 331.82 Refund LILLINGTON NC 275460000 County 331.82 LILLINGTON NC, 27546 32 KUBENY, ROSSE City 0.00 KUBENY, CATHERINE C Value Decrease PO BOX 937 0000029804-2010-2010-000000 331.82 Refund LILLINGTON NC 275460000 County 331.82 LILLINGTON NC, 27546 33 KUBENY, ROSS E City 0.00 KUBENY, CATHERINE C Value Decrease PO BOX937 0000029804-2011-2011-000000 336.82 Refund LILLINGTON NC 275460000 County 336.82 LILLINGTON NC, 27546 34 KUBENY, ROSS E KUBENY, CATHERINE C City 0.00 Value Decrease PO BOX937 0000029804-2012-2012-000000 354.74 Refund LILLINGTON NC 275460000 County 354.74 LILLINGTON NC, 27546 35 MORGAN, ROBERT B No Longer PO BOX 1057 City 0.00 LILLINGTON NC 275460000 0000038442-2008-2008-000000 62.39 Refund Owns LILLINGTON NC, 27546 -0000 County 62.39 36 MORGAN, ROBERT B No Longer PO BOX 1057 City 0.00 LILLINGTON NC 275460000 0000038442-2009-2009-000000 69.57 Refund Owns LILLINGTON NC, 27546-0000 County 69.57 37 MORGAN, ROBERT B City No Longer PO BOX 1057 0.00 LILLINGTON NC 275460000 0000038442-2010-2010-000000 69.57 Refund Owns LILLINGTON NC, 27546 -0000 County 69.57 38 MORGAN, ROBERT B No Longer PO BOX 1057 City 0.00 LILLINGTON NC 275460000 0000038442-2011-2011-000000 69.57 Refund Owns LILLINGTON NC, 27546-0000 County 69.57 39 MORGAN, ROBERT B No Longer PO BOX 1057 City 0.00 LILLINGTON NC 275460000 0000038442-2012-2012-000000 69.57 Refund Owns LILLINGTON NC, 27546-0000 County 69.57 40 PATTON, CARLTON Dwelling Not PATTON, FLORA C City 0.00 63 MAYER ROAD 0000041740-2013-2013-000000 70.00 Refund Liveable CAMERON NC, 28326 -0000 County 70.00 41 RAMBEAUT, KEVIN DANIEL City 0.00 155 MARIAN LN Double-Listed SPRING LAKE NC, 28390 -0001753441-2013-2013-000000 3.52 Refund 7289 County 3.52 42 RESENDEZ,CHELSEY Military CHARLOTTE City 0.00 276 ARLINGTON DR 0002090767-2013-2013-000000 172.19 Refund Exemption CAMERON, NC, 28326-6560 County 172.19 43 SMITH-MILLER, DEBORAH City 0.00 No Dwelling on SMITH-MILLER, SMITH-Property FREEMAN JOYCE 0000048470-2008-2008-000000 176.93 Refund 5108 CASLAND DRIVE County 45.00 RALEIGH NC, 27604-0000 44 SMITH-MILLER, DEBORAH City 0.00 No Dwelling on SMITH-MILLER, SMITH-Property FREEMAN JOYCE 0000048470-2009-2009-000000 175.56 Refund 5108 CASLAND DRIVE County 45.00 RALEIGH NC, 27604 -0000 45 SMITH-MILLER, DEBORAH City 0.00 No Dwelling on SMITH-MILLER, SMITH-Property FREEMAN JOYCE 0000048470-2010-2010-000000 175.56 Refund 5108 CASLAND DRIVE County 45.00 RALEIGH NC, 27604 -0000 46 SMITH-MILLER, DEBORAH City 0.00 No Dwelling on SMITH-MILLER, SMITH-Property FREEMAN JOYCE 0000048470-2011-2011-000000 180.56 Refund 5108 CASLAND DRIVE County 50.00 RALEIGH NC, 27604 -0000 47 SMITH-MILLER, DEBORAH City 0.00 No Dwelling on SMITH-MILLER, SMITH-Property FREEMAN JOYCE 0000048470-2012-2012-000000 204.14 Refund 5108 CASLAND DRIVE County 70.00 RALEIGH NC, 27604 -0000 48 STEWART, JOHN C City(CI03) 13.69 Double-Listed 4617 KRESSON PL 0000049424-2003-2003-000000 40.00 Refund RALEIGH NC 276165221 County 26.31 RALEIGH NC, 27616 49 TART, ERNEST WAYNE City 0.00 Value Decrease 187 HUNTINGTON DR 0002082343-2012-2012-000000 32.75 Refund DUNN, NC, 28334-9636 County 32.75 50 VAUGHN, ELIZABETH City(CI03) 4.57 MCCARTY 0001778640-2013-2013-000000 10.80 Refund PO BOX342 County 6.23 Value Decrease COATS, NC, 27521 -0342 51 WINSTEAD, JAMES PATRICK City 0.00 WINSTEAD, AMY ELIZABETH 0001686163-2009-2009-000000 199.07 Refund Military 2 LION LANE County 199.07 CAMERON, NC, 28326 Exemption 52 WINSTEAD, JAMES PATRICK City 0.00 WINSTEAD, AMY ELIZABETH 0001686163-2010-2010-000000 215.94 Refund Military 2 LION LANE County 215.94 CAMERON, NC, 28326 Exemption 53 WINSTEAD, JAMES PATRICK City 0.00 WINSTEAD, AMY ELIZABETH 0001686163-2011-2011-000000 195.83 Refund Military 2 LION LANE County 195.83 CAMERON, NC, 28326 Exemption 54 WINSTEAD, JAMES PATRICK City 0.00 WINSTEAD, AMY ELIZABETH 0001686163-2012-2012-000000 178.73 Refund Military 2 LION LANE County 178.73 CAMERON, NC, 28326 Exemption WM. A. TONY WILDER City Total 740.79 Revenue Administrator County Total 4,676.78 Total to be 5,417.57 Refunded CC: WM. A. TONY WILDER Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e AC G C LL C 24 7 0 7 8 4 00 0 0 0 6 3 2 2 0 20 0 9 RE I RE L E A S E - SE T T L E M E N T OF PT C AP P E A L . 26 0 9 1 5 4 00 0 0 0 6 3 2 2 0 20 1 0 RE I 28 3 5 9 5 2 00 0 0 0 6 3 2 2 0 20 1 1 RE I 30 3 8 8 7 8 00 0 0 0 6 3 2 2 0 20 1 2 RE I AN D E R S O N . JA M E S R JR 32 3 6 8 1 0 00 0 0 0 0 1 3 4 2 20 1 3 RE I AN D E R S O N . M Y R T L E MA T T H E W S 31 9 6 2 6 6 RE L E A S E -S E T T L E M E N T OF PT C AP P E A L . RE L E A S E - SE T T L E M E N T OF PT C AP P E A L . RE L E A S E - SE T T L E M E N T OF PT C AP P E A L . DO U B L E W I D E BE L O N G S TO SH A W N BA I L E Y . PE R KF 00 0 0 0 0 1 3 8 4 20 1 3 RE I RE B A T E D AN D RE B I L L E D TO GR A N T EL D E R L Y EX E M P T I O N FO R 20 1 3 . AN D E R S O N . TE R R Y RI C H A R D 33 3 5 9 1 9 00 0 2 1 0 2 5 1 0 20 1 3 IN D BO A T HA S BE E N LI S T E D IN LE E CO U N T Y 20 0 6 - 2 0 1 2 A N D PA I D PE R LE E CO U N T Y 33 3 5 9 2 0 00 0 2 1 0 2 5 1 0 20 1 3 IN D BO A T HA S BE E N LI S T E D IN LE E CO U N T Y 20 0 6 - 2 0 1 2 A N D PA I D PE R LE E CO U N T Y 33 3 5 9 2 1 00 0 2 1 0 2 5 1 0 20 1 3 IN D BO A T HA S BE E N LI S T E D IN LE E CO U N T Y 2 0 0 6 - 2 0 1 2 A N D PA I D PE R LE E CO U N T Y 33 3 5 9 2 2 00 0 2 1 0 2 5 1 0 20 1 3 IN D BO A T HA S BE E N LI S T E D IN LE E CO U N T Y 20 0 6 - 2 0 1 2 A N D PA I D PE R LE E CO U N T Y 33 3 5 9 2 3 00 0 2 1 0 2 5 1 0 20 1 3 IN D BO A T HA S BE E N LI S T E D IN LE E CO U N T Y 20 0 6 - 2 0 1 2 A N D PA I D PE R LE E CO U N T Y AS H L E Y . DO U G L A S CA R E Y 31 9 9 3 4 7 00 0 0 0 2 6 5 6 4 20 1 3 RE I V a l u e D e c r e a s e Re b a t e A m t LateAmt 2. 7 0 2 . 0 4 0.00 51 9 . 8 8 0.00 78 8 . 1 0 0.00 23 5 . 4 8 96.56 AT & T CO M M U N I C A T I O N S 83.64 0 00 31 8 5 3 4 3 . 11 / 2 2 / 2 0 1 3 Page 1 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt 00 0 1 8 9 5 2 1 2 20 1 3 PU B IN C O R R E C T BI L L I N G DI S T R I C T S 31 9 0 3 2 4 00 0 1 0 0 9 6 3 4 20 1 3 PU B RE L E A S E - IN C O R R E C T BI L L I N G . 25 . 6 2 AU T R Y . JA M E S L 31 8 7 5 9 9 00 0 0 0 0 2 0 1 4 20 1 3 IN D RE B A T E D AN D CO M B I N E D WI T H AB S T R A C T # 2 0 1 3 - 1 7 2 1 6 4 7 TO IN C L U D E EL D E R L Y EX E M P T I O N FOR 2013 32 3 9 3 3 2 00 0 1 7 2 1 6 4 7 20 1 3 RE I B A D G E T I . J W 32 4 5 1 7 1 00 0 0 0 0 2 3 2 8 20 1 3 RE I BA L D W I N . TE R R Y DO N N E L L 31 8 7 5 5 8 00 0 1 9 9 5 7 8 7 20 1 3 IN D BA N K OF TH E OZ A R K S 32 4 5 7 3 5 00 0 1 5 8 5 0 2 6 20 1 3 RE I BA R A J A S . OL E G A R I O 30 1 0 4 4 9 00 0 0 0 4 4 8 0 8 20 1 2 RE I BE A S L E Y PA U L CO N C R E T E IN C 30 3 2 1 1 9 RE B A T E D AN D RE B I L L E D TO IN C L U D E 19 8 5 TI T A N MH O M E FO R EL D E L R Y EX E M P T I O N FO R 2013 49 5 . 2 1 RE B A T E D AN D RE B I L L E D TO GR A N T EL D E R L Y EX E M P T I O N FO R 20 1 3 1. 0 0 1 . 0 3 RE B A T E D DU E TO VE H I C L E WA S SO L D FO R JU N K IN 20 1 2 ; TH I S WA S A FO R C E BI L L 14 . 3 1 RE B A T E D VA L U E PE R BO Y D ; MA J O R I T Y WA S T E L A N D AN D UN US E A B L E 82 5 . 0 0 RE B A T E PE R BO Y D - C O R R E C T I O N TO CO N D I T I O N OF HO M E 84 3 . 5 6 00 0 0 0 0 4 0 1 2 20 1 2 RE I PE R MI C H E L E , GI S ; PA R C E L # 0 2 - 1 5 2 6 - 0 0 3 4 DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 6 - 0 0 0 5 . RELEASE ENTIRE 30 6 1 8 4 1 00 0 0 0 0 4 0 1 1 20 1 2 RE I 32 2 2 8 9 5 00 0 0 0 0 4 0 1 2 20 1 3 RE I 32 4 8 0 1 2 BI L L . PE R TW PE R MI C H E L E , GI S ; PA R C E L # 0 2 - 1 5 2 6 - 0 0 2 1 DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 6 - - 0 0 0 5 . RELEASE ENTIRE BI L L . PE R TW PE R MI C H E L E , GI S ; PA R C E L # 0 2 - 1 5 2 6 - 0 0 3 4 DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 6 - 0 0 0 5 . RELEASE ENTIRE BI L L . PE R TW 00 0 0 0 0 4 0 1 1 20 1 3 RE I PE R MI C H E L E , GI S ; PA R C E L # 0 2 - 1 5 2 6 - 0 0 2 1 DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 6 - 0 0 0 5 . RELEASE ENTIRE BI L L . PE R T W 15 9 . 7 4 0.00 0.00 1.43 0.00 0.00 11 / 2 2 / 2 0 1 3 Page 2 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt · ~ - - - ~ - - · - BE L L . DE W A Y N E 32 1 3 5 5 7 00 0 0 0 0 0 8 6 7 20 1 3 RE I CO R R E C T I O N OF SQ . FT . PE R BB B[ A C K . T E M U E L D Il l 10 3 . 5 1 0.00 24 0 7 3 5 4 00 0 0 0 0 4 9 0 4 20 0 9 BU S RE F U N D DU E TO AU D I T FI N D I N G S 25 9 2 0 5 9 00 0 0 0 0 4 9 0 4 20 1 0 BU S RE F U N D DU E TO AU D I T FI N D I N G S 27 8 6 5 4 3 00 0 0 0 0 4 9 0 4 20 1 1 BU S 31 6 2 9 4 2 00 0 0 0 0 4 9 0 4 20 1 2 BU S RE F U N D DU E FR O M AU D I T FI N D I N G S --~ - - - ~ 6 0 1 J i l l _ 0.00 BR I G G S . SE F E R I N A 31 9 1 5 6 7 00 0 1 6 8 5 4 2 3 20 1 3 RE I CO R R E C T SQ . F T . PE R BB 79 7 . 2 8 BU R T O N . DA V I D W 32 4 2 6 2 6 00 0 0 0 0 4 1 6 3 20 1 3 RE I CO R R E C T E D AY B / E Y B . HO U S E MO V E D ON T O TH I S PA R C E L AN D RE M O D E L L E D . PE R KF 27 8 . 7 3 0.00 CA G L E . CA R L E T T A R 32 3 6 6 1 7 00 0 0 0 0 8 5 6 7 20 1 3 RE I R/ W P E R BB 32 5 4 6 3 6 00 0 1 5 5 3 9 1 1 20 1 3 RE I RI W P E R BB 11 4 . 0 1 CA G L E . HU G H MI C H A E L 32 1 1 0 2 1 00 0 1 0 9 2 4 1 8 20 1 3 RE I RE B A T E - P R O P E R T Y NO T US E A B L E , PE R BO Y D BE A S L E Y CA R O L I N A T E L E P H O N E 19 . 3 0 -0.00 31 8 1 6 7 0 00 0 1 0 0 9 6 8 5 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 31 8 2 5 6 4 11 / 2 2 / 2 0 1 3 Page 3 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 1 0/ 1 / 2 0 1 3 To 1 0/ 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt 00 0 1 0 0 9 6 8 6 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 31 8 8 5 5 1 00 0 1 0 0 9 6 6 8 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . CH A R T E R FI B E R L I N K 13 . 8 1 9 . 5 7 0.00 31 8 5 6 6 9 00 0 1 7 8 2 7 7 1 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 14 2 . 1 7 0.00 CH R I S T I A N . GR E G O R Y LE E 32 5 2 2 9 9 00 0 0 0 4 9 8 9 1 20 1 3 RE I RE B A T E PE R BO Y D - C O N D I T I O N OF HO M E 17 0 . 4 2 0.00 CO U G H L I N . MA R K J 32 2 1 0 1 9 00 0 1 6 8 5 2 2 5 20 1 3 RE I RE B A T E PE R BO Y D - C O R R E C T I O N TO SQ U A R E FO O T A G E 67 . 4 9 0.00 CU R L E Y . LE T T I E M 32 1 8 7 0 6 00 0 0 0 3 5 8 1 5 20 1 3 RE I RE B A T E PE R BO Y D - V A C A N T PR O P E R T Y , RE L E A S E D ON E SO L I D WA S T E FE E 70 . 0 0 0.00 DE P U E . JO S E P H A 26 1 0 2 2 6 00 0 1 6 9 9 2 3 2 20 1 0 RE I CO R R E C T I O N OF LA N D CO D E S & VA L U E S PE R BB 28 4 2 9 5 8 00 0 1 6 9 9 2 3 2 20 1 1 RE I RE B A T I N G IN FU L L TO MA K E VA L U E AD J U S T M E N T AN D TO AP P L Y TH E EX E M P T I O N . 31 4 3 3 5 3 00 0 1 6 9 9 2 3 2 20 1 2 RE I RE L E A S E - RE B A T I N G IN FU L L IN OR D E R TO CO R R E C T LA N D VA L U E AN D EX E M P T I O N . 32 4 1 6 2 0 00 0 1 6 9 9 2 3 2 20 1 3 RE I RE L E A S E - RE L E A S I N G BI L L IN FU L L IN OR D E R TO CO R R E C T LA N D VA L U E AN D AP P L Y EL D E R L Y EXEMPTION. DI E S E R . MI C H A E L J 32 4 1 4 3 4 00 0 0 0 3 4 1 8 3 20 1 3 RE I ON L Y ON E HO M E ON PR O P E R T Y . RE L E A S E ON E SO L I D WA S T E FE E . PE R KF DU D L E Y . JA M E S E 32 5 2 3 4 7 11 / 2 2 / 2 0 1 3 3. 4 7 5 . 3 8 0.00 13 1 . 4 6 0.00 Page 4 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt 00 0 0 0 3 8 5 9 1 20 1 3 RE I RE L E A S E - PA R C E L #0 4 0 6 7 3 - 0 4 9 2 - 0 1 DE L E T E D AN D CO M B I N E D WI T H TH I S PA R C E L FO R 20 1 3 . ORIGINALLY BI L L E D AS .5 2 A C . RE B I L L E D FO R .5 4 A C . EA S O N . JA M E S 90 8 . 8 1 0 31 9 4 4 6 6 00 0 0 0 1 6 0 2 9 20 1 3 RE I RE B A T E PE R BO Y D - C O N D I T I O N OF HO U S E , LA N D WE T WI L L NO T PE R K AN D RE L E A S E ON E SOLID WASTE FEE 54 4 . 0 8 0.00 EH I O G U . UC H E 31 9 0 7 6 2 00 0 0 0 2 2 4 3 3 20 1 3 RE I CO R R E C T I O N OF DA T A PE R BB 71 . 6 1 0.00 FA R I N A . RO G E R P 32 2 3 0 0 0 00 0 0 0 6 0 4 6 4 20 1 3 RE I RE B A T E D AN D RE B I L L E D TO GR A N T VE T EX E M P T I O N FO R 20 1 3 1. 5 9 1 . 2 0 0.00 FE R G U S O N . RA N D Y C 32 5 2 8 6 5 00 0 2 0 0 2 2 2 1 20 1 3 RE I CO R R E C T I O N OF SQ . FT . PE R BB 23 3 . 6 4 0.00 FL E M I N G . TH O M A S E 32 0 8 2 1 4 00 0 0 0 1 7 9 5 8 20 1 3 RE I HS E IN BA D SH A P E PE R BB 74 5 . 7 6 0.00 FO G L E . NI C H O L A S M 32 5 2 4 6 2 00 0 1 6 7 9 4 8 1 20 1 3 RE I SQ . FT . AD J U S T M E N T PE R BB 22 5 . 5 7 0.00 FR C LL C 31 8 2 0 2 7 00 0 1 0 0 9 7 1 2 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 31 8 4 4 7 2 00 0 1 0 0 9 7 0 8 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . G4 M K EN T E R P R I S E S LL C 22 2 . 9 0 0.00 32 5 4 0 9 2 00 0 2 0 0 3 0 2 1 20 1 3 RE I RE L E A S E - CO R R E C T I O N OF LE G A L DE S C R I P T I O N . 33 5 6 7 0 6 00 0 2 0 0 3 0 2 1 20 1 3 RE I RE L E A S E - RE M O V E D TW O SO L I D WA S T E FE E S . 11 / 2 2 / 2 0 1 3 Page 5 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t GL O V E R . DR E N A G 32 1 0 3 1 8 00 0 0 0 1 9 7 1 4 20 1 3 RE I GR E E N E . HA M I L T O N C JR 32 0 0 2 5 9 00 0 0 0 2 0 7 6 7 20 1 3 RE I 32 0 0 9 8 3 00 0 0 0 2 0 7 6 8 20 1 3 RE I 32 2 8 3 6 1 00 0 0 0 2 0 7 7 1 20 1 3 RE I 32 4 4 9 2 6 00 0 0 0 2 0 7 6 9 20 1 3 RE I G U N N . E V E R E T I 33 5 6 6 2 9 00 0 2 1 1 0 0 5 3 20 1 3 IN D H M' S KI D S IN C 32 5 3 8 5 7 00 0 0 0 0 8 5 8 1 20 1 3 RE I 32 6 2 3 4 1 00 0 2 0 7 6 4 2 5 20 1 3 RE I HA D D E N . PA M E L A D 32 1 6 0 3 1 00 0 0 0 2 1 5 1 0 HA I L E Y . DA V I D 31 9 1 1 9 5 20 1 3 RE I 00 0 0 0 4 5 7 2 4 20 1 3 RE I 1. 4 0 6 . 1 2 NO HO M E S I T E ON PR O P E R T Y PE R KF 22 0 . 4 1 VA L U E CO R R E C T I O N PE R BB VA L U E CO R R E C T I O N PE R BB VA L U E CO R R E C T I O N PE R BB VA L U E CO R R E C T I O N PE R BB 57 9 . 6 8 EN T E R E D WR O N G PE R C E N T A G E FO R TH I S YE A R 0. 0 0 VA L U E DE C R E A S E RE B A T E - C O R R E C T I O N OF DA T A PE R BO Y D VA L U E DE C R E A S E RE B A T E - C O R R E C T I O N OF DA T A PE R BO Y D 68 2 . 6 1 HO U S E NO T LI V E A B L E . RE L E A S E SO L I D WA S T E FE E . PE R KF 70 . 0 0 RE B A T E PE R BO Y D - C O N D I T I O N OF HO M E AN D RE L E A S E OF ON E SO L I D WA S T E FE E LateAmt 0.00 0.00 0.00 0.94 0.00 0.00 HA I L E Y . EA R L 11 8 . 4 3 Q.OQ 32 1 4 8 1 9 00 0 0 0 2 1 5 5 8 20 1 3 RE I MO V E D HO U S E TO TH I S PA R C E L FR O M PA R C E L 09 - 9 5 4 5 - 0 0 3 4 & DI S C O V E R 1 SW FE E PE R KF 32 1 6 5 7 1 11 / 2 2 / 2 0 1 3 Page 6 of 17 O w n e r N a m e Ac c o u n t # A b s t # 00 0 0 0 2 1 5 5 7 20 1 3 RE I 33 5 6 7 6 6 00 0 0 0 2 1 5 5 8 20 1 3 RE I HA L L O W E L L . AN N E J 32 0 2 2 6 7 00 0 0 0 2 1 9 1 8 20 1 3 RE I 33 3 3 4 6 2 00 0 0 0 2 1 9 1 8 20 1 3 RE I HA R R I N G T O N . CY N D I AR N O L D 32 0 1 9 4 4 00 0 0 0 1 0 9 0 8 20 1 3 RE I HA Y E S . L BO Y D 32 4 8 7 4 1 00 0 0 0 2 3 5 1 2 20 1 3 RE I HE l L . MA T T H E W SC O T T 31 9 2 3 5 0 00 0 1 7 7 9 1 6 8 20 1 3 RE I HO W E L L . MI C H E L L E J 32 3 4 7 7 3 00 0 0 0 2 5 5 0 8 20 1 3 RE I HO W R Y . GL E N N 32 3 9 8 7 9 00 0 0 0 2 5 5 4 9 20 1 3 RE I JA C K S O N . FR A N K 31 9 5 2 2 3 00 0 2 0 0 2 2 4 4 20 1 3 RE I JO H N S O N . RA N D Y K 32 2 4 6 8 5 00 0 0 0 2 7 7 9 4 20 1 3 RE I Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ta x Y e a r Ac t T y p e Na r r a t i v e R e b a t e A m t LateAmt MO V E D HO U S E FR O M TH I S PA R C E L TO PA R C E L 09 - 9 5 4 5 - 0 0 3 5 - 0 1 & RE L E A S E 1 SW FE E PER KF Va l u e D e c r e a s e 64 0 . 1 4 0.00 RE B A T E PE R BO Y D - H O U S E VA C A N T , NO T LI V E D IN YE A R S , RE L E A S E D TW O SO L I D WA S T E FEES RE B A T E PE R BO Y D - H O U S E VA C A N T , NO T LI V E D IN YE A R S , RE L E A S E D TW O SO L I D WA S T E FEES 2. 1 3 4 . 9 0 0.00 BU I L D I N G IN BA D SH A P E PE R BB 56 1 . 2 5 RE B A T E PE R BO Y D - H O U S E RE P O S S E S S E D IN 20 1 2 A N D RE L E A S E D ON E SO L I D WA S T E FEE 40 2 . 1 5 RE B A T E PE R BO Y D - H O U S E BU R N E D 10 / 2 0 1 2 , R E L E A S E VA L U E OF HO U S E AN D ON E SO L I D WASTE FEE 1. 6 3 6 . 8 4 IN C O R R E C T LA N D CO D I N G PE R BB 36.80 0.00 0.00 0.00 0.00 PR O P E R T Y OW N E R S H I P CH A N G E D 02 / 2 0 1 3 ; DI S Q U A L I F Y I N G EV E N T , EX E M P T I O N RE M O V E D FOR 2013-BUT DID NO T RE M O V E , HA D TO RE B I L L A T FU L L VA L U E AN D SE N D BI L L TO NE W OW N E R . 49 2 . 6 7 0.00 RE B A T E PE R BO Y D - S Q U A R E FO O T A G E CO R R E C T I O N 82.34 0.00 RE L E A S I N G EN T I R E BI L L IN OR D E R TO AP P L Y TH E EX E M P T I O N . 11 / 2 2 / 2 0 1 3 Page 7 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt KA L W I T Z . JO H N E M I L 32 1 6 3 5 1 00 0 0 0 0 7 6 4 1 20 1 3 RE I KE N N E T H CU M M I N G S LL C 31 9 1 9 2 5 00 0 1 5 8 4 9 7 0 20 1 3 RE I KH A N . DA N I E L A 32 5 2 4 6 1 00 0 1 6 7 9 4 8 0 20 1 3 RE I LA W R E N C E . E PA T T E R S O N 31 9 8 2 0 2 WA S T E L A N D PE R BB RE B A T E PE R BO Y D - S Q U A R E FO O T A G E CO R R E C T I O N RE B A T E PE R BO Y D - C O R R E C T I O N TO SQ U A R E FO O T A G E 16 1 . 0 0 0.00 10 6 . 4 2 0.00 11 7 . 9 8 0.00 10 6 . 5 0 0.00 00 0 0 0 3 0 5 2 9 20 1 3 RE I RE B A T E D AN D RE B I L L E D TO GR A N T EL D E R L Y EX E M P T I O N FO R 20 1 3 LE E . BR A D L E Y GL E N N 32 0 2 9 1 6 00 0 0 0 1 8 4 2 7 20 1 3 LE E . JE W E L 53 6 8 4 3 00 0 0 0 3 0 0 8 9 20 0 3 60 4 8 9 7 00 0 0 0 3 0 9 2 3 20 0 4 15 5 5 7 4 5 00 0 0 0 3 0 9 2 3 20 0 5 17 9 7 4 7 0 00 0 0 0 3 0 9 2 3 20 0 6 20 0 8 5 9 7 00 0 0 0 3 0 9 2 3 20 0 7 22 7 1 9 7 6 00 0 0 0 3 0 9 2 3 20 0 8 24 2 6 7 2 9 00 0 0 0 3 0 9 2 3 20 0 9 RE I RE I RE I RE I RE I RE I RE I RE I 95 0 . 2 6 0.00 RE B A T E - CO R R E C T I O N TO SQ U A R E FO O T A G E AN D OB X F - P E R BO Y D BE A S L E Y 22 7 . 6 3 0.00 PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 1 S DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 1 S DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L #0 2 - 1 5 2 7 -0 3 4 2 IS DO U B L E LI S T E D WI T H PA R C E L #0 2 - 1 5 2 7 -0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L #0 2 - 1 5 2 7 - - 0 3 4 2 IS DO U B L E LI S T E D WI T H PA R C E L #0 2 - 1 5 2 7 - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L #0 2 - 1 5 2 7 - 0 3 4 2 IS DO U B L E LI S T E D WI T H PA R C E L #0 2 - 1 5 2 7 - - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L #0 2 - 1 5 2 7 - 0 3 4 2 1 8 DO U B L E LI S T E D WI T H PA R C E L #0 2 - 1 5 2 7 - - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 1 S DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW 11 / 2 2 / 2 0 1 3 Page 8 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt 26 2 5 6 5 2 00 0 0 0 3 0 9 2 3 20 1 0 RE I PA R C E L #0 2 - 1 5 2 7 -- 0 3 4 2 IS DO U B L E LI S T E D WI T H PA R C E L #0 2 - 1 5 2 7 -0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR 28 2 2 5 9 4 00 0 0 0 3 0 9 2 3 20 1 1 RE I 30 3 1 1 5 9 00 0 0 0 3 0 9 2 3 20 1 2 RE I 32 2 2 0 7 5 00 0 0 0 3 0 9 2 3 20 1 3 RE I LE E . LO U I S E 32 1 8 9 0 9 00 0 0 0 3 1 0 0 1 20 1 3 RE I 32 2 9 2 3 2 00 0 0 0 3 0 9 9 0 20 1 3 RE I 33 3 0 6 9 4 00 0 0 0 3 0 9 9 0 20 1 3 RE I 33 3 1 7 5 9 00 0 0 0 3 1 0 0 1 20 1 3 RE I LU C A S . JA N I C E A 32 5 3 9 2 2 00 0 0 0 3 2 2 0 6 20 1 3 RE I MA G I L L . PA U L RO B E R T 32 4 2 7 9 4 00 0 0 0 3 2 5 1 5 20 1 3 RE I MA Z U R O W S K I . FR A N K A N D R E W 32 6 2 7 1 4 00 0 2 0 7 6 6 6 2 20 1 3 IN D 32 6 2 7 1 5 00 0 2 0 7 6 6 6 2 20 1 3 IN D MC C O R M I C K . DO R I S PU R C E L L 33 5 6 7 1 3 BI L L S . PE R TW PA R C E L # 0 2 - 1 5 2 7 - - 0 3 4 2 1 S DO U B L E LI S T E D WI T H PA R C E L # O Z - 1 5 2 7 - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L # 0 2 - 1 5 2 7 - - 0 3 4 2 1 S DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW PA R C E L # 0 2 - 1 5 2 7 - 0 3 4 2 1 S DO U B L E LI S T E D WI T H PA R C E L # 0 2 - 1 5 2 7 - - 0 3 4 2 - 0 1 . RE L E A S E CU R R E N T AND ALL PRIOR BI L L S . PE R TW 11 3 . 2 0 0.00 IN C O R R E C T HO U S E AN D LA N D DA T A & RE L E A S E 1 SW FE E PE R BB NO N LI V E A B L E HO M E S AN D VA C A N T PR O P E R T I E S & RE L E A S E 1 SW FE E PE R BB NO N LI V E A B L E HO M E S AN D VA C A N T PR O P E R T I E S & RE L E A S E 1 SW FE E PE R BB IN C O R R E C T HO U S E AN D LA N D DA T A & RE L E A S E 1 S W FE E PE R BB 1. 7 2 4 . 2 2 0.00 RE B A T E - ON L Y ON E HO M E ON PR O P E R T Y , R E B A T E D ON E SO L I D WA S T E FE E PE R BO Y D 70 . 0 0 0.00 ON L Y ON E DW E L L I N G ON PR O P E R T Y RE L E A S E 1 SW FE E PE R KL 70 . 0 0 0.00 MI L I T A R Y EX E M P T I O N HO M E OF RE C O R D FL ET S 88 8 8 8 8 MA Z U R O W S K I FR A N K AN D R E W MI L I T A R Y EX E M P T I O N HO M E OF RE C O R D FL ET S 88 8 8 8 8 MA Z U R O W S K I FR A N K AN D R E W 29 7 . 9 9 31.36 11 / 2 2 / 2 0 1 3 Page 9 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V O w n e r N a m e Ac c o u n t # A b s t # Ta x Y e a r Ac t T y p e Na r r a t i v e 00 0 2 1 1 0 1 1 8 20 1 3 IN D MH WA S LI S T E D ON T I M E BY MO T H E R MC G HO L D I N G S LL C 33 4 6 3 9 1 00 0 1 5 9 1 1 0 9 20 1 3 RE I V a l u e D e c r e a s e MC I CO M M U N I C A T I O N SE R V I C E S IN C 31 8 4 0 9 7 00 0 1 9 9 5 8 1 4 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 31 8 8 4 6 3 00 0 1 4 1 1 7 9 1 20 1 3 PU B RE L E A S E - BI L L I N G ER R O R IN AS S E S S E D VA L U E . 31 8 8 6 8 9 00 0 1 5 8 1 6 4 1 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . MC L E A N . C H A P E L F R E E 32 0 4 7 6 4 R e b a t e A m t LateAmt 0.00 3.30 1. 6 0 8 . 5 0 0.00 15 1 . 0 4 0.00 00 0 0 0 1 1 7 9 1 20 1 3 RE I CH U R C H AP P L I E D FO R EX E M P T I O N ST A T U S FO R RE L I G I O U S US E (1 0 5 - 2 7 8 . 3 , 5 ) G R A N T E D EXEMPTION FOR VA L U E OF HO U S E AN D LA N D VA L U E OF 24 . 3 5 0 ( L A N D TH A T IN C L U D E S HO U S E AN D DO C K ) ; MC L E A N . RE I D E 32 0 3 8 2 2 00 0 0 0 3 5 9 6 8 20 1 3 RE I MC N E I L L . CO Y L 32 3 0 2 4 9 RE B A T E D AN D RE B I L L E D TO IN C L U D E EL D E R L Y EX E M P T I O N FO R 20 1 3 1. 4 0 8 . 2 7 0.00 79 0 . 6 4 0.00 00 0 0 0 3 6 4 7 7 20 1 3 RE I RE B A T E D AN D RE B I L L E D TO GR A N T VE T EX E M P T I O N FO R 20 1 3 ; A D D E D VA L U E OF MH O M E TO THIS ABSTRACT (1 9 8 2 FR O N T I E R 14 X 5 6 ) MC N E I L L . TI M O T H Y B 32 3 3 0 2 6 00 0 0 0 3 6 7 8 5 20 1 3 RE I ME L E N D E Z . CH R I S T O P A E R B R I A N 32 5 3 4 6 9 ON L Y ON E MO B I L E HO M E ON PR O P E R T Y & RE M O V E 1 SW FE E PE R KF 00 0 1 9 0 7 8 5 8 20 1 3 RE I RE B A T E PE R BO Y D - S Q U A R E FO O T A G E AD J U S T M E N T ME L N Y K . MA R I E E 32 5 3 4 6 2 00 0 1 7 0 1 5 9 4 20 1 3 RE I ON L Y ON E MO B I L E HO M E ON PR O P E R T Y RE M O V E 1 SW FE E . PE R KF 11 / 2 2 / 2 0 1 3 19 6 . 7 5 0.00 11 0 . 7 5 0.00 24.83 0 00 Page 10 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt MI L L E R . JA M E S SI D D A L L 32 4 2 9 0 2 00 0 0 0 3 7 5 0 5 20 1 3 RE I MO O R E . JE F F R E Y A 32 3 0 7 0 2 00 0 0 0 3 8 1 7 9 20 1 3 RE I MO O R E . LI N D A H 22 5 5 3 8 0 00 0 0 0 3 8 2 1 2 20 0 8 RE I 24 5 0 5 2 5 00 0 0 0 3 8 2 1 2 20 0 9 RE I 26 5 0 0 5 8 00 0 1 7 3 9 0 4 5 20 1 0 RE I 28 0 4 3 6 9 00 0 1 7 3 9 0 4 5 20 1 1 RE I 30 1 9 7 2 2 00 0 1 7 3 9 0 4 5 20 1 2 RE I 32 1 0 6 7 1 00 0 1 7 3 9 0 4 5 20 1 3 RE I NE L S O N . JA S O N M 32 1 8 6 2 5 00 0 0 0 3 9 3 5 3 20 1 3 RE I OL D CA S T L E AP G SO U T H IN C 25 9 1 8 4 2 00 0 1 6 5 9 9 2 0 20 1 0 BU S 27 8 6 0 3 2 00 0 1 6 5 9 9 2 0 20 1 1 BU S 29 9 1 1 6 1 00 0 1 6 5 9 9 2 0 20 1 2 BU S PA D I L L A . AL E X I S BA S T I D A S 11 0 . 7 5 ON L Y TH R E E MO B I L E HO M E S ON PR O P E R T Y . RE L E A S E ON E SO L I D WA S T E FE E . PE R KF 70 . 0 0 HO U S E NO T LI V E A B L E . RE L E A S E SO L I D WA S T E FE E . PE R KF 70 . 0 0 RE B A T E PE R BO Y D - H O U S E TO R N DO W N IN 19 9 1 , R E M O V E D HO U S E VA L U E ON L Y , SI N G L ! = W I D E MHOME RE P L A C E D HO U S E RE B A T E PE R BO Y D - H O U S E TO R N DO W N IN 19 9 1 , R E M O V E D HO U S E VA L U E ON L Y , SI N G L E W I D E MHOME RE P L A C E D HO U S E RE B A T E PE R BO Y D - H O U S E TO R N DO W N IN 19 9 1 , R E M O V E D HO U S E VA L U E ON L Y , SI N G L E W I D E MHOME RE P L A C E D HO U S E RE B A T E PE R BO Y D - H O U S E TO R N DO W N IN 19 9 1 , R E M O V E D HO U S E VA L U E ON L Y , SI N G L E W I D E MHOME RE P L A C E D HO U S E RE B A T E PE R BO Y D - H O U S E TO R N DO W N IN 19 9 1 , R E M O V E D HO U S E VA L U E ON L Y , SI N G L E W I D E MHOME RE P L A C E D HO U S E RE B A T E PE R BO Y D - H O U S E TO R N DO W N IN 19 9 1 , R E M O V E D HO U S E VA L U E ON L Y , SI N G L E W I D E MHOME RE P L A C E D HO U S E 47 4 . 5 1 VA L U E DE C R E A S E RE B A T E - C O R R E C T I O N TO SQ U A R E FO O T A G E PE R BO Y D 31 0 . 3 7 RE F U N D FR O M AU D I T RE S U L T S RE F U N D FR O M AU D I T RE S U L T S RE F U N D FR O M AU D I T RE S U L T S 94 9 . 0 9 0.00 0.00 0.00 0.00 0.00 0.00 11 / 2 2 1 2 0 1 3 Page 11 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t 33 1 0 1 0 6 00 0 2 0 9 5 2 6 7 20 1 3 IN D MI L I T A R Y - E T S 16 0 2 0 7 - F L PI E D M O N T NA T U R A L GA S CO IN C 31 8 6 3 4 8 00 0 1 5 8 1 6 4 8 20 1 3 PU B 31 8 7 4 0 4 00 0 1 8 9 5 2 2 0 20 1 3 PU B 31 9 0 6 9 1 00 0 1 0 0 9 7 4 2 20 1 3 PU B PR I C E . TH O M A S M 32 1 4 7 2 4 00 0 0 0 4 3 6 1 8 20 1 3 RE I PR O G R E S S EN E R G Y CA R O L I N A S 31 8 5 4 0 0 5. 9 6 RE L E A S E - BI L L E D IN ER R O R . RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . RE L E A S E - $3 , 7 1 5 , 2 9 1 OF TH E OR I G I N A L VA L U E IS DO U B L E LI S T E D WI T H BI L L # 1 8 9 5 2 2 0 . 23 . 5 2 8 . 3 2 RE B A T E D AN D RE B I L L E D TO IN C L U D E VE T EX E M P T I O N FO R 20 1 3 ; P Y M T MA D BY WE L L S FA R G O WILL BE RE A P P L I E D AN D RE F U N D WI L L GE N E R A T E 1. 1 6 3 . 4 3 00 0 1 4 1 1 8 0 6 20 1 3 PU B RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 31 8 9 7 9 9 00 0 1 4 1 1 8 0 2 20 1 3 PU B PU R C E L L . SH I R L E Y M 31 8 4 3 7 2 00 0 0 0 4 3 8 1 6 20 1 3 IN D QU I NC O DE V E L O P M E N T CO R P 32 2 3 9 8 0 RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 16 . 1 9 6 . 0 0 MH GI V E N TO DA U G H T E R IN TH E 20 1 2 YE A R LI S T I N G MH ON 10 / 2 1 / 2 0 1 3 1 N DA U G T H E R ' S NA M E 33 . 1 3 00 0 1 0 0 9 8 3 0 20 1 3 RE I NO PE R K PE R BB 32 2 4 7 3 1 00 0 1 0 0 9 8 0 8 20 1 3 RE I NO PE R K PE R BB LateAmt D.OO 0.00 0.00 0.00 0.00 RA Y . CH R I S T O P H E R E 14 8 . 5 0 D.QO 32 2 5 1 3 3 00 0 1 9 1 2 8 1 3 20 1 3 RE I SQ . FT . CO R R E C T I O N PE R BB RA Y . ER I C DE V O N 22 1 . 5 2 Q 00 31 9 8 3 7 4 11 / 2 2 / 2 0 1 3 Page 12 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e 00 0 0 0 4 4 3 5 1 20 1 3 RE I HS E NO T LI V E A B L E & RE M O V E 1 SW FE E PE R BB RO B E R T S . D A R Y L L S C O T T 31 9 7 0 3 6 00 0 0 0 4 5 4 9 3 20 1 3 RE I RE B A T E PE R BO Y D - C O R R E C T I O N OF MK T / L O C A T I O N FA C T O R RO B I N S O N . DE D R I C K T 31 9 0 9 7 9 00 0 1 1 6 8 9 1 2 20 1 3 RE I RO G E R S . MA R Y LO U 32 3 9 3 3 5 00 0 0 0 4 5 7 6 7 20 1 3 RE I CO R R E C T I O N OF SQ U A R E FO O T A G E PE R BB RE L E A S E ON E SO L I D WA S T E FE E PE R KE I T H ; HO U S E NO T LI V E A B L E . RO Y A L OA K S BU I L D I N G GR O U P LL C 32 0 8 5 9 9 00 0 2 0 0 2 2 7 3 20 1 3 RE I CO R R E C T FU S / U A T PE R BB SE S S I O N S . DA V I D CH R I S T O P H E R 32 5 2 7 6 1 00 0 1 6 7 9 4 9 2 20 1 3 RE I CO R R E C T SQ . F T . PE R BB SM I T H . PE A R L G 32 0 1 4 9 7 Re b a t e A m t LateAmt 50 9 . 2 1 0 00 81 . 6 8 0.00 19 7 . 4 8 0.00 70 . 0 0 0.00 33 8 . 9 9 0.00 44 . 6 8 0.00 00 0 0 0 5 8 2 4 9 20 1 3 RE I RE L E A S E - RE L E A S I N G BI L L IN FU L L IN OR D E R TO AP P L Y TH E EL D E R L Y EX C L U S I O N . 72 5 . 5 6 0.00 SM I T H - M I L L E R . DE B O R A H 22 7 4 3 4 3 00 0 0 0 4 8 4 7 0 20 0 8 RE I RE B A T E PE R BO Y D - N O HO U S E ON PR O P E R T Y 24 4 6 9 4 5 00 0 0 0 4 8 4 7 0 20 0 9 RE I RE B A T E PE R BO Y D - N O HO U S E ON PR O P E R T Y 26 3 3 4 5 8 00 0 0 0 4 8 4 7 0 20 1 0 RE I RE B A T E PE R BO Y D - N O HO U S E ON PR O P E R T Y 28 5 4 2 8 3 00 0 0 0 4 8 4 7 0 20 1 1 RE I RE B A T E PE R BO Y D - N O HO U S E ON PR O P E R T Y 30 5 9 1 3 7 11 / 2 2 / 2 0 1 3 Page 13 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt 00 0 0 0 4 8 4 7 0 20 1 2 RE I RE B A T E PE R BO Y D - N O HO U S E ON PR O P E R T Y 32 4 7 8 3 7 00 0 0 0 4 8 4 7 0 20 1 3 RE I SO U T H RI V E R EM C 31 9 0 2 7 0 00 0 1 0 0 9 7 5 0 20 1 3 PU B SP I V E Y . BE T T Y B 32 5 2 3 4 8 00 0 0 0 3 8 5 9 2 20 1 3 RE I SP I V E Y : - D A R N E L C K A T H L E E N 32 0 7 9 3 1 00 0 1 6 7 9 5 6 5 20 1 3 RE I ST A R L I N G . JA M E S N 32 5 4 9 3 2 00 0 0 0 5 0 3 5 7 20 1 3 RE I ST O K E S . ED N A LE E 31 8 3 2 0 2 00 0 0 0 5 1 2 9 1 20 1 3 IN D SU L L I V A N . LE O N A R D H JR 32 2 2 2 4 3 00 0 0 0 6 3 7 7 9 20 1 3 RE I SU M M E R L I N . RO B E R T D II 32 1 0 2 1 5 00 0 1 6 7 9 4 8 2 20 1 3 RE I SW I F T CR E E K PR O P E R T I E S LL C 32 5 4 0 9 1 RE B A T E PE R BO Y D - N O HO U S E ON PR O P E R T Y 77 1 . 6 2 RE L E A S E - TA X I N G DI S T R I C T CO R R E C T I O N . 6. 5 1 3 . 5 8 RE L E A S E - PA R C E L BI L L E D IN ER R O R . PA R C E L DE L E T E D AN D CO M B I N E D WI T H PA R C E L # 04 0 6 7 2 - 0 0 7 9 PER DE E D 30 0 5 - 5 4 6 PE R GI S . 6. 3 6 CO R R E C T E D US E MO D E L CO D E TO 02 / 0 2 . PE R KF 28 3 . 2 1 AL R E A D Y PA I D SW FE E ON TH E PR O P E R T Y FO R 20 1 2 YE A R 70 . 0 0 TH E 19 8 6 MH ON TH E AB S T R A C T IS LI S T E D AS RE A L PR O P E R T Y ON PA R C E L # 10 0 5 5 9 00 5 5 IT IS NOT A SI N G L E W I D E BU T A DO U B L E W ! D E TP LI S T E D IT BY MI S T A K E 37 . 8 6 RE B A T E PE R BO Y D - C O N D I T I O N OF HO M E 75 . 4 4 CO R R E C T SQ . F T . PE R BB 0.00 0.00 0.00 0.00 0.00 0.00 0.00 99 . 9 0 0.00 00 0 0 0 3 7 6 9 1 20 1 3 RE I RE L E A S E - CO R R E C T I O N OF LE G A L DE S C R I P T I O N . TA R T RE A L T Y &I N S U R A N C E IN C 32 2 8 3 4 6 11 / 2 2 / 2 0 1 3 1. 2 6 1 . 9 0 0.00 Page 14 of 17 O w n e r N a m e A c c o u n t # A b s t # 00 0 0 0 5 2 8 3 8 20 1 3 RE I TA R T . SU S A N 32 0 2 7 8 2 00 0 0 0 5 2 9 1 2 20 1 3 RE I TA Y L O R . JA M E S L 28 1 1 5 6 9 00 0 0 0 5 3 0 7 8 20 1 1 RE I 30 3 3 0 4 5 00 0 0 0 5 3 0 7 8 20 1 2 RE I 32 2 2 9 7 0 00 0 0 0 5 3 0 7 8 20 1 3 RE I 33 4 6 3 1 8 00 0 0 0 5 3 0 7 8 20 1 3 RE I TH O M A S . KA Y MC D I A R M I D 31 9 6 3 1 7 00 0 1 7 0 0 9 8 9 20 1 3 RE I TH O M A S . MA R Y M 32 4 0 9 1 5 00 0 0 0 5 3 9 6 4 20 1 3 RE I TH O M P S O N . BO B B Y E 32 0 7 8 8 9 00 0 2 0 0 2 6 0 3 20 1 3 RE I TH O M P S O N . CO N N I E LE E JR 32 4 1 2 5 1 00 0 0 0 5 4 2 0 2 20 1 3 RE I Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ta x Y e a r A c t T y p e N a r r a t i v e R e b a t e A m t LateAmt RE B A T E - S E W E R EA S E M E N T TH R O U G H TH E MI D D L E OF PR O P E R T Y AN D RE L E A S E ON E SO L I D WASTE, PER BO Y D BE A S L E Y 16 3 . 9 3 PA R C E L DO U B L E - L I S T E D WI T H PA R C E L 02 - 1 5 1 6 - 0 0 4 7 - 0 1 PE R GI S . RE L E A S E EN T I R E BI L L . PE R KF 4. 8 9 0.00 0,00 RE L E A S E - PR O P E R T Y NO T LO C A T E D WI T H I N TH E CI T Y OF DU N N . HA V I N G TO RE L E A S E OR I G I N A L BILL IN FULL AN D CR E A T E A NE W BI L L IN OR D E R TO MA K E TH E DI S T R I C T CO R R E C T I O N . RE L E A S E - PR O P E R T Y NO T LO C A T E D WI T H I N TH E CI T Y OF DU N N . HA V I N G TO RE L E A S E OR I G I N A L BILL IN FULL AN D CR E A T E A NE W BI L L IN OR D E R TO MA K E TH E DI S T R I C T CO R R E C T I O N . RE B A T E D AN D RE B I L L E D TO GR A N T DI S A B L E D PE R S O N EX E M P T I O N FO R 20 1 3 RE L E A S E - PR O P E R T Y OR I G I N A L L Y BI L L E D IN TH E CI T Y OF DU N N , HO W E V E R IT IS NO T IN TH E CITY LIMITS. 4. 4 5 8 . 4 1 RE C E I V E D LI S T I N G FO R M FO R 19 8 6 FL E E T W O O D , AD D E D VA L U E FO R MO B I L E HO M E . M A I L E D A L S O NEW EX E M P T I O N AP P L I C A T I O N TO TP A Y E R TO CO M P L E T E . 23 5 . 3 6 RE B A T E PE R BO Y D - B U I L D I N G IN BA D SH A P E 93 1 . 6 3 PR O C E S S E D RE B A T E PE R BO Y D ; SQ FT DI S C R E P A N C Y 28 1 . 2 4 ON L Y ON E HS E ON PR O P E R T Y & RE L E A S E 1 SW FE E PE R 88 0.00 70 . 0 0 TR A W I C K . JO H N L 32 2 2 2 8 7 00 0 0 0 4 6 7 5 1 20 1 3 RE I TP A P P R O V E D FO R VE T E R A N S EX E M P T I O N FO R TH E 20 1 3 YE A R TR I P P . SA M 32 4 6 2 6 7 11 / 2 2 / 2 0 1 3 1. 4 3 4 . 7 1 0.00 Page 15 of 17 Ow n e r N a m e Ac c o u n t # Ab s t # 00 0 0 0 5 4 7 8 8 20 1 3 RE I TU R L I N G T O N . PA U L M 32 4 7 3 3 3 00 0 0 0 1 3 7 0 3 20 1 3 RE I UN K N O W N . OW N E R 56 0 3 5 4 00 0 0 0 5 3 7 9 7 20 0 3 RE I 62 9 5 5 1 00 0 0 0 5 5 5 8 1 20 0 4 RE I 15 8 8 9 0 9 00 0 0 0 5 5 5 8 1 20 0 5 RE I 18 3 5 5 3 3 00 0 0 0 5 5 5 8 1 20 0 6 RE I 19 8 3 0 8 9 00 0 0 0 5 5 5 8 1 20 0 7 RE I 22 5 2 0 9 2 00 0 0 0 5 5 5 8 1 20 0 8 RE I 24 4 8 2 2 2 00 0 0 0 5 5 5 8 1 20 0 9 RE I 26 6 2 2 9 7 00 0 0 0 5 5 5 8 1 20 1 0 RE I 28 1 6 9 8 2 00 0 0 0 5 5 5 8 1 20 1 1 RE I 30 1 3 5 9 8 00 0 0 0 5 5 5 8 1 20 1 2 RE I 31 9 9 4 6 8 00 0 0 0 5 5 5 8 1 20 1 3 RE I VA U G H N . LI L L I E VI C T O R I A 31 8 9 8 6 2 00 0 0 0 5 5 8 5 8 20 1 3 IN D Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ta x Y e a r Ac t T y p e Na r r a t i v e Re b a t e A m t LateAmt RE B A T E D AN D RE B I L L E D TO GR A N T VE T E R A N ' S EX E M P T I O N FO R 20 1 3 94 7 . 3 5 0.00 BU I L D I N G IN BA D SH A P E PE R BB 42 5 . 4 1 D.OQ SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF SQ U A R E FO O T A G E OF LO T LI S T E D WI T H PA R C E L 10 - 0 6 5 0 - 1 9 - 9 8 - 3 0 0 0 PE R GI S . RE L E A S E EN T I R E BILL. PER KF 27 2 . 2 5 .!lQO BR O T H E R DI E D IN HS E WA S N ' T FO U N D FO R 4 DA Y S CO N T R A C T O R SA Y S NE E D TO TE A R SH O L E LR FLOOR OUT AN D RE P L A C E BE C A U S E OF DE A T H BB 49 . 0 7 0. 0 11 / 2 2 / 2 0 1 3 Page 16 of 17 Ha r n e t t Co u n t y Re b a t e De t a i l s Re p o r t Fr o m 10 / 1 / 2 0 1 3 To 10 / 3 1 / 2 0 1 3 No n D M V Ow n e r N a m e Ac c o u n t # Ab s t # Ta x Y e a r Ac t T y p e Na r r a t i v e WA L K E R . ST E P H E N 32 5 3 0 2 3 00 0 1 5 9 1 1 0 0 20 1 3 RE I VA L U E DE C R E A S E RE B A T E - C O R R E C T I O N OF DA T A PE R BO Y D WA R R E N . SU S A N EL I Z A B E T H 31 9 8 4 2 8 00 0 0 0 5 6 7 9 4 20 1 3 RE I RE B A T E D AN D RE B I L L E D TO IN C L U D E VE T E R A N S ' EX E M P T I O N WE L L S FA R G O FI N A N C I A L LE A S I N G IN C 32 7 9 5 8 8 00 0 2 0 8 2 9 2 6 20 1 3 BU S $3 1 6 7 D/ L IN C L U D E D IN #9 0 5 6 2 1 5 6 1 0 WE S T F I E L D BA P T I S T CH U R C H IN C 31 9 5 7 7 8 Re b a t e A m t LateAmt 51 6 . 2 9 0.00 94 3 . 6 3 0.00 33 . 3 1 0.00 00 0 0 0 5 8 7 9 1 20 1 3 RE E RE L E A S E ON E SO L I D WA S T E FE E . ON L Y ON E CH U R C H OP E R A T I O N , CH U R C H AN D FE L L O W S H I P HALL PER KF WI M B E R L Y . WI L L I A M G 31 8 5 1 4 1 00 0 0 0 6 0 2 9 3 20 1 3 IN D WO M A C K . MA R Y E 33 4 6 0 8 5 00 0 0 0 6 0 5 9 4 20 1 3 RE I WO M A C K . NI C H O L A S J 32 5 0 7 2 8 00 0 1 7 8 2 6 8 2 20 1 3 RE I WO O D . MI C H A E L J 32 0 0 8 7 1 00 0 0 0 6 0 9 1 0 20 1 3 RE I 33 5 6 6 2 7 00 0 0 0 6 0 9 1 0 20 1 3 RE I Gr a n d To t a l : 70 . 0 0 0.00 RE L E A S E D AN D CR E A T E D NE W AB S T R A C T - M H IS TI T L E D TO SU S A N WI M B E R L Y TA L B O T AN D ABSTRACT SHOULD BE IN HE R NA M E . 24 4 . 2 2 0.00 DI S C O V E R Y ON DO U B L E W I D E . PE R KF 82 . 1 3 0.00 RE B A T E PE R BO Y D - C O R R E C T I O N TO SQ U A R E FO O T A G E 12 3 . 2 3 0.00 DI S C O V E R Y ON BU I L D I N G AN D OB X F & AD D 1 SW FE E PE R KF 10 58 1 . 8 6 12 5 , 5 6 6 . 6 8 133.59 11 / 2 2 / 2 0 1 3 Page 17 of 17 Board Meeting Agenda Item Agenda Item 5-£) MEETING DATE: December 2, 2013 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Disposition of closed session audio recordings of county manager and finance officer candidate interviews REQUESTED BY: Jennifer J. Slusser, Senior County Staff Attorney REQUEST: On December 17, 2012 the Harnett County Board of Commissioners voted that closed sessions start being recorded with the recording being sealed the same as the closed session minutes. As a result of the Board's decision to record closed session meetings, the interviews of candidates for the positions of county manager and finance officer were recorded. As these positions have been filled, public disclosure of the candidate appointments have been made, and the minutes/general account of the meetings have been approved by the Board of Commissioners, pursuant to the County Management Records Retention Schedule, it is appropriate for the recordings ofthe interviews to be destroyed. Request approval to destroy the closed session audio recordings of county manager and finance officer candidate interviews pursuant to the County Management Records Retention Schedule. COUNTY MANAGER'S RECOMMENDATION: C:\Users\gwheeler\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\Z5TP9EAN\13 12 02 Agenda Request regarding Closed Session Audios.doc Page 1 of2 Board Meeting Agenda Item Agenda Item .5-£ MEETING DATE: December 2, 2013 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: County Engineer Request Change Order #5 REQUESTED BY: Amanda Bader, County Engineer REQUEST: Solid Waste Administration request the Harnett County Board of Commissioners consider and approve the Change Order #5 that includes the approach apron redesign for the Dunn- Erwin Transfer Station. This change order affected the previously deemed defective work on the concrete approach apron. Work associated with the design change is corrective re-work and shall be conpleted within 2 weeks of the effective date of this change order at an increase of$34,925. COUNTY MANAGER'S RECOMMENDATION: C:\Users\tlstrickland\AppData\Local\Microsoft\ Windows\ Temporary Internet Files\Content. Outlook\SXO I QITH\agendaform2013.doc Page I of I Date of Issuance: November 25, 2013 Change Order No.~ Effective Date: December 3, 2013 Project Dunn-Erwin Land1iU Owner: Harnett County Owner's Contract No.: 1 Convenience Center and Transfer Station Improvements Contract: General Construction Contractor: WECC Inc. Date ofContract: February 18, 2013 Engineer's Project No.: 03002B The Coatract Documeats are modified as follows upon execution of this Change Order: Per North Carolina House Bill 74 that was signed into law on August 23. 2013, the floor system of the Dunn Erwin Transfer Station was redesigned to eliminate the need for an approach apron leachate collection system. This design change (Drawing dated 10/9!2013} was submitted to the NCDENR Solid Waste Section and was approved on October 11, 2013. This change order affected the previously deemed defective work on the concrete approach apron at the Dunn Erwin Transfer Station. Work associated with the design change is considered part of the corrective re-worlt and sball be completed within 2 weeks of the effective date of this change order. COI'I'ective rework will include: 1.) construction ofthe design change per Drawings dated IQ.-9-2013; 2.) Grinding the cracks in the EucoTop and sealing with an Epoxy Sealant (product to be selected by submittal); and 3.) Sealing existing sawcots in the EucoTop and new concrete with an elastomeric caulking/sealant Attac:hmer.ds (list dOClUilents supporting change): Contractor Pricing and Approach Apron Redesign Drawing dated I 0/912013 CHANGE IN CONTRACf PRICE: CHANGE IN CONTRACT TIMES: Original Contract Price: $722.876.00 $29.375.83 Contract Price prior to this Change Order: $152,251.83 Original Contract Tnnes: D Working days 1&1 Calendar days Substantial completion (days~): 240 Ready for final payment (days~): 260 [Increase] (QeliiNMe] from previously approved Change Orders No.1 to No • .J.: Substantial completion (days):~ Ready for final payment (days): 25 Contract Tunes prior to this Change Order: Substantial completion (days~): 265 Ready for final payment (days~): 285 [Increase] [Qeef'@858] of this Change Order: (Increase] [Decrease] of this Change Order: Substantial completion (days or date): Q $34.925.00 £o~tract Price incorporating this Change Ready for final payment (days or date): Q Contract Times with all approved Change Orders: Substantial completion (days~): 265 Ready for final payment (days~): 285 ACCEP'IED: By. ____________________ __ Owner (Aut.borized Signature) Date: ______ _ Board Meeting Agenda Item Agenda Item 5-F MEETING DATE: December 2, 2013 TO: HARNETT COlJNTY BOARD OF COMMISSIONERS SUBJECT: Angier & Black River Fire Department request approval to purchase a vehicle to replace the Fire Chiefs current aging vehicle. REQUESTED BY: Gary Pope, Emergency Services Director REQUEST: We would like to request approval for Angier & Black River Fire Department to purchase a vehicle tq replace the Fire Chiefs current aging vehicle. The cost of this vehicle will exceed the $20,000 limit which is not listed in the budget to replace the Fire Chiefs current aging vehicle. The funds for the vehicle purchase will come from within the Angier & Black River Fire Department's current budget without causing any hardship on the tax payers. This new vehicle will serve this department in a more functional manner. If request is approved for the purchase of the new vehicle, then the existing Fire Chiefs vehicle will be used for classes, training, out of town schools and dive calls. See attached letter from Frankie Beasley, Fire Chief of Angier & Black River Fire Department. COUNTY MANAGER'S RECOMMENDATION: THIS INSTRUMENT HAS BEEN REVIEWED y S:\Admin\BILLS 2013-2014 ES\AGENDAs\Angiier-Fire Chiefs Vehicle\agendaform2013 Aniger Fire Chiefs Vehicle.doc Page I of2 ~ngter & ~Iatk l\tber jffre Jlepartment, 3Jnt .. r, 309 .IV. f1ho.o.d St. Ea.,t ff.r.9. f]Joa; 389 ~J .Ne 27 5lJ1 ; 1 1 (919) 639-6234 :iaa:. (919) 639-5915 Frankie Beasley 309 North Broad Street East P.O. Box 389 Angier, NC 27501 November 11,2013 Harnett County Board of Commissioners Jim Burgin, Chairman Gary House, Vice Chairman Beatrice Hill Commissioner Gordon Springle Commissioner Joe Miller, Commissioner Re: Exceeding 20,000 dollar limit not listed in the budget to replace aging vehicle Dear Board of Commissioners: The Angier Fire Department disposed of a 1979 Chevrolet pickup that was used for 28 years as a brush truck. This vehicle was advertised on Gov-Deals and the winning bid was 7,100 dollars. With the purchase of a new brush truck seven years ago, we have utilized this vehicle for firefighter rehab, pulling the dive boat, retrieving equipment from fire scenes and other incidents saving our apparatus fleet that cost hundreds of thousands of dollars to replace. With the cost of repairs due to age and locating the right parts, the Angier Fire Department feels that tax dollars would be spent more wisely by replacing the 34 year old vehicle with a new, up to date vehicle that would serve the department in a more functional manner. The Angier Fire Department is requesting, from the Commissioners, the approval to purchase a vehicle to replace the Chiefs vehicle and use the existing Chiefs vehicle for classes, training, out of town schools and dive calls. The funds for the purchase would come from within the current budget without causing any hardship on the tax payers. Thank you for your time and concern for the citizens of Harnett County. Jf:dj~e~ Fire Chief Board Meeting Agenda Item Agenda Item 5 .... & ~rnbe.r-2, 2Ci 3 MEETING DATE: -No, ember J:§, 2913 TO: HARNETT COlTNTY BOARD OF COMMISSIONERS SUBJECT: Northwest Harnett Volunteer Fire Department request approval to spend $60,000 to purchase land to build a new sub-station. REQUESTED BY: Gary Pope, Emergency Services Director REQUEST: We would like to request approval for Northwest Harnett Volunteer Fire Department to spend funds in the amount of $60,000 to purchase land to build a new sub-station. The Board of Commissioners approved the purchase of land in Northwest Harnett Volunteer Fire Department's budget year 2012-2013 for a cost of $109,000. After much discussion and concerns with the seller of the property, Nmihwest Harnett was unable to close the deal on the land; therefore, the funds for the land purchase were not spent in budget year 2012-2013. Northwest Harnett now has negotiated and secured availability for new land that will meet the requirements needed to serve all of their citizens within a 5-6 mile district. The cost to purchase the land is $60,00.00. By building a new sub-station, it will help citizens within Northwest Harnett's district that are outside ofthe six (6) mile district. Therefore, to be able to provide the citizens the benefits of a lower insurance rating requires Northwest Harnett to build a sub-station closer to the citizens property. !-iiS iNSTRUMENT HAS BEEN REVIEWED Y THE FINANCE OFFICER S:\Admin\BILLS 2013-2014 ES\AGENDAs\agendaform2013 FYJ3 NWH Land Purchase for New sub-station.doc Page 1 of2 NORTHWEST HARNETT VOlUNTEER fiRE DEPARTMENT 6015 Christian Light Road Fuquay-Varina, NC 27526 Business Phone: 919.552-8371 Fax: 919-552-4859 Harnett County Emergency Services P.O. Box 370 Lillington, NC 27546 Attention: Gary Pope Re: Land Purchase Dear Mr. Pope, Email: nwchief@embarqmail.com This letter is regarding the land purchase for our new sub-station. As you are well aware, we have many citizens within our district that are outside of the (6) mile district. To be able to provide them the benefits of a lower insurance rating requires us to build a sub- station closer to their property. Over the last several years we have set aside the funds to purchase this land and to build the new station. We will not be borrowing any funds for the land or the station. The Board of Commissioners approved the purchase of the land in our 2012-2013 budget yearfor a cost of $109,000. After much discussion and concerns with the seller of the property; we were unable to close the deal on this site therefor the funds for our land purchase were not spent in budget year 2012-2013. We now have negotiated and secured availability for a new site that will meet the requirements needed to serve all of our citizens within a 5-6 mile district. The cost to purchase this property is $60,000. Since our land was not purchased in budget year 2012-2013 in which it was approved, the purpose of this letter is to request approval to spend the $60,000 to purchase this property in our current 2013-2014 budget year. Our station construction has already been approved in our current budget year. If you would submit this as needed and required, we would greatly appreciate it. If you have any questions or need any additional information, please feel free to contact me. Regards, ~~ Chris Prince Chief Cc: Jimmy Riddle Ronnie Betts Agenda Item S.... H RESOLUTION HONORING EDISON H. JOHNSON A RESOLUTION recognizing Edison H. Johnson, Jr., for his dedicated public service in North Carolina as Executive Director of the NC Capital Area MPO since 2003. WHEREAS, Ed Johnson earned a Bachelor of Science Degree in Civil Engineering from NC State University in 1973 and a Master of Science in 1975, and became a registered Professional Engineer in 1984; and WHEREAS, Ed worked for the NC Department of Transportation Thoroughfare Planning Unit from 1975 through 1988; and the City ofRaleigh from 1988 through 2003; and WHEREAS, Ed served as the Secretary-Treasurer, Vice President and President of the NC Institute of Transportation Engineers between 1993 and 1995; and received the RV Moss Lifetime Service Award from the North Carolina Institute ofTransportation Engineers in 2005; and WHEREAS, Ed has served as the Executive Director for the Capitol Area MPO since 2003, NOW TEREFORE BE IT RESOLVED, the Harnett County Board of Commissioners and staff extend their sincere appreciation to for his wide ranging efforts to protect and preserve the quality of life for present and future generations of Harnett County residents through his Comprehensive Transportation Planning Efforts, his career-long commitment to excellence in public service, and his friendship. We wish him good health and much happiness in the years ahead. Adopted this 2nd Day ofDecember, 2013. HARNETT COUNTY BOARD OF COMMISSIONERS Jim Burgin, Chairman Harnett County Board of Commissioners Attest: Margaret Regina Wheeler, Clerk to the Board strong roots • new growth www.harnett.org Agenda ItemS-:Z: Board Meeting Agenda Item TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Fiscal Year 2014 Community Transportation Program Agreement REQUESTED BY: Barry Blevins, General Services Director REQUEST: The General Services/Transportation request the Board of Commissioners consider and approve the Fiscal Year 2014 Community Transportation Program Agreement. The Community Transportation Program provides assistance to coordinate existing transportation programs operating in County of Harnett as well as provide transportation options and services for the communities within the service area. These services are currently provided using demand response and subscription routes. Services are rendered by center aisle, lift equipped, minivans, and light transit vehicles. The amount awarded to the County is $342,108 ~local match of$45,167. I ' \.,-"--0\,ic);-,. ,f\CC.\v_c~ Contract Control # LS 14-281 COUNTY MANAGER'S RECOMMENDATION: http://www .hamett.org/boc/ down loads/ agendaforrn2 0 13 .doc I of! Page BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the Transportation, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-4650-410.32-70 Capital Assistance-TDP $95,000 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-0000-334.55-03 NC Transportation-Capital $107,300 110-0000-339.00-00 Fund Balance Appropriated $12,300 EXPLANATION: To adjust expenditure and revenue lines to reflect the amount granted by the NCDOT Capital Assistance Program for FY1314. APPROVALS: Finance Officer (date) County Manager (date) Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this Margaret Regina Wheeler Clerk to the Board day of Jim Burgin, Chairman Harnett County Board of Commissioners STATE OF NORTH CAROLINA DEPARTMENT OF TRANSPORTATION PAT MCCRORY GOVERNOR Mr. Timothy B. McNeill, Chairman County of Harnett Post Office Box 759 Lillington, North Carolina 27546-0759 October 18, 2013 ANTHONY J. TATA SECRETARY RE: Project No. FY14 Community Transportation Program (Section 5311) 14-CT-040 WBS Element No(s). Agreement No.(s) Period ofPerfonnance: Dear Mr. McNeill: 36233.50.16.1 (Admin) 36233.50.16.3 (Cap) TBD 7/1/13-6/30/14 On April 4, 2013 the Board of Transportation approved your organization's request for a FY14 5311 Community Transportation grant in the amount of $296,941. The agreement to be executed between County of Harnett and NCDOT is enclosed. The individual authorized to enter into this agreement for the financial assistance on behalf of your agency will sign the agreement. Please provide a copy of the agreement to all parties that will be involved in the administration of the grant, and request that the agreement be reviewed carefully. Instructions for completion of the grant agreement process are enclosed. Please refer to Section 7 of the grant agreement that requires sub-recipients to submit monthly or quarterly requests for reimbursement. If you have any question related to the grant agreement, please contact Charlie Wright, Financial Manager at 919-707-4674 or your assigned Accounting Specialist. In any correspondence, please reference your assigned project number, WBS element, Agreement number and period of performance referenced on this letter. RW\cw Attachments Sincerely, , . I r-; • f I I I l--,.. L·x.-v \) VI,.A/ £> - Deputy Secretary for Transit cc: Dionne White, Transit Services Manager MAILING ADDRESS: NC DEPARTMENT OF TRANSPORTATION PUBLIC TRANSPORTATION DIVISION 1550 MAIL SERVICE CENTER RALEIGH, NC 27699-1550 TELEPHONE: 919-733-4714 FAX: 919-733-2304 WWW.NCDOT.GOV LOCATION: TRANSPORTATION BUILDING 1 SOUTH WILMINGTON STREET RALEIGH NC STATE OF NORTH CAROLINA COUNTY OF WAKE NORTH CAROLINA DEPARTMENT OF TRANSPORTATION and COUNTY OF HARNEIT NONURBANIZED AREA PUBLIC TRANSPORTATION GRANT AGREEMENT FOR PUBLIC BODY ORGANIZATIONS COMMUNITY TRANSPORTATION PROGRAM-SECTION 5311 CFDA NUMBER: 20.509 PROJECT NUMBER: 14-CT-040 AGREEMENT NUMBER: ************************************************************************************************************* THIS AGREEMENT made this the __ day of , 20_, (hereinafter referred to as AGREEMENT) by and between the NORTH CAROLINA DEPARTMENT OF TRANSPORTATION (hereinafter referred to as "Department", an agency of the State of North Carolina) and COUNTY OF HARNEIT, (acting in its capacity as the designated Section 5311 recipient hereinafter referred to as the "Contractor"). WHEREAS, Chapter 53 of 49 U.S.C. app 5311 et seq. (formerly Section 18 program) provides federal administrative, operating, and capital assistance for public transportation in rural and small urban areas by way of a formula grant program to be administered by the State; and WHEREAS, the purpose of 49 U.S.C. 5311 is to enhance access of people in nonurbanized areas for purposes such as health care, shopping, education, recreation, public services, and employment by encouraging the maintenance, development, improvement, and use of public passenger transportation systems; and WHEREAS, the Contractor has been designated as the recipient of 49 U.S.C. 5311 funds, and WHEREAS, Article 2B of Chapter 136 of the North Carolina General Statutes (N.C.G.S.) designated the Department of Transportation as the agency of the State of North Carolina responsible for administering all Federal and/or State programs relating to public transportation, and granted the Department authority to do all things required under applicable Federal and/or State legislation to properly administer the public transportation within the State of North Carolina; and WHEREAS, the Governor of North Carolina, in accordance with Section 5311 of the Safe, Accountable, Flexible, and Efficient Transportation Equity Act -A Legacy for Users (SAFETEA-LU), Public Law 109-59, August 10, 2005, and the Transportation Equity Act for the 21st Century (TEA-21 ), Public Law 105-178, June 1998, as amended, has designated the North Carolina Department of Transportation as the agency to receive and administer Federal funds under this program; and WHEREAS, in order to assist in providing transportation services, the Department, under the terms of this Agreement shall make grants of administrative, operating and capital assistance to the Contractor; and WHEREAS, the Department and the Contractor desire to secure and utilize Section 5311 grant funds and State funds for the above referenced purposes. NOW, THEREFORE, in consideration of the mutual covenants herein set forth, the Department and the Contractor agree as follows: Section 1. Purpose of Agreement. The purpose of this Agreement is to provide for the undertaking of nonurbanized area public transportation services as described in the project application (hereinafter referred to as "Project") properly prepared, endorsed, approved, and transmitted by the Contractor to the Department, and to state the terms and conditions as to the manner in which the Project will be undertaken and completed. Updated 02/20/13 Section 2. Project Implementation. The Contractor shall carry out the Project as follows: a. Scope of Project. County of Harnett (operating as Harnett Area Rural Transit System -HARTS) provides community transportation services to human service agencies and to the general public. b. The Contractor shall undertake and complete the nonurbanized area public transportation services in accordance with the procedures and guidelines set forth in this Agreement and in the following documents: (1) Federal Transit Administration (hereinafter referred to as "FTA") Circular 9040.1 F, dated April1, 2007 at: (www.fta.dot.gov/laws/leg_reg_circulars_guidance.html); (2) FTA Master Agreement (19), October 1, 2012 at http://www.fta.dot.gov/documents/1 9-Master.pdf (3) The State Management Plan for Federal and State Transportation Programs (hereinafter referred to as "State Management Plan");and (4) The Section 5311 grant application for financial assistance. The aforementioned documents, and any subsequent amendments or revisions thereto, are herewith incorporated by reference, and are on file with and approved by the Department in accordance with the terms and conditions of this Agreement. Nothing shall be construed under the terms of this Agreement by the Department or the Contractor that shall cause any conflict with Department, State, or Federal statutes, rules, or regulations. Section 3. Cost of Project/Project Budget. The total cost of the Project approved by the Department is THREE HUNDRED FORTY-TWO THOUSAND ONE HUNDRED EIGHT DOLLARS ($342,108) as set forth in the Project Description and Budget, incorporated into this Agreement as Attachment A. The Department shall provide, from Federal and State funds, the percentages of the actual net cost of the Project as indicated below, not in excess of the identified amounts for eligible administrative, operating, and capital expenses. The Contractor hereby agrees that it will provide the percentages of the actual net cost of the Project, as indicated below, and any amounts in excess of the Department's maximum (Federal plus State shares). The net cost is the price paid minus any refunds, rebates, or other items of value received by the Contractor which have the effect of reducing the actual cost. Administration Administration Administration Administration Administration WBS Total Federal (80%) State_(_5%) Local (15%) 36233.50.16.1 $219,108 $175,286 $10,955 $32,867 Agreement# Capital Capital Capital Capital Capital WBS Total Federal (80%) State. (1 0% }_ Local (10%) 36233.50.16.3 $123,000 $98,400 $12,300 $12,300 Agreement# Project Project Project Project Project Total Total Total Federal Total State Total Local $342,108 $273,686 $23,255 $45,167 Section 4. Period of Performance. This Agreement shall commence upon the date of execution, unless specific written authorization from the Department to the contrary is received. The period of performance for all expenditures shall extend from July 1, 2013 to June 30, 2014, unless written authorization to the contrary is provided by the Department. Any requests to change the Period of Performance must be submitted 60 days before the end of the current Performance Period and in accordance with the policies and procedures established by the Department or FTA. The Contractor shall commence, carry on, and complete the approved Project with all practicable dispatch, in a sound, economical, and efficient manner. Updated 3/07/12 Page 2 of38 Section 5. Contractor's Capacity. a. The Contractor agrees to maintain sufficient legal, financial, technical, and managerial capability to: (1) Plan, manage, and complete the Project and provide for the use of Project property; (2) Carry out the safety and security aspects of the Project; and (3) Comply with the terms of this agreement, the Master Agreement between the FTA and the Department, the Approved Project Budget, the Project schedules, the Contractor's annual Certifications and Assurances to the Department, and applicable Federal and State laws, regulations, and directives. b. Administrative Requirements. The Contractor agrees to comply with the following Federal and State administrative requirements: (1) U.S. DOT regulations, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments," 49 C.F .R. Part 18 at (http://www.access.gpo.gov/nara/cfr/cfr-table- search.html#page1 ). (2) Title 19A North Carolina Administrative Code (N.C.A.C.) Subchapter 58 at (http://reports.oah.state.nc.us/ncac.asp). c. Application of Federal, State. and Local Laws, Regulations. and Directives. To achieve compliance with changing federal requirements, the Contractor makes note that federal, state and local requirements may change and the changed requirements will apply to this Agreement as required. d. Contractor's Primary Responsibility to Comply with Federal and State Requirements. Irrespective of involvement by any other participant in the Project, the Contractor agrees that it, rather than the participant, is ultimately responsible for compliance with all applicable Federal and State laws, regulations, and directives, the Master Agreement between the FTA and the Department, and this Agreement, except to the extent that the Department determines otherwise in writing. Unless otherwise authorized in writing by the Department, the Contractor shall not assign any portion of the work to be performed under this Agreement, or execute any contract, amendment, or change order thereto, or obligate itself in any manner with any third party with respect to its rights and responsibilities under this Agreement without the prior written concurrence of the Department. Further, the Contractor shall incorporate the provisions of this Agreement into any lease arrangement and shall not enter into any lease arrangement without the prior concurrence of the Department. Any lease approved by the Department shall be subject to the conditions or limitations governing the lease as set forth by the FT A and the Department. If the Contractor leases any Project asset to another party, the Contractor agrees to retain ownership of the leased asset, and assure that the Lessee will use the Project asset to provide mass transportation service, either through a "Lease and Supervisory Agreement" between the Contractor and Lessee, or another similar document. The Contractor agrees to provide a copy of any relevant documents. ( 1) Significant Participation by a Third Party Contractor. Although the Contractor may enter into a third party contract, after obtaining approval from the Department, in which the third party contractor agrees to provide property or services in support of the Project, or even carry out Project activities normally performed by the Contractor (such as in a turnkey contract), the Contractor agrees that it, rather than the third party contractor, is ultimately responsible to the Department for compliance with all applicable Federal and State laws, regulations, and directives, except to the extent that FTA or the Department determines otherwise in writing. (2) Significant Participation by a Subcontractor. Although the Contractor may delegate any or almost all Project responsibilities to one or more subcontractors, the Contractor agrees that it, rather than the subcontractor, is ultimately responsible for compliance with all applicable Updated 3/07/12 Page 3 of38 Federal and State laws, regulations, and directives, except to the extent that FT A or the Department determines otherwise in writing. (3) Significant Participation by a Lessee of a Contractor. Although the contractor may lease project property and delegate some or many project responsibilities to one or more lessees, the Contractor agrees that it, rather than any lessee, is ultimately responsible for compliance with all applicable Federal laws, regulations, and directives, except to the extent that FTA determines otherwise in writing. e. Contractor's Responsibility to Extend Federal and State Requirements to Other Entities. (1) Entities Affected. Only entities that are signatories to this Agreement for the Project are parties to this agreement. To achieve compliance with certain Federal and State laws, regulations, or directives, however, other Project participants, such as subrecipients and third party contractors, will necessarily be involved. Accordingly, the Contractor agrees to take the appropriate measures necessary to ensure that all Project participants comply with applicable Federal and State laws, regulations, and directives affecting their performance, except to the extent FT A or the Department determines otherwise in writing. (2) Documents Affected. The applicability provisions of Federal and State laws, regulations, and directives determine the extent to which their provisions affect a Project participant. Thus, the Contractor agrees to include adequate provisions to ensure that each Project participant complies with those Federal and State laws, regulations, and directives, except to the extent that the Department determines otherwise in writing. In addition, the Contractor also agrees to require its third party contractors, subrecipients, and lessees to include adequate provisions to ensure compliance with applicable Federal and State laws, regulations, and directives in each lower tier subcontract and subagreement for the Project, except to the extent that FTA or the Department determines otherwise in writing. Additional requirements include the following: (a) Third Party Contracts. Because Project activities performed by a third party contractor must comply with all applicable Federal and State laws, regulations, and directives, except to the extent the Department determines otherwise in writing, the Contractor agrees to include appropriate clauses in each third party contract stating the third party contractor's responsibilities under Federal and State laws, regulations, and directives, including any provisions directing the third party contractor to extend applicable requirements to its subcontractors at the lowest tier necessary. When the third party contract requires the third party contractor to undertake responsibilities for the Project usually performed by the Contractor, the Contractor agrees to include in that third party contract those requirements applicable to the Contractor imposed by the Grant Agreement for the Project or the FTA Master Agreement and extend those requirements throughout each tier except as the Department determines otherwise in writing. Additional guidance pertaining to third party contracting is contained in the FTA's "Best Practices Procurement Manual." FTA and the Department caution, however, that FTA's "Best Practices Procurement Manual" focuses mainly on third party procurement processes and may omit certain other Federal requirements applicable to the work to be performed. (b) Subagreements. Because Project activities performed by a subcontractor/ subrecipient must comply with all applicable Federal and State laws, regulations, and directives except to the extent that FTA or the Department determines otherwise in writing, the Contractor agrees as follows: 1 Written Subagreement. The Contractor agrees to enter into a written agreement with each subrecipient (subagreement) stating the terms and conditions of assistance by which the Project will be undertaken and completed. ~ Compliance with Federal Requirements. The Contractor agrees to implement the Project in a manner that will not compromise the Contractor's compliance with Federal and State laws, regulations, and directives applicable to the Project and the Contractor's obligations under this Agreement for the Project and the FTA Master Agreement. Therefore, the Contractor agrees to include in each subagreement appropriate clauses directing the subrecipient to comply with those requirements applicable to the Contractor imposed by this Agreement for the Project or the FTA Master Updated 3/07/12 Page 4 of38 Agreement and extend those requirements as necessary to any lower level subagreement or any third party contractor at each tier, except as FTA or the Department determines otherwise in writing. f. No Federal/State Government Obligations to Third Parties. In connection with performance of the Project, the Contractor agrees that, absent the Federal/State Government's express written consent, the Federal/State Government shall not be subject to any obligations or liabilities to any subrecipient, third party contractor, lessee or other person or entity that is not a party to this Agreement for the Project. Notwithstanding that the Federal/State Government may have concurred in or approved any solicitation, subagreement, or third party contract, the Federal/State Government has no obligations or liabilities to such entity, including any subrecipient, third party contractor, or lessee. g. Changes in Project Performance (i.e., Disputes, Breaches, Defaults, or Litigation). The Contractor agrees to notify the Department immediately, in writing, of any change in local law, conditions (including its legal, financial, or technical capacity), or any other event that may adversely affect the Contractor's ability to perform the Project as provided in this Agreement for the Project. The Contractor also agrees to notify the Department immediately, in writing, of any current or prospective major dispute, breach, default, or litigation that may adversely affect the Federal/State Government's interests in the Project or the Federal/State Government's administration or enforcement of Federal/State laws or regulations; and agrees to inform the Department, also in writing, before naming the Federal or State Government as a party to litigation for any reason, in any forum. h. Limitations of Agreement. This Agreement shall be subject to the availability of Federal and State funds, and contingent upon the terms and conditions of the Master Agreement between the FTA and the Department. Section 6. Ethics. a. Code of Ethics. The Contractor agrees to maintain a written code or standards of conduct that shall govern the actions of its officers, employees, board members, or agents engaged in the award or administration of third party contracts, subagreements, or leases financed with Federal/State assistance. The Contractor agrees that its code or standards of conduct shall specify that its officers, employees, board members, or agents may neither solicit nor accept gratuities, favors, or anything of monetary value from any present or potential third party contractor at any tier, any subrecipient at any tier or agent thereof, or any lessee. Such a conflict would arise when an employee, officer, board member, or agent, including any member of his or her immediate family, partner, or organization that employs, or intends to employ, any of the parties listed herein has a financial interest in the firm selected for award. The Contractor may set de minimis rules where the financial interest is not substantial, or the gift is an unsolicited item of nominal intrinsic value. The Contractor agrees that its code or standards shall also prohibit the its officers, employees, board members, or agents from using their respective positions in a manner that presents a real or apparent personal or organizational conflict of interest or personal gain. As permitted by State or local law or regulations, the Contractor agrees that its code or standards of conduct shall include penalties, sanctions, or other disciplinary actions for violations by its officers, employees, board members, or their agents, its third party contractors or sub-recipients or their agents. 1. Gifts. N.C.G.S. § 133-32 and Executive Order 24, of October 1, 2009 prohibit the offer to, or acceptance by, any State Employee of any gift from anyone with a contract with the State, or from any person seeking to do business with the State. By execution of this Agreement, Contractor attests, for its entire organization and its employees or agents, that it is not aware that any gift in violation of N.C.G.S. § 133-32 and Executive Order 24 has been offered, accepted, or promised by any employees of Contractor. b. Conflict of Interest Policy. In accordance with N.C.G.S. 143-6.2(b1 ), the Contractor shall file with the Department a copy of Contractor's policy addressing conflicts of interest that may arise involving the Contractor's management, employees, and the members of its board of directors or other governing body. The policy shall address situations in which any of these individuals may directly or indirectly benefit, except as the Contractor's employees or members of its board of other governing Updated 3/07/12 Page 5 of38 body, from the Contractor's disbursing of Federal/State funds and shall include actions to be taken by the Contractor or the individual, or both to avoid conflicts of interest and the appearance of impropriety. The policy shall be filed before the Department may disburse the grant funds. (1) Personal Conflicts of Interest. The Contractor agrees that its code or standards of conduct shall prohibit the Contractor's employees, officers, board members, or agents from participating in the selection, award, or administration of any third party contract, or sub- agreement supported by Federal/State assistance if a real or apparent conflict of interest would be involved. Such a conflict would arise when an employee, officer, board member, or agent, including any member of his or her immediate family, partner, or organization that employs, or intends to employ, any of the parties listed herein has a financial interest in the firm selected for award. (2) Organizational Conflicts of Interest. The Contractor agrees that its code or standards of conduct shall include procedures for identifying and preventing real and apparent organizational conflicts of interest. An organizational conflict of interest exists when the nature of the work to be performed under a proposed third party contract or sub-agreement, may, without some restrictions on future activities, result in an unfair competitive advantage to the third party contractor or sub-recipient or impair its objectivity in performing the contract work. c. Debarment and Suspension. The Contractor agrees to comply, and assures the compliance of each third party contractor, sub-recipient, or lessee at any tier, with Executive Orders Nos. 12549 and 12689, "Debarment and Suspension," 31 U.S.C. § 6101 note, and U.S. DOT regulations, "Government-wide Debarment and Suspension (Non-procurement)," 49 C.F.R. Part 29. The Contractor agrees to, and assures that its third party contractors, sub-recipients, and lessees will, review the Excluded Parties Listing System at (http://epls.arnet.gov/) before entering into any contracts. d. Bonus or Commission. The Contractor affirms that it has not paid, and agrees not to pay, any bonus or commission to obtain approval of its Federal/State assistance application for the Project. e. Lobbying Restrictions. The Contractor agrees that: (1) In compliance with 31 U.S.C. 1352(a), as amended by the Lobbying Disclosure Act of 1955, that Contractors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR part 20, "New Restrictions on Lobbying." Each tier certifies it will not use and has not used Federal assistance to pay the costs of influencing any officer or employee of a Federal agency, Member of Congress, officer of Congress or employee of a member of Congress, in connection with making or extending the Grant Agreement; (2) It will comply with other applicable Federal laws and regulations prohibiting the use of Federal assistance for activities, designed to influence Congress or a State legislature with respect to legislation or appropriations, except through proper, official channels; and (3) It will comply, and will assure the compliance of each sub-recipient, lessee, or third party contractor at any tier, with U.S. DOT regulations, "New Restrictions on Lobbying," 49 C.F.R. Part 20, modified as necessary by 31 U.S.C. § 1352. f. Employee Political Activity. To the extent applicable, the Contractor agrees to comply with the provisions of the Hatch Act, 5 U.S.C. §§ 1501 through 1508, and 7324 through 7326, and U.S. Office of Personnel Management regulations, "Political Activity of State or Local Officers or Employees," 5 C.F.R. Part 151. The Hatch Act limits the political activities of State and local agencies and their officers and employees, whose principal employment activities are financed in whole or part with Federal funds including a Federal grant, cooperative agreement, or loan. Nevertheless, in accordance with 49 U.S.C. § 5307(k)(2)(B) and 23 U.S.C. § 142(g), the Hatch Act does not apply to a non-supervisory employee of a public transportation system (or of any other agency or entity performing related functions) receiving FTA assistance to whom the Hatch Act would not otherwise apply. Updated 3/07/12 Page 6 of38 g. agrees that: False or Fraudulent Statements or Claims. The Contractor acknowledges and (1) Civil Fraud. The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq., and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31, apply to its activities in connection with the Project. By executing this Agreement for the Project, the Contractor certifies or affirms the truthfulness and accuracy of each statement it has made, it makes, or it may make in connection with the Project. In addition to other penalties that may apply, the Contractor also understands that if it makes a false, fictitious, or fraudulent claim, statement, submission, certification, assurance, or representation to the Federal/State Government concerning the Project, the Federal/State Government reserves the right to impose on the Contractor the penalties of the Program Fraud Civil Remedies Act of 1986, as amended, to the extent the Federal/State Government deems appropriate. (2) Criminal Fraud. If the Contractor makes a false, fictitious, or fraudulent claim, statement, submission, certification, assurance, or representation to the Federal/State Government or includes a false, fictitious, or fraudulent statement or representation in any agreement with the Federal/State Government in connection with a Project authorized under 49 U.S.C. chapter 53 or any other Federal law, the Federal/State Government reserves the right to impose on the Contractor the penalties of 49 U.S.C. § 5323(1), 18 U.S.C. § 1001 or other applicable Federal/State law to the extent the Federal/State Government deems appropriate. Section 7. Project Expenditures/Payment/Reimbursement. a. General. The Department shall reimburse the Contractor for allowable costs for work performed under the terms of this Agreement which shall be financed with Federal Section 5311 funds and State matching funds. The Contractor shall expend funds provided in this Agreement in accordance with the approved Project Budget(s), included as Attachment C to this Agreement. It is understood and agreed that the work conducted pursuant to this Agreement shall be done on an actual cost basis by the Contractor. Expenditures submitted for reimbursement shall include all eligible cost incurred within the Period Covered. The Period Covered represents the monthly or quarterly timeframe in which the project reports expenditures to the Department. All payments issued by the Department will be on a reimbursable basis unless the Contractor requests and the Department approves an advance payment. The Department allows grantees in good standing to request advance payment (prior to issuing payment to the vendor) for vehicles and other high-cost capital items. The Contractor agrees to deposit any advance payments into its account when received and issue payment to the vendor within 3 (three) business days. The amount of reimbursement from the Department shall not exceed the funds budgeted in the approved Project Budget. The Contractor shall initiate and prosecute to completion all actions necessary to enable the Contractor to provide its share of project costs at or prior to the time that such funds are needed to meet project costs. The Contractor shall provide its share of project costs from sources other than FT A and State funds from the Department. Any costs for work not eligible for Federal and State participation shall be financed one hundred percent (1 00%) by the Contractor. b. Administrative Expenditures. In order to assist the Contractor in financing the administrative costs of the project, the Department shall reimburse the Contractor up to the percentage specified in the Approved Project Budget of allowable administrative costs which shall be determined by available funding. c. Operating Expenditures. In order to assist in financing the operating costs of the project, the Department shall reimburse the Contractor for the lesser of the following when providing Section 5311 operating assistance: (1) The balance of unrecovered operating expenditures after deducting all farebox and other operating revenues, or (2) Up to the percentage specified in the Approved Project Budget of the allowable total operating expenditures which shall be determined by available funding. Updated 3/07/12 Page 7 of38 d. Payment and Reimbursement. The Contractor shall submit a request for reimbursement to the Department for the Period Covered not more frequently than monthly, nor less frequently than quarterly, reporting on the Department's Uniform Public Transportation Accounting System (UPTAS) invoicing forms furnished by the Department for work performed under this Agreement. Expenditures submitted for reimbursement shall include all eligible cost incurred within the Period Covered. Failure to request reimbursement for expenses incurred within the Period Covered may result in non-payment. All requests for reimbursement must be submitted within (30) days following the end of the project's reporting period. Additional forms must be submitted with reimbursement requests to report on contracting activities with Disadvantaged Business Enterprise (DBE) firms. Invoices shall be supported by documentation of costs unless otherwise waived by the Department. All requests must be submitted within thirty {30) days following the end of the quarter. Failure to request reimbursement for eligible projects costs as outlined may result in termination of the Project. Invoices shall be approved by the Department's Public Transportation Division and reviewed by the Department's External Audit Branch prior to payment. e. Excluded Costs. The Contractor understands and agrees that, except to the extent the Department determines otherwise in writing, ineligible costs will be treated as follows: (1) In determining the amount of Federal/State assistance the Department will provide, the Department will exclude: (a) Any Project cost incurred by the Contractor before the effective date of the grant; (b) Any cost that is not included in the latest Approved Project Budget; (c) Any cost for Project property or services received in connection with a third party contract, sub-agreement, lease, or other arrangement that is required to be, but has not been, concurred in or approved in writing by FT A; (d) Any non-project cost consistent with the prohibitions of 49 U.S.C. § 5323(h); and (e) Any profit or fee sought by the recipient for its services under the Grant Agreement, except to the extent determined by applicable. (f) Any cost ineligible for FT A participation as provided by applicable Federal/State laws, regulations, or directives. (2) The Contractor shall limit reimbursement for meals, lodging and travel to the rates established by the State of North Carolina Travel Policy. Costs incurred by the Contractor in excess of these rates shall be borne by the contractor. (3) The Contractor understands and agrees that payment to the Contractor for any Project cost does not constitute the Federal/State Government's final decision about whether that cost is allowable and eligible for payment and does not constitute a waiver of any violation by the Contractor of the terms of this Agreement. The Contractor acknowledges that the Federal/State Government will not make a final determination about the allowability and eligibility of any cost until an audit of the Project has been completed. If the Federal/State Government determines that the Contractor is not entitled to receive any portion of the Federal/State assistance the Contractor has requested or provided, the Department will notify the Contractor in writing, stating its reasons. The Contractor agrees that Project closeout will not alter the Contractor's responsibility to return any funds due the Federal/State Government as a result of later refunds, corrections, or other transactions; nor will Project closeout alter the Federal/State Government's right to disallow costs and recover funds on the basis of a later audit or other review. Unless prohibited by Federal/State law or regulation, the Federal/State Government may recover any Federal/State assistance funds made available for the Project as necessary to satisfy any outstanding monetary claims that the Federal/State Government may have against the Contractor. Updated 3/07/12 Page 8 of38 f. Program Income 1. State, Local, or Indian Tribal Governments. In addition to uses of program income authorized under 49 C.F. R Section 18.25, FTA reserves the right to permit the Department to add program income to the funds FTA and the recipient have committed to that Grant agreement and use that program income for the purposes of and under the conditions of the grant agreement. 2. Institutions of Higher Education, private Non-Profit Organizations, and Private For Profit Organizations. In addition to uses of program income permitted under 49 C.F.R. Section 19.24, FTA reserves the right to permit a recipient to add the program income to the funds FTA and the recipient have committed to that Grant agreement and use that program income to further eligible project or program objectives. 3. Cost Associated With Program Income. Except to the extent FTA determines otherwise in writing, the cost incident to the earning program income may be deducted from the Recipient's gross income to determine program income, provided these costs have not been charged to the Grant Agreement. g. Federal/State Claims, Excess Payments, Disallowed Costs, including Interest. ( 1) Contractor 's Responsibility to Pay. Upon notification to the Contractor that specific amounts are owed to the Federal/State Government, whether for excess payments of Federal/State assistance, disallowed costs, or funds recovered from third parties or elsewhere, the Contractor agrees to remit to the Department promptly the amounts owed, including applicable interest and any penalties and administrative charges. (2) Amount of Interest. The Contractor agrees to remit to the Department interest owed as determined in accordance with N.C.G.S. 147-86.23. Upon notification to the Contractor that specific amounts are owed to the Federal Government, whether for excess payments of Federal assistance, disallowed costs, or funds recovered from third parties or elsewhere, the Contractor agrees to remit to the Federal Government promptly the amounts owed, including applicable interest, penalties and administrative charges. (3) Payment to FTA. Upon receipt of repayment from the Contractor, the Department shall be responsible to remit amounts owed to FT A. h. De-obligation of Funds. The Contractor agrees that the Department may de-obligate unexpended Federal and State funds before Project closeout. Section 8. Accounting Records. a. Establishment and Maintenance of Accounting Records. The Contractor shall establish and maintain separate accounts for the public transportation program, either independently or within the existing accounting system. All costs charged to the program shall be in accordance with most current approved Annual Budget and shall be reported to the Department in accordance with UPTAS. b. Documentation of Project Costs. All costs charged to the Project, including any approved services performed by the Contractor or others, shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges, as referenced in 49 C.F.R. 18, the Office of Management and Budget Circulars A-87, "Costs Principles for State, Local, and Indian Tribal Governments" and A-1 02 "Grants and Cooperative Agreements with State and Local Governments." c. Allowable Costs. Expenditures made by the Contractor shall be reimbursed as allowable costs to the extent they meet all of the requirements set forth below. They must be: Updated 3/07/12 (1) Consistent with the Project Description, plans, specifications, and Project Budget and all other provisions of this Agreement; (2) Necessary in order to accomplish the Project; (3) Reasonable in amount for the goods or services purchased; Page 9 of38 (4) Actual net costs to the Contractor, i.e., the price paid minus any refunds (e.g., refundable sales and use taxes pursuant to N.C.G.S. 105- 164.14), rebates, or other items of value received by the Contractor that have the effect of reducing the cost actually incurred; (5) Incurred (and be for work performed) within the period of performance and period covered of this Agreement unless specific authorization from the Department to the contrary is received; (6) Satisfactorily documented; (7) Treated uniformly and consistently under accounting principles and procedures approved or prescribed by the Department; and (8) In compliance with U.S. DOT regulations pertaining to allowable costs at 49 C.F.R. § 18.22(b) or 49 C.F.R. § 19.27, which regulations specify the applicability of U.S. Office of Management and Budget (U.S. OMB) circulars and Federal Acquisition Regulation (FAR) provisions are follows: (a1) U.S. OMB Guidance for Grants and Agreements, "Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A-87)", 2 C.F.R. Part 225, applies to Project costs incurred by a Contractor that is a State, local, or Indian tribal government. (b1) U.S. OMB Guidance for Grants and Agreements, "Cost Principles for Educational Institutions (OMB Circular A-21 ), "2 C.F.R. Part 220, applies to Project costs incurred by a Contractor that is an institution of higher education. (c1) U.S. OMB Guidance for Grants and Agreements "Cost Principles for Non-profit Organizations (OMB Circular A-122)," 2 C.F.R. Part 230, applies to Project costs incurred by a Contractor that is a private nonprofit organization. (d1) FAR, at 48 C.F.R., Subpart 31.2, "Contracts with Commercial Organizations" applies to Project costs incurred by a Contractor that is a for-profit organization. Section 9. Reporting. Record Retention. and Access. a. Reports. The Contractor shall advise the Department regarding the progress of the Project at a minimum quarterly and at such time and in such a manner as the Department may require. Such reporting and documentation may include, but not be limited to: operating statistics, equipment usage, meetings, progress reports, and monthly performance reports. The Contractor shall collect and submit to the Department such financial statements, data, records, contracts, and other documents related to the Project as may be deemed necessary by the Department. Such reports shall include narrative and financial statements of sufficient substance to be in conformance with the reporting requirements of the Department. Progress reports throughout the useful life of the project equipment shall be used, in part, to document utilization of the project equipment. Failure to fully utilize the project equipment in the manner directed by the Department shall constitute a breach of contract, and after written notification by the Department, may result in termination of the Agreement or any such remedy as the Department deems appropriate. b. Record Retention. The Contractor and its third party contractors shall retain all records pertaining to this Project for a period of five (5) years from the date of final payment to the Contractor, or until all audit exceptions have been resolved, whichever is longer, in accordance with "Records Retention and Disposition Schedule -Public Transportation Systems and Authorities, April 1, 2006," at (http://www.ah.dcr.state.nc.us/records/local/). Updated 3/07/12 Page 10 of38 c. Access to Records of Contractor and Subcontractors. The Contractor shall permit and shall require its third party contractors to permit the Department, the Comptroller General of the United States, and the Secretary of the United States Department of Transportation, or their authorized representatives, to inspect all work, materials, payrolls, and other data and records with regard to the Project, and to audit the books, records, and accounts of the Contractor pertaining to the Project. The Department shall reserve the right to reject any and all materials and workmanship for defects and incompatibility with Project Description or excessive cost. The Department shall notify the Contractor, in writing, if materials and/or workmanship are found to be unacceptable. The Contractor shall have ninety (90) days from notification to correct defects or to provide acceptable materials and/or workmanship. Failure by the Contractor to provide acceptable materials and/or workmanship, or to correct noted defects, shall constitute a breach of contract. d. Project Closeout. The Contractor agrees that Project closeout does not alter the reporting and record retention requirements of this Section 6 of this Agreement. Section 10. Project Completion, Audit, Settlement, and Closeout. a. Project Completion. Within ninety (90) calendar days following Project completion, the end of the Project's period of performance, or termination by the Department, the Contractor agrees to submit a final reimbursement request to the Department for eligible Project expenses. b. Financial Reporting and Audit Reguirements. In accordance with OMB Circular A- 133, "Audits of State, Local Governments and Non-Profit Organizations," revised on June 27, 2003 and June 26, 2007 (www.whitehouse.gov/omb/circulars), N.C.G.S. 159-34, the Contractor shall arrange for an independent financial and compliance audit of its fiscal operations. The Contractor shall furnish NCDOT with a copy of the audit report, in addition to any copies submitted to the Local Government Commission. c. Audit Costs. Unless prohibited by law, the costs of audits made in accordance with the provisions of OMB Circular A-133 are allowable charges to State and Federal awards. The charges may be considered a direct cost or an allocated indirect cost, as determined in accordance with cost principles outlined in OMB Circular A-87 "Cost Principles for State, Local, and Indian Tribal Governments." The cost of any audit not conducted in accordance with OMS Circular A-133 and N.C.G.S. 159-34 is unallowable and shall not be charged to State or Federal grants. d. Funds Owed to the Department. The Contractor agrees to remit to the Department any excess payments made to the Contractor, any costs disallowed by the Department, and any amounts recovered by the Contractor from third parties or from other sources, as well as any penalties and any interest required by Subsection 7g of this Agreement. e. Project Closeout. Project closeout occurs when the Department issues the final project payment or acknowledges that the Contractor has remitted the proper refund. The Contractor agrees that Project closeout by the Department does not invalidate any continuing requirements imposed by this Agreement. Section 11. Civil Rights. The Contractor agrees to comply with all applicable civil rights laws and implementing regulations including, but not limited to, the following: a. Nondiscrimination in Federal Public Transportation Programs. The Contractor agrees to comply, and assures the compliance of each third party contractor at any tier and each subrecipient at any tier of the Project, with the provisions of 49 U.S.C. § 5332, which prohibit discrimination on the basis of race, color, creed, national origin, sex, or age, and prohibits discrimination in employment or business opportunity. b. Nondiscrimination -Title VI of the Civil Rights Act. The Contractor agrees to comply, and assures the compliance of each third party contractor at any tier and each subrecipient at any tier of the Project, with all provisions prohibiting discrimination on the basis of race, color, or national origin of Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. §§ 2000d et seq., and with U.S. DOT Updated 3/07/12 Page 11 of38 regulations, "Nondiscrimination in Federally-Assisted Programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act," 49 C.F.R. Part 21. c. Equal Employment Opportunity. The Contractor agrees to comply, and assures the compliance of each third party contractor at any tier of the Project and each subrecipient at any tier of the Project, with all equal employment opportunity (EEO) provisions of 49 U.S.C. § 5332, with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq., and implementing Federal regulations and any subsequent amendments thereto. Except to the extend FTA determines otherwise in writing, the recipient also agrees to follow all applicable Federal EEO directives that may be issued. Accordingly: (1) General. The Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, sex, disability, age, or national origin. The Contractor agrees to take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, creed, sex, disability, age, or national origin. Such action shall include, but not be limited to, employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. (2) Equal Employment Opportunity Requirements for Construction Activities. For activities determined by the U.S. Department of Labor (U.S. DOL) to qualify as "construction," the Contractor agrees to comply and assures the compliance of each third party contractor at any tier or subrecipient at any tier of the Project, with all applicable equal employment opportunity requirements of U.S. DOL regulations, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq., which implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order No. 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000(e) note, and also with any Federal laws, regulations, and directives affecting construction undertaken as part of the Project. d. Disadvantaged Business Enterprises. (1) Policy. It is the policy of the North Carolina Department of Transportation that Disadvantaged Business Enterprises (DBEs) as defined in 49 CFR Part 26 shall have the equal opportunity to compete fairly for and to participate in the performance of contracts financed in whole or in part by Federal Funds. The Contractor is also encouraged to give every opportunity to allow DBE participation in Supplemental Agreements. (2) Obligation The Contractor, subconsultant, and subcontractor shall not discriminate on the basis of race, religion, color, national origin, age, disability or sex in the performance of this contract. The Contractor shall comply with applicable requirements of 49 CFR Part 26 in the award and administration of federally assisted contracts. Failure by the Contractor to comply with these requirements is a material breach of this contract, which will result in the termination of this contract or such other remedy, as the Department deems necessary. (3) Goals. Even though specific DBE goals are not established for this project, the Department encourages the Contractor to have participation from DBE contractors and/or suppliers. (4) Listing of DBE Subcontractors. The contractor, at the time the Letter of Interest is submitted, shall submit a listing of all known DBE contractors that will participate in the performance of the identified work. The participation shall be submitted on the Department's Form RS-2. In the event the contractor has no DBE participation, the contractor shall indicate this on the Form RS-2 by entering the word 'None' or the number 'zero' and the form shall be signed. Form RS-2 may be accessed on the website at https://apps.dot.state.nc.us/quickfind/forms/Default.aspx. (5) Certified Transportation Firms Directory. Real-time information about contractors doing business with the Department and contractors that are certified through North Carolina's Unified Certification Program is available in the Directory of Transportation Firms. The Directory can be accessed by the link on the Department's homepage or by entering Updated 3/07/12 Page 12 of38 https://apps.dot.state.nc.us/vendor/directorv/ in the address bar of your web browser. Only contractors identified as DBE certified in the Directory shall be listed in the proposal. The listing of an individual contractor in the Department's directory shall not be construed as an endorsement of the contractor's capability to perform certain work. (6) Reporting Disadvantaged Business Enterprise Participation. When payments are made to Disadvantaged Business Enterprise (DBE) contractors, including material suppliers, contractors at all levels (Contractor, subconsultant or subcontractor) shall provide the Contract Administrator with an accounting of said payments. The accounting shall be listed on the Department's Subcontractor Payment Information Form (Form DBE-IS). In the event the contractor has no DBE participation, the contractor shall indicate this on the Form DBE-IS by entering the word 'None' or the number 'zero' and the form shall be signed. Form DBE-IS may be accessed on the website at https://apps.dot.state.nc.us/quickfind/forms/Default.aspx. A responsible fiscal officer of the payee Contractor, subconsultant or subcontractor who can attest to the date and amounts of the payments shall certify that the accounting is correct. A copy of an acceptable report may be obtained from the Department of Transportation. This information shall be submitted as part of the requests for payments made to the Department. e. Age Discrimination in Employment Act (ADEA). The Contractor agrees to comply with 29 U.S.C. Section 621 through 634 and with implementing U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, "Age Discrimination in Employment Act," 29 C.F. R. Part 1625, which prohibits discrimination against individuals on the basis of age. f. Access for Individuals with Disabilities. The Contractor agrees to comply with 49 U.S.C. § 5301 (d), which states the Federal policy that elderly individuals and individuals with disabilities have the same right as other individuals to use public transportation services and facilities, and that special efforts shall be made in planning and designing those services and facilities to implement transportation accessibility rights for elderly individuals and individuals with disabilities. The Contractor also agrees to comply with all applicable provisions of Section 504 of the Rehabilitation Act of 1973, as amended, with 29 U.S.C. § 794, which prohibits discrimination on the basis of disability; with the Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and services be made available to individuals with disabilities; and with the Architectural Barriers Act of 1968, as amended, 42 U.S.C. §§ 4151 et seq., which requires that buildings and public accommodations be accessible to individuals with disabilities. In addition, the Contractor agrees to comply with applicable Federal regulations and directives and any subsequent amendments thereto, except to the extent the Department determines otherwise in writing, as follows: Updated 3/07/12 (1) U.S. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 49 C.F.R. Part 37; (2) U.S. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 C.F.R. Part 27; (3) Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB)/U.S. DOT regulations, "Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles," 36 C.F.R. Part 1192 and 49 C.F.R. Part 38; (4) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability in State and Local Government Services," 28 C.F.R. Part 35; (5) U.S. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities," 28 C.F.R. Part 36; (6) U.S. General Services Administration (U.S. GSA) regulations, Page 13 of38 "Accommodations for the Physically Handicapped," 41 C.F.R. Subpart 101-19; (7) U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630; (8) U.S. Federal Communications Commission regulations, "Telecommunications Relay Services and Related Customer Premises Equipment for the Hearing and Speech Disabled," 47 C.F.R. Part 64, Subpart F; and (9) U.S. ATBCB regulations, "Electronic and Information Technology Accessibility Standards," 36 C.F.R. Part 1194; (10) FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 C.F.R. Part 609; and (11) Federal civil rights and nondiscrimination directives implementing the foregoing regulations. g. Drug or Alcohol Abuse-Confidentiality and Other Civil Rights Protections. To the extent applicable, the Contractor agrees to comply with the confidentiality and other civil rights protections of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. §§ 1101 et seq., with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended, 42 U.S.C. §§ 4541 et seq., and with the Public Health Service Act of 1912, as amended, 42 U.S.C. §§ 201dd -290dd-2 et seq, and any subsequent amendments to these acts. h. Access to Services for Persons with Limited English Proficiency. To the extent applicable and except to the extent that the Department determines otherwise in writing, the Contractor agrees to comply with the policies of Executive Order No. 13166, "Improving Access to Services for Persons with Limited English Proficiency," 42 U.S.C. § 2000d-1 note, and with the provisions of U.S. DOT Notice, "DOT Guidance to Recipients on Special Language Services to Limited English Proficient (LEP) Beneficiaries," 70Fed. Reg. 74087 et seq., December 14, 2005. i. Environmental Justice. The Contractor agrees to comply with the policies of Executive Order No. 12898, "Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations," 42 U.S.C. § 4321 note, except to the extent that the Department determines otherwise in writing. i. Other Nondiscrimination Laws. The Contractor agrees to comply with all applicable provisions of other Federal laws, regulations, and directives pertaining to and prohibiting discrimination that are applicable, except to the extent the Department determines otherwise in writing. Section 12. a. Updated 3/07/12 Planning and Private Enterprise. General. To the extent applicable, the Contractor agrees to implement the Project in a manner consistent with the plans developed in compliance with the Federal planning and private enterprise provisions of the following: (1) Federal Transit law, specifically, 49 U.S.C. §§ 5303, 5304, 5306, and 5323(a)(1 ); (2) Joint Federal Highway Administration (FHWA)/FTA document, "Interim Guidance for Implementing Key SAFETEA-LU Provisions on Planning, Environment, and Air Quality for Joint FHWA/FTA Authorities," dated September 2, 2005, as amended by joint FHWA/FTA guidance, "SAFETEA-LU Deadline for New Planning Requirements (July 1, 2007)," dated May 2, 2006 [clarifying Guidance on Implementation of SAFETEA-LU Planning Provisions], and subsequent Federal directives implementing SAFETEA-LU, except to the extent FTA determines otherwise in writing; (3) Joint FHWA/FTA regulations, "Planning Assistance and Standards," 23 C.F.R. Part 450 and 49 C.F.R. Part 613 to the extent that those regulations are consistent with the SAFETEA-LU amendments to public Page 14 of38 transportation planning and private enterprise laws, and subsequent amendments to those regulations that may be promulgated; and (4) FTA regulations, "Major Capital Investment Projects," 49 C.F.R. Part 611, to the extent that those regulations are consistent with the SAFETEA-LU amendments to the public transportation planning and private enterprise laws, and any subsequent amendments to those regulations that may be subsequently promulgated. b. Governmental and Private Nonprofit Providers of Nonemergency Transportation. In addition to providing opportunities to participate in planning as described in Subsection 12a of this Agreement, to the extent feasible the Contractor agrees to comply with the provisions of 49 U.S.C. § 5323(k), which afford governmental agencies and nonprofit organizations that receive Federal assistance for nonemergency transportation from Federal Government sources (other than U.S. DOT) an opportunity to be included in the design, coordination, and planning of transportation services. c. Infrastructure Investment. During the implementation of the Project, the Contractor agrees to take into consideration the recommendations of Executive Order No. 12803, "Infrastructure Privatization," 31 U.S.C. § 501 note, and Executive Order No. 12893, "Principles for Federal Infrastructure Investments," 31 U.S.C. § 501 note. Section 13. Preference for United States Products and Services. To the extent applicable, the Contractor agrees to comply with the following U.S. domestic preference requirements: a. Buy America. The Contractor agrees to comply with 49 U.S.C. § 53230) and FTA regulations, "Buy America Requirements," 49 C.F.R. Part 661 to the extent those regulations are consistent with SAFETEA-LU provisions, and subsequent amendments to those regulations that may be promulgated. The Contractor also agrees to comply with FTA directives to the extent those directives are consistent with SAFETEA-LU provisions, except to the extent that FT A or the Department determines otherwise in writing. b. Cargo Preference-Use of United States-Flag Vessels. The Contractor agrees to comply with U.S. Maritime Administration regulations, "Cargo Preference-U.S.-Fiag Vessels," 46 C.F.R. Part 381, to the extent those regulations apply to the Project. c. Fly America. The Contractor understands and agrees that the Federal/State Government will not participate in the costs of international air transportation of any individuals involved in or property acquired for the Project unless that air transportation is provided by U.S.-flag air carriers to the extent service by U.S.-flag air carriers is available, in accordance with the requirements of the International Air Transportation Fair Competitive Practices Act of 1974, as amended, 49 U.S.C. § 40118, and with U.S. GSA regulations, "Use of United States Flag Air Carriers," 41 C.F.R. §§ 301-10.131 through 301-10.143. Section 14. Procurement. To the extent applicable, the Contractor agrees to comply with the following third party procurement provisions: a. Federal Standards. The Contractor agrees to comply with the third party procurement requirements of 49 U.S.C. chapter 53 and other applicable Federal laws in effect now or as subsequently enacted; with U.S. DOT third party procurement regulations of 49 C.F.R. §§ 18.36 and other applicable Federal regulations pertaining to third party procurements and subsequent amendments thereto, to the extent those regulations are consistent with SAFETEA-LU provisions; and Article 8 of Chapter 143 of the North Carolina General Statutes. The Contractor also agrees to comply with the provisions of FTA Circular 4220.1F, "Third Party Contracting Requirements," to the extent those provisions are consistent with SAFETEA-LU provisions and with any subsequent amendments thereto, except to the extent the Department or the FTA determines otherwise in writing. Although the FTA "Best Practices Procurement Manual" provides additional procurement guidance, the Contractor understands that the FTA "Best Practices Procurement Manual" is focused on third party procurement processes and may omit certain Federal requirements applicable to the third party contract work to be Updated 3/07/12 Page 15 of38 performed. The Contractor shall establish written procurement procedures that comply with the required Federal and State standards. b. Full and Open Competition. In accordance with 49 U.S.C. § 5325(a), the Contractor agrees to conduct all procurement transactions in a manner that provides full and open competition as determined by the Department and FT A. c. Exclusionary or Discriminatory Specifications. Apart from inconsistent requirements imposed by Federal laws or regulations, the Contractor agrees to comply with the requirements of 49 U.S.C. § 5325(h) by not using any Federal assistance awarded by FTA to support a procurement using exclusionary or discriminatory specifications. d. Geographic Restrictions. The Contractor agrees that it will not use any State or local geographic preference, except State or local geographic preferences expressly mandated or as permitted by FTA. However, for example, in procuring architectural, engineering, or related services, the Contractor's geographic location may be a selection criterion, provided that a sufficient number of qualified firms are eligible to compete. e. In-State Bus Dealer Restrictions. The Contractor agrees that in accordance with 49 U.S.C. § 5325(i), any State law requiring buses to be purchased through in-State dealers will not apply to purchases of vehicles acquired with funding authorized under 49 U.S.C. chapter 53. f. Neutrality in Labor Relations. To the extent permitted by law, the Contractor agrees to comply with Executive Order No. 13502, "Use of Project Labor Agreements (PLA) for Federal Construction Projects," February 6, 2009, 74 Fed. Reg. 6985 et seq. As a result, the Recipient is no longer prohibited from requiring an affiliation with a labor organization, such as a project labor agreement, as a condition for award of any third party contract or subcontract at any tier for construction or construction management services, except to the extent that the Federal Government determines otherwise in writing. g. Federal Supply Schedules. State, local, or nonprofit Recipients may not use Federal Supply Schedules to acquire federally assisted property or services except to the extent permitted by U.S. GSA, U.S. DOT, or FTA laws, regulations, directives, or determinations. h. Force Account. The Contractor agrees that FTA may determine the extent to which Federal assistance may be used to participate in force account costs. i. Department Technical Review. The Contractor agrees to permit the Department to review and approve the Contractor 's technical specifications and requirements to the extent the Department believes necessary to ensure proper Project administration. The Contractor agrees to submit the following to the Department for its review and approval prior to solicitation: (1) New/adapted specifications for equipment, supplies, apparatuses and new-type rolling stock. This requirement does not apply to equipment, supplies, or apparatuses with cost of less than $30,000; or to Minivans; Conversion and Lift Vans; Center Aisle Vans and Standard Vans; and Light Transit Vehicles (Cutaway-type Bus). (2) Drawings, designs, and/or description of work for construction, renovation, or facility improvement projects, including the purchase or construction of bus shelters. j. Department Pre-award Approval. The Contractor agrees to submit procurement documents to the Department for its review and approval prior to award of a contract/ subcontract under this Agreement for any of the following: Updated 3/07/12 (I) All new-type rolling stock, excluding Minivans; Conversion and Lift Vans; Center Aisle Vans and Standard Vans; and Light Transit Vehicles (Cutaway-type Bus). (2) All construction projects equal to or greater than $30,000; (3) Any "brand name" product or sole source purchase equal to or greater than $2,500; (4) Any contract/subcontract to other than apparent lowest bidder equal to or greater than $2,500; (5) Any procurement equal to or greater than $90,000; (6) Any contract modification that would change the scope of a contract or Page 16 of38 increase the contract amount up to or over the formal (sealed) bid threshold of $90,000. k. Project Approval/Third Party Contract Approval. Except to the extent the Department determines otherwise in writing, the Contractor agrees that the Department's award of Federal and State assistance for the Project does not, by itself, constitute pre-approval of any non-competitive third party contract associated with the Project. I. Preference for Recycled Products. To the extent applicable, the Contractor agrees to comply with U.S. EPA regulations, "Comprehensive Procurement Guidelines for Products Containing Recovered Materials," 40 C.F.R. Part 247, which implements Section 6002 of the Resource Conservation and Recovery Act, as amended, 42 U.S.C. § 6962, and with subsequent Federal regulations that may be promulgated. Accordingly, the Contractor agrees to provide a competitive preference for products and services that conserve natural resources, protect the environment, and are energy efficient. m. Clean Air and Clean Water. The Contractor agrees to include in each third party contract and subagreement exceeding $100,000 adequate provisions to ensure that each Project participant will agree to report the use of facilities placed on or likely to be placed on the U.S. Environmental Protection Agency (U.S. EPA) "List of Violating Facilities," to not use any violating facilities, to report violations to the Department and the Regional U.S. EPA Office, and to comply with the inspection and other applicable requirements of: (1) Section 306 of the Clean Air Act, as amended, 42 U.S.C. § 7606, and other applicable provisions of the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through 7671q; and (2) Section 508 of the Clean Water Act, as amended, 33 U.S.C. § 1368, and other applicable requirements of the Clean Water Act, as amended, 33 U.S.C. §§ 1251 through 1377. n. National Intelligent Transportation Systems Architecture and Standards. To the extent applicable, the Contractor agrees to conform to the National Intelligent Transportation Systems (ITS) Architecture and Standards as required by SAFETEA-LU § 5307(c), 23 U.S.C. § 512 note, and comply with FTA Notice, "FTA National ITS Architecture Policy on Transit Projects" 66 Fed. Reg. 1455 et seq., January 8, 2001, and any subsequent further implementing directives, except to the extent FTA or the Department determines otherwise in writing. o. Rolling Stock. In acquiring rolling stock, the Contractor agrees as follows: (1) Method of Acquisition. The Department's Public Transportation Division, through the North Carolina Department of Administration, Purchase and Contract Division, awards vehicle contracts for its grant recipients to purchase public transit vehicles. These vehicle contracts comply with FTA and State requirements. The Contractor will utilize these vehicle contracts to purchase public transit vehicles included in the Approved Budget for this Project. For public transit vehicles not included in these contracts, the Contractor shall conduct a competitive procurement process in accordance with this Agreement. (2) Multi-year Options. In accordance with 49 U.S.C. § 5325(e)(1), the Contractor may not enter into a multi-year contract with options, exceeding five (5) years after the date of the original contract, to purchase additional rolling stock and replacement parts. (3) Pre-Award and Post-Delivery Requirements. The Contractor agrees to comply with the requirements of 49 U.S.C. § 5323(m) and FTA regulations, "Pre-Award and Post-Delivery Audits of Rolling Stock Purchases," 49 C.F.R. Part 663 and, when promulgated, any amendments to those regulations. The Contractor understands and agrees that to the extent the provisions of 49 U.S.C. § 5323(m), as amended by SAFETEA-LU conflict with FTA's implementing regulations, as currently promulgated, the provisions of 49 U.S.C. § 5323(m), as amended, prevail. (4) Bus Testing. To the extent applicable, the Contractor agrees to comply with the requirements of 49 U.S.C. § 5318(e) and FTA regulations, "Bus Testing," 49 C.F.R. Part 665, and any amendments to those regulations that may be promulgated. p. Bonding. For construction projects, the Contractor agrees to provide bid guarantee bond (5% of bid price) and performance and payment bonds (1 00% of contract price) and comply with any other construction bonding provisions as the Department may determine. Updated 3/07/12 Page 17 of38 q. Architectural, Engineering, Design, or Related Services. For all architectural, engineering, design, or related services the Contractor shall use qualifications-based competitive proposal [Request for Qualifications (RFQ) in accordance with the Brooks Act] procedures. The Contractor shall follow applicable statutes, N.C.G.S. 143-64.31-34 and requirements set forth in FTA Circular 4220.1 F, to retain a qualified, registered architect or professional engineer. ( 1) The Contractor agrees to comply with qualifications-based competitive proposal procedures, which require: (a) An offeror's qualifications be evaluated; (b) Good faith effort to use minority-owned businesses; (c) Price be excluded as an evaluation factor; (d) Negotiations be conducted with only the most qualified offeror; and (e) Failing agreement on price, negotiations with the next most qualified offeror be conducted until a contract award can be made to the most qualified offeror whose price is fair and reasonable. (2) Geographic location may be a selection criterion in procurements for architectural and engineering (A&E) services provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract. (3) The Contractor acknowledges and agrees that qualifications-based competitive proposal procedures can only be used for procurement of the following services: (a) Program management; (b) Construction management; (c) Feasibility studies; and (d) Preliminary engineering, design, architectural, engineering, surveying, mapping, and related services. (4) The Contractor also agrees to: (a) Include applicable Federal requirements and certifications in the solicitation; (b) Submit procurement documents to the Department for its review and approval prior to the award of any contract for A&E services for the Project; and (c) Maintain written documentation to support each step of the procurement process. r. Design-Bid-Build Projects. The Design-Bid-Build method of construction is where there are separate contracts and procurement processes for the design and construction. Typically the designer coordinates the numerous prime contractors that are involved in the construction process. The Contractor may use design-bid-build procurements to implement its projects after it has complied with applicable Federal and State requirements and obtains approval from the Department prior to solicitation and award of the contract. s. Design-Build Projects. The Design-Build method of construction is where a single contractor is given responsibility for both design and construction, thus eliminating an intermediate procurement step with possible time saving, and more effective coordination and opportunities for cost savings. Currently, this procurement method is not an allowable method of procurement by the State of North Carolina. The Contractor may request to use the design-build method as an "alternate" method. Submission of justification must be presented to the State Building Commission for a 2/3-majority vote of approval. One of the drawbacks of design-build is that the owner does not have an independent source (the NE in traditional construction) overseeing design implementation and verifying conformance with the drawings and specifications. t. Competitive Proposal/Request for Proposal (RFP). The competitive proposal/ request for proposal (RFP) method of procurement is normally conducted with more than one source submitting an offer, i.e., proposal. Either a fixed price or cost reimbursement type contract is awarded. This method of procurement is generally used when conditions are not appropriate for the use of sealed Updated 3/07/12 Page 18 of38 bids. The Contractor acknowledges that certain restrictions apply under North Carolina law for use of the RFP method and these restrictions and exceptions are discussed below. (1) The Contractor agrees that the RFP Method may not be used in lieu of an invitation for bids (IFB) for: (a) (b) Construction/repair work; or Purchase of apparatus, supplies, materials or equipment. See Subsection 14t(2), this Agreement, regarding information technology goods as services. (2) The Contractor agrees that the RFP method of solicitation may be used (in addition to or instead of any other procedure available under North Carolina law) for the procurement of information technology goods and services [as defined in N.C.G.S. 147-33.81 (2)]. This applies to electronic data processing goods and services, telecommunications goods and services, security goods and services, microprocessors, software, information processing, office systems, any services related to the foregoing, and consulting or other services for design or redesign of information technology supporting business processes. The Contractor will comply with the following minimum requirements [N.C.G.S. 143-129.8]: (a) Notice of the request for proposals shall be given in accordance with N.C.G.S. 143-129(b). (b) Contracts shall be awarded to the person or entity that submits the best overall proposal as determined by the awarding authority. Factors to be considered in awarding contracts shall be identified in the request for proposals. (c) The Contractor may use procurement methods set forth in N.C.G.S. 143-135.9 in developing and evaluating requests for proposals. (d) The Contractor may negotiate with any proposer in order to obtain a final contract that best meets the needs of the Contractor. (e) Any negotiations shall not alter the contract beyond the scope of the original request for proposals in a manner that deprives the proposers or potential proposers of a fair opportunity to compete for the contract; and would have resulted in the award of the contract to a different person or entity if the alterations had been included in the request for proposals. (f) Proposals submitted shall not be subject to public inspection until a contract is awarded. (3) The Contractor agrees that the RFP method, in accordance with FTA Circular 4220.1 F, under the guidelines of FTA "Best Practices Procurement Manual," should be used for procurements of professional services, such as consultants for planning activities and for transit system operations/management. The Contractor acknowledges that certain restrictions apply under North Carolina law for use of the RFP method and these restrictions and exceptions are discussed in Subsections 14t(1) and 14t(2) of this Agreement. For all architectural, engineering, design, or related services, the Contractor agrees that the qualifications-based competitive proposal process shall be used (see Subsection 14q, this Agreement). (4) When the RFP method is used for procurement of professional services, the Contractor agrees to abide by the following minimum requirements: Updated 3/07/12 (a) Normally conducted with more than one source submitting an offer (proposal); (b) Either fixed price or cost reimbursement type contract will be used; (c) Generally used when conditions are not appropriate for use of sealed bids; (d) Requests for proposals will be publicized; (e) All evaluation factors will be identified along with their relative Page 19 of38 importance; (f) Proposals will be solicited from an adequate number (3 is recommended) of qualified sources; (g) A standard method must be in place for conducting technical evaluations of the proposals received and for selecting awardees; (h) Awards will be made to the responsible firm whose proposal is most advantageous to the Contractor's program with price and other factors considered; and (i) In determining which proposal is most advantageous, the Contractor may award to the proposer whose proposal offers the greatest business value (best value) to the agency. "Best value" is based on determination of which proposal offers the best tradeoff between price and performance, where quality is considered an integral performance factor. u. Award to Other than the Lowest Bidder. In accordance with Federal and State statutes, a third party contract may be awarded to other than the lowest bidder, if the award furthers an objective (such as improved long-term operating efficiency and lower long-term costs). When specified in bidding documents, factors such as discounts, transportation costs, and life cycle costs will be considered in determining which bid is lowest. Prior to the award of any contract equal to or greater than $2,500 to other than apparent lowest bidder, the Contractor shall submit its recommendation along with basis/reason for selection to the Department for pre-award approval. v. Award to Responsible Contractors. The Contractor agrees to award third party contracts only to responsible contractors who possess potential ability to successfully perform under the terms and conditions of the proposed procurement. Consideration will be given to such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources. Contracts will not be awarded to parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in Federal assistance programs or activities in accordance with the Federal debarment and suspension rule, 49 C.F.R. 29. For procurements over $25,000, the Contractor shall comply, and assure the compliance of each third party contractor and subrecipient at any tier, with the debarment and suspension rule. FTA and the Department recommend that grantees use a certification form for projects over $25,000, which are funded in part with Federal funds. A sample certification form can be obtained from the Department. The Contractor also agrees to check a potential contractor's debarment/suspension status at the following Web site: http://epls.arnet.gov/. w. Procurement Notification Requirements. With respect to any procurement for goods and services (including construction services) having an aggregate value of $500,000 or more (in Federal funds), the Contractor agrees to: ( 1) Specify the amount of Federal and State funds that will be used to finance the acquisition in any announcement of the contract award for such goods or services; and (2) Express the said amount as a percentage of the total costs of the planned acquisition. x. Contract Administration System. The Contractor shall maintain a contract administration system that ensures that contractors/subcontractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. y. Access to Third Party Contract Records. The Contractor agrees, and agrees to require its third party contractors and third party subcontractors, at as many tiers of the Project as required, to provide to the Federal and State awarding agencies or their duly authorized representatives, access to all third party contract records to the extent required by 49 U.S.C. § 5325(g), and retain such documents for at least five (5) years after project completion. Section 15. Leases. Updated 3/07/12 Page 20 of38 a. Capital Leases. To the extent applicable, the Contractor agrees to comply with FTA regulations, "Capital Leases," 49 C.F.R. Part 639, and any revision thereto. b. Leases Involving Certificates of Participation. The Contractor agrees to obtain the Department's concurrence before entering into any leasing arrangement involving the issuance of certificates of participation in connection with the acquisition of any capital asset. Section 16. Hold Harmless. Except as prohibited or otherwise limited by State law or except to the extent that FTA or the Department determines otherwise in writing, upon request by the Federal or State Government, the Contractor agrees to indemnify, save, and hold harmless the Federal and State Government and its officers, agents, and employees acting wjthin the scope of their official duties against any liability, including costs and expenses, resulting from any willful or intentional violation by the Contractor of proprietary rights, copyrights, or right of privacy, arising out of the publication, translation, reproduction, delivery, use, or disposition of any data furnished under the Project. The Contractor shall not be required to indemnify the Federal or State Government for any such liability caused by the wrongful acts of Federal or State employees or agents. Section 17. Use of Real Property, Equipment, and Supplies. The Contractor understands and agrees that the Federal Government retains a Federal interest and the State Government retains a State interest in any real property, equipment, and supplies financed with Federal or State assistance (Project property) until, and to the extent, that the Federal or State Government relinquishes its Federal or State interest in that Project property. With respect to any Project property financed with Federal/State assistance under this Agreement, the Contractor agrees to comply with the following provisions, except to the extent FTA or the Department determines otherwise in writing: a: Use of Project Property. The Contractor agrees to maintain continuing control of the use of Project property to the extent satisfactory to FT A. The Contractor agrees to use Project property for appropriate Project purposes (which may include joint development purposes that generate program income, both during and after the award period and used to support public transportation activities) for the duration of the useful life of that property, as required by FTA or the Department. Should the Contractor unreasonably delay or fail to use Project property during the useful life of that property, the Contractor agrees that it may be required to return the entire amount of the Federal and State assistance expended on that property. The Contractor further agrees to notify the Department immediately when any Project property is withdrawn from Project use or when any Project property is used in a manner substantially different from the representations the Contractor has made in its Application or in the Project Description for this Agreement for the Project. In turn, the Department shall be responsible for notifying FT A. b. General. The Contractor agrees to comply with the property management standards of 49 C.F.R. §§ 18.31 through 18.33, including any amendments thereto, and with other applicable Federal and State regulations and directives. Any exception to the requirements of 49 C.F.R. §§ 18.31 through 18.33 requires the express approval of the Federal Government in writing. The Contractor also consents to the Department's reimbursement requirements for premature dispositions of certain Project equipment. as set forth in Subsection 17i of this Agreement. c. Maintenance and Inspection of Vehicles. Facilities and Other Project Equipment. The Contractor shall maintain all project equipment at a high level of cleanliness, safety, and mechanical soundness in accordance with the minimum maintenance requirements recommended by the manufacturer. The Contractor shall register all vehicle maintenance activities in a Comprehensive Maintenance Record or an electronic version of same. The Department shall conduct frequent inspections to confirm proper maintenance pursuant to this Subsection 17c of this Agreement and the State Management Plan. The Contractor shall collect and submit to the Department at such time and in such manner as it may require information for the purpose of the Department's Public Transportation Management System (PTMS). Updated 3/07/12 Page 21 of38 The Contractor shall maintain the facility, including any and all equipment installed into or added on to the facility as part of the Project, in good operating order and at a high level of cleanliness, safety and mechanical soundness in accordance with good facility maintenance and upkeep practices and in accordance with the minimum maintenance requirements recommended by the manufacturer for all equipment installed in or added to the facility as part of the Project. Such maintenance shall be in compliance with applicable Federal and state regulations or directives that may be issued, except to the extent that the Department determines otherwise in writing. The Department shall conduct inspections as it deems necessary to confirm proper maintenance on the part of the Contractor pursuant to Subsection 17c of the Agreement and the State Management Plan. Such inspections may or may not be scheduled ahead of time, but will be conducted such that they shall not significantly interfere with the ongoing and necessary functions for which the Project was designed. The Contractor shall make every effort to accommodate such inspections by the Department in accordance with the Department's desired schedule for such inspections. The Contractor shall collect and submit to the Department at such time and in such manner as the Department may require information for the purpose of the Department's Public Transportation Management System (PTMS) and any and all other reports the Department deems necessary. The Contractor shall also maintain and make available to the Department upon its demand all documents, policies, procedures, purchase orders, bills of sale, internal work orders and similar items that demonstrate the Contractor's maintenance of the facility in good operating order and at a high level of cleanliness, safety and mechanical soundness. d. Records. The Contractor agrees to keep satisfactory records pertaining to the use of Project property, and submit to the Department upon request such information as may be required to assure compliance with this Section 14 of this Agreement. e. Incidental Use. The Contractor agrees that: (1) General. Any incidental use of Project property will not exceed that permitted under applicable Federal and State laws, regulations, and directives. (2) Alternative Fueling Facilities. As authorized by 49 U.S.C. § 5323(p), any incidental use of its federally financed alternative fueling facilities and equipment by non- transit public entities and private entities will be permitted, only if the: (a) Incidental use does not interfere with the Contractor's Project or public transportation operations; (b) Contractor fully recaptures all costs related to the incidental use from the non-transit public entity or private entity; (c) Contractor uses revenues received from the incidental use in excess of costs for planning, capital, and operating expenses that are incurred in providing public transportation; and (d) Private entities pay all applicable excise taxes on fuel. f. Title to Vehicles. The Certificate of Title to all vehicles purchased under the Approved Budget for this Project shall be in the name of the Contractor. The Department's Public Transportation Division shall be recorded on the Certificate of Title as first lien-holder. In the event of project termination or breach of contract provisions, the Contractor shall, upon written notification by the Department, surrender Project equipment and/or transfer the Certificate(s) of Title for Project equipment to the Department or the Department's designee. g. Encumbrance of Project Property. The Contractor agrees to maintain satisfactory continuing control of Project property as follows: Updated 3/07/12 Page 22 of38 (1) Written Transactions. The Contractor agrees that it will not execute any transfer of title, lease, lien, pledge, mortgage, encumbrance, third party contract, subagreement, grant anticipation note, alienation, innovative finance arrangement (such as a cross border lease, leveraged lease, or otherwise), or any other obligation pertaining to Project property, that in any way would affect the continuing Federal and State interest in that Project property. (2) Oral Transactions. The Contractor agrees that it will not obligate itself in any manner to any third party with respect to Project property. (3) Other Actions. The Contractor agrees that it will not take any action adversely affecting the Federal and State interest in or impair the Contractor's continuing control of the use of Project property. h. Transfer of Project Property. The Contractor understands and agrees as follows: (1) Contractor Request. The Contractor may transfer any Project property financed with Federal assistance authorized under 49 U .S.C. chapter 53 to a local governmental authority to be used for any public purpose with no further obligation to the Federal Government, provided the transfer is approved by the Federal Transit Administrator and conforms with the requirements of 49 U.S.C. §§ 5334(h)(1) through 5334(h)(3). (2) Federal/State Government Direction. The Contractor agrees that the Federal or State Government may direct the disposition of, and even require the Contractor to transfer title to any Project property financed with Federal/State assistance under this Agreement. (3) Leasing Project Property to Another Party. (a) General. Prior to entering into any third party contract for leasing Project property to another party, the Contractor agrees to obtain approval from the Department. If the Contractor leases any Project property to another party, the Contractor agrees to retain ownership of the leased Project property, and assure that the lessee will use the Project property appropriately, through a written lease between the Contractor and lessee. The Contractor agrees to use the standard lease agreement form provided by the Department and to provide a copy of the signed, executed lease agreement to the Department. In accordance with Subsection 5g of this Agreement, regardless of assignment of work to be completed under this Project or lease of Project assets to a third party, it is the Contractor's primary responsibility to comply with Federal and State requirements of this Agreement and assure the compliance of any third party contractors. (b) Lease of Vehicles. The lease of vehicles acquired with financial assistance authorized for 49 U.S.C. 5311 to any third party is contingent upon approval of the Department. It is allowable to lease vehicles to another Community Transportation System providing general public service in the State of North Carolina, upon approval of the Department. It is also allowable for vehicles to be leased to a third party operator or transportation management company that operates the transit service Updated 3/07/12 Page 23 of38 within a county/region under contract to the Contractor, upon approval of the Department. The Contractor agrees to use the vehicle lease agreement provided by the Department when vehicles are leased, even if on a short-term basis, to another Community Transportation System or a management company. The Contractor agrees to obtain written approval from the Department before the lease is executed and forward a copy of the signed, executed lease agreement to the Department. The Contractor, as a Community Transportation System, shall not lease vehicles to human service agencies, county agencies/government, community agencies or school systems. The Contractor agrees not to loan vehicle(s) to other agencies/individuals for short-term use, even during hours that the transportation system is not providing service, as the vehicle(s) will generally be used to provide service that is "closed- door," i.e., not open to the general public. i. Disposition of Project Property. With prior Department approval, the Contractor may sell, transfer, or lease Project property and use the proceeds to reduce the gross project cost of other eligible capital public transportation projects to the extent permitted by 49 U.S.C. § 5334(h)(4). The Contractor also agrees that the Department shall determine "useful life" for all Project property and that the Contractor will use Project property continuously and appropriately throughout the useful life of that property. Upon the end of the period of useful life, the Contractor may dispose of Project property after notifying and receiving disposition instructions from the Department. ( 1) Project Property Whose Useful Life Has Expired. When the useful life of Project property has expired, the Contractor agrees to comply with the Department's disposition requirements. (2) Project Property Prematurely Withdrawn from Use. For Project property withdrawn from appropriate use before its useful life has expired, the Contractor agrees as follows: (a) Notification Requirement. The Contractor agrees to notify the Department immediately when any Project property is prematurely withdrawn from appropriate use, whether by planned withdrawal, misuse, or casualty loss. (b) Calculating the Fair Market Value of Prematurely Withdrawn Project Property. The Contractor agrees that the Federal/State Government retains a Federal/State interest in the fair market value of Project property prematurely withdrawn from appropriate use. The amount of the Federal/State interest in the Project property shall be determined by the ratio of the Federal/State assistance awarded for the property to the actual cost of the property. The Contractor agrees that the fair market value of Project property prematurely withdrawn from use will be calculated as follows: 1. Equipment and Supplies. The Contractor agrees that the fair market value of Project equipment and supplies shall be calculated by straight-line depreciation of that property, based on the useful life of the equipment or supplies as established by the Department. The fair market value of Project equipment and supplies shall be the value immediately before the occurrence prompting the withdrawal of the equipment or supplies from appropriate use. In the case of Project equipment or supplies lost or damaged by fire, casualty, or natural disaster, the fair market value shall be calculated on the basis of the Updated 3/07/12 Page 24 of38 condition of that equipment or supplies immediately before the fire, casualty, or natural disaster, or the amount of insurance coverage, whichever is greater. 2. Real Property. The Contractor agrees that the fair market value of real property financed under the Project shall be determined by FT A either on the basis of competent appraisal based on an appropriate date approved by FTA, as provided by 49 C.F.R. Part 24, by straight line depreciation of improvements to real property coupled with the value of the land as determined by FTA on the basis of appraisal, or other Federal law or regulations that may be applicable. J. Exceptional Circumstances. The Contractor agrees that the Department may require the use of another method to determine the fair market value of Project property. In unusual circumstances, the Contractor may request that another reasonable valuation method be used including, but not limited to, accelerated depreciation, comparable sales, or established market values. In determining whether to approve such a request, the Department may consider any action taken, omission made, or unfortunate occurrence suffered by the Contractor with respect to the preservation of Project property withdrawn from appropriate use. (c) Financial Obligations to the Federal/State Government. The Contractor agrees to remit to the Department the Federal and State interest in the fair market value of any Project property prematurely withdrawn from appropriate use. In turn, the Department shall be responsible to remit the Federal interest to the FTA. In the case of fire, casualty, or natural disaster, the Contractor may fulfill its obligations to remit the Federal and State interest by either: 1. Investing an amount equal to the remaining Federal and State interest in like-kind property that is eligible for assistance within the scope of the Project that provided Federal/State assistance for the Project property prematurely withdrawn from use; or .f.. Returning to the Department an amount equal to the remaining Federal and State interest in the withdrawn Project property. j. Insurance Proceeds. If the Contractor receives insurance proceeds as a result of damage or destruction to the Project property, the Contractor agrees to: ( 1) Apply those insurance proceeds to the cost of replacing the damaged or destroyed Project property taken out of service, or (2) Return to the Department an amount equal to the remaining Federal and State interest in the damaged or destroyed Project property. k. Transportation -Hazardous Materials. The Contractor agrees to comply with applicable requirements of U.S. Pipeline and Hazardous Materials Safety Administration regulations, "Shippers -General Requirements for Shipments and Packaging," 49 C.F.R. Part 173, in connection with the transportation of any hazardous materials. I. Misused or Damaged Project Property. If any damage to Project property results Updated 3/07/12 Page 25 of38 from abuse or misuse occurring with the Contractor 's knowledge and consent. the Contractor agrees to restore the Project property to its original condition or refund the value of the Federal and State interest in that property, as the Department may require. m. Responsibilities after Project Closeout. The Contractor agrees that Project closeout by the Department will not change the Contractor's Project property management responsibilities as stated in Section 14 of this Agreement, and as may be set forth in subsequent Federal and State laws, regulations, and directives, except to the extent the Department determines otherwise in writing. Section 18. Insurance: The Contractor shall be responsible for protecting the state and/or federal financial interest in the facility construction/renovation and equipment purchased under this Agreement throughout the useful life. The Contractor shall provide, as frequently and in such manner as the Department may require, written documentation that the facility and equipment are insured against loss in an amount equal to or greater than the state and/or federal share of the real value of the facility or equipment. Failure of the Contractor to provide adequate insurance shall be considered a breach of contract and, after notification may result in termination of this Agreement. In addition, other insurance requirements may apply, the Contractor agrees as follows: a. Minimum Requirements. At a minimum, the Contractor agrees to comply with the insurance requirements normally imposed by North Carolina State and local laws, regulations, and ordinances, except to the extent that the Department determines otherwise in writing. b. Flood Hazards. To the extent applicable, the Contractor agrees to comply with the flood insurance purchase provisions of Section 1 02{a) of the Flood Disaster Protection Act of 1973, 42 U.S.C. § 4012a{a), with respect to any Project activity involving construction or an acquisition having an insurable cost of $10,000 or more. Section 19. Relocation. When relocation of individuals or businesses is required, the Contractor agrees as follows: a. Relocation Protections. The Contractor agrees to comply with 49 U.S.C. § 5324{a), which requires compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, 42 U.S.C. §§ 4601 et seq.; and U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C.F.R. Part 24, which provide for fair and equitable treatment of persons displaced and persons whose property is acquired as a result of Federal and federally assisted programs. [See, new U.S. DOT final rule, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C.F.R. Part 24, at 70 Fed. Reg. 590 et seq., January 4, 2005.] These requirements apply to relocation in connection with all interests in real property acquired for the Project regardless of Federal participation in the costs of that real property. b. Nondiscrimination in Housing. In carrying out its responsibilities to provide housing that may be required for compliance with Federal relocation requirements for individuals, the Contractor agrees to comply with Title VIII of the Civil Rights Act of 1968, as amended, 42 U.S.C. §§ 3601 et seq., and with Executive Order No. 12892, "Leadership and Coordination of Fair Housing in Federal Programs: Affirmatively Furthering Fair Housing," 42 U.S.C. § 3608 note. c. Prohibition Against Use of Lead-Based Paint. In undertaking construction or rehabilitation of residential structures on behalf of individuals affected by real property acquisition in connection with implementing the Project, the Contractor agrees that it will not use lead-based paint, consistent with the prohibitions of Section 401 {b) of the Lead-Based Paint Poisoning Prevention Act, 42 U.S.C. § 4831{b), and the provisions of U.S. Housing and Urban Development regulations, "Lead- based Paint Poisoning in Certain Residential Structures." Section 20. Real Property. For real property acquired with Federal assistance, the Contractor agrees as follows: Updated 3/07/12 Page 26 of38 a. Land Acquisition. The Contractor agrees to comply with 49 U.S.C. § 5324(a), which requires compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, 42 U.S.C. §§ 4601 et seq.; and with U.S. DOT regulations, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C.F.R. Part 24. [See, new U.S. DOT final rule, "Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs," 49 C.F.R. Part 24, 70 Fed. Reg. 590 et seq., January 4, 2005.] These requirements apply to all interests in real property acquired for Project purposes regardless of Federal participation in the cost of that real property. b. Covenant Assuring Nondiscrimination. The Contractor agrees to include a covenant in the title of the real property acquired for the Project to assure nondiscrimination during the useful life of the Project. c. Recording Title to Real Property. To the extent required by FTA and the Department, the Contractor agrees to record the Federal and/or State's interest in title to real property used in connection with the Project and/or execute at the request of the Department any instrument or documents evidencing or related to the State's interest in the Project's property. ( 1) As a condition of its participation in a Facility Project, the Department will retain a secured interest in the Project for the estimated life of the Project, expected to be forty (40) years, following completion of the Project; or the prorated share of the original investment or current fair market value (the higher value of the two); whichever comes first. d. Department Approval of Changes in Real Property Ownership. The Contractor agrees that it will not dispose of, modify the use of, or change the terms of the real property title, or other interest in the site and facilities used in the Project without prior written permission and instructions from the Department. e. Disposal of Real Property. (1) If useful life is not attained, upon the sale or disposition of any Project facility, the Department shall be entitled to a refund of the original state and/or federal investment or the state and/or federal prorated share of the current fair market value of the project facility, whichever is greater. (2) For the purpose of this Agreement, the term "any sale or disposition of the Project facility" shall mean any sale or disposition of the facility for a use not consistent with purposes for which the state and/or federal share was originally granted pursuant to the Project Agreement, or for a use consistent with such purposes wherein the transferee in the sale or disposition does not enter into an assignment and assumption agreement with the Contractor with respect to the Contractor's obligation under this Agreement or the Grant Agreement, so that the transferee becomes obligated as if the transferee had been the original party. Section 21. Employee Protections. a. Construction Activities. The Contractor agrees to comply, and assures the compliance of each third party contractor and each subrecipient at any tier of the Project, with the following laws and regulations providing protections for construction employees: (1) Davis-Bacon Act, as amended, 49 U.S.C. § 5333(a), which requires compliance with the Davis-Bacon Act, 40 U.S.C. §§ 3141 et seq., and implementing U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Updated 3/07/12 Page 27 of38 Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F.R. Part 5; (2) Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701 et seq., specifically, the wage and hour requirements of Section 102 of that Act at 40 U.S.C. § 3702, and implementing U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F.R. Part 5; and the safety requirements of Section 107 of that Act at 40 U.S.C. § 3704, and implementing U.S. DOL regulations, "Safety and Health Regulations for Construction," 29 C.F.R. Part 1926;and (3) Copeland "Anti-Kickback" Act, as amended, 18 U.S.C. § 874 and 40 U.S.C. Section 3145 and implementing U.S. DOL regulations, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in part by Loans or Grants from the United States," 29 C.F.R. Part 3. b. Activities Not Involving Construction. The Contractor agrees to comply, and assures the compliance of each third party contractor and each subrecipient at any tier of the Project, with the employee protection requirements for nonconstruction employees of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701 et seq., in particular the wage and hour requirements of Section 102 of that Act at 40 U.S.C. § 3702, and with U.S. DOL regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Nonconstruction Contracts Subject to the Contract Work Hours and Safety Standards Act)," 29 C.F .R. Part 5. c. Activities Involving Commerce. The Contractor agrees that the provisions of the Fair Labor Standards Act, 29 U.S.C. §§ 201 et seq., apply to employees performing Project work involving commerce. d. Public Transportation Employee Protective Arrangements for Projects in Nonurbanized Areas Authorized by 49 U.S.C. § 5311. The Contractor agrees to comply with the terms and conditions of the Special Warranty for the Nonurbanized Area Program agreed to by the U.S. Secretaries of Transportation and Labor, dated May 31, 1979, U.S. DOL implementing procedures, and any revisions thereto. Section 22. Environmental Protections. The Contractor recognizes that many Federal and State laws imposing environmental and resource conservation requirements may apply to the Project. Some, but not all, of the major Federal laws that may affect the Project include: the National Environmental Policy Act of 1969, as amended, 42 U.S.C. §§ 4321 through 4335; the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through7671q and scattered sections of Title 29, United States Code; the Clean Water Act, as amended, 33 U.S.C. §§ 1251 through 1377; the Resource Conservation and Recovery Act, as amended, 42 U.S.C. §§ 6901 through 6992k; the Comprehensive Environmental Response, Compensation, and Liability Act, as amended, 42 U.S.C. §§ 9601 through 9675, as well as environmental provisions within Title 23, United States Code, and 49 U.S.C. chapter 53. The Contractor also recognizes that U.S. EPA, FHWA and other Federal agencies have issued, and in the future are expected to issue, Federal regulations and directives that may affect the Project. Thus, the Contractor agrees to comply, and assures the compliance of each third party contractor, with any applicable Federal laws, regulations and directives as the Federal Government are in effect now or become effective in the future, except to the extent the Federal Government determines otherwise in writing. Listed below are environmental provisions of particular concern to FTA and the Department. The Contractor understands and agrees that those laws, regulations, and directives may not constitute the Contractor's entire obligation to meet all Federal environmental and resource conservation requirements. a. National Environmental Policy. Federal assistance is contingent upon the Contractor's facilitating FTA's compliance with all applicable requirements and implementing regulations of the National Environmental Policy Act of 1969, as amended, (NEPA) 42 U.S.C. §§ 4321 Updated 3/07/12 Page 28 of38 through 4335 (as restricted by 42 U.S.C. § 5159, if applicable); Executive Order No. 11514, as amended, "Protection and Enhancement of Environmental Quality," 42 U.S.C. § 4321 note; FTA statutory requirements at 49 U.S.C. § 5324(b); U.S. Council on Environmental Quality regulations pertaining to compliance with NEPA, 40 C.F.R. Parts 1500 through 1508; and joint FHWNFTA regulations, "Environmental Impact and Related Procedures," 23 C.F.R. Part 771 and 49 C.F.R. Part 622, and subsequent Federal environmental protection regulations that may be promulgated. The Recipient agrees to comply with the applicable provisions of 23 U.S.C. Section 139 pertaining to environmental procedures, and 23 U.S.C. Section 326, pertaining to State responsibility for categorical exclusions, in accordance with the provisions of joint FHWA/FTA final guidance, "SAFETA-LU Environmental Review Process (Public Law 109-59)," 71 fed. Reg. 66576 et seq., November 15, 2006 and any applicable Federal directives that may be issued at a later date, except to the extent that FTA determines otherwise in writing. b. Air Quality. Except to the extent the Federal Government determines otherwise in writing, the Contractor agrees to comply with all applicable Federal laws, regulations, and directives implementing the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through 7671q, and: (1) The Contractor agrees to comply with the applicable requirements of Section 176(c) of the Clean Air Act, 42 U.S.C. § 7506(c), consistent with the joint FHWA/FTA document, "Interim Guidance for Implementing Key SAFETEA-LU Provisions on Planning, Environment, and Air Quality for Joint FHWA/FTA Authorities," dated September 2, 2005, and any subsequent applicable Federal directives that may be issued; with U.S. EPA regulations, "Conformity to State or Federal Implementation Plans of Transportation Plans, Programs, and Projects Developed, Funded or Approved Under Title 23 US. C. or the Federal Transit Act," 40 C.F.R. Part 51, Subpart T; and "Determining Conformity of Federal Actions to State or Federal Implementation Plans," 40 C.F.R. Part 93, and any subsequent Federal conformity regulations that may be promulgated. To support the requisite air quality conformity finding for the Project, the Contractor agrees to implement each air quality mitigation or control measure incorporated in the Project. The Contractor further agrees that any Project identified in an applicable State Implementation Plan (SIP) as a Transportation Control Measure will be wholly consistent with the design concept and scope of the Project described in the SIP. (2) U.S. EPA also imposes requirements implementing the Clean Air Act, as amended, which may apply to public transportation operators, particularly operators of large public transportation bus fleets. Accordingly, the Contractor agrees to comply with the following U.S. EPA regulations to the extent they apply to the Project: "Control of Air Pollution from Mobile Sources," 40 C.F.R. Part 85; "Control of Air Pollution from New and In-Use Motor Vehicles and New and In-Use Motor Vehicle Engines," 40 C.F.R. Part 86; and "Fuel Economy of Motor Vehicles," 40 C.F.R. Part 600. (3) The Contractor agrees to comply with notice of violating facility provisions of Executive Order No. 11738, "Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. § 7606 note. c. Clean Water. Except to the extent the Federal Government determines otherwise in writing, the Contractor agrees to comply with all applicable Federal regulations and directives issued pursuant to the Clean Water Act, as amended, 33 U.S.C. §§ 1251 through 1377. In addition: ( 1) The Contractor agrees to protect underground sources of drinking water consistent with the provisions of the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. §§ 300f through 300j-6. (2) The Contractor agrees to comply with notice of violating facility provisions of Executive Order No. 11738, "Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans," 42 U.S.C. § 7606 note. d. Use of Public Lands. The Contractor agrees that in implementing its Project, it will not use any publicly owned land from a park, recreation area, or wildlife or waterfowl refuge of national, State, or local significance as determined by the Federal, State, or local officials having jurisdiction Updated 3/07/12 Page 29 of38 thereof, and it will not use any land from a historic site of national, state, or local significance, unless the Federal Government makes the findings required by 49 U.S.C. §§ 303(b) and 303(c). The Contractor also agrees to comply with joint FHWA/FTA regulations, "Parks, Recreation Areas, Wildlife and Waterfowl Refuges, and Historic Sites," 23 C.F.R. Parts 771 and 774, and 49 C.F.R. Part 622, when promulgated. e. Wild and Scenic Rivers. The Contractor agrees to comply with applicable provisions of the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. §§ 1271 through 1287, relating to protecting components of the national wild and scenic rivers system; and to the extent applicable, to comply with U.S. Forest Service regulations, "Wild and Scenic Rivers," 36 C.F.R. Part 297, and with U.S. Bureau of Land Management regulations, "Management Areas," 43 C.F.R. Part 8350. f. Coastal Zone Management. The Contractor agrees to assure Project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972, as amended, 16 U.S.C. §§ 1451 through 1465. g. Wetlands. The Contractor agrees to facilitate compliance with the protections for wetlands in accordance with Executive Order No. 11990, as amended, "Protection of Wetlands," at 42 U.S.C. § 4321 note. h. Floodplains. The Contractor agrees to comply with the flood hazards protections in floodplains in accordance with Executive Order No. 11988, as amended, "Floodplain Management," 42 U.S.C. § 4321 note. i. Endangered Species and Fisheries Conservation. The Contractor agrees to comply with protections for endangered species set forth in the Endangered Species Act of 1973, as amended, 16 U.S.C. §§ 1531 through 1544, and the Magnuson Stevens Fisheries Conservation Act, as amended, 16 U.S.C. §§ 1801 et seq. j. Historic Preservation. The Contractor agrees to encourage compliance with the Federal historic and archaeological preservation requirements of Section 106 of the National Historic Preservation Act, as amended, 16 U.S.C. § 470f; with Executive Order No. 11593, "Protection and Enhancement of the Cultural Environment," 16 U.S.C. § 470 note; and with the Archaeological and Historic Preservation Act of 1974, as amended, 16 U.S.C. §§ 469a through 469c, as follows: (1) In accordance with U.S. Advisory Council on Historic Preservation regulations, "Protection of Historic and Cultural Properties," 36 C.F.R. Part 800, the Contractor agrees to consult with the State Historic Preservation Officer concerning investigations to identify properties and resources included in or eligible for inclusion in the National Register of Historic Places that may be affected by the Project, and agrees to notify FTA of those properties that are affected. (2) The Contractor agrees to comply with all applicable Federal regulations and directives to avoid or mitigate adverse effects on those historic properties, except to the extent the Federal Government determines otherwise in writing. k. Indian Sacred Sites. The Contractor agrees to facilitate compliance with the preservation of places and objects of religious importance to American Indians, Eskimos, Aleuts, and Native Hawaiians, in compliance with the American Indian Religious Freedom Act, 42 U.S.C. § 1996, and with Executive Order No. 13007, "Indian Sacred Sites," 42 U.S.C. § 1996 note, except to the extent the Federal Government determines otherwise in writing. I. Mitigation of Adverse Environmental Effects. Should the proposed Project cause or result in adverse environmental effects, the Contractor agrees to take all reasonable measures to minimize the impact of those adverse effects, as required by 49 U.S.C. § 5324(b), and other applicable Federal laws and regulations, including 23 C.F.R. Part 771 and 49 C.F.R. Part 622. The Contractor agrees to comply with all environmental mitigation measures that may be identified as commitments in applicable environmental documents, (i.e., environmental assessments, environmental impact statements, memoranda of agreement, and other documents as required by 49 U.S.C. § 303) and agrees to comply with any conditions the Federal Government might impose in a finding of no significant impact or record of decision. The Contractor agrees that those environmental mitigation measures are incorporated by reference and made part of this Agreement for the Project. The Contractor also agrees that any deferred mitigation measures will be incorporated by reference and Updated 3/07/12 Page 30 of38 made part of this Agreement for the Project as soon as agreement with the Federal Government is reached. The Contractor agrees that those mitigation measures agreed upon may not be modified or withdrawn without the express written approval of the Federal Government. Section 23. Energy Conservation. The Contractor agrees to comply with the North Carolina Energy Policy Act of 1975 (N.C.G.S. 1138) issued in accordance with the Energy Policy and Conservation Act, as amended, 42 U.S.C. §§ 6321 et seq., except to the extent that the Department determines otherwise in writing. To the extent applicable, the Contractor agrees to perform an energy assessment for any building constructed, reconstructed, or modified with FTA assistance, as provided in FTA regulations, "Requirements for Energy Assessments," 49 C.F.R. Part 622, Subpart C. Section 24. Charter Service Operations. The Contractor acknowledges that Federal and State requirements prohibit the use of vehicles, facilities and equipment funded by Federal or State grant programs for the provision of charter services unless it is determined that there are no willing and able charter operators in the service area. Federal law does not provide exceptions to these regulations for vehicles that are loaned or leased to other agencies or entities. The Contractor agrees that neither it nor any public transportation operator performing work in connection with a Project financed under 49 U.S.C. chapter 53 will engage in charter service operations, except as authorized by 49 U.S.C. § 5323(d) and FTA regulations, "Charter Service," 49 C.F.R. Part 604, and any subsequent Charter Service regulations or FTA directives that may be issued, except to the extent that FTA determines otherwise in writing. Any charter service agreement required by FTA regulations is incorporated by reference and made part of this Agreement for the Project. The Contractor understands and agrees that in addition to any remedy specified in the charter service agreement, if a pattern of violations of that agreement is found, the violator will be barred from receiving Federal transit assistance in an amount to be determined by FTA or U.S. DOT. Section 25. School Transportation Operations. The Contractor agrees that neither it nor any public transportation operator performing work in connection with a Project financed under 49 U.S.C. chapter 53 will engage in school transportation operations for the transportation of students or school personnel exclusively in competition with private school transportation operators, except as authorized by 49 U.S.C. §§ 5323(f) or (g), as applicable, and FTA regulations, "School Bus Operations," 49 C.F.R. Part 605, and any subsequent School Transportation Operations regulations or FTA directives that may be issued. Any school transportation operations agreement required by FTA regulations is incorporated by reference and made part of this Agreement for the Project. The Contractor understands and agrees that if it or an operator violates that school transportation operations agreement the violator will be barred from receiving Federal transit assistance in an amount to be determined by FTA or U.S. DOT. Section 26. Geographic Information and Related Spatial Data. In accordance with U.S. OMB Circular A-16, "Coordination of Geographic Information and Related Spatial Data Activities," August 19,2002, the Contractor agrees to implement its Project so that any activities involving spatial data and geographic information systems activities financed directly or indirectly, in whole or in part, by Federal assistance, consistent with the National Spatial Data infrastructure promulgated by the Federal Geographic Data Committee, except to the extent that FTA determines otherwise in writing. Section 27. Motor Carrier Safety. To the extent applicable, the Contractor agrees to comply with, and assures the compliance of its subrecipients, lessees, and third party contractors with, applicable provisions of the following regulations promulgated by the U.S. Federal Motor Carrier Safety Administration (U.S. FMCSA): a. Financial Responsibility. The Contractor agrees as follows: Updated 3/07/12 ( 1) To the extent that the Contractor is engaged in interstate commerce and not within a defined commercial zone, the Contractor agrees to comply Page 31 of38 with U.S. FMCSA regulations, "Minimum Levels of Financial Responsibility for Motor Carriers," 49 U.S.C. Part 387, dealing with economic registration and insurance requirements. For recipients of Federal assistance under 49 U.S.C. §§ 5307, 5310, or 5311, 49 C.F.R. Part 387 is modified by 49 U.S.C. § 31138(e)(4) which reduces the amount of insurance required of such recipients to the highest amount of any state in which the transit provider operates. (2) To the extent that the Contractor is engaged in interstate commerce and not within a defined commercial zone and is not a unit of government (defined as Federal Government, a state, any political subdivision of a state or any agency established under a compact between states), the Contractor agrees to comply with U.S. FMCSA regulations, Subpart B, "Federal Motor Carrier Safety Regulations," at 49 CFR Parts 390 through 396. b. Driver Qualifications. The Contractor agrees to comply with U.S. FMCSA's regulations, "Commercial Driver's License Standards, Requirements, and Penalties," 49 C.F.R. Part 383. c. Substance Abuse Rules for Motor Carriers. The Contractor agrees to comply with U.S. FMCSA's regulations, "Drug and Alcohol Use and Testing Requirements," 49 C.F .R. Part 382, which apply to transit providers that operate a commercial motor vehicle that has a gross weight rating over 26,000 pounds or is designed to transport sixteen (16) or more passengers, including the driver. Section 28. Substance Abuse. To the extent applicable, the Contractor agrees to comply with the following Federal substance abuse regulations: a. Drug-Free Workplace. U.S. OMS Guidance, "Goverernmentwide Requirements for Drug-Free Workplace (Financial Assistance)." 2 C.F. R. Part 182, U.S. DOT regulations, "Governmentwide Requirements for Drug-Free Workplace (Financial Assistance), 49 C.F.R. Part 32, that implement the Drug-Free Workplace Act of 1988, 41 U.S.C. §§ 701 et seq. b. Alcohol Misuse and Prohibited Drug Use. FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49 C.F.R. Part 655, that implement 49 U.S.C. § 5331. Section 29. Safe Operation of Motor Vehicles. The Recipient agrees as follows: a. Seat Belt Use. In accordance with the provisions of Executive Order No. 13043, "Increasing Seat Belt Use in the United States," Apri116, 1997, 23 U.S.C. § 402 note, the Recipient is encouraged to adopt and promote on-the-job seat belt use policies and programs for its employees and other personnel that operate company-owned, rented, or personally operated vehicles, and to include this provision in any subagreements, leases, third party contracts, or other similar documents in connection with the Project. Section 30. Distracted Driving includesText Messaging While Driving. In accordance with Executive Order No. 13513, Federal Leadership on Reducing Text Messaging While Driving October 1, 2009, 23 U.S.C.A. § 402 note, and DOT Order 3902.10, Text Messaging While Driving December 30, 2009, the Grantee is encouraged to comply with the term of the following Special Provision. a. Definitions. As used in this Special Provision: (1) "Driving" means operating a motor vehicle on a roadway, including while temporarily stationary because of traffic, a traffic light, stop sign, or otherwise. "Driving does not include being in your vehicle (with or without the motor running) in a location off the roadway where it is safe and legal to remain stationary. Updated 3/07/12 Page 32 of38 (2) "Text Messaging" means reading from or entering data into any handheld or other electric device, including the purpose of short message service texting, e-mailing, instant messaging, obtaining navigating information, or engaging in any other form of electronic data retrieval or electronic data communication. The term does not include the use of a cell phone or other electronic device for the limited purpose of entering a telephone number to make an outgoing call or answer an incoming call, unless the practice is prohibited by State or local law. b. Safety. The Grantee is encouraged to: ( 1) Adopt and enforce workplace safety policies to decrease crashes caused by distracted drivers including policies to ban text messaging while driving - (a) Grantee-owned or Grantee-rented vehicles or Government-owned, leased or rented vehicles; (b) Privately-owned vehicles when on official Project related business or when performing any work for or on behalf of the Project; or (c) Any vehicle, on or off duty, and using an employer supplied electronic device. (2) Conduct workplace safety initiatives in a manner commensurate with the Grantee's size, such as: (a) Establishment of new rules and programs or re-evaluation of existing programs to prohibit text messaging while driving; and (b) Education, awareness, and other outreach to employees about the safety risks associated with texting while driving. (3) Include this Special Provision in its subagreements with its subrecipients and third party contracts and also encourage its subrecipients, lessees, and third party contractors to comply with the terms of this Special Provision, and include this Special Condition in each subagreement, lease, and third party contract at each tier financed with Federal assistance provided by the Federal Government. Section 31. Protection of Sensitive Security Information. To the extent applicable, the Contractor agrees to comply with 49 U.S.C. § 40119(b) and implementing U.S. DOT regulations, "Protection of Sensitive Security Information," 49 C.F.R. Part 15, and with 49 U.S.C. § 114(s) and implementing U.S. Department of Homeland Security, Transportation Security Administration regulations, "Protection of Sensitive Security Information," 49 C.F.R. Part 1520. Section 32. Disputes, Breaches, Defaults, or Other Litigation. The Contractor agrees that FTA and the Department have a vested interest in the settlement of any dispute, breach, default, or litigation involving the Project. Accordingly: a. Notification to the Department. The Contractor agrees to notify the Department in writing of any current or prospective major dispute, breach, default, or litigation that may affect the Federal/State Government's interests in the Project or the Federal/State Government's administration or enforcement of Federal/State laws or regulations. If the Contractor seeks to name the Federal/State Government as a party to litigation for any reason, in any forum, the Contractor agrees to inform the Department in writing before doing so. In turn, the Department shall be responsible for notifying FTA. b. Federal/State Interest in Recovery. The Federal/State Government retains the right to a proportionate share, based on the percentage of the Federal/State share awarded for the Project, of proceeds derived from any third party recovery, except that the Contractor may return any liquidated damages recovered to its Project Account in lieu of returning the Federal/State share to the Department. c. Enforcement. The Contractor agrees to pursue all legal rights provided within any third party contract. d. FTA and Department Concurrence. The FTA and the Department reserve the right to concur in any compromise or settlement of any claim involving the Project and the Contractor. Updated 3/07/12 Page 33 of38 e. Alternative Dispute Resolution. FTA and the Department encourage the Contractor to use alternative dispute resolution procedures, as may be appropriate. Section 33 Fares and Services: Before increasing fares or instituting a major reduction of service, the Recipient agrees to use its established administrative process to solicit and consider public comment The Recipient agrees that the fares or rates it charges elderly individuals and handicapped individuals during nonpeak hours for public transportation using or involving Project property will not exceed one-half the rates that generally apply to other individuals at peak hours, irrespective of whether the Project property is operated by the Recipient or another entity connected with the Project, either through subagreement, lease, third party contract, or otherwise. The Recipient also agrees to give the rate required to any individual presenting a Medicare card duly issued to that individual pursuant to Title II or Title XVIII of the Social Security Act, 42 U.S.C. §§ 401 et seq., or 42 U.S.C. §§ 1395 et. seq., respectively Section 34. Amendments/Revisions to the Project. The Contractor agrees that a change in Project circumstances causing an inconsistency with the terms of this Agreement for the Project will require an amendment or revision to this Agreement for the Project signed by the original signatories or their authorized designees or successors. The Contractor agrees that a change in the fundamental information submitted in its Application will also require an Amendment to its Application or this Agreement for the Project. The Contractor agrees that the project will not incur any costs associated with the amendment or revision before receiving notification of approval from the division. The Contractor agrees that any requests for amendments and or revisions will be submitted in accordance with the policies and procedures established by FTA and the Department. Section 35. Information Obtained Through Internet links. This Agreement may include electronic links/Web site addresses to Federal/State laws, regulations, and directives as well as other information. The Department does not guarantee the accuracy of information accessed through such links. Accordingly, the Contractor agrees that information obtained through any electronic link within this Agreement does not represent an official version of a Federal/State law, regulation, or directive, and might be inaccurate. Thus, information obtained through such links is neither incorporated by reference nor made part of this Agreement. The Federal Register and the Code of Federal Regulations are the official sources for regulatory information pertaining to the Federal Government. Section 36. Severability. If any provision of the FTA Master Agreement or this Agreement for the Project is determined invalid, the remainder of that Agreement shall not be affected if that remainder would continue to conform to the requirements of applicable Federal/State laws or regulations. Section 37. Termination of Agreement. a. The Department of Transportation. In the event of the Contractor's noncompliance with any of the provisions of this Agreement, the Department may suspend or terminate the Agreement by giving the Contractor thirty (30) days advance notice. Any failure to make reasonable progress on the Project or violation of this Agreement for the Project that endangers substantial performance of the Project shall provide sufficient grounds for the Department to terminate the Agreement for the Project. In general, termination of Federal and State assistance for the Project will not invalidate obligations properly incurred by the Contractor before the termination date to the extent those obligations cannot be canceled. If, however, the Department determines that the Contractor has willfully misused Federal/State assistance by failing to make adequate progress, failing to make reasonable and appropriate use of Project property, or failing to comply with the terms of this Agreement for the Project, the Department reserves the right to require the Contractor to refund the entire amount of Federal and State assistance provided for the Project or any lesser amount as the Department may determine. Expiration of any Project time period established for the Project does not, by itself, constitute an expiration or termination of the Agreement for the Project. The Department, before issuing notice of Updated 3/07/12 Page 34 of38 Agreement termination, shall allow the Contractor a reasonable opportunity to correct for noncompliance. Upon noncompliance with the nondiscrimination section (Section 8) of this Agreement or with any of the said rules, regulations or orders, this Agreement may be cancelled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for contracts in accordance with procedures authorized in Executive Orders No. 11246 and No. 11375, and such other sanctions may be imposed and remedies invoked as provided in the said Executive Order or by rule, regulation or order of the Secretary of Labor, or as otherwise provided by law. In addition to the Department's rights of termination described above, the Department may terminate its participation in the Project by notifying and receiving the concurrence of the Contractor within sixty (60) days in advance of such termination. b. The Contractor. The Contractor may terminate its participation in the Project by notifying and receiving the concurrence of the Department sixty (60) days in advance of the termination. Updated 3/07/12 Page 35 of38 Section 38. Contract Administrators. All notices permitted or required to be given by one Party to the other and all questions about this Agreement from one Party to the other shall be addressed and delivered to the other Party's Contract Administrator. The name, postal address, street address, telephone number, fax number, and email address of the Parties' respective initial Contract Administrators are set out below. Either Party may change the name, postal address, street address, telephone number, fax number, or email address of its Contract Administrator by giving timely written notice to the other Party. or e epa men: F th D rt t IF DELIVERED BY US POSTAL SERVICE IF DELIVERED BY ANY OTHER MEANS Name: MR CHARLIE C. WRIGHT Name: MR CHARLIE C. WRIGHT Title: FINANCIAL MANAGER Title: FINANCIAL MANAGER Agency: NCDOT/PTD Agency: NCDOT/PTD MSC: 1550 MSC Street TRANSPORTATION BLDG Address: 1 S WILMINGTON ST RM 524 City/Zip: RALEIGH NC 27699-1550 City: RALEIGH NC Phone: 919-707-4674 Fax: 919-733-2304 Email: CCWRIGHT@NCDOT.GOV For the Contractor· IF DELIVERED BY US POSTAL SERVICE IF DELIVERED BY ANY OTHER MEANS Name: Name: Title: Title: Agency: Agency: Postal Street Address: Address: City/Zip: City: Phone: Fax: Email: Section 39. Federal Certification Regarding Debarment. The Contractor certifies, by signing this Agreement, its compliance with Subsection 6b of this Agreement. Section 40. Federal Certification Regarding Alcohol Misuse and Prohibited Drug Use. As required by FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," at 49 CFR part 655, subpart I, the Contractor certifies, by signing this Agreement, that it has established and implemented an alcohol misuse and anti-drug program, and has complied with or will comply with all applicable requirements of FTA regulations, "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations," 49 CFR part 655, and Section 28 of this Agreement. IN WITNESS WHEREOF, this Agreement has been executed by the Department, an agency of the State of North Carolina, and the Contractor by and through a duly authorized representative, and is effective the date and year first above written. Updated 3/07/12 Page 36 of38 COUNTY OF HARNETT CONTRACTOR'S FEDERAL TAX ID NUMBER: CONTRACTOR'S FISCAL YEAR END: BY: TITLE: CHAIRPERSON (SEAL) ATTEST: TITLE: DEPARTMENT OF TRANSPORTATION BY: TITLE: DEPUTY SECRETARY FOR TRANSIT ATTEST: TITLE: SECRETARY Updated 3/07/12 Page 37 of38 Attachment Certification Regarding Lobbying (for bids and/or awards) The Contractor certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The Contractor shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Contractor's Authorized Representative: ------------------- Title:------------------------------- Updated 3/07/12 Page 38 of38 APPENDIX A NORTH CAROLINA DEPARTMENT OF TRANSPORTATION PUBLIC TRANSPORTATION DIVISION PROJECT NUMBER: 14-CT-040 APPROVED BUDGET SUMMARY EFFECTIVE DATE 7/1/2013 PROJECT SPONSOR: COUNTY OF HARNETT PROJECT DESCRIPTION: FY2014 COMMUNITY TRANSPORTATION PROGRAM I. TOTAL PROJECT EXPENDITURES DEPARTMENT-4521 ADMINISTRATION-36233.50.16.1 PERIOD OF PERFORMANCE JULY 01, 2013 -JUNE 30, 2014 DEPARTMENT-4523 CAPITAL-36233.50.16.3 PERIOD OF PERFORMANCE JULY 01, 2013-JUNE 30, 2014 II. TOTAL PROJECT FUNDING TOTAL ADMINISTRATION- AGREEMENT# CAPITAL- AGREEMENT# 36233.50.16.1 0 36233.50.16.3 0 TOTAL 100% $219,108 TOTAL 100% $123,000 $342,108 FEDERAL 80% $175,286 FEDERAL 80% $98,400 $273,686 $219,108 $123,000 STATE LOCAL 5% 15% $10,955 $32,867 STATE LOCAL 10% 10% $12,300 $12,300 $23,255 $45,167 INSTRUCTIONS FOR EXECUTING GRANT AGREEMENTS PUBLIC BODY GRANTEES Included in this correspondence is an electronic file in a PDF format of the grant agreement(s) to be executed between the local grant recipient and the North Carolina Department of Transportation. 1. Print two copies of each agreement. Printing front and back will conserve paper and reduce package size. Please be consistent. Do not print one front and back and the other single sided. 2. The person officially authorized by resolution of the governing body to accept the department's offer of financial assistance should sign each agreement where indicated. The signature must be witnessed. Stamped signatures are not acceptable. 3. If your agency has a seal, affix the seal on the signature page where indicated. 4. Enter your agency's Federal Tax ID Number and Fiscal Year-End on the signature page. If applicable, complete the section on the table for Contract Administrators: For the Contractor: "If Delivered by US Postal Service" and "If Delivered by Any Other Means". Writing this information by hand is acceptable. 5. Do not date the agreements. This will be done upon execution by the department. 6. Sign Certification Regarding Lobbying on last page of Contract 7. Return all copies within thirty (60) days to the following address. Please return the contracts and resolution if possible within 60 days. All other information sent via email does not have to be returned with the contract. Do not staple the contracts together. Use either large paper or binder clips. Mr. Charlie C. Wright Financial Manager NCDOT/PTD 1550 Mail Service Center Raleigh, NC 27699-1550 A fully executed agreement will be returned to you with an executed letter and budget. In the event the agreement(s) cannot be returned within sixty (60) days, please call me immediately at (919) 707-467 4. Please note that the department cannot reimburse the grant recipient for any eligible project expenses until the agreements are fully executed. Board Meeting Agenda Item Agenda Item 5-;:r- MEETING DATE: December 2, 2013 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Consider Resolution Levying An Additional One-Quarter (1/4) Cent County Sales and Use Tax REQUESTED BY: Jennifer J. Slusser, Senior County Staff Attorney REQUEST: On November 5, 2013, the Harnett County Board of Elections, at the request of the Harnett County Board of Commissioners, conducted an advisory referendum on the question of whether to levy the One-Quarter (1/4) Cent County Sales and Use Tax in Harnett County. The ballots were cast 70.87% FOR and 29.13% AGAINST the levy ofthe One-Quarter (114) Cent County Sales and Use Tax. If the Board of Commissioners wishes to levy the tax, it must provide 10 days public notice of its intent to adopt a resolution to levy the tax. After it adopts the resolution it must send a certified copy of the resolution along with a certified copy of the election results of the referendum to the Secretary of the Department of Revenue. The sales tax may become effective on the first day of any calendar quarter. The resolution seeks to make the sales tax effective April1, 2014. COUNTY MANAGER'S RECOMMENDATION: C:\U sers\gwheeler\AppData\Local\Microsoft\ Windows\ Temporary Internet Files\Content.Outlook\Z5TP9EAN\agendaform2013.doc Page 1 of2 Harnett COUNTY COUNTY OF HARNETT STATE OF NORTH CAROLINA www.harnett.org RESOLUTION BY THE HARNETT COUNTY BOARD OF COMMISSIONERS LEVYING AN ADDITIONAL ONE-QUARTER (1/4) CENT COUNTY SALES AND USE TAX WHEREAS, The General Assembly has authorized county boards of commissioners across the State of North Carolina to levy a one quarter percent (.25%) county sales and use tax, contingent on an advisory referendum in which the majority of those casting ballots voted for the levy of the tax; and WHEREAS, the Harnett County Board of Commissioners directed the Harnett County Board of Elections to conduct an advisory referendum on the question of whether to levy the One- Quarter (1/4) Cent County Sales and Use Tax in Harnett County on the 5th day of November, 2013; and WHEREAS, the ballots were cast 70.87% FOR and 29.13% AGAINST the levy of the One-Quarter (114) Cent County Sales and Use Tax; and WHEREAS, the Board has provided the required 10 days public notice of the Board's intent to consider this resolution to levy the tax; and WHEREAS, the Harnett County Board of Commissioners hereby finds that the levy of the One-Quarter (114) Cent County Sales and Use Tax is necessary to help address and alleviate fiscal constraints within County of Harnett ("Harnett County"); and NOW, THEREFORE, BE IT RESOLVED by the Harnett County Board of Commissioners: (1) There is hereby levied within Harnett County the One-Quarter (1/4) Cent County Sales and Use Tax, authorized in Section 31.17 (b) of the Current Operations and Capital Improvements Appropriations Act of2007 (Session Law 2007-323). (2) Collection of the tax by the North Carolina Secretary of Revenue, shall begin on and continue after the 1st day of April, 2014. (3) The net proceeds of the tax levied herein shall be distributed by the Secretary of Revenue to Harnett County in accordance with Article 39 Chapter 105 of the North Carolina General Statutes. Notwithstanding the provisions of Article 39 Chapter 105, the additional One-Quarter (1/4) Cent County Sales and Use Tax does not apply to the sales price of food that is exempt from tax pursuant to N.C.G.S. 105-164. 13B. The Secretary shall not divide the amount allocated to a county between Harnett County and the municipalities within Harnett County. 1 strong roots • new growth Attest: (4) This Resolution is effective upon its adoption, and a certified copy hereof shall be forwarded to Lyons Gray, Secretary, North Carolina Department of Revenue, P.O. Box 2500, Raleigh, NC 27640, along with a certified copy of the Harnett County Board of Elections results from the advisory referendum. Adopted this the 2nd day of December, 2013. Jim Burgin, Chairman Harnett County Board of Commissioners Margaret Regina Wheeler, Clerk to the Board 2 www.harnett.org Page 1 0 · The Daily R d ecor . Dunn. N.C .. Tuesday. November 19. 2013. NOTICE OF INTENT TO ADOPTAESOLUTION BY THE HARNETT COUNTY BOARD OF COMMISSIONERS LEVYING AN ADDITIONAL ONE-QUARTER CENT SALES AND USE TAX NOTICE IS HEREBY GIVEN that the Harnett County Bgard of Commissjgl'l~ ers will consider adoption of a: resolution levying an .additional one-quact~r (1/4) cent local sales and use tax in Harnett County ("the County") that was the subject of an advisory referendum held in the County on November 5, 2013. The meeting will take place at the Board ... s regular meeting in the County Commissioners Meeting Room, Harnett County Administration Building, 102 East Front Street, l.,illington, North Carolina at 9:00 a.m. orr Monday, De.cember 2, 2013. "••• · Jim Burgin Chairman, Harnett County Board of Commissioners 11/19,2013 ·-r--· -~!fC.\J!f\fl'IU'' tsnf JO.d -pJoaei::J 8l.{j_ U! AB~!J.:I uo l..l.h.J ot pe Vfv Board Meeting Agenda Item Agenda Item .5"""' J<. MEETING DATE: December 2, 2013 • TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Request Approval to Accept 100% Funding for Parents as Teachers REQUESTED BY: Tyrone Fisher, Director, Cooperative Extension~ REQUEST: The Harnett County Cooperative Extension Parents As Teachers Grant Program request permission to increase the Parents as Teachers budget by $77,669 to reflect the 100% allocation by the grantor, Harnett County Partnership for Children for a total of$155,337 for the 2013-2014 fiscal year. COUNTY MANAGER'S RECOMMENDATION: C:\U sers\swilliams\AppData\Local\Microsoft\ Windows\ Temporary Internet Files\Content. Outlook\ WZ4JGNGI\P AT Agenda Form. doc Page I of I BUDGET ORDINANCE AMENDMENT BE IT ORDAINED by the Governing Board of the County of Harnett, North Carolina, that the following amendment be made to the annual budget ordinance for the fiscal year ending June 30, 2014: Section 1. To amend the General Fund, Cooperative Extension, the appropriations are to be changed as follows: EXPENDITURE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE i 110-7310-465.11-00 ! Salaries & Wages; Full Time 38A38 ! 110-7310-465.12-00 Salaries & Wages; Part Time 21J67 110-7310-465.21-00 Group Insurance 52 110-7310-465.21-05 · Employee Clinic 287 110-7310-465.22-00 FICA 4,536 110-7310-465.23-00 Regular Retirement 4,612 110-7310-465.25-00 Unemployment Benefits 786 110-7310-465.26-08 , Worker's Camp 910 110-7310-465.41-11 Telecommunications & Postage 370 110-7310-465.44-21 I Building & Equipment Rent 360 110-7310-465.58-14 Travel 4501 110-7310-465.60-53 Dues & Subscriptions 1,050 REVENUE AMOUNT AMOUNT CODE NUMBER DESCRIPTION OF CODE INCREASE DECREASE 110-0000-334-73-10 Parents as Teachers 77,669 EXPlANATION: APPROVALS: To increase the Parents as Teachers budget by $77,669 to reflect the 100% allocation by the Harnett County Partnership for Children for a total of $155,337 for the 2013-2014 fiscal year. Department Head (date) Finance Officer (date) County Manager (date) Section 2. Copies of this budget amendment shall be furnished to the Clerk to the Board, and to the Budget Officer and the Finance Officer for their direction. Adopted this day of Margaret Regina Wheeler Clerk to the Board Jim Burgin, Chairman Harnett County Board of CommissioAers Harnett Couno/ Partnership forChildren October 16, 2013 Tyrone Fisher, County Extension Director County of Harnett PO Box 1089 Lillington, NC 27546 Dear Mr. Fisher: 1901-G N Main Street, PO Box 70, Lillington, NC 27546 Phone (910) 893-2344 Fax (910) 893-2387 www.harnettsmartstart.org Enclosed are two (2) originals of your Organization's Contract -Amendment I for the Parents as Teachers activity for the 2013-2014 fiscal year. This will bring your contract to the full 100% allocation. If everything is correct, please sign, date, and notarize if applicable, and return to me. Upon receipt of both originals, I will complete the contract process at HCPC. You will receive an original contract for your files upon final execution. If you have any questions, please call me at 910-893-2344. Thank you for expediting this matter. Enclosures The mission of the Harnett County Partnership for Children is to improve the quality of life for young children and families in Harnett County through community-based programs focusing on health, education, and family support. AMENDMENT I CONTRACT# 13-14-202 This agreement amends the Contract bearing the effective date of July 1, 2013 between the Harnett County Partnership for Children, Inc. (the "Local Partnership"), and the County of Harnett, Parents As Teachers (the "Contractor") (referred to collectively as the "Parties"). This Amendment is hereby effective on October 31, 2013. As provided for under the terms of this Contract, the Local Partnership and the Contractor agree to amend the following provisions: 1. Reference Section 18. "Amount of Reimbursement" The not-to-exceed amount is being increased by$ 77,669.00 from$ 77,668.00 to$ 155,337.00. 2. Reference Section 16A. The Budget Narrative, Attachment II has been updated to reflect changes in Section 18. All other terms and conditions as set forth in the original Contract document shall remain in effect for the duration of this Contract. Signature Warranty: The undersigned represent and warrant that they are authorized to bind their principals to the terms of this Amendment to the Contract. In Witness Whereof, the Contractor and the Local Partnership have executed this Amendment in duplicate originals, with one original being retained by each Party. HARNETT COUNTY PARTNERSHIP FOR CHILDREN, INC. BY: Lisa Familo, Executive Director COUNTY OF HARNETT BY: Tommy Burns, County Manager 03 ContractAmendmentTemplate Re~ised June 2010 Date 1 Date Date n .. : lNSTRUitii€:NT HAS 8[:0~; '""> 6,UDil cJ) IN THE MA;·mr•·, :,;.r , .,,. ·, :' r' ThE: GOVERNMU~ f b1 Jf.J~A r'"' T Smart ~iifJlilj] North Carolina Pdrtner.ship for Children Attachment II Local Partnership Name: Harnett County Partnership for Children, Inc. Fiscal Year: .:,FY,..:.......:.13-:::._:1_:c4:__-=--------------------------------l Activity Title: Parents as Teachers Purpose/Service Code: ~5::::5::::0:::9:._ ___________________________ --:-=::::-:=-::-:-c=:--_..J APPROVED BUDGET BUDGET NARRATIVE Board Meeting Agenda Item Agenda Item s-L MEETING DATE: December 2, 2013 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Waiver of Claims Agreement with Carrier REQUESTED BY: Jennifer J. Slusser, Senior County Staff Attorney REQUEST: Harnett County's insurance carrier intends to pursue claims against third parties for the losses incurred due to the flooding at the Harnett County Health Department. While the total amount of the claim the carrier wishes to pursue is in excess of$600,000.00, the total amount Harnett County could recover from that amount is $2,500.00 which represents the deductible paid under the insurance agreement. It is recommended that Harnett County execute the waiver agreement and not join as a party plaintiff in the lawsuit the carrier intends to file. Request approval of the waiver of claims agreement with the carrier. COUNTY MANAGER'S RECOMMENDATION: C:\U sers\gwheeler\AppData \Local\Microsoft\ Windows\ Temporary Internet Files\Content. Outlook\Z5TP9EAN\ 13 12 02 Agenda Request regarding waiver of claims. doc Page 1 of 1 WAIVER OF ALL UNINSURED CLAIMS THIS WAIVER OF ALL UNINSURED CLAIMS (hereinafter the ''Waiver") is entered into by and between County of Harnett, NC (hereinafter the "County of Harnett"), and Union Insurance Company (hereinafter "Union Insurance"), and they hereby acknowledge and agree to the following: 1. The County of Harnett has received and reviewed a proposed Complaint for damages which names North Carolina Department of Transportation (hereinafter the "NCDOT") and Highland Paving Co., LLC (hereinafter "Highland Paving") as party defendants against whom Union Insurance, the insurer of the County of Harnett, located at 102 E. Front Street, Lillington, Harnett County, NC 27546, intends to recover insurance proceeds that Union Insurance tendered on behalf of the County of Harnett for its property and business damage claims, under Policy No. CNA 4239290-40; 2. The County of Harnett's claim for property and business damages arose from an April28, 2012 water loss (hereinafter "the Water Loss") that occurred when water, containing contaminants and foreign objects, flooded the property owned by the County of Harnett, by discharging through the water lines being serviced to the Harnett County Health Department, located at 307 W. Cornelius Harnett Blvd., Lillington, NC 27546; 3. The Water Loss and resultant damages were created by the failure of the NCDOT and/or Highland Paving to properly perform a water line relocation, a water line reconnection and/or a water line test for contaminants; 4. The total damages that Union Insurance paid on behalf of the County of Harnett for the Water Loss, totaled $665,561.73, 17521186.1 5. The County of Harnett is a real party in interest with regard to the claim for damages arising from the Water Loss; and 6. The County of Harnett desires that it not be named as a party plaintiff in the proposed lawsuit against the NCDOT and Highland Paving or any other third party responsible for the Water Loss. NOW, THEREFORE, it is agreed as follows: 1. In exchange for not being named as a party plaintiff, the County of Harnett hereby expressly and fully waives any and all claims (whether for breach of contract, negligence, or other tort or legal theory) it may have against the NCDOT and Highland Paving or other third parties responsible or who might be responsible for the Water Loss to the extent of its uninsured claims under the policy of insurance with Union Insurance or any other insurance company. 2. The County of Harnett gives and assigns to Union Insurance absolute and unconditional right and discretion to pursue and enter into any settlement that Union Insurance deems advisable with respect to any claim for economic damages against any third-parties arising out of the Water Loss to the extent of Union Insurance's payments to the County of Harnett. 3. The County of Harnett agrees that it shall not file a separate action in its own right in order to avoid the effect of any ruling or judgment in the action which Union Insurance may bring against the NCDOT, Highland Paving and/or other third parties in the name of Union Insurance arising out of the Water Loss. 4. This Waiver contains the entire agreement and understanding ofthe County of Harnett and Union Insurance with respect to the matters contained herein. 2 17521186.1 5. This Waiver shall be binding upon and inure to the benefit of the County of Harnett and Union Insurance Company. IN WITNESS WHEREOF the Parties have executed this Waiver as of the dates written below: COUNTY OF HARNETT, NC BY: _____________________ _ Title: ___________________ _ DATED: This the ___ day of ______ , 2013 UNION INSURANCE COMPANY: BY: _________________ ___ Title: _______________ _ DATED: This the ___ day of __________ , 2013 3 17521186.1 Agenda Item 7 December 2, 2013 APPOINTMENTS NEEDED ADULT CARE HOME COMMUNITY ADVISORY COMMITTEE We need members on this committee. Members receive mileage reimbursement as claimed. AGRICULTURAL ADVISORY BOARD We have a vacancy for on this board for District 4. BOARD OF ADJUSTMENT We have a vacancy for an alternate member on this board for District 1. HARNETT HEATLH SYSTEM BOARD OF TRUSTEES Harnett Health System Board of Trustees requests the reappointment of Cornelia Stewart~ Walter Weeks, Dewey Blalock to serve on this Board. HARNETT NURSING HOME COMMUNITY ADVISORY COMMITTEE We need members on this committee. Members receive mileage reimbursement as claimed. HISTORIC PROPERTIES COMMISSION We currently have a vacancy for a regular member in District 3. Bryan Avery recently resigned recently. We currently have a vacancy for a regular member in District 5. MID-CAROLINA AGING ADVISORY COMMITTEE We need members on this committee. Members receive mileage reimbursement as claimed. PLANNING BOARD Staff needed to make the Board aware that Mr. Timothy Hart, who was appointed as an alternate Planning Board Member on June 17, 2013, has not responded to any correspondence we have sent him. This alternate is an at-large member as there are only two alternates appointed to the Planning Board. Page 1 -Appointments Nov. 21. 2013 2:55PM No. 1165 P. 2/2 C® P.O. Elox 1706 Dunn, NC 28335 (91 0) 892-1000 Harnett Health From lhe Office of lhe President and CEO November 21, 2013 Jim Burgin Cheirman, Harnett County Commissioners PO Box 759 Lillington, N.C. 27549 Dear Mr. Burgin: This letter Is to inform you that the Harnett Health System Board ofTrustees made the following nominations at the November 12, 2013 board meeting to fill seats on the Harnett Health System Board of Trustees that will expire Aprill, 2014. Nominees to be approved by the County Commissioner (This Is a County Commissioner Appointment): Cornelia Stewart Walter Weeks Dewey Blalock Nominated to serve an additional three year term; effective AprlllJ 2.014 through March 31, 2017 Nominated to serve an additional three year term; effective April1, 2014 through March 31, 2017 Nominated to serve an additional three year termi effective Aprill, 2014 through March 31, 2017 We appreciate your consideration for approval of the Board's nominees. Should you have any. questions, please feel free to contact me. Sincerely, ~~- Kenneth E. Bryan President and CEO Ba!sy Johnson Hospilal (Dunn) · Cenlral Hornet! Hospitol (lillington) · Harnett Heallh Foundation Angier Medical Services · Coals Medical Services· Dunn Medical Services · Lillington Medical Services· Harnett Oa/GYN · Premiere Pedialrics Board Meeting Agenda Item Agenda Item --"'~"'--- MEETING DATE: December 2, 2013 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: NCDOT Easement from South Central Water and Sewer District of Harnett County REQUESTED BY: Steve Ward, HCDPU Director REQUEST: This is a formal request for the Board to grant a right of way easement to the North Carolina Department of Transportation. The property is located off of Overhills Road and is owned by the South Central Water and Sewer District of Harnett County. The District will receive $15,650 as compensation for the right ofway. Please place this item on the consent agenda at the next available meeting. COUNTY MANAGER'S RECOMMENDATION: \HiS INSTRUMENT HAS BEEN REVIEWED BY THE FINANCE OFFICER \\hcfilel \Puusers\sward\My Documents\NCDOT Issues\Overhills Road ROW easement for NCDOT agenda request Il-15- 13.doc Page I of 2 S,VBSTITUTE FORi\1 W-9 VENDOR REGISTRATION FORM (ROW PURPOSES ONLY) NORTH CAROLINA DEPARTMENT OF TRANSPORTATION Pursuant to Internal Revenue Service (IRS) Regulations, vendors must furnish their Taxpayer Identification Number (TIN) to the State. To insure that accurate tax information is reported to the Internal Revenue Service and the State, please use this form to provide the requested information exactly as it appears on file with the IRS. INDIVIDUAL A.'\'D SOLE PROPRIETOR: ENTER NAME AS SHOWN ON SOCIAL SECURITY CARD CORPORATIO~ OR PARTNERSHIP :ENTER YOUR LEGAL BUSI~ESS NAME NAME: South Central Water and Sewer District of Harnett County MAILING ADDRESS: STREET/PO BOX: 700 McKinney Parkway --------------------------------------------------------- CITY, STATE, ZIP: Lillington, NC 27546 DBA I TRADE NAME (IF APPLICABLE): BUSINESS DESIGNATION: 0 INDIVIDUAL (use Social Security No.) 0 CORPORATION (use FederaliD No.) 0 ESTATE/TRUST (use Federal!D no.) 0 OTHER I SPECIFY SOCIAL SECURITY NO. OR FED.EMPLOYER IDENTIFICATION NO . 0SOLE PROPRIETER (use SS No. or Fed ID No.) OPARTNERSHIP (use FederaliD No.) [giST ATE OR LOCAL GOVT. (use Federal ID No.) 0LIMITED LIABILIY CO (LLC) (use FederaliD No.) (Social Security#) (Employer Identification #) . co.Mru:iETHis sEC-TION IF PAYMENTS ARE MADE-TO AN ADDRESS OTHER i'HA.N THE ONE LISTED ABOvE:- REMIT TO ADDRESS: STREET I PO BOX: CITY, STATE, ZIP: L -~------------------·--·----------·------=--=.::-__ -__ -· ___________ ----~---~=-------------. ~~ -Participati,;~ i;th·i;·~~tio~ ~-~oluntary~ Y~~ are not requi~~dto co;npl~t~ this ;~~tion ~~ b;com~ ;;:egiste~~,J'~e~dor.-The information below will ln .n'O -my affect tll~~endo~~~gistn!tion pro~ess~ and its sole purpose is to collect statistical data on those vendors doing business with NGDOT. If you choose to participate, circle the answer that best fits your firm's b'Toup definition. I What is your firm's ethnicity? (0Prefer Not To Answer, 0African American, 0Native American, 0Caucasian American, 0Asian American, I OHispanic American, 0Asian-Indian American, OOther: ___ __________ ) I What is your fi~lll~~~nder~<IJPJ:~f~r.l\l()_t_~o_Answ(:r,OMale, Df~male! Disll_bl~d-Ow!JeQ_l!ll!il!ess? iOPr_t!f~Jio,t, t()~~~r,_Q'{_e~,D_ ~.2LJ IRS Certification Under penalties ofpeijury, I certify that: I. The number shown on this fonn is my correct taxpayer identification and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the IRS that 1 am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. I am a U.S. person (including a U.S. resident alien). The IRS does not require your consent to any provision of this document other than the certifications required to avoid backup withholding. For complete certification instructions please see IRS FORM W-9 at http://www.irs.gov/pub/irs-pdf/fw9.pdf. NAME (Print or Type) TITLE (Print or Type) SIGNATURE DATE PHONE NUMBER To avoid payment delays, completed forms should be returned promptly to: FRM4-M-ROW Revised 9-11-12 PHONE FAX Revenue Stamps$ 32._0_0 ____ _ DEED FOR HIGHWAY RIGHT OF WAY THIS INSTRUMENT DRAWN BY Raphael Marshall CHECKED BY Mark T. Smith The hereinafter described property 0 Does 1ZJ Does not include the primary residence of the Grantor. RETURN TO: Division Right of Way Agent-NCDOT 225 Green Street Suite 503 Fayetteville, NC 28306 NORTH CAROLINA COUNTY OF -,:...:H.:::ar:,:.n:.::ec::tt ____ _ TAX MAP AND LOT 0514-08-1369 T.I.P No.: _U;::;-:;:;3:.::;.4:;::65~-:---------- WBS ELEMENT: 39017.2.1 TIP/PARCEL NUMBER: --;::;U_=-;:3:-;4.:::6=5:..::0:'::8-:-1--------- ROUTE: SR 1121 THIS FEE SIMPLE DEED, made and entered into this the day of , 2013 by and between South CentraiiJVater and Sewer Distric . .._t ~ofc.cH~a~r~n~e~tt.c:C~o~u~n~ty ______________ _ 700 McKinne Parkwa hereinafter referred to as GRANTORS, and the Department of Transportation, an agency of the State of North Carolina, 1546 Mail Service Center, Raleigh, NC 27611, hereinafter referred to as the Department; WITNESSETH That the GRANTORS, for themselves, their heirs, successors, and assigns, for and in consideration of the sum of $ 15,650.00 agreed to be paid by the DEPARTMENT to the GRANTORS, do hereby give, grant and convey unto the DEPARTMENT, its successors and assigns, in FEE SIMPLE that certain property located in Anqerson _freek _ Township, __ Harnett __ County, North Carolina, which is particularly described as follows: Point of beginning being N 87A29'40.4" E, 105.246 feet from -YA2-sta 13+00; thence to a point on a bearing of N 12A59'22.6" E, 24.682 feet; thence to a point on a bearing of N J2A51'37.4" W, 215.137 feet; thence to a point on a bearing of S 13A00'5.0" W, 24.647 feet; thence to a point on a bearing of S J2A51 '4.7" E, 215.145 feet; returning to the point and place of beginning. FRM7-A Page 1 of 3 COUNTY Harnett WBS ELEMENT: 39017.2.1 TIP/PARCEL NO. U-3465 081 --------- IN ADDITION, and for the aforestated consideration, the GRANTORS further hereby convey to the DEPARTMENT, its successors and assigns the following described areas and interests: A Permanent Utility Easement described as follows: Point of beginning being N 02A12'29.5" E, 62.097 feet from -YA2-sta 13+00; thence to a point on a bearing of N 22A57'40.6" W, 24.839 feet; thence to a point on a bearing of N 72A51'37.4" W, 10.000 feet; thence to a point on a bearing of N 20A54'26. 7" W, 29.206 feet; thence to a point on a bearing of S 6?A20'2. 6" W, 15.620 feet; thence to a point on a bearing of S 22A08'59.2" E, 28.425 feet; thence to a point on a bearing of S 17A08'22.6" W, 10.000 feet; thence to a point on a bearing of S 72A51'37.4" E, 38.000 feet; returning to the point and place of beginning. Area #2 Point of beginning being N 65A17'40.1" E, 89.939 feet from -YA2-sta 13+00; thence to a point on a bearing of s 72A51 '37.4" E, 25.000 feet; thence to a point on a bearing of N 17A08'22.6" E, 7.000 feet; thence to a point on a bearing of N 18A23'53.0" W, 8.602 feet; thence to a point on a bearing of N 17A08'22.6" E, 41.000 feet; thence to a point on a bearing of N 72A51 '37.4" W, 15.000 feet; thence to a point on a bearing of S 17A08'22.6" W, 41.000 feet; thence to a point on a bearing of S 52A40'38.3" W, 8.602 feet; thence to a point on a bearing of S 17A08'22.6" W, 7.000 feet; returning to the point and place of beginning. Said Permanent Utility easement in perpetuity is for the installation and maintenance of utilities, and for all purposes for which the DEPARTMENT is authorized by law to subject same. The Department and its agents or assigns shall have the right to construct and maintain in a proper manner in, upon and through said premises a utility line or lines with all necessary pipes, poles and appurtenances, together with the right at all times to enter said premises for the purpose of inspecting said utility lines and making all necessary repairs and alterations thereon; together with the right to cut away and keep clear of said utility lines, all trees and other obstructions that may in any way endanger or interfere with the proper maintenance and operation of the same with the right at all times of ingress, egress and regress. It is understood and agreed that the Department shall have the right to construct and maintain the cut and/or fill slopes in the above-described permanent utility easement area(s). It is further understood and agreed that Permanent Utility Easement shall be used by the Department for additional working area during the above described project. SPECIAL PROVISIONS. This deed is subject to the following provisions only: None. The property hereinabove described was acquired by the GRANTORS by instrument(s) recorded in the Harnett County Registry in Deed Book 864 Page _8_4_4 __ _ The final right of way plans showing the above described right of way are to be certified and recorded in the Office of the Register of Deeds for said County pursuant to N.C.G.S. 136-19.4, reference to which plans is hereby made for purposes of further description and for greater certainty. The Grantors acknowledge that the project plans for Project# 39017.2.1 have been made available to them. The Grantors further acknowledge that the consideration stated herein is full and just compensation pursuant to Article 9, Chapter 136 of the North Carolina General Statutes for the acquisition of the said interests and areas by the Department of Transportation and for any and all damages to the value of their remaining property; for any and all claims for interest and costs; for any and all damages caused by the acquisition for the construction of Department of Transportation Project# 39017.2.1 Harnett County; and for the past and future use of said areas by the Department of Transportation, its successors and assigns for all purposes for which the said Department is authorized by law to subject the same. TO HAVE AND TO HOLD the aforesaid premises and all privileges and appurtenances thereunto belonging to the DEPARTMENT, its successors and assigns in FEE SIMPLE, or by easement as indicated, for the past, present and future use thereof and for all purposes which the said Department is authorized by law to subject the same. And the GRANTORS covenant with the DEPARTMENT, that the GRANTORS are seized of the premises in fee simple, have the right to convey the same in fee simple, or by easement as indicated, that the title thereto is marketable and free and clear of all encumbrances, and that the GRANTORS will warrant and defend the title against the lawful claims of all persons whomsoever except for the exceptions hereinafter slated. Title to the property hereinabove described is hereby conveyed subject to the following exceptions: None. FRM7-A Page 2 of 3 COUNTY WBS ELEMENT: 39017.2.1 TIP/PARCEL NO. U-3465 081 --------------------- Harnett IN WITNESS WHEREOF, GRANTOR, pursuant to a resolution dated , has caused this instrument to be signed in its corporate name by its CHAIRMAN OF THE HARNETT COUNTY BOARD OF COMMISSIONERS, its corporate seal hereto affixed, and attested by it CLERK OF THE HARNETT COUNTY BOARD OF COMMISSIONERS, by order of the HARNETT COUNTY COMMISSIONERS, this the day and year first above written South Central Water and Sewer District of Harnett County BY:=-~~~--~~--~~~=-~ Jim Burgin (Chairman of Harnett County Board ATTEST: of Commissioners) {Clerk of Harnett County Board of Commissioners) ACCEPTED FOR THE DEPARTMENT OF TRANSPORTATION BY: North Carolina, County I, (Corporate Seal) , a Notary Public for County, North Carolina, certify that personally came before me this day and acknowledged that he/she is the CLERK of the Harnett COUNTY BOARD OF COMMISSIONERS, and that by authority duly given, the foregoing instrument was signed in its name by Jim Burgin its CHAIRMAN of the Harnett COUNTY BOARD OF COMMISSIONERS, sealed with its corporate seal, and attested by as its CLERK. Witness my hand and official seal this the day of • 20 -- Notary Public {Official Seal) My commission expires: .. The forego1ng Cert1f1cate(s) of is/are certified to be correct. This instrument and this certificate are duly registered on the _____ day of , 20 in Book , Page at o'clock M. -----------------REGISTER OF DEEDS FOR -=--:-:---:-:::----,----COUNTy- BY: Deputy/Assistant-Register of Deeds - FRM7-A Page 3 of 3 -F"'f' CONTINUING – COMPREHENSIVE – COOPERATIVE – TRANSPORTATION PLANNING TRANSPORTATION ADVISORY COMMITTEE FAYETTEVILLE AREA METROPOLITAN PLANNING ORGANIZATION November 13, 2013 Memorandum To: Harnett County Board of Commissioners Through: Tommy Burns, Harnett County Manager From: Rick Heicksen, FAMPO Executive Director Subject: Updated Memorandum Of Understanding (MOU) for Transportation Planning in the Fayetteville Metropolitan Area After every Census the Bureau of Census adjusts the Urbanized Area Boundaries nationwide. Based on data collected in the 2010 Census the Fayetteville Urbanized Area Boundary was expanded to include a larger portion of Harnett County and Hoke County and a new portion of Robeson County, the City of Raeford and the Town of Parkton. Because of this inclusion we are required to update the Memorandum of Understanding and include Robeson County, the City of Raeford and the Town of Parkton as partners in the transportation planning process. The Town of Eastover is also a new member jurisdiction, as it did not exist at the time the last MOU was signed. Enclosed with this memorandum are the following: • Map showing the new Urbanized Area boundary and the Metropolitan Planning Area boundary • Copy of the resolution approving the Memorandum Of Understanding • Copy of the new Memorandum Of Understanding (2013) • Sample Local Match Sheet • Current membership of the Transportation Advisory Committee, the policy committee of the Fayetteville Area Metropolitan Planning Organization (FAMPO) • FAMPO Organizational Chart • TAC Bylaws At this time I am requesting that at your December 16, 2013 meeting you approve the attached Resolution authorizing the Chairman of the Board of Commissioners to sign the 2013 MOU. FAMPO staff is ready to present this item if required by the County Manager. Please contact Mr. Michael Rutan at (910) 678-7614 or via e-mail at mrutan@co.cumberland.nc.us if you require additional information or clarifications. Mr. Rick Heicksen, Executive Director 130 Gillespie St. Fayetteville, NC 28301 Telephone (910) 678-7622 FAX (910) 678-7638 E-MAIL: rheicksen@co.cumberland.nc.us COMMISSIONER JEAN POWELL CHAIR MAYOR JACKIE WARNER VICE-CHAIR MOORE CUMBERLAND HOKE Fayetteville ROBESON LEGEND ...____.1 2010 Urbanized Area I I Metropolitan Planning Area .___-----~1 Municipal Boundary ...____.I County Boundary Mike Rutan FAMPO 1/13 Resolution Passed by The Board of Commissioners of the County of Harnett, North Carolina The following resolution was offered by and seconded by and upon being put to a vote was carried unanimously on the day of , 2013: THAT WHEREAS, it is recognized that the proper movement of travel within and through the Fayetteville urban area is a highly desirable element of a comprehensive plan for the orderly growth and development of the area; and WHEREAS, there are a number of governmental jurisdictions within the Fayetteville Metropolitan Planning Area which have been authorized implementation and regulatory responsibilities of transportation by North Carolina General Statutes; and WHEREAS, it is desirable that a coordinated, comprehensive, and cooperative transportation planning process be maintained in the Fayetteville Metropolitan Planning Area to ensure that the transportation system is maintained on an efficient and economical basis commensurate with the public health, safety, and welfare; and WHEREAS, a revised Memorandum of Understanding between the City Of Fayetteville, Town of Eastover, Town Of Hope Mills, Town Of Parkton, City Of Raeford, Town Of Spring Lake, Fort Bragg Military Reservation, Cumberland County, Harnett County, Hoke County, Robeson County and the North Carolina Department Of Transportation has been prepared that sets forth the responsibilities and working arrangements for maintaining a continuing, comprehensive, and cooperative transportation planning process; and NOW, THEREFORE BE IT RESOLVED BY THE BOARD OF COMMISSIONERS OF THE COUNTY OF HARNETT, NORTH CAROLINA. That the Memorandum of Understanding between the City Of Fayetteville, Town of Eastover, Town Of Hope Mills, Town Of Parkton, City Of Raeford, Town Of Spring Lake, Fort Bragg Military Reservation, Cumberland County, Harnett County, Hoke County, Robeson County and the North Carolina Department Of Transportation, be approved and that the Chairman and County Clerk are hereby directed to execute the Memorandum of Understanding. I, ______________________________, Clerk of the County of Harnett, North Carolina, do hereby certify that the above is a true and correct copy of excerpts from the minutes of the Board of Commissioners of said County. WITNESS my hand and the official seal of the County of Harnett this the ____ day of __________________, ______. ATTEST (Seal) _____________________________ Clerk MEMORANDUM OF UNDERSTANDING FOR COOPERATIVE, COMPREHENSIVE, AND CONTINUING TRANSPORTATION PLANNING AMONG THE CITY OF FAYETTEVILLE, THE TOWN OF EASTOVER, THE TOWN OF HOPE MILLS, THE TOWN OF PARKTON, THE CITY OF RAEFORD, THE TOWN OF SPRING LAKE, THE FORT BRAGG MILITARY RESERVATION, THE COUNTY OF CUMBERLAND, THE COUNTY OF HARNETT, THE COUNTY OF HOKE, THE COUNTY OF ROBESON, AND THE NORTH CAROLINA DEPARTMENT OF TRANSPORTATION IN COOPERATION WITH THE UNITED STATES DEPARTMENT OF TRANSPORTATION WITNESSETH: WHEREAS, certain of the parties hereto have previously entered into a Memorandum of Understanding for cooperative, comprehensive, and continuing transportation planning through the Fayetteville Area Metropolitan Planning Organization ( the FAMPO), which agreement was last amended in December 2002; and WHEREAS, the parties desire to continue that transportation planning through the FAMPO and amend and expand the agreement to include additional parties and clarify their respective roles and responsibilities; and WHEREAS, each Metropolitan Planning Organization (MPO) is required to develop a Metropolitan Transportation Plan in cooperation with NCDOT and in accordance with 23 U.S.C. § 134, any amendments thereto, and any implementing regulations; and a Comprehensive Transportation Plan in accordance with North Carolina General Statute §136-66.2; and WHEREAS, the Metropolitan Transportation Plan serves as the basis for future transportation improvements within the Metropolitan Planning Area; and WHEREAS, the parties intend that this Memorandum of Understanding shall supersede all prior memoranda of understanding among any of them pertaining to the FAMPO. NOW THEREFORE, in consideration of the mutual benefits afforded to each party, the parties agree as follows: Section 1. Boundary of the Metropolitan Planning Area The Fayetteville Urban Metropolitan Planning Area consists of the Fayetteville Urban Area as defined by the United States Department of Commerce, Bureau of the Census, plus that area beyond the existing urbanized area boundary that is expected to become urbanized within a twenty-year planning period. This area is hereinafter referred to as the Metropolitan Planning Area. Page 1 of 9 Section 2. Planning Responsibility within the Metropolitan Planning Area Cooperative, continuing and comprehensive transportation planning shall be undertaken in the Metropolitan Planning Area by the FAMPO in accordance with all applicable federal and state statutes. The FAMPO shall coordinate any transportation planning it undertakes which may have a regional impact with Mid-Carolina Rural Planning Organization and the Lumber River Rural Planning Organization. Section 3. Establishment of the FAMPO The FAMPO shall be governed by a board of directors which shall be the policy making board for the MPO and shall be constituted as follows: The voting members of the board of directors of the FAMPO shall consist of the Chief Elected Official, or a single representative appointed by the Chief Elected Official, from the governing boards of each of the General Purpose Local Governments which are parties to this agreement; an additional representative from the City Council of Fayetteville, appointed by the Chief Elected Official, to represent the Transit Operator for the City of Fayetteville; a representative from Division Six of the North Carolina Department of Transportation; and a representative from Division Eight of the North Carolina Department of Transportation. In addition, the board of directors of the FAMPO shall include a non-voting representative from the Fort Bragg Military Reservation, a non-voting representative from the Federal Highway Administration- North Carolina Division, and a non-voting representative from the Federal Transit Administration-Region IV. The members representing the Fort Bragg Military Reservation and the state and federal agencies shall be selected as determined by the agencies they are representing. Section 4. Conduct of Business by the FAMPO Board of Directors The FAMPO board of directors will meet as often as it deems appropriate and advisable. The board of directors will adopt by-laws and select a Chair and Vice-chair and conduct its business in accordance with its adopted by- laws. All meetings of the board of directors shall be subject to the Open Meetings Law. Section 5. Role and Responsibilities of the FAMPO The FAMPO board of directors will be responsible for carrying out the provisions of 23 U.S.C. § 134 (Federal Highway Administration); and 49 U.S.C. §§ 5303, 5304, 5305, 5306 and 5307(Federal Transit Administration); including the following duties and responsibilities: 5.1. Review and approval of the annual transportation Unified Planning Work Program and any subsequent amendments; 5.2. Review and approval of the Transportation Improvement Program for multimodal capital and operating expenditures to insure coordination between local and State capital and operating improvement programs and any subsequent amendments; Page 2 of 9 5,3, Review and approval of the Metropolitan Transportation Plan, and subsequent changes thereto, and the Comprehensive Transportation Plan as required by the N.C.G.S. § 136-66.2(d). Revisions in the transportation plans must be jointly approved by the FAMPO board of directors and the North Carolina Department of Transportation; 5.4. Endorsement, review and approval of changes to the Federal highway Administration Functional Classification System, the Adjusted Urbanized Area Boundary and the Metropolitan Planning Area Boundary; 5.5. Endorsement, review and approval of a Prospectus for Transportation Planning which defines work tasks and responsibilities for the various agencies participating in the transportation planning process; 5.6. Establishment of goals and objectives for the transportation planning process reflective of and responsive to such comprehensive plans for growth and development in the Metropolitan Planning Area as are adopted by Boards of General Purpose Local Government. 5.7. Approval and distribution of federal funds designated for the Metropolitan Planning Area under the provisions of MAP-21 and any other subsequent transportation funding authorizations. Section 6. Establishment of the Transportation Coordinating Committee (the TCC) 6.1. The parties acknowledge that transportation planning is a specialized field. In order to give the FAMPO, as the duly constituted Transportation Advisory Committee (the TAC), access to the technical expertise necessary to meet the requirements of federal and state law, a Technical Coordinating Committee the TCC) shall be established with the responsibility for advising the FAMPO on the technical aspects of the transportation planning process, performing such technical analysis as necessary to support transportation planning and making recommendations to the FAMPO and local and State governmental agencies for any necessary actions relating to the continuing transportation planning process. 6.2. Membership of the TCC shall include technical representation from all local and State governmental agencies directly related to and concerned with the transportation planning process for the Metropolitan Planning Area and shall consist of the following: Voting members, serving ex-officio: City Manager, City of Raeford County Manager, County of Cumberland County Manager, County of Hoke County Manager, County of Robeson Town Manager, Town of Eastover Town Manager, Town of Hope Mills Town Manager, Town of Spring Lake Director, Cumberland County Planning and Inspections Department Director, Fayetteville Transit Department Page 3 of 9 Director, Fayetteville — Cumberland County Parks and Recreation Department Director, City of Fayetteville Engineering and Infrastructure Department Director, Cumberland County Engineering and Infrastructure Department Director, Fayetteville Regional Airport Manager, City of Fayetteville Planning and Zoning Division City Traffic Engineer, City of Fayetteville Director, Mid Carolina Rural Planning Organization Planner, Lumber River Rural Planning Organization Manager, Harnett County Planning Services Supervisor, Cumberland County Schools Planning Department Executive Director, Mid-Carolina Council of Governments Executive Director, Sustainable Sandhills Assoc. Vice-Chancellor for Facilities Management at Fayetteville State University Installation Transportation Officer, Fort Bragg Military Reservation Division Engineer, Division Six, Division of Highways, NCDOT Division Engineer, Division Eight, Division of Highways, NCDOT Division Construction Engineer, Division Six, Division of Highways, NCDOT Division Construction Engineer, Division Eight, Division of Highways, NCDOT Division Traffic Engineer, Division Six, Division of Highways, NCDOT Division Traffic Engineer, Division Eight, Division of Highways, NCDOT Fayetteville Metropolitan Area Coordinator, Transportation Planning Branch, NCDOT Voting members, selected by the agency they represent: Representative of the Fayetteville — Cumberland County Chamber of Commerce; Representative of Cumberland County Transportation Advisory Board; Non-voting members, serving ex officio: Director, Public Transportation Division, NCDOT Community Planner, North Carolina Division, Federal Highway Administration Community Planner, Region IV, Federal Transit Administration Representative of the Directorate of Facilities Engineering, Fort Bragg Military Reservation Section 7. Conduct of Business by the TCC The TCC will meet as often as it deems appropriate and advisable. The TCC will adopt by-laws and select a Chair and Vice-chair and conduct its business in accordance with its adopted by- laws. All meetings of the TCC shall be subject to the Open Meetings Law. Section 8. Role and Responsibilities of the TCC The TCC shall be responsible for development, review, and recommendation for approval of the Prospectus, Transportation Improvement Program, Federal-Aid Urban System and Boundary, Page 4 of 9 revisions to the Transportation Plan, planning citizen participation, and documentation reports on the transportation study. Section 9. Establishment of the Citizens Advisory Committee (the CAC) There shall also be a Citizens Advisory Committee (the CAC) established consisting of no less than 11 and not more than 17 interested citizens who reside within the Metropolitan Planning Area, The members of the CAC shall be appointed by the FAMPO board of directors and shall be selected to represent areas of interest and interest groups, including traditionally underrepresented members of the community, to address such interests as bicycle paths, pedestrian greenways, environmental concerns, road safety, traffic congestion, freight, rail and transit and with representatives including advocates for the disabled, seniors and minorities. Section 10. Conduct of Business by the CAC The CAC will meet as often as it deems appropriate and advisable to make recommendations to the TAC and the TCC. The CAC will adopt by-laws and select a Chair and Vice-chair and conduct its business in accordance with its adopted by- laws. All meetings of the CAC shall be subject to the Open Meetings Law. Section 11. The Executive Director Administrative coordination for the FAMPO (TAC), the TCC and the CAC will be performed by an Executive Director. The Executive Director shall be selected by a panel consisting of the Development Services Director and the Director of Engineering and Infrastructure for the City of Fayetteville, the Director of Planning and Inspections for Cumberland County, and the managers or the designees of the managers of the towns of Hope Mills and Spring Lake. The Executive Director shall become an employee of Cumberland County, subject to the provisions of Cumberland County's personnel rules and policies, assigned to the Cumberland County Planning and Inspections Department and report to the county's Director of Planning and Inspections. The Executive Director shall select such other staff as may be budgeted in accordance with the selection and recruitment rules and policies of Cumberland County. All staff selected by the Executive Director shall bcome employees of Cumberland County assigned to the Cumberland County Planning and Inspections Department and subject to the provisions of the County's personnel rules and policies. Section 12. Role and Responsibilities of the Executive Director 12.1. The Executive Director shall serve ex officio as the Secretary of the FAMPO Board of Directors (the TAC), the TCC and the CAC and shall be responsible to arrange the meetings and agendas and maintain the minutes and records of each. In addition, the Executive Director shall prepare the Prospectus, the Unified Planning Work Program the (UPWP), a Transportation Improvement Program in accordance with federal and state regulations and requirements; develop a Transportation Plan in accordance with federal and state regulations; maintain the Transportation Plan; execute the transportation planning process in accordance with federal and state laws and regulations; prepare invoices and progress reports in accordance with federal, Page 5 of 9 state, and local requirements; structure the public involvement process needed to ensure that the UPWP, Transportation Plan, Transportation Improvement Program, and any transportation conformity determinations meet federal requirements; and consult with the FAMPO Board of Directors, the TCC and the CAC regarding the best approaches to performing the duties listed above. 12.2. In advance of making any proposal or recommendation to the TAC, the TCC or the CAC, the Executive Director shall provide such recommendation to the chief planning official for every jurisdiction within the Metropolitan Planning Area which may be impacted by such proposal or recommendation in sufficient time for the chief planning official to review and comment on the proposal or recommendation. Section 13. Additional Responsibilities of Member Governments 13.1. The representative from each General Purpose Local Government on the FAMPO board of directors shall be responsible for instructing the clerk of his/ her local government to provide to the Executive Director copies of the minutes of any action taken by his/her local government which involves any MPO plan. 13.2. Each member signatory local government shall coordinate zoning and subdivision approval in their respective jurisdictions in accordance with the FAMPO adopted transportation plan. 13.3. As the host agency, the Cumberland County Planning and Inspections Department will serve as the Lead Planning Agency for transportation planning in the Metropolitan Planning Area. All other member signatory local governments will assist in the transportation planning process by providing planning assistance, data, and inventories in accordance with the Prospectus for Transportation Planning. Section 14. Funding and Fiscal Matters 14.1. All transportation and related federal aid planning grant funds available to promote the cooperative transportation planning process will be expended in accordance with the Unified Planning Work Program adopted by the TAC, Administration of funding in support of the Transportation Planning Process on behalf of the TAC will be conducted by the County of Cumberland as the host planning agency. Cumberland County will execute appropriate agreements with funding agencies as provided by the Planning Work Program. 14.2. The local match for the Federal Aid planning funds will be determined based on the current federal matching requirements. The signatory General Purpose Local Governments will contribute to the local match requirement based on their percentage of the population within the Metropolitan Planning Area at the most recent decennial census. Only the non-municipal population of those portions of counties located within the Metropolitan Planning Area shall be counted for counties. Member governments may also be asked to contribute additional local funding for projects wholly within their jurisdictional limits. Page 6 of 9 14.3. The fair market rental value of the office space provided by the Cumberland County Planning and Inspections Department as the host agency will be counted toward Cumberland County's match as an in-kind contribution. The fair market value of the rent shall be figured as the same annual rate per square foot that Cumberland County receives from the State of North Carolina for any other county-owned office space rented by the State. Section 15. Duration of the Agreement Any party may terminate its participation in the MPO and remove itself from this Agreement by giving sixty days' advance notice in a writing signed by the Chief Elected Official, if a local government, or by the chief executive officer of the agency, if not a local government. This notice shall be delivered to the Chairman of the FAMPO board of directors and to the Executive Director. 1N WITNESS WHEREOF, the parties to this Memorandum of Understanding have been authorized by appropriate action to sign the same, the City of Fayetteville by its Mayor, the Town of Eastover by its Mayor, the Town of Hope Mills by its Mayor, the Town of Parkton by its Mayor, the City of Raeford by its Mayor, the Town of Spring Lake by its Mayor, Fort Bragg Military Reservation by its Director of Public Works Business Center, the County of Cumberland by its Chairman, the County of Harnett by its Chairman, the County of Hoke by its Chairman, the County of Robeson by its Chairman and the North Carolina Department of Transportation by the Secretary of Transportation. (Seal) City of Fayetteville By ________________________________ Clerk Mayor (Seal) Town of Eastover _______________________ By ___________________ Clerk Mayor (Seal) Town of Hope Mills _______________________ By ___________________ Clerk Mayor Page 7 of 9 (Seal) Town of Parkton ______________________ By ____________________ Clerk Mayor (Seal) City of Raeford By ____________________________________ Mayor Clerk (Seal) Town of Spring Lake (Seal) County of Harnett By ____________________________________ Chairman Clerk (Seal) County of Hoke Clerk Chairman (Seal) County of Cumberland Page 8 of 9 (Seal) Robeson County By _________________________________ Clerk Chairman Fort Bragg Military Reservation By _________________________________ Director of Public Works Business Center North Carolina Department of Transportation By _________________________________ Secretary of Transportation Page 9 of 9 Sample Local Match Sheet The following table shows the local match requirement for each jurisdiction based on the methodology outlined in the Memorandum of Understanding and this year’s MPO funding of $757,000 dollars. The local share is 20% of the total MPO funding shared between all member jurisdictions based on their Census 2010 population in the Planning Area. The local match will be charged to all member jurisdictions beginning in FY 15 (July 2014) and it will be based on the new budgeted amount for that fiscal year. Allocation of Local Match (Based on this year's funding) Jurisdiction 2010 Pop % Local Match Parkton 0.1% $ 151.40 Eastover 1.0% $ 1,514.00 Raeford 1.2% $ 1,816.80 Spring Lake 3.2% $ 4,844.80 Hope Mills 4.1% $ 6,207.40 Fayetteville 53.9% $ 81,604.60 Cumberland 18.6% $ 28,160.40 Harnett 9.0% $ 13,626.00 Hoke 8.3% $ 12,566.20 Robeson 0.6% $ 908.40 CONTINUING – COMPREHENSIVE – COOPERATIVE – TRANSPORTATION PLANNING TRANSPORTATION ADVISORY COMMITTEE FAYETTEVILLE AREA METROPOLITAN PLANNING ORGANIZATION ROSTER 4-2-2013 CITY OF FAYETTEVILLE MAYOR PRO TEM JAMES WILLIAM ARP, JR. 2640 Thorngrove Court Fayetteville, NC 28303 (910) 867-1342 jarp@ci.fay.nc.us FEDERAL HIGHWAY ADMINISTRATION MS. JILL STARK NON VOTING 310 New Bern Ave., Suite 410 Raleigh, NC 27601-1442 919-747-7027 jill.stark@fhwa.dot.gov CITY OF FAYETTEVILLE COUNCIL MEMBER ROBERT THOMAS HURST, JR 2010 Whisper Lane Fayetteville, NC 28303 910-483-7104 Work / 910-481-0900 Home 910-286-5804 Cell BobbyHurst@aol.com FORT BRGG COMMANDER Headquarters, Ft. Bragg Garrison Command (Airborne) Directorate of Public Works NON VOTING ATTN: IMSE-BRG-PWC (Steve Smith) Bldg. 3-1631 Butner Road Fort Bragg, NC 28310-5000 910-396-7202-Office steve.f.smith@us.army.mil TOWN OF HOPE MILLS MAYOR JACKIE WARNER 4333 Legion Road Hope Mills, NC 28348 910-424-0030 Home / 910-309-7779 Cell jwarner@town.hope-mills.nc.us NC BOARD OF TRANSPORTATION MR. ED GRANNIS 2391 Amigo Dr. Fayetteville, NC 28305 (910) 484-4678 wmgrannis@aol.com CUMBERLAND COUNTY Vacant TOWN OF SPRING LAKE ALDERMAN RICHARD HIGGINS 1309 Mack Street Spring Lake, NC 28390 910-497-1027-Home / 910-436-2667-Fax rick1309@aol.com HARNETT COUNTY COMMISSIONER Gary House PO Box 577 Dunn, NC 28335 910-292-2060 gary@GHouseCPA.com HOKE COUNTY COMMISSIONER JEAN POWELL P.O. Box 386 Raeford, NC 28376 910-875-7438 jepowellxda@aol.com Mr. Rick Heicksen, Executive Director 130 Gillespie St. Fayetteville, NC 28301 Telephone (910) 678-7622 FAX (910) 678-7638 E-MAIL: rheicksen@co.cumberland.nc.us FAYETTEVILLE AREA METROPOLITAN PLANNING ORGANIZATION (FAMPO) ORGANIZATIONAL CHART POLICY MEMBERS: Elected officials from member jurisdictions N.C. BOARD OF TRANSPORTATION Area Representatives U.S. DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMINISTRATION Regional Representative CITIZEN ADVISORY COMMITTEE METROPOLITAN TRANSPORTATION PLAN U.S. DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION TECHNICAL STAFF: Comprised of technical experts from Local, State, and Federal governmental agencies directly related to the transportation planning process. N.C. DEPT. OF TRANSPORTATION: Division 6 and Division 8 Engineers Traffic Engineering Branch, Area Traffic Engineer and Division Engineer Transportation Planning Branch FAMPO Coordinator, Public Transportation & Rail Division, Area Transportation Planner F A M P O STAFF TECHNICAL COORDINATING COMMITTEE CAC MEMBERS: Representatives from the community with emphasis on traditionally under-represented groups TRANSPORTATION ADVISORY COMMITTEE Approves all Federal Aid Transportation Funding CONTINUING – COMPREHENSIVE – COOPERATIVE – TRANSPORTATION PLANNING BOARD OF DIRECTORS FAYETTEVILLE AREA METROPOLITAN PLANNING ORGANIZATION BYLAWS BOARD OF DIRECTORS OF THE FAYETTEVILLE AREA METROPOLITAN PLANNING ORGANIZATION Adopted by the FAMPO Board of Directors on July 24, 2013 PREFACE These Bylaws describe the form, function and rules of procedure for the FAMPO Board of Directors, that has been designated the Metropolitan Planning Organization (MPO) for the Fayetteville Urbanized Area. It is the role and purpose of the FAMPO Board to provide transportation policy and oversee the federal transportation planning process for the Fayetteville region. 1. NAME The name of this board shall be the Fayetteville Area Metropolitan Planning Organization Board of Directors, hereinafter referred to as the “FAMPO Board” or “Board”. 2. MISSION AND PURPOSE The mission and purpose of the FAMPO Board are to serve as the decision making body for the MPO and to carry out the metropolitan transportation planning process as mandated by the Moving Ahead for Progress in the 21st Century Act of 2012 and its successors. These laws call for the MPO to provide a "continuing, cooperative, and comprehensive transportation planning process that results in plans and programs that consider all transportation modes and supports the metropolitan community development and social goals.” Consistent with requirements provided by the United States Department of Transportation through the Moving Ahead for Progress in the 21st Century Act (MAP-21) of 2012 and any subsequent Federal Transportation Authorizations, the mission of the FAMPO Board is to develop, promote and ensure implementation of a regional transportation plan that: A. Supports the economic vitality of the metropolitan area; B. Increases the safety and security of the transportation system for motorized and non- motorized users; C. Increases the accessibility and mobility options available for people and freight; D. Protects the environment, promotes energy conservation, and improves quality of life Mr. Rick Heicksen, Executive Director 130 Gillespie St. Fayetteville, NC 28301 Telephone (910) 678-7622 FAX (910) 678-7638 E-MAIL: rheicksen@co.cumberland.nc.us COMMISSIONER JEAN POWELL CHAIR MAYOR JACKIE WARNER VICE-CHAIR Page 2 of 5 FAMPO Board Bylaws 2013 E. Enhances the integration and connectivity of the transportation system across and between modes for people and freight; F. Promotes efficient transportation system management and operation; G. Emphasizes the preservation of the existing transportation system; and H. Promotes an efficient relationship between land-use and transportation that maximizes the use of existing and future public programs and infrastructure. The activities performed by the FAMPO Board to comply with this mission and purpose will include: a. Review and approval of the annual transportation Unified Planning Work Program and any subsequent amendments; b. Review and approval of the Transportation Improvement Program for multimodal capital and operating expenditures to ensure coordination between local and State capital and operating improvement programs and any subsequent amendments; c. Review and approval of the Metropolitan Transportation Plan, and subsequent changes, and the Comprehensive Transportation Plan as required by the North Carolina General Statutes Section 136-66.2(d). Revisions in the Transportation Plans must be jointly approved by the FAMPO Board and the North Carolina Department of Transportation; d. Endorsement, review and approval of changes to the Federal Highway Administration Functional Classification System, the Adjusted Urbanized Area Boundary and the Metropolitan Planning Area Boundary; e. Endorsement, review, and approval of a Prospectus for transportation planning which defines work tasks and responsibilities for the various agencies participating in the transportation planning process; f. Establishment of goals and objectives for the transportation planning process reflective of and responsive to comprehensive plans for growth and development in the Metropolitan Planning Area adopted by Boards of General Purpose Local Government. g. Designation of the Lead Planning Agency (LPA), in cooperation with the Office of the Governor of North Carolina, for receiving transportation planning funding and transit funds. h. Approval and distribution of federal funds designated for the FAMPO Metropolitan Planning Area under the provisions of MAP-21 and any other subsequent Transportation Authorizations. The representative from each General Purpose Local Government on the FAMPO Board shall be responsible for instructing the clerk of his/ her local government to submit copies of minutes or resolutions to FAMPO’s Executive Director when formal action involving any MPO plan is taken by his/her local government. Page 3 of 5 FAMPO Board Bylaws 2013 3. MEMBERS A. Membership: The FAMPO Board shall consist of voting members that are elected officials from the Fayetteville Metropolitan Area, in addition to representatives of the North Carolina Board of Transportation and is as follows: a. Fayetteville City Council representing the City; b. Fayetteville City Council representing the Transit Operator; c. Eastover Town Council; d. Hope Mills Board of Commissioners; e. Parkton Board of Aldermen; f. Raeford City Council; g. Spring Lake Board of Aldermen; h. Cumberland County Board of Commissioners; i. Harnett County Board of Commissioners; j. Hoke County Board of Commissioners; k. Robeson County Board of Commissioners; l. North Carolina Board of Transportation, Division Six m. North Carolina Board of Transportation, Division Eight Each FAMPO Board voting member has one vote. In addition, representatives from each of the following agencies will serve as non-voting members of the FAMPO Board: - Federal Highway Administration, North Carolina Division; - Federal Transit Administration, Region IV; - Fort Bragg Military Reservation. B. Term of Office Each entity’s chief elected official shall designate that member entity’s representative. Members shall remain in office until a successor has been duly elected or until his/her earlier death, resignation, disqualification, incapacity to serve, or removal in accordance with the law. 4. OFFICERS The officers of the MPO shall consist of a Chairman and Vice-Chairman. A. Elections: The Chairman and Vice-Chairman shall be elected annually at the first regularly scheduled meeting of the calendar year. The newly elected Chairman and Vice- Chairman shall take office immediately following the election. The Chair must have served as an MPO member for one year immediately prior. Additional elections may be held if either the Chairman or Vice-Chairman cannot carryout his/her duties and complete the remainder of the appointed term. Page 4 of 5 FAMPO Board Bylaws 2013 B. Terms of Office: The term of office for officers shall be one year. Officers may serve no more than three consecutive one-year terms. This does not prohibit them from being elected to a future term. C. Duties of Officers: The Chairman shall call and preside at meetings, sub committees and set the order of business for each meeting. In the Chairman’s absence, the Vice-Chairman shall preside and complete all other duties of the Chairman. In the event that the Chairman is unable to carryout his/her duties for the remainder of their term, the Vice-Chairman shall carryout the functions of the Chairman for the remainder of the year. In the absence of the Chair and Vice-Chair, those present shall elect a Chair Pro Tem. D. Duties of the Executive Director: The Executive Director shall provide or otherwise delegate staff service for the MPO, as needed, and will be responsible for taking summary minutes of the Committee’s proceedings. The Executive Director will maintain a current copy of these Bylaws as an addendum to the Memorandum of Understanding, to be distributed to the public upon request. 5. MEETINGS All FAMPO Board meetings are subject to and will comply with the North Carolina Open Meetings Law. A. Regular Meetings: Meetings will be held quarterly on the fourth Wednesday of the month. Meeting notices and agendas are to be mailed in sufficient time for them to have been received by each Board member no later than seven (7) days prior to the meeting date. Unless otherwise stated, all meetings will begin at 8:30 A.M. Regular meetings may be canceled by the Chair should there be insufficient business on the Committee’s tentative agenda. B. Special Meetings: Special meetings may be called by the Chair, or at the request of the eligible voting members petitioning the Chair. Whenever possible, at least seven (7) days notice shall be given. C. Public Hearings: The FAMPO Board may choose to hold public hearings for the express purpose of soliciting public comment on transportation plans, programs, or projects prior to approving such actions. Public hearings held for these purposes shall be held in accordance with the most recently approved FAMPO public participation policy. D. Workshops: The FAMPO Board may choose to hold workshops from time to time. No official action may be taken at a workshop. A quorum shall not be necessary for conducting a workshop. Page 5 of 5 FAMPO Board Bylaws 2013 However, all workshops shall be noticed in the same manner as regular meetings of the Board. E. Quorums: A quorum must be present at all meetings other than workshops. A quorum shall be constituted by the presence of at least fifty-one percent (51%) of the eligible voting members at the beginning of the meeting. F. Attendance: Each member shall be expected to attend each regular meeting and each special meeting provided at least seven (7) days notice is given. Any member who does not attend two consecutive FAMPO Board meetings will not be included as part of the membership needed to obtain a quorum after the second meeting. Membership, however, is immediately reinstated by the presence of the most recently appointed member at any future meeting. A quorum is required for the transaction of all business, including conducting meetings or hearings, participating in deliberations, or voting upon or otherwise transacting the public business. A quorum consists of 51% of the members of the FAMPO Board, excluding those who have been removed for absenteeism. G. Agenda: The agenda is a list of considerations for discussion at a meeting. Any member of the Board can place items on the agenda prior to its distribution. Additional items may be placed on the regular agenda under the discussion item on the regular agenda, as long as a majority concurrence of the present and eligible voting members is received. H. Voting Procedures: The Chair may call for a vote on any issue, provided that it is seconded and provided the issue is on the agenda as outlined in item 5-F of this article. Each voting member of the FAMPO Board shall have one vote. A majority vote of the members present and eligible to vote shall be sufficient for approval of matters coming before the FAMPO Board. The Chair is permitted to vote. Abstentions shall be considered affirmative votes. By approval of the Board, a member may withdraw from voting on an issue. In the absence of any direction from these Bylaws or other duly adopted voting procedures pursuant to certain approval actions, Robert’s Rules of Order will designate procedures governing voting. 6. AMENDMENTS TO BYLAWS Amendments to these Bylaws of the FAMPO Board shall require the affirmative vote of at least two-thirds of the Board’s eligible voting members, provided that written notice of the proposed amendment has been sent to each member at least seven (7) days prior to the meeting at which the amendment is to be considered and provided that such amendment does not conflict with the letter or fundamental intent of the Memorandum of Understanding governing this document. In the event of any conflict, the Memorandum of Understanding shall carry precedence over these Bylaws. Fa y e t t e v i l l e Ar e a Me t r o p o l i t a n Pl a n n i n g Or g a n i z a t i o n CO N T I N U I N G ‐CO M P R E H E N S I V E ‐CO O P E R A T I V E ‐TR A N S P O R T A T I O N PL A N N I N G FA M P O Area Map Th e Urbanized Area is sh o w n in GREEN. Th i s area is defined by the Census. Th e Metropolitan Pl a n n i n g Area is sh o w n in PINK. This ar e a is defined by the MP O in coordination wi t h NCDOT and FH W A , and is in t e n d e d to provide co n t i n u i t y in ur b a n / r u r a l cl a s s i f i c a t i o n . Mik e Ru t a n FA M P O 1/ 1 3 N:C e n s u s 20 1 0 / M O U Pr e s e n t a t i o n s to Mu n i c i p a l i t i e s Ab o u t FA M P O •Mu l t i ‐Ju r i s d i c t i o n a l Ag e n c y es t a b l i s h e d by Co n g r e s s an d fu n d e d th r o u g h the Federal Hi g h w a y Ad m i n i s t r a t i o n an d th e Fe d e r a l Tr a n s i t Ad m i n i s t r a t i o n . •Pl a n n i n g Ar e a in c l u d e s th e Fa y e t t e v i l l e Ur b a n i z e d Ar e a as de f i n e d by th e Census Bu r e a u , in ad d i t i o n to su r r o u n d i n g ar e a s wh i c h ar e an t i c i p a t e d to be de v e l o p e d to Ur b a n St a n d a r d s wi t h i n th e ne x t 20 ye a r s . •Re s p o n s i b l e fo r co n d u c t i n g Co n t i n u i n g , Co m p r e h e n s i v e , an d Co o p e r a t i v e (3C’s) Tr a n s p o r t a t i o n Pl a n n i n g •Re s p o n s i b l e fo r Lo n g Ra n g e Tr a n s p o r t a t i o n Pl a n n i n g an d Pr i o r i t i z a t i o n of Federal Tr a n s p o r t a t i o n Ai d Pr o j e c t s in th e Ur b a n i z e d Ar e a •Re q u i r e d to ap p r o v e th e ex p e n d i t u r e of al l Fe d e r a l Ai d Tr a n s p o r t a t i o n fu n d s within th e Pl a n n i n g Ar e a . FAYETTEVILLE AREA METROPOLITAN PLANNING ORGANIZATION (FAMPO) ORGANIZATIONAL CHART POIJCY MEMBERS Elected officials from member jurisdictioll!l METROPOLITAN TRANSPORTATION PLAN TRANSPORTATION ADVISORY COMMITTEE Approves all Federal Aid Transportation Funding .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. ' N.C. BOARD OF TRANSPORTATION Area Representatives : ~ . ~ •• : ••••••• t ..................... ---..&.-------------.., • : TECHNICAL : U.S. DEPARTMENT OF TRANSPORTATIO~ CITIZEN ADVISORY • ~. -~ COORDINATING : •. : : ·~----------------~ COMMITTEE FEDERALIDGHWAY ADMINISTRATIO:K TECHNICAL STAFF Comprised of technical experts from Local, State, and Federal governmental agencies directly related to the transportation planning process / ~- • COMMITTEE : • •• .. . . . ... . . ... .. . . ... . . .... . .. ~-----------------, . + • U.S. DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMIMSTRA TION • • • •. Regional Representative CAC MEMBERS: Representatives from the commWlity with emphasis on traditionally Wlder-represented groups FAMPO STAFF \L----------------~ N.C. DEPT. OF TRANSPORTATION Division 6 and Division 8 Engineers Traffic Engineering I3ranch, Area Traffic Engmccr and DIYIS!on Engmccr Transportat10n Plannmg Branch FAMPO Coordmator, Public Transportation & Rail Division, /\rea Transportation Planner No r t h C a r o l i n a De p a r t m e n t o f Tr a n s p o r t a t i o n PL A N N I N G CO M M I S S I O N PL A N N I N G DE P A R T M E N T PL A N N I N G DE P A R T M E N T Cu m b e r l a n d C o u n t y Co m m u n i t y Tr a n s p o r t a t i o n Ad v i s o r y Bo a r d Cu m b e r l a n d C o u n t y Jo i n t Pl a n n i n g B o a r d FA M P O S T A F F (L P C ) CA C DIRECTORATE OF PUBLIC WORKS AND ENVIRONMENT TC C TO W N O F HO P E M I L L S TO W N O F SP R I N G L A K E FORT BRAGG CI T Y O F FA Y E T T E V I L L E HA R N E T T CO U N T Y HO K E CO U N T Y CU M B E R L A N D CO U N T Y FA M P O Tr a n s p o r t a t i o n Ad v i s o r y C o m m i t t e e SU B C O M M I T T E E S CU R R E N T FH W A – F E D E R A L H I G H W A Y A D M I N I S T R A T I O N FT A – F E D E R A L T R A N S I T A D M I N I S T R A T I O N NC D O T - N O R T H C A R O L I N A D E P A R T M E N T O F T R A N S P O R T A T I O N TA C – T R A N S P O R T A T I O N A D V I S O R Y C O M M I T T E E TC C – T E C H N I C A L C O O R D I N A T I N G C O M M I T T E E CA C C I T I Z E N S A D V I S O R Y C O M M I T T E E LP C –LO C A L P O I N T O F C O N T A C T F O R F H W A –FTA –NCDOT, also:  EX E C U T I V E D I R E C T O R A N D S T A F F A D V I S O R T O T A C  EX E C U T I V E D I R E C T O R A N D S T A F F A D V I S O R T O T C C  EX E C U T I V E D I R E C T O R A N D S T A F F A D V I S O R T O C A C  CO O R D I N A T O R F O R S U B - C O M M I T T E E S Fe d e r a l Hi g h w a y Ad m i n i s t r a t i o n Federal Transit Administration FA Y E T T E V I L L E AR E A ME T R O P O L I T A N PL A N N I N G OR G A N I Z A T I O N (F A M P O ) TR A N S P O R T A T I O N PL A N N I N G PR O C E S S Re c e n t , Cu r r e n t , an d Fu t u r e Ma j o r Pl a n n i n g Ef f o r t s • Ra e f o r d Ro a d Co r r i d o r St u d y (2 0 1 0 ) : Pr o v i d e s mu l t i ‐mo d a l so l u t i o n s to in c r e a s i n g co n g e s t i o n al o n g a ma j o r entrance into th e Fa y e t t e v i l l e Re g i o n fr o m th e We s t . Br o u g h t to g e t h e r di v e r s e st a k e h o l d e r s in c l u d i n g Ci t y , St a t e , an d Re g i o n a l Pl a n n e r s , Sc h o o l Pl a n n e r s , Tr a n s i t Planners, Em e r g e n c y Ma n a g e m e n t , an d Bu s i n e s s Le a d e r s . • Sp r i n g La k e Co n g e s t i o n Ma n a g e m e n t Pl a n ( 2 0 1 0 ) : Th i s mu l t i ‐mo d a l pl a n in c o r p o r a t e d th e de s i r e s of th e To w n of Sp r i n g Lake, ad d r e s s e d th e la r g e am o u n t of th r o u g h tr a f f i c , an d do c u m e n t e d fu t u r e tr a n s p o r t a t i o n pr o j e c t s an d la n d us e sc e n a r i o s th a t wi l l re d u c e co n g e s t i o n while im p r o v i n g mo b i l i t y . • So u t h w e s t e r n FA M P O Co n g e s t i o n s Ma n a g e m e n t Pl a n ( C u r r e n t ) : •Pr o v i d e s a mu l t i ‐mo d a l pl a n fo r So u t h w e s t e r n Cu m b e r l a n d an d No r t h e a s t e r n Hoke Co u n t i e s to un d e r s t a n d ne e d s in te r m s of fu t u r e gr o w t h pl a n n i n g an d how to pr o v i d e sa f e tr a v e l fo r mo t o r i z e d an d no n ‐mo t o r i z e d tr a f f i c . Gu i d e d by local input fr o m ci t i z e n s an d To w n le a d e r s , th e pl a n wi l l es t a b l i s h a re g i o n a l vi s i o n for the study ar e a , ad d r e s s la n d us e su i t a b i l i t y ne e d s , id e n t i f y bi c y c l e , pe d e s t r i a n and transit al t e r n a t i v e s to re d u c e au t o m o b i l e tr a v e l an d co n g e s t i o n , as we l l as id e n t i f y short‐ te r m an d lo n g ‐te r m im p r o v e m e n t s fo r ro a d w a y an d in t e r s e c t i o n pr o j e c t s . • In t e l l i g e n t Tr a n s p o r t a t i o n Sy s t e m s (I T S ) Pl a n ( C u r r e n t ) : Th i s pl a n wi l l be th e re s u l t of wi d e s p r e a d co o p e r a t i o n an d pa r t i c i p a t i o n between th e Ci t y of Fa y e t t e v i l l e , Cu m b e r l a n d , Ho k e an d Ha r n e t t Co u n t i e s , NC D O T , Fort Br a g g , an d Pu b l i c Sa f e t y Of f i c i a l s fr o m ou r re g i o n . Th i s pl a n wi l l hi g h l i g h t ITS pr o j e c t s th a t fo c u s on pr o v i d i n g a sa f e an d ef f i c i e n t mu l t i ‐mo d a l tr a n s p o r t a t i o n sy s t e m th a t us e s ap p r o p r i a t e te c h n o l o g y to pr o v i d e re l i a b l e se r v i c e in an en v i r o n m e n t a l l y su s t a i n a b l e ma n n e r , im p r o v i n g th e qu a l i t y of li f e in the region. • Od e l l Ro a d Fe a s i b i l i t y St u d y ( O n g o i n g ) : Co o r d i n a t e th e ef f o r t s of Lo c a l , St a t e , an d Fe d e r a l st a k e h o l d e r s to in c l u d e the De p a r t m e n t of De f e n s e (D O D ) De f e n s e Ac c e s s Ro a d (D A R ) fu n d i n g pr o g r a m to pr o v i d e a ne w en t r a n c e in t o Fo r t Br a g g us i n g Od e l l Ro a d an d Ar m i s t e a d Road (i n s i d e Fo r t Br a g g ) . Th i s ne w en t r a n c e wi l l al l e v i a t e gr o w i n g co n g e s t i o n in the To w n of Sp r i n g La k e an d th e Ra n d o l p h St r e e t / M u r c h i s o n Ro a d In t e r c h a n g e . • Li t t l e Cr o s s Cr e e k Gr e e n w a y Pl a n ( O n g o i n g ) : Mu l t i ‐us e tr a i l th a t wi l l co n n e c t Ma z a r i c k P a r k wi t h th e No r t h Ca r o l i n a State Ve t e r a n s Pa r k in do w n t o w n Fa y e t t e v i l l e . • Bi g Cr o s s Cr e e k Gr e e n w a y Pl a n ( F u t u r e ) : Mu l t i ‐us e tr a i l th a t wi l l co n n e c t Sm i t h La k e Re c r e a t i o n Ce n t e r on Fo r t Bragg wi t h th e Li t t l e Cr o s s Cr e e k Gr e e n w a y in th e vi c i n i t y of Fa y e t t e v i l l e St a t e Un i v e r s i t y . Qu e s t i o n s ? Fo r mo r e in f o r m a t i o n ab o u t FA M P O or an y of th e pr o j e c t s contact: Ri c k He i c k s e n , Ex e c u t i v e Di r e c t o r , 91 0 67 8 ‐76 2 2 rh e i c k s e n @ c o . c u m b e r l a n d . n c . u s Ma u r i z i a Ch a p m a n , AI P C 91 0 67 8 ‐76 1 5 mc h a p m a n @ c o . c u m b e r l a n d . n c . u s Mi c h a e l Ma n d e v i l l e , 91 0 67 8 ‐76 2 0 mm a n d e v i l l e @ c o . c u m b e r l a n d . n c . u s Bo b b y Mc C o r m i c k , 91 0 67 8 ‐76 3 2 bm c c o r m i c k @ c o . c u m b e r l a n d . n c . u s Mi c h a e l Ru t a n a t 91 0 67 8 ‐76 1 4 mr u t a n @ c o . c u m b e r l a n d . n c . u s or vi s i t ou r we b s i t e , ww w . f a m p o . o r g Board Meeting Agenda Item MEETING DATE: December 2, 2013 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Melvin C. Stewart, et. al. vs. County of Harnett, 10 CVS 1874 REQUESTED BY: Jennifer J. Slusser, Senior County Staff Attorney REQUEST: Public disclosure per NCGS 143-318.ll(a)(3) ofthe above referenced claim. In order to resolve and receive a general release for any and all claims against Harnett County and in exchange for an easement, Harnet County paid $20,000.00 of the total settlement amount to Plaintiffs. Please see easement attached hereto. COUNTY MANAGER'S RECOMMENDATION: C:\U sers\gwheeler\AppData \Locai\Microsoft\ Windows\ Temporary Internet Files\Content. Outlook\Z5TP9EAN\agendaform20 13 Stewart. doc 1 of 1 Page ... , ' . ' " ' HARNETT COUNTY TAX.ID# in ldf... cit,tzAJWA-R pl./ . . . K . FbOR REGISTRATION un er-ly s M H REGISTER 0~,..8£~0~ ar-nett Count N Z013 OCT 30 11 • I6. c 8K:J168 PG:6S2-618 AM FEE:$26.00 89 INSTRUMENT # 2013017779 MAWOOO COVER SHEET TYPE OF DOCUMENT EASEMENT RECORDED IN HARNETT COUNTY KIMBERLY S HARGROVE REGISTER OF DEEDS T • ... . -. .. . .. -' l •1"" Prepared by and Return To: ' Teague, Campbell, Dennis & Gorham, LLP 4800 Six Forks Road, Suite 300 Raleigh, North Carolina 27609 STATE OF NORTH CAROLINA EASEMENT COUNTY OF HARNETT This Easement is made and entered into this ,.h)fU day of JEfTflhJlE R , 2013, by MELVIN C. STEWART, JR., GLORIA D. WILSON AND SHERRY STEWART DARRIGAN (hereinafter collectively referred to as "Grantors") and the COUNTY OF HARNETT (hereinafter referred to as "Grantee"). WITNESSETH WHEREAS, Grantors Melvin C. Stewart Jr. and Gloria D. Wilson are the ow.n'ers of that certain real property located at 225 Stewart Farm Lane, Spring ·Lake, North Carolina, consisting of 10 acres, more or less, identified on the Harnett County tax records as Parcel Number 01-0534-0019 bearing the PIN of 0533-49-9055.000 and being more fully described in that certain North Carolina General Warranty Deed recorded in Boc::>~ 2092, Page 449 in the Office of the Harnett County Register of Deeds (hereinafter referred to as the "Stewart Property"). WHEREAS, Grantor Sherry Stewart Darrigan is the owner of two (2) parcels of real property more particularly described as: Parcel 1: that certain real property located at 45 Stewart Farm Lane, Spring Lake, North Carolina, consisting of 14.85 acres. more or less, identified on the Harnett County tax records as Parcel Number 01-0534 0018-01 bearing the PIN of 0533-59-6285.000 and being more fully described in that certain North Carolina General Warranty Deed recorded in Book 2098, Page 462 in the Office of the Harnett County Register of Deeds and Parcel 2: that certain real property located at 121 Stewart Farm Lane, Spring Lake, North Carolina, consisting of 10.56 acres, more or less, identified on the Harnett County tax records as Parcel Number 010534 0021 02 bearing the PIN of 0533-59- 4805.000 and being more fully described in that certain North Carolina General Warranty • 1 ' .. '·· Deed recorded in Book 2274, Page 479 in the Offices of the Harnett County Register of Deeds (both parcels hereinafter collectively referred to as the "Darrigan Property"). WHEREAS, Grantee is the owner of that certain real property located at Shady Grove Road, Spring Lake, North Carolina, consisting of 51.337 acres, more or less, identified on the Harnett County tax records as Parcel Number 01 0523 0019 03 bearing the PIN of 0534 40 2342 and being more fully described in that certain North Carolina General Warranty Deed recorded in Book 2543, Page 992 in the Office of the Harnett County Register of Deeds (hereinafter referred to as "Harnett County Property"); WHEREAS Grantee ·currently operates the South Regional Harnett County Wastewater Treatment Plant (hereinafter referred to as the "Treatment Plant") on the Harnett County Property and WHEREAS Grantors Stewart, Wilson, and Darrigan (hereinafter sometimes collectively referred to as the "Plaintiffs") have heretofore caused a civil action to be filed against Harnett County (hereinafter sometimes collectively referred to as "Defenda-nt") in the Superior Court of Harnett County, identified by Case No. 10 CVS 1874 (hereinafter referred to as the "Civil Action") in which the Plaintiffs contend the use, by the Defendant, of the Harnett County Property as a Treatment Plant constitutes a nuisance to, and an unlawful trespass upon the Stewart Property and the Darrigan Property, and further that the Defendant has negligently operated the Treatment Plant in such a manner as to cause damage and injury to Plaintiffs and the Stewart Property and the Darrigan Property and that Defendant has violated the Sedimentation Pollution Control Act and said violation has injured the Plaintiffs; and WHEREAS the Civil Action seeks compensatory damages; and WHEREAS the Plaintiffs and Defendants have reached a compromise and settlement of all matters in dispute in the Civil Action and certain agreements evidencing that settlement have been entered into as between the Plaintiffs and Defendant, including but not limited to an agreement to execute such other and further documents, suitable for recording in the Office of the Harnett County Register of Deeds, as would evidence the agreements reached by the Plaintiffs and Defendant in the Civil Action and run with, burden and bind the Stewart Property and the Darrigan Property, {as well as subsequent owners and lessees of the same), in perpetuity and benefit, run with and be an appurtenance to, the Harnett County Property, in perpetuity; and WHEREAS to give full effect to each and every term and condition of the settlement reached in the Civil Action, the Grantors and Grantees desire to enter into this Easement. NOW, THEREFORE, in consideration of the mutual covenants and easements herein granted to each party and for the benefit of any future owners of the Property and the Grantee's property, the receipt and sufficiency of which are hereby acknowledged, the parties hereby declare, establish, and reserve the following: 2 .. .. . . , Grant of Easement for Operation of the Treatment Plant Grantors, for themselves, their heirs, personal representatives, successors in title and assigns, do hereby bargain, grant, sell and convey unto Grantee an exclusive, perpetual easement appurtenant to the Harnett County Property for the unobstructed use in the vicinity, over, in and across, the entirety of the Stewart and Darrigan Property (including but not limited to the air space above the Stewart and Darrigan Property), extending in each and every direction (hereinafter referred to as "Easement"). That portion of the Easement in the air space above the Stewart and Darrigan Property shall extend from the surface of the Stewart and Darrigan Property to the heavens above. The Easement, together with all burdens resulting there from, shall entitle Harnett County to make or cause to be made such noises, vibrations (specifically including but not limited to such noises and vibrations as may be associated with the operation and maintenance of a wastewater treatment plant}, emissions, trespasses, deposits of dust and other particulate matter, noxious odors (specifically including but not limited to noxious odors emanating from or produced by the Treatment Plant), light pollution, fear, interference with sleep, emotional distress, stress, annoyance, and any and all other effects or consequences, of whatsoever nature and kind, that may be alleged to be or that actually are incidental to, caused by or result from the operation of the Treatment Plant in, on or about the Harnett Property or such other uses as the Grantee may make of the Harnett County Property, whether related or unrelated, to the Treatment Plant. Provided, however. that this Easement ~oes not permit Grantee to el'!gage in negligent conduct that causes physical or structural damage to the Stewart and Darrigan Property. The foregoing Easement shall be construed in the broadest sense possible in order that any and all activities incidental or related to or caused by the construction, repair, replacement, installation, design, engineering, or maintenance of the Treatment Plant can be conducted, whether by Grantee or its successors in interest, successors in title, lessees, sub-lessees or assigns. as the case may be, without any interference from or interruption by Grantors, their heirs, successors in title, lessees, sub-lessees, personal representatives and assigns, so long as said activities are conducted in such a way to avoid physical or structural damage to the Stewart and Darrigan Property. Grant of Easement for Stormwater Runoff Grantors do hereby bargain, grant, sell and convey unto Grantee an unconditional, exclusive, perpetual right and easement (hereinafter referred to as the "Stormwater Runoff Easement") appurtenant to the Harnett County Property for the purpose of natural surface water runoff from the Treatment Plant across the Stewart and Darrigan Property, provided Grantee reasonably maintains the stormwater drainage facilities located on the Treatment Plant to the extent necessary to reasonably control surface water runoff from the Treatment Plant across the Stewart and Darrigan Property. This Stormwater Runoff Easement is for natural surface water drainage from the Treatment Plant and shall be construed to include other effects or consequences that are incidental to natural surface water runoff from the Treatment Plant, including but not limited to any unintentional property damage or trespasses resulting from natural surface water" runoff from the Treatment Plant. 3 . '• This Easement shall be governed by and construed in accordance with the laws of the State of North Carolina. The easements, covenants, and restrictions contained herein are not personal, shall inure to the benefit of the parties hereto, their heirs, personal representatives, successors in title, successors in interest, lessees, sub-lessees, and assigns, as their interests may appear, and shall burden the Stewart and Darrigan Property in perpetuity and shall run with and be an appurtenance to the Harnett County Property. Each party hereto shall protect, defend and hold harmless the other from any liability, loss, cost, damage, and expense (including reasonable attorneys' fees) to each other or either property arising out of or in any way connected with the acts or omissions of the indemnifying party, its employees, agents, tenants, invitees, licensees or contractors, in the parties' use of any of the easements provided for herein. This the day and year first above written. [Balance of page intentionally left blank-Signatures and acknowledgments follow on next three (3) pages] 4 .. • ~ .. l, GRANTORS: ~+.L.IEL~!=,N~C......:.~=-ST·-E~<eJWt:::::.:A=RT:;_.-JR-• .;;;r:.·~~!-!.·--<SEAL) STATE OF NORTH CAROLINA, COUNTY OF (\,;r-'"\bfc~nd I, lOOjC<? 1).5)\-loe~c,).l'f, a Notary Public of the County and State aforesaid, do hereby certify that MELVIN C. STEWART, JR., personally came before me and acknowledged the due execution of the foregoing instrument. Witness my hand and notarial seal, this $)\~day of ~2:e~\,f>l, 2013. ,,,,,\111/iltt, ~'' Q SHO~.l"l/. ~ v{c, ..,.-t ~ ~~ ~~ ~~ NOTARY ~~ · ; PUBLIC J:J:: :::::.n ~.:::-~~ ~~ ~~~ ' 'l,..,,~YND cO ,,-$' '''''""'"''' Q -tlli4"' do . .D1Drn~ Notary Public Print Name: £of\.-.;·c.,o $. D\-lcelYy,k. er My Commission Expires: S \ I '--lJ 2. o Is- STATE OF NORTH CAROLINA, COUNTY OFLlJ'(V\..bQr\c;~ I, Ct 1C\ ~ce 'D .'b\J.oe.rYta'€e~ a Notary Public of the County and State aforesaid, do hereby certify that GLORIA D. WILSON personally came before me and acknowledged the due execution of the foregoing instrument. Witness my hand and notarial seal, this \O.fn day of z:gp\e~n be,.,, 2013. ~J.-0.~ Notary Public Print Name: LOY'\ ,·c e 'D-L)~e'(Y')Qk"/ My Commission Expires: 3 ) I t.j} Z.D I r • 5 ... .iturtC\~~UfllJ=--..d:.SEAL) SHERRY ST WART DA AN STATE OF NORTH CAROLINA, COUNTY OF ~ I, :J3~~ ~~«..,_ , a Notary Public of the County and State aforesaid, do he by ce ify tha SHERRY STEWART DARRIGAN, personally came before me and acknowledged the due execution of the foregoing instrument. Witness my hand and notarial seal, this JO day of ~lf'J(...... '2013. No ry P Print Name: &JabJ.y L?oyq!d'jL.~< My Commission Expires: z:--d f-clCJ£ 6 Johnny Uoyd Hyde Notary Public Harnett OountY North Carolina My Commission~: .· ...... " "' ... COUNTY OF HARNETT ATTEST: STATE OF NORTH CAROLINA COU Y OF HARNETT \ \\A ~ \3.\..\ t.i~, a Notary Public of the County and State aforesaid, that Jim Burgin, who being by me duly sworn, says that he is Chairman of the B d of Commissioners of the County of Harnett, and that Margaret Regina Wheeler is Clerk of said Board, that the seal affixed to the foregoing and attested instrument is the seal of the County of Harnett, North Carolina, and that said instrument was signed by him as Chairman of the Board of Commissioners of said County and by the Clerk of said Board, who affixed the official seal of County of Harnett to said instrument; and that the said Jim Burgin, Chairman of the Board of Commissioners, acknowledged said instrument to be the act ad deed of County of Harnett, North Carolina. WITNESS my hand and Notarial Seal, this the 2tt day of October, 2013. Notary Public My Commission expires: 3-22-2017 7 r'""'"n,.,f +f(;,~ M. 8(./. ~~QT,q~ ~~ Notary Seaf-~ SETTLEMENT AGREEMENT THIS SETTLEMENT AGREEMENT ("Agreement") is made, entered into and effective as of the If> day of November, 2013, by and between County of Harnett, a North Carolina body politic and corporate ("Harnett County"), and Gary A. House, a citizen and resident of North Carolina ("House"). WITNESSETH: WHEREAS, Harnett County operates the Harnett County Department of Public Utilities ("HCDPU"); WHEREAS, at all times relevant hereto, House was a member of the Harnett County Board of Commissioners; WHEREAS, from 2006 until January 2011, Randy D. Rogers ("Rogers") was employed by HCDPU as a right-of-way agent; WHEREAS, on or about April 30,2012, Harnett County filed a lawsuit in Harnett County, North Carolina bearing file number 12 CvS 890 against House and Rogers (the "Lawsuit") ; WHEREAS, House and Rogers asserted a counterclaim in the Lawsuit (the "Counterc !aim"); WHEREAS, Harnett County and House have agreed to settle all matters and things in controversy arising between them as hereinafter set forth. NOW THEREFORE, for and in consideration of the mutual covenants and promises hereinafter set forth, the parties hereto agree as follows: 1. House, on his own part and on behalf of his agents, employees, representatives, related and affiliated entities, successors and assigns does hereby remise, release, acquit and forever discharge Harnett County and its agents, emp1oyees, officers, managers, directors, commissioners, representatives, related and affiliated entities, successors and assigns, of and from any and all manner of action and actions, cause and causes of action, claims and counterclaims, suits, debts, warranties, dues, sums of money, damages, judgments, claims and demands, claims for exemplary damages, and any and all incidental and consequential damages punitive damages or statutory penalties, whatsoever, including, by way of illustration and not limitation, a11 costs and expenses, including attorneys' fees whether known or unknown and whether presently existing or hereafter arising which he now has, has had or shall hereafter have against Harnett County, for, by reason of, related to or arising out of the Lawsuit, the Counterclaim and HCDPU; notwithstanding the foregoing, nothing herein shall be construed as a release of House's right to file a declaratory judgment action against Harnett County's insurance carrier(s) to recover his legal fees and costs related to defending the Lawsuit. NPGBOI: 18620 15.1-HKEY-!DSENTER) 042716-00013 2. Harnett County, on its own behalf and on behalf of its agents, employees, officers, managers, directors, commissioners, representatives, related and affiliated entities, successors and assigns does hereby remise, release, acquit and forever discharge House and his agents, employees, representatives, related and affiliated entities, successors and assigns of and from any and all manner of action and actions, cause and causes of action, claims and counterclaims, suits, debts, warranties, dues, sums of money, damages, judgments, claims and demands, claims for exemplary damages, and any and all incidental and consequential damages, punitive damages or statutory penalties, whatsoever, including by way of illustration and not limitation, all costs and expenses, including attorneys' fees, whether known or unknown and whether presently existing or arising hereafter which it now has, has had or shall hereafter have against House, for, by reason of, related to or arising out of the Lawsuit, the Counterclaim and HCDPU; notwithstanding the foregoing, nothing herein shall be construed to release any claim or cause of action Harnett County has against Rogers, including, without limitation, those set forth in the Lawsuit, which claims and causes of action shall remain pending. 3. Within ten (I 0) days of the execution of this Agreement, Harnett County and House shall file a Stipulation of Partial Voluntary Dismissal With Prejudice in the Lawsuit in the tonn of the attached Exhibit A. The Lawsuit shall remain pending with respect to Rogers. 4. House shall not participate in, deliberate on or vote on any matters before the Harnett County Board of Commissioners related to the Lawsuit whether as a Harnett County Commissioner, as a Harnett County citizen or in any other capacity. House shall recuse himself from any and all public or private sessions of the Board of Commissioners in which the Lawsuit is to be discussed. House acknowledges his duty as a County Commissioner to preserve the attorney client privilege with regard to the Lawsuit. 5. Consistent with prior recommendations of independent third parties and consistent with its existing assessment plans which are already underway, Harnett County will conduct the following assessments as directed by the County Manager for Harnett County: (a) A contract compliance perfonnance assessment of existing, publicly bid HCDPU capital construction projects; and (b) A comprehensive assessment of the operations, management and policies of HCDPU. 6. This Agreement shall be construed and enforced in accordance with and governed by the laws of the State of North Carolina without regard to any conflicts oflaw provisions or principles thereofto the contrary. 7. It is understood by the parties hereto that this Agreement is a compromise and settlement of doubtful and disputed claims and is not to be construed as an admission ofliability by the parties hereto: liability being expressly denied by the parties. 2 NPGBO I: I X621l 1~.1-HKEY-1 DSENTER) ll42716-001ll3 8. This Agreement and the t:xecuted exhibits contain the entire agreement between the parties hereto and the tenns hereof are contractual in nature and not merely recitals, and shall not be modified or amended, except by written instrument signed by all the parties. 9. This Agreement shall be binding on the par1ies hereto and their successors in interest, heirs, personal representatives, successors, assigns, officers, managers, directors, shareholders, agents, related and aftiliated entities, employees and representatives. I 0. The parties declare and represent that they have read this Agreement, that they understand this Agreement's tenns and legal etTect, and that they sign this Agreement as their own free act. 11. Each has cooperated and participated in the dralling and preparation of this Agreement. Accordingly, the parties hereto acknowledge and agree that this Agreement shall not be construed or interpreted in favor of or against any party by virtue of the identity of any alleged preparer. 12. This Agreement may be executed in any number of counterparts, and the counterparts together shall constitute the original of this Agreement as if each party hereto had signed the same page. Counterpart copies of this Agreement may be signed by a party and exchanged by telecopier or Adobe Acrobat Pdf File. The parties intend that such copies signed and exchanged as provided in the preceding sentence shall be fully binding. IN WITNESS WHEREOF, the parties have executed this Agreement on the day and year first above written as their own free act and, as applicable, with authority duly given by their Boards of Commissioners. Sworn to and subscribecJ before me this the~ day of Notle.ro be.r-, 2013. ~ ·~ ~r GARY A. HOUSE J1~a-~ NPGBOI :1X<'>2015.l·IIKEY-<DSENTERI 0427!6.()0013 Sworn to and subscribed before me this the ~day of Ncve.w her , 2013. ~ &Ji~A~ ~Puhlic My Commission Expires: :JLdy d~ J.Ot1 cou~~: By: ./ Titlc~j~ 4 NPGBOI: I ~6:!015.1·1 !KEY-(DSENTER) 042716.()(}()13 NORTH CAROLINA HARNETT COUNTY COUNTY OF HARNETT, Plaintiff v. RANDY D. ROGERS and GARY A. HOUSE, Defendants. ) ) ) ) ) ) ) ) ) } IN THE GENERAL COURT OF JUSTICE SUPERIOR COURT DIVISION 12 CVS 890 PARTIAL STIPU LA Tl ON OF DISMISSAL WITH PREJUDICE Plaintiff County of Harnett and Defendant Gary A. House, hy and through their undersigned counsel and pursuant to Rule 41 of the North Carolina Rules of Civil Procedure, hereby stipulate to the dismissal with prejudice of all claims and counterclaims which were asserted against each other and/or which would he batTed if not asserted against each other in the captioned action. Nothing herein shall affect the claims asseiicd hy Plaintiff against Defendant Randy D. Rogers or the counterclaims asserted by Defendant Randy D. Rogers against Plaintiff, all of which shall remain pending. All parties will bear their own fees, costs and expenses. This the _day ofNovember, 2013. OF COUNSEL: NEXSEN PRUET, PLLC Lake Point 701 Green Valley Road, Suite 1 00 Post Office Box 3463 Greensboro, NC 27402 (336) 373-1600 David A. Senter N.C. State Bar No. 12549 dsenter@nexsenpruet.com Jeffrey M. Reichard N.C. State Bar No. 38453 jreichard@nexsenpruet.corn Allorney.\·.fc;r Plaint({( NPGBOI :11'61050.1 OF COUNSEL: BERGER & MILLER LLP 4800 Six Forks Road, Suite 1 00 Raleigh, NC 27609 (919) 783-5900 Bruce W. Berger 4800 Six Forks Road, Suite 100 Raleigh, NC 27609 Atlomey.fhr Gm:v A. House 2 NPGBOI :1861050.1 CERTIFICATE OF SERVICE The undersigned hereby certifies that a copy of the foregoing PARTIAL STIPULA TlON OF DISMISSAL WITH PREJUDICE was duly served upon those listed below in accordance with the provisions of Rule 5 of the North Carolina Rules of Civil Procedure by depositing it in the United States Mail, first-class postage prepaid, addressed as follows: Bruce W. Berger 4800 Six Forks Road, Suite I 00 Raleigh, NC 27609 Auorney.fhr Gary A. House' Randy D. Rogers 904 Hillside Drive lillington, NC 27546 This the_ day of November, 2013. David A. Senter 3 NPGI301: 1861050.1 ) ) ) ") ) ') ) ) ) ) ) } ) ) ) ) ) ) ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES FINANCIAL STATEMENTS Year Ended June 30, 2013 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES TABLE OF CONTENTS June 30, 2013 Page No. AREA BOARD OF DIRECTORS AND AREA OFFJCIALS ... ......... ...... .... .... .... .. .. .. ..... ...... .... ..... . 1 INDEPENDENT AUDITORS' REPORT...................................................................................... 2 MANAGEMENT'S DISCUSSION AND ANALYSIS.................................................................... 4 BASIC FINANCIAL STATEMENTS Statement of Net Position............................................................................................................ 8 Statement of Revenues, Expenses and Changes in Net Position............................................... 9 Statement of Cash Flows............................................................................................................ 10 Notes to Financial Statements..................................................................................................... 11 REQUIRED SUPPLEMENTAL FINANCIAL DATA Other Postemployment Benefits Required Supplementary Information -Schedule of Funding Progress ................................. 23 Other Postern ployment Benefits Required Supplementary Information -Schedule of Employer Contributions....................... 24 SU~P'-~Mt:NT ~RY !NFQflMAT19~ R~lanc~ Shaat -CMot:lt.fl·ea Accr1.1al fiasia of Acco~-tn,!·no) ........................................................ .. t"'", ,, , 1 , f •, , ,, t , ,,~, •• u•tt••••••••••••••••••••••• ••••••• 28 II 30 HI 32 ) ) ) ) ) SANDHILL$ CENTER FOR MENTAL HEALTH. DEVELOPMENTAL DISABtLITIES AND SUBSTANCE ABUSE SERVICES TABLE OF CONTENTS June 30, 2013 COMPLIANCE SECTJON (Continued} Page No. Schedule of Findings and Questioned Costs .......................................................................... 34 Summary Schedule of Prior Year Audit Findings.......................................................... 37 Schedule of Expenditures of Federal and State Awards ......................................................... 38 ) ., J SANDHILL$ CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES June 30,2013 AREA BOARD OF DIRECTORS Ross Streater (Commissioner) Thad Ussery (Commissioner) (Chairperson) Dr. David Dermott Anthony Copeland (Commissioner) Gary House (Commissioner) Darrell Frye (Commissioner) Reverend Michael Bye Harold Holmes (Commissioner) (Vice-Chairperson) Jean Powell (Commissioner) (Secretary) Kay Cashion (Commissioner) Dianne Walton-Munden Troy Chisolm Kirk Smith (Commissioner) Otis Ritter (Commissioner) AREA OFFICIALS Victoria Whitt Anthony Ward Page 1 Michele Weatherly Mazie Fleetwood Carol Whitaker Nancy Redding Lois Jones Shirley Hart Bob Cromer Pat Cameron Dr. Wendi Carlton Walter Garth Evans Lisa Gunther-LaVergne Franck Cleary Marilyn Gilliam Chief Executive Officer Chief Operating Office ) ") ) ) ) To the Board of Directors -.. ~;; ..,,., DIXON HUGHES GOODMANLLP Certified Publtc Accountants and Advisors Independent Auditors' Report Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services West End, North Carolina We have audited the accompanying financial statements of the business-type activities and the major fund of the Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services (the Center) as of and for the year ended June 30, 2013, and the related notes to the financial statements, which collectively comprise the Center's basic financial statements, as listed in the table of contents. Management's Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are free from material misstatement, whether due to fraud or error. AudltQr~' Responalbllltv 0 4r r@appnsU~I!Ity Is tq expres§ gp!n!ons on tt)as~ f!n~n~iE!I st~temems based qn our a~qlt. We COfl~U~teq CJW t:!Udjt If) ~~corq~nce i.vittl a4qifl!1~ st~ndEJfdS Q~!lflra!!y EJCCept@d !fl lh~ Uf!jl8~ 6fEJfes P.f AmericJ:! aflp mf) SJJ:!nctarq~ aRRiii::9Aie fO f!flEJflCi~l ~yqjlt\ cqntajne~ ln Ga'{~rnrn~nf AJJQ{t(nf! Stt:tnqttrfl$, iss.1.1e9 ~Y tpP pam~trq!l~r Gerteral af t~e uni!e~ S!ate.~. T~aae sf~rQ~H:1s r~q~.tira Jh;;tt we plan am~ perfQrm me ay1111 tQ aph:,!n rf~aP.QOal:lle Flij&l.lfant::e FIRAt.l! Whet~er !he fmanPIFII ~lafl:lmenl~ ~rt:! fr~e fmm mf4tArl!i41 ml£l~li=ltemenf. ' ' it ) ) ) ) ) Other Matters Required Supplementary Information Accounting principles generally accepted in the United States of America require that Management's Discussion and Analysis and Other Post Employment Benefits Schedule of Funding Progress and Schedule of Employer Contributions be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board, who considers it to be an essential part of the financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplementary information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. Supplementary and Other Information Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise the Center's basic financial statements. The budgetary schedules and the Schedule of Expenditures of Federal and State Awards, as required by U.S. Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, and the State Single Audit Implementation Act, are presented for purposes of additional analysis and are not a required part of the basic financial statements. The budgetary schedules and the Schedule of Expenditures of Federal and State Award s are the responsibility of management and were derived from and relate directly to the underlying accounting and other records used to prepare the basic financial statements. Such information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including com paring and reconciling such information directly to the underlying ~cemm~!ng anq oth~r r~cgr~s useq to prepare the P.C!slc financial statements or tQ the tlaslc flmincl~l a'atemellts Jhemse!vfls, '!nq qther aqcllt~onal Rrqcect~ras !n f!ccprqance with ~u{1!tlnQ st"!ncl"!rds Rt!nera!lv accqpJed 1n th~ ~flifa~ Btaf!'!s qf AfTlerjca. Ill R4r Qp.lniqn. Jhf! PHq~elf!rv scneqp!e~ a~d tr~ ·scne~ule qf ~xpeD~i~wra& _Qf fectar~! a~a S~~IE! awap:l~ are fa!rlv sf~te~. Jr all mFihma! ra~pect~. 1r re!F~ftqn !q l~e pa~tc (tnanclal ~li'llaflleOtfi !aken a~ i'l w~Qie. Athsr R8f}P.rtinA H8ftHifftA hy HR\ftun mtmt AHAitinA ~tftnA!llll§ t ' m ftFPAffl9nP~ With HAYnmm~nl A\HH!tir.r ~f~nF!f!rf!§.. Wt:l h19\1~ ~~~P. jg§HM RHf r~ .Art R~ln~ mre .e 5 2 3 <D our eo s era ·<D <D e (l)e erf. · e a oo over · a cia e Oil · a .,~ .. mB~~r i~-' Rl, lfD IIIII l lj~.l~lll!ltllln I I fh,, I vnt.l'' ~ ln!.,rn.ll l.l!ntml t.f\'P' nn.,n, l'l r .• JHrlinR lin! RHb tgr~:f'u~t~r~~~~W~F~~~ .. 'A[fl~~~~ft\P~~RM~-~\~f,~~~~rf(~H ~11PnP~ Fta~~6~n~r ~,r~ ;~1-~m~r~~~ 2uHt~()ii'~~JJIJ.t ~-h~ial'lr d' i~ ~ ~d'! JN!l u rr\~t~-~~~ 'tM·r~~ ltf' dnrh~t ~~MI · d o l.>J.o !IH~ · 9!11H•o'l. ~~ri~·iii,l'.lr/1~ 'l!o~i ~Vtlr ~!U!IM'~I\1!./>~Vtldb•'ol-"'~#ll:a~diiSI.~~~~~~,f~.J~~P.~~ IY ~~~ ~li!!Jr~ B~hltloir a~ a~biUtp~Jfdhhe~Yi~l 1\!:~rl.mTWWJU..,,\nl G~[Am~#tl~tLWt~n@•·S~an~a/l~S' ltM~bksiQJ~r~MMI,~ ~~~tef;s.jntern~l podtrplh~v~riDnamcial !r~portinrol CifOd ~compli,ocet "'''' 'h r It ,,I ll' rl n I 'hill ,,, !II~ I ,,., I •rld1r 1 l111~h l·1ll r tlr, f, I'' rl, !h Pilhill~j flliiJl,flllll1 .11r11 rl,l1 ll,fl, I ' ! , , .. I ;• • I I 't I' November 5, 2013 ,, MANAGEMENT'S DISCUSSION AND ANALYSIS As management of Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services (the Center), we offer readers of the Center's financial statements this narrative overview and analysis of the financial activities of the Center for the year ended June 30, 2013. We encourage readers to read the information presented here in conjunction with additional information that we have furnished in the Center's financial statements, which follow this narrative. Financial Highlights • The assets of the Center exceeded its liabilities at the close of the year by $19,700,274. • The Center's total net position increased by $9,943,565. Overview of the Financial Statements This discussion and analysis are intended to serve as an introduction to the Center's basic financial statements. The Center's basic financial statements consist of two components: 1) government~wide financial statements and 2) notes to the basic financial statements. Government-wide Financial Statements The government-wide financial statements include the Statement of Net Position, Statement of Revenues, Expenses, and Changes in Net Position, and the Statement of Cash Flows for the year ended June 30, 201 3. The Center operates similar to a private bu siness and therefore utilizes the proprietary fund method of accounting. This method provides both short and long- term financial information and requires that revenue and expenses are recognized on the full accrual ba~is of accounting. TtJa Sf~t~rnant qf N~t pos!f!on prqsams infqf!Tlatign on ~~~ of the canter's ass~fs an.q !ia~il!tles, ~Jtifh me djffer!3flCe patwapn ma 'two f~f}qfted i'\S f!el ,AOS!f!9f1· Over f!m~. jncraaaea or ~ecraaaaa !0 nef posif!llp ma.v serve aa a wset~l ind!cator of wnathar J~e. financii'll po~!tion qf !he Center js lfllflf'lVInf;l or delenorat~nA· Thf! RHW~m~nt f:lf Rf!vf:lnH@P.! t=x~~n~~~! ~na ~h!=mft~P. in N~l PoRilion flf~~~nl~ infmmAtiP.n ~Mwlnf.i h~ mr1 f!;~n!!=l('~ n~t @A5ifiM r::n~nr;JM AHtinA tM niP.~fJ~F~nt. fir;f!:fW¥~Af· All t:~"n~~~ ih n!i!t P,f{MIAn Clr~ ~~R.~n~ft ~~ ~er,n ~~ rtn~ HnA~rl¥1nA1 ~~Ml ~~~In~ r1~~ tf!l lh~ PMhR~ RPFHf~· mRar~l~1>~ ~f fn~ flffilnA m th~ ml~f~R P~~h fiRW~ 1 Page4 Management's Discussion and Analysis Sand hills Center for Mental Health, Developmental Disabilities and Substance Abuse Services Other Information In addition to the basic financial statements and accompanying notes. this report includes certain required supplementary information concerning the Center's progress in funding its obligation to provide pension benefits to its employees. Government-wide Financial Analysis As noted earlier, net position may serve over time as one useful indicator of a government's financial condition. The assets of the Center exceeded liabilities by $19,700,274 as of June 30, 2013. The Center's net position increased by $9,943,565 for the year ended June 30, 2013. The Center's investment in capital assets (e.g. land, buildings, machinery, and equipment) less any related debt still outstanding that was issued to acquire those items is $4,185,544. An additional portion of the Center's net position, $2,147,797, represents resources that are subject to external restrictions on how they may be used. The remaining balance of $13,366,933 is unrestricted. In fiscal year 2012-2013 State funding remained the same and the Center became a Medicaid waiver entity effective December 1, 2012. Also January 1, 2013, the Center merged with the Guilford Center to make Sandhills Center a nine county Managed Care Organization. The Medicaid waiver became effective for the Guilford Center effective April 1, 2013. The merger along with the Waiver start-up funding for the nine counties resulted in a significant increase in net assets for fiscal year 2012-2013. The Center's Net Position Figure 1 Net assets 1 I• ' lnV,estment in capital assets r ~gliJ~eeJ~I Medi~itli ~isk Reserve i)nr4'sthict,aqlj, Vllt •11•1 1 •II I fi, • 111 • • H1111 1111 (. ,i I Total net assets r '' '!' ,,~ I l ; I IIi I I' I I Page 5 i 1 li 3,597,610 ' l:l/1 '" 11 6,159,099 1 l t,l/ ,;•n j ~• J_HI t~T11 $ 9.{56 709 '1. J t~~ ''"'l Management's Discussion and Analysis Sand hills Center for Mental Health, Developmental Disabilities and Substance Abuse Services The Center's Changes in Net Position Figure 2 2013 Revenues: Restricted intergovernmental revenues: Federal $ 2,930,141 State 31,593,657 Medicaid 107,368,336 Other Local 10,714,333 Total Revenues 152.606,467 Expenses: Administration 7,612,738 Medicaid Administration 6,753,738 Contract Services 128,296,426 Total expenses 142,662,902 Change in net position L.__9,9~3,56.5 2012 $ 3,863,501 23,825,105 8,716,847 36,405,453 8,684,789 31,338,109 40,022,898 $ ,3,61 z.~~s) The Center's net position increased by $9,943,565. Key elements of this activity are as follows: In fiscal year 2012-2013 State funding remained the same and the Center became a Medicaid waiver ~ntity ~ff~ctive December 1. 2012. Atag January 1, 2013, the Center merged with the Gyflfgrg Center ~o ma~~ &E!m!h!l!~ Canter a n!ne eo!.!nty M~nl:I9@Q Cf!re Organizatlgn. The Mecf!Ci'JlA '¥~iver p§carne ~ffective fgr the GlJ!Iford earner eff~ctjv~ Aprl! 1' 20f~. Th~ mt~roor i'l!qnq With lM Waiver ~tarr-ye fundin~ for fl1~ fl!n6 COUr)tjes re&~llect if! a aiQnificant incr~ase. irt ret Wl~ltjAn fAf fi~r:al ve~r 2q12-aq13. Capital Asset and Debt Administration L tttJI'(jl ft"'""' 'ilt!.r. f lflJ~i A,lurhti"'IPtiiHn cap ta asset's. 1 ne Center s Investment in capital assets as of June 30. 2013, totals $4,185,544 (netlof,accwmulatedldeP.r.eciation).I.ITiilese assets include buildings and equipment. l.'ffll' I"'', •1 't , ''II''"''''',./ .,.,,,!, ., . . ! I ,,r.'/!.f'' ~ i • llfl ,,, ll I I,, J•ll· I I · I ,jl II llf "I I I I ,, 'II '"' ' II Dur.him~ the cur1r.1ent1year. 1 . ~he~CeMter ac~uir.ed nebw as:Jets of ~828,4541 :.1rt~1. e~e add~'tions included a 11'" lo I f 1111 II 11) •I'll ' Ill HI' ll 1.111 "" ' r.IH 'I 'll I It 1 I •l!f,ll l lfl 1' 1'1J if I ol oilli g system requireCi f r t e i plementation f tn Medic id vvaiver prmg am a d a new phone syswm I II \ II I Ill I I ldf.itional l~fprm~liori on the Centerl.!caRI·tal ass~T,ts can b~ foumd lir.l I he N9tdsrlo the Fina~cial Stateme~ts.ll I Ill 'II I \' I 1! Ill' 1 I 1111 11 ' t ' 1 I ' hi I I d 1 111111 1\A I I . ) Management's Discussion and Analysis Sand hills Center for Mental Health, Developmental Disabilities and Substance Abuse Services Long-term Debt. As of June 30, 2013, the Center had no debt outstanding. Additional information regarding the Center's long-term debt can be found in the Notes to the Financial Statements. Budget Highlights for the Year Ending June 30, 2014 The Center's fiscal year budget begins on July 1 and ends on June 30. Highlights for the year ending June 30, 2014 are as follows: 1) The Center's continuation budget approved at $334.4 million, 2) continued refinement and evaluation of the Center's contract services will be budgeted to reflect the Center's organizational structure and 3) the Center's budget for FY 13-14 will show an increase in funding due to Medicaid Waiver implementation. Requests for Information This report is designed to provide an overview of the Center's finances for those with an interest in this area. Questions concerning any of the information found in this report or requests for additional information should be directed to the Finance Officer, Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services, P. 0. Box 9, West End, NC 27376. Page? SANDHILLS MENTAL HEALTH, DEVELOPMENTAL Exhibit 1 DISABILITIES AND SUBSTANCE ABUSE SERVICES STATEMENT OF NET POSITION June 30, 2013 ASSETS Current assets Cash and investments $ 32,231,358 Due from other governments 523,657 Prepaid insurance 207,831 Total current assets 32,962,846 Noncurrent assets Restricted cash 2,147,797 Capital assets -nondepreciable 28,147 Capital assets -depreciable, net of accumulated depreciation 4,157,397 Total noncurrent assets 6,333,341 TOTAL ASSETS 39,296,187 LIABILITIES Current liabilities Accounts payable and accrued liabilities 3,232,654 Incurred but not reported -Medicaid claims 15,350,000 Incurred but not reported -other claims 150,000 Compensated absences payable -current 432,370 Total current liabilities 19,166,024 Noncurrent liat:l!liJies O!hflr pps~J:lm~loyment ~len fits P.AVi:l~le 449,Htlft rqrA~ '-J4ft!HT Fa 1 a~RaR~~1 ~ Nt=T ~R~UTI~N ~~t ln~A;;1m~nt in FM~ir~l ~~~~~~ 1·1"?. H11 ~sf~cf~R fp,r: M 1 at s eserve I'~~ 1~.111~ Fh r. B, '•I ' I unre~tnqt1~ ' I I • I lt h I " TOTAL NET POSITION $ IOI ~~fir I t;~a•lfr•IH ~ The notes to the financial statements are an integral part of this statement. Page8 ) ) ) ) ) ) ) SANDHILL$ MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES STATEMENT OF REVENUES, EXPENSES AND CHANGES IN NET POSITION For the Year Ended June 30, 2013 Operating Revenues: Restricted intergovernmental revenues Federal State Medicaid Other local revenues Total revenues Operating Expenses: Administration Medicaid Administration General Mental Health/Substance Abuse Developmental Disabilities Contract Services Developmental Disabilities Mental Health Substance Abuse Medicaid w other Medicaid waiver Total expenses Operati ng income Nonqp.erf.!finq rev~n4~s: tnv~Slrflefll f!t:Jrflinqs Chf!OJ;i~ In ~~~ p(:l!!it!it:tn N~l ~f.leitiRn P.~Rinninfi P.f V~f\r ' NeJ p.os,Jion en~ of year ,, 1111 1 IIIII Ifill If I '!l The notes to the financial statements are an integral part of this statement. Exhibit 2 $ 2,930,141 31,593,657 107,368,336 10,713,357 152,605,491 7,612,738 4,587,628 890,854 1,275,256 7,383,352 19,016,503 8,339,530 4,045,337 89,511,704 142,662,902 9,942,§~~ 97§ 9. 4~.~AP. ~:7~Q·!-M $ i~.70~,274 'l til t 1 Page9 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES STATEMENT OF CASH FLOWS June 30, 2013 Cash flows from operating activities: Cash received from third party payors Payments to employees for services Payments to suppliers for goods and services Net cash provided by operating activities Cash flows from capital and related financing activities: Purchase of capital assets Cash flows from investing activities: Interest received on investments Net increase in cash and cash equivalents Cash and cash equivalents, beginning of year Cash and cash equivalents, end of year Reconci liation of operating income to net cash provided by opera ting activities lncgrn~ from op~r~tionl:l AdJI-l sfmenfa to r~pqncl!e Qperating incorna ~o f181 c~stJ prqviqpq py Qper~J!r!9 ACJjvjt!ea: PapreclattQn · ~~l:liPfltl:l ~~~~ ctmnaJ:~ln fl~~~t& F~nl:lll~~~~ilit=~~: (lm::(t!!FIS~) ~~Pr~f!!Sf'l i~ ~~~P.Hnts r~s;~iV~RI~ flliPrM~~l ~~~t~~~f1 ih rr~~ili~ in~Hnm~f1 nrr~l'l~~ f~~H~l'l~~ In P.FPAHn1~ Pt~~P.I~ 9n~ ?;FHHI'lA II9RIIItl:a~ ncrease ecrease tn other ~Sl emnlovmemt henef~ts Itt "111<1* l •! fl h jlllt Il l I llit r ,b'' t t I IIJ~IJ..!f'lllf I'll fit Ill II nrrr~~F I FPf~~~r, In IRM~rnsflf~~ ~rsrn~~~ r~~. I~ nrrr~s~ ~~ff1'"F tn 1~h~ Net cash provrded by operating activities It' I t' ,,,.,, hl· ·I h "I·· J ;flflt, I II Ill· •• Cash and Investments per Exhibit 1 Unrestricted I II' Ill I'' I I I ,•r I The notes to the financial statements are an integral part of this statement. $ $ $ $ $ Exhibit 3 156,654,787 (10,792,345) (114,955,482) 30,906,960 (828,454) 976 30,079,482 4,299,673 34,3791155 @,Q42,5a.Q 240.q20 1 &,a!iq,ooo 4.A4~Pflfl f~~·R4P.l l1 11 ·q~1 J~·1~~ 1,',fi·4A~ 89· go I 30,906,960 32,231,358 2 147 797 $ 34,379, 15S 'I ) ) , ) ) ) SANDHILL$ CENTER FOR MENTAl. HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAl. STATEMENTS June 30, 2013 J. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES The accounting policies of the Center conform to generally accepted accounting principles as applicable to governments. The following is a summary of the more significant accounting policies. A. Reporting Entitv Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services (the Center) is a state~mandated Local Management Entity (LME) and Medicaid·funded Managed Care Organization (MCO) in charge of overseeing the delivery of publicly·funded mental health, developmental disabilities and substance abuse services to residents of nine counties. The nine- county area consists of Moore, Randolph, Hoke, Richmond, Montgomery, Anson, Lee, Harnett and Guilford counties. Effective January 1, 2013, Guilford Center merged with Sandhills Center. Effective December 1, 2012. the Center became a MCO in accordance with Section 1915(b) of the Medicaid Program. As an MCO, the Center is responsible for the management of Medicaid resources within a managed care capitated environment. As required by generally accepted accounting principles, the Center includes all component units for which it is financially accountable. For the year ended June 30, 2013, no other entity is included in the Area Program's financial statements. The Center has been disclosed as a joint venture on the financial statements of Moore, Randolph, Hoke, Richmond, Montgomery, Anson, Lee, Harnett and Guilford counties. a. aaaia of Praaantatign Gql(f3rr!11JfJfl{-wfc!~ StaiD(T!an{s: The stat~rnql"!t of 11a1 positjqn i:lfl~ fha st~tamaflt qf i'JCflvities c:1ispi~Y inf9rm~tion apq~t lfl~ prirnarv QQVf!r~rpant. u~a Cen!er). Tna~a S!9~rf!ent~ ino!H~a tpe fi~~llPial ~~t1v111e~ Qf the Qverall Qovernment. t=ltmtni!\tu:m~ have l:l~:~en maf1a to mtmm1za !he ~ol.ll:lll:l r::ot.mltnQ of intl'lrn~l 1!\r::tivilia&. ai-!~ln~~~ lYRa a~tiviii~~ genaraiiV ara ftnFinr::ad ttiroi-!Qh ' ~Fllitnil 'fee~. ihlarJ;u~v~rnni~~l?~l r~vf:lni.Jf:l~, ?~n~ ~thar OQh-~)(PhF!Iia~ tr~nP.?~~ttonfl. 1. FHnP. Fimmrif:!l ~tf:!t~m~ms: Thf1 fHnA fin~n~tfll ~>t9i~m~nt~ p.rr.¥iA~ infP.rmP.fu:}n ~P.P.HI lh~ ~~m~r'~ fHM~· ' J The Center reports one proprl·etarY fund: Ill • I r II t•l H 1 '"II' ""' fll "Ill t d l ~ t lllil ~hterprlse Fund -The l!:nterprise Fund is the primary operating fund of the Center. The Enterprise fund ,acoount~·~or afJifirfa'rlkil:lr'~e!iciln!:l3s!' '''' Fll'"""· "l"''lliiiiiJ '""" ,, 111• ' '111'' ''''· 1 11lt·1p1l• •· l llfll l 1 Ht!fiiJl JLI l,jf hd rii,llll l f o:t,fl'l• I . Page 11 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 I. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) C. Measurement Focus and Basis of Accounting In accordance with North Carolina General Statutes, all funds of the Center are maintained during the year using the modified accrual basis of accounting. Government-wide Financial Statements: The government-wide financial statements are reported using the economic resources measurement focus. The government-wide financial statements are reported using the accrual basis of accounting. Revenues are recorded when earned and expenses are recorded at the time liabilities are incurred, regardless of when the related cash flows take place. Non-exchange transactions, in which the Center gives (or receives) value without directly receiving (or giving} equal value in exchange, include grants, entitlements, and donations. On an accrual basis, revenue from grants, entitlements, and donations is recognized in the fiscal year in which all eligibility requirements have been satisfied. Fund Financial Statements: Certain supplementary information for the fund statements is reported using the current financial resources measurement focus and the modified accrual basis of accounting. Under this method, revenues are recognized when measurable and available. Expenditures are recorded when the related fund liability is incurred, except for principal and interest on general long-term debt, claims and judgments, and compensated absences, which are recognized as expenditures to the extent they have matured. General capital asset acquisitions are reported as expenditures in the fund statements. Proceeds of general long-term debt and acquisitions under capital leases are reported as other financing sources. Uncf~r the terms of gran~ agreern~nts, the Cen~r t~:~nds cert~il1 programs PY a cgmP.inat!an of ap.~cjflc cqst-rajmpyrs~rnf:lnt ~rf:!l"!ls. cate~ar!ca! g!ac~ Qrams. ~fld Q~neral rEIIi~nL!es. T~us WhE~n Arq~mm ~XRBf'!SBS Flre if1c~rreq, fllere ~:~re llqtr restricted apd Hnrestrlctecl f!fll ~sset~J i:JVai!aP.te to fj~Flnce ID~ 'proJ;JrFlrn· !I !1'1 f~e Cefltef's pQ!icy fO [ir~~ Fl~P.IV J;Q t-re!mpyr amant want rasowrces to S.l-!ch' pmQriill'nS., fi:lUAWt!~ ~v cF~taQQrJcftllllock grfln ~. fin then l:ly f)enen:tl revenwe&. 1 I II t I p. ~HAA~Iaf¥ Rfll¥1 4 P.HAP,~f i~ f1APrftl~AI ~nnw~ll¥ R¥ lh~ ~r.~r~ Rf Bir~PlA~ f1!3 r~~Hir~~ P.¥ th~ NArrh {:f!rRiinfl R!-'ln~n~l ~~~fHfr5· A,ll ~PtnH1 ~P~ffWfl~fiRn~ ~~~~~ ~t lh~ il~~~l ¥~flr-~m~ A!l budgets are prepared using the modified accrual basis of accounting. ExpenqjJures may not 1e'$!~~~~ hEt~e~tf' ~ ~pfO~ril:ltiHh~'' al 1'tf.le"·d~8MI1m~anta-. ·11 el\iel' 1' tdr r ail I .M!till~~liy ~u~e't'eJcl' ~u'fid~ ~ • '" AI\~ l·e\JiYions that IJirte~libtaH~~~VNtditdr4~•'of t3~1~trb 1l& t/H~sl• B~ qa~~ro~lbd''H~1m~\g~~~~n~~IQ\Ibt!~~b~11 'Durr\H~ f'nel~~arl $kv~r~J amJnbrn~rntst ,dl tn~l6rfgl~'alf~~~4~~Nbte n~l:;hs~artfil Jll~l q,Q,ftll •lllH 1 .. 11!11~ I ln lfM II tl 111 '(1~1 ,I'II~IIIIIIrh 111•1 1 1111'' fj,,ltt il t ~' It t~ I 1ft 1h ,.,, 1 I 1 Page 12 ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30,2013 I. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) D. Budgetary Data (Continued) A budget calendar is included in the North Carolina General Statutes which prescribes the last day on which certain steps of that budget procedure are to be performed. The following schedule lists the tasks to be performed and the date by which each is required to be completed. April 30 -Each department head will transmit to the budget officer the departmental budget requests and the revenue estimates for the budget year. June 1 -The budget and the budget message shall be submitted to the governing board. The public hearing on the budget shall be scheduled at this time. July 1 -The budget ordinance shall be adopted by the governing board. E. Assets. Liabilities. and Fund Equity 1 . Deposits and Investments All deposits of the Center are made in board-designated official depositories and are secured as required by G.S. 159-31 . Official depositories may be established with any bank or savings and loan association whose principal office is located in North Carolina. Also, the Center may establish time deposit accounts such as NOW and SuperNOW accounts, money marl<et accounts and cert ificates of deposit. Page 13 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30,2013 I. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) E. Assets. Liabilities. and Fund Eguit¥ (Continued) 3. Prepaid Items Certain payments to vendors reflect costs applicable to future accounting periods and are recorded as prepaid items in both government-wide and fund financial statements and expensed as the items are used. 4. Restricted Assets Cash is restricted by an agreement with the North Carolina Department of Health and Human Services Division of Medical Assistance. The agreement requires that the Center maintain a reserve equal to 2% of the total Medicaid payments received during the year. 5. Capital Assets Capital assets are recorded at original cost. Donated capital assets are recorded at their estimated fair value at the date of donation. The minimum capitalization cost is $5,000 for buildings, improvements, and equipment. The cost of normal maintenance and repairs that do not add to the value of the asset or materially extend assets' lives are not ca pitalized. Capital assets of the Center are depreciated on a straight-line basis over the following estim ated usefulltves: f31-li!c!ings f=q u!p.rnent a f4lmn~nMiftP Atmf:lnPf:lli Yruilli 15-40 3-10 Thta V~f::i-'llir:tn f1CJiii)V CJf lhfl Cfln!~r RrA\Itt:lj3.f'l fAr lh~ ~~<~~ml-l!~f!qn Af ~P ICJ tht~Y q~v~ t3flrn~~ VflPflt!An I~FIU~ Wll~ ~1-!Pil I~A\1~ ~~inr;J ft-diY v~~,t=l~ wht:~n ~flrhft~. Ff:lr fh~ CMi~(~ j;1RV~rnm~nH\Ii~~ ~f9f~mHnr~. M ~~~~n~~ M~ ~ liMfltiY fi:l( PnmpM&~IM 9R~~n¢~~ ~fiR 5AIArv-r~IAt~R r~¥m~hts A(f=l r~~~v~r~~ ~;; th~ 1. ·A~H 15 P-A(nMl· · ' ' Page 14 -, ) ....) ) ) ) ) ) ) ) ) ) ) ) SANDHfLLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 I. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) E. Assets. Liabilities. and Fund Eguity (Continued) 7. Net Position/Fund Balances Net Position Net position in government*wide financial statements is classified as net investment in capital assets; restricted; and unrestricted. Restricted net position represents constraints on resources that are either externally imposed by creditors, grantors, contributors. or laws or regulations of other governments or imposed by law through state statute. Fund Balances In the fund financial statements, fund balance is composed of three classifications designed to disclose the hierarchy of constraints placed on how fund balance can be spent. The fund financial statements classify fund balances as follows: Nonspendable Fund Balance -This classification includes amounts that cannot be spent because they are either (a) not in spendable form or (b) legally or contractually required to be maintained intact. Prepaid Insurance -portion of fund balance that is QQj an available resource because it presents the year-end balance of prepaid insurance, which is not a spendable resource. Restricted fund Balance -This t::las§ificatioo incl~qes amounts that ar~ res~rict@d to sp@cific pl!rpgsqs exf~rnally !mgosed py I~"'!· ReafrlcJe.:t (Qf SJa~jlizi:!J!qfl py Sf~[a Sta~ute -WJn!op of fu~c:1 t:la!ance lni:ll is raatricfe!t PY Stale S!flll-lte fG.s. 1 np-a{fi)}- R~=t~fri~f~s:l f~r Mflj:ji~Flif:l Ril~k Rfl~@f\1~ -RArliRn Rf nmt:1 RF!IflnC~ IMI j!) r~~lri~t~r:t ~V, fin ~Jlra~ni~nt With ~M t-f({rth P~rhlln~ P~pflrt'IYl~~~· Rf H~P.Itft ~n~ HHm~n ~al¥ir:~=:s Pit!islf:!h Rf M~~~~~ "Mi~T?.n~· fnl!l ~Rr~~m~nl r~AHirf'!~ IMt iH~ ~~nt~r m~int~io ~~ r~~~r¥~ f;ijH~I m 2P~ Af tn~ ~f91 M~RIP91A ftft¥m~nl~ mftflW~A AWrlnR tM ¥~~r· ~nl~~r~~PfV~ I~ fHIIY fHnA~R ~W-IHn~ ~RI RR1r 1 • t ) ) ) ) ) ) ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 I. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Continued) E. Assets. Liabilities, and Fund Equity (Continued) 8. Use of Estimates The process of preparing financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and the disclosure of contingent assets and liabilities at the date of !he financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from these estimates. 9. Subsequent Events The Center evaluated the effect subsequent events would have on the financial statements through November 5, 2013, the date the financial statements were available to be issued. II. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS 1. Deposits Page 16 ) J ) ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 Ill. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS (Continued) A. Assets (Continued) 2. Investments At June 30, 2013, the Center had $12,947,282 invested with the North Carolina Capital Management Trust's Cash Portfolio which carried a credit rating of AAAm by Standard and Poor's. The Center has no policy regarding credit risk. 3. Capital Assets Capital asset activity for the year ended June 30, 2013, was as follows: Business-type Activities: Capital assets not being depreciated: Land Total capital assets not being depreciated Bus1ness-type Activity Capital '"As!:lets -'Hat' f\t u· lh I tijill•ll ftllllrtll' ll11 t B. Liabilities 11 I lt1!lllhlt111 ~ . (ong-term Debt Compensated Absences Beginning Balance Increases $ 28,147 ::r...$ ---- 28.147 6,834.&06 1?,1]0.716 Q.pgg,fi21 Balance July 1, 2012 $. :~~:a~1 l28Z 93~ tll f I I I Additions Decreases $ $ Ending Balance $ 28,147 28,147 o,aa4.aoa 2,999.1 ~{) a.03;}.A7q 2: 7AR~~~tl l:~~~:~!~ 4,157,397, I • J it Balance '1 Retirements June 30, 2013 Page 17 J SANDHILL$ CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 Ul. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS {Continued) B. Liabilities (Continued) 2. Defined Contribution Pension Plan Plan Description The Center provides a defined contribution pension plan for all its employees who work at least twenty (20) hours per week. The system is placed with a private carrier, an insurance company, through a tax-sheltered annuity. Funding Policies Plan members may contribute a percentage of covered salary. The Center is required to contribute 9.12% of base salaries. All contributions are immediately vested with the employee, and at the discretion of the employee, the contract may state some life insurance. Contributions for the year ended June 30, 2013, were $675,948. 3. Other Post emgloyment Benefits Healthcare Benefits Plan Deacrjptjoo The Cent~r f.U~minist@rs ;a stngl~-emp!oyer gefined ~nefit H~a!th c~re Plan.. At refir~m~f!t. ampjqy~es ~im at jeasf 16 fons~cl.!tlve ~ara of sflrv!cfl "Y!f~ Jt!e Cen1er f!Oq ~~ !flflSt 60 years of r.~ae nr;jv~ t~e ppflor qf contj~u!nR fllB~jca! covera~~ I-Inder ~pe c1.1rre~f p!an 1-ln!i! the earlier of fiQa Oil, CjPfF\!P cov~raga wn(:!a.r F\~tlfher cnmparap!e pl~n~ Qr necn!lla e'ifl'Pia for Me!:licAre. M~mnt~r~hir Rf th~ H~~lth c.~r~ Plfln ~Rn~i~l~l:1 P.f thl'l fPII~wlnQ 1211 Pe~~mn~r ~1 . 2r.11n! lhl'l (:jf!t~ P.r m~ 1~1~~ RPtH~ti~I'V911·1AMrf: • , , fi~Hrm:l mrmR~rl> TFif~tnm~R Rl~~tirrlf1ID~~r!i ~nfill~~ lA RHf nAt Actf~J r:~~~i~~J}~,If~ ,, 11'11 ~IIIII lil'lll!lilh'ltJ' Total 1 t:l·ll 78 m za '" Page 18 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 Ill. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS (Continued) B. Liabilities (Continued) 3. Other Post employment Benefits (Continued) Summary of Significant Accounting Policies Postemployment expenditures are made from the Enterprise Fund, which is maintained on the modified accrual basis of accounting. No funds are set aside to pay benefits and administration costs. These expenditures are paid as they come due. Annual OPEB Cost and Net OPEB Obligation The Center's annual OPEB cost (expense) is calculated based on the annual required contribution of the employer (ARC), an amount actuarially determined in accordance with the parameters of the Governmental Accounting Standards Board (GASB). The ARC represents a level of funding that, if paid on an ongoing basis is projected to cover normal cost each year and amortize any unfunded actuarial liabilities (or funding excess) over a period not to exceed thirty years. The following tables shows th e components of the Center's annual OPEB cost for th e year, the amount actually contributed to the plan, and changes in the Center's net OPEB obligation for the healthcare benefits: Annual required contribution lntere~t on nf2t OP!=B opljgation Adj~s!mant to ann4~! req~"jra~ contrj):l~~ion Af1h4al Of!=J3 cqsl (expa~sa) Contnputjcm& ma!:la ~~raFt&~ (~~~r~~~t=~) m nel QFt=~ Qphl;JF~tiQn I'll qpl=f:t Ql:lljQqiJ~n,'~f;!Qinnim~ Qf Vt:~ilr ' I r ',r I N~l ~FF-~ ~Rii~flUP.n: ~nf:l Af v~~r ,, $ 56,184 18.444 {16,709) Q6,Q1 ~ :m.r~g 1a. aa 411 :BRA m ~~ Page 19 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30,2013 Ill. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS (Continued) B. Liabilities (Continued) 3. Other Post employment Benefits (Continued) Funded Status and Funding Progress As of December 31, 2010, the most recent actuarial valuation date, the plan was not funded. The actuarial accrued liability for benefits and, thus, the unfunded actuarial accrued liability (UAAL) was $580,414. The covered payroll (annual payroll of active employees covered by the plan) was $3,493,140, and the ratio of the UAAL to the covered payroll was 16.6%. Actuarial valuations of an ongoing plan involve estimates of the value of reported amounts and assumptions about the probability of occurrence of events far into the future. Examples include assumptions about future employment, mortality, and healthcare trends. Amounts determined regarding the funded status of the plan and the annual required contributions of the employer are subject to continual revision as actual results are compared with past expectations and new estimates are made about the future. The schedule of funding progress, presented as required supplementary information following the notes to the financial statements, presents multiyear trend information about whether the actuarial value of plan assets is increasing or decreasing over time relative to the actuarial accrued liabilities for benefits. Actyarial Method § and Assumptions Page 20 SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 Ill. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS (Continued) B. Liabilities (Continued) 4. Operating Leases The Center has operating leases for office facilities with various terms. Future minimum lease payments under noncancelable operating lease at June 30, 2013 are as follows: Year Ending June 30. 2014 2015 Operating Lease $ 204,422 150.297 $ 354,719 Lease expense for the above leases along with other non-renewed leases for the year ended June 30, 2013, was $349,284. The Center also leases certain equipment under noncancelable operating leases which provide for minimum lease payments. There were no future minimum lease payments for these leases as of June 30, 2013. L~ase exp~ne~ under the§~ op~r;:tting leas@s for ttle y~ar en~ed June 30, 201 3, was $178,732. Page 21 SANDHILLS CENTER FOR MENTAL HEALTH1 DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES NOTES TO THE FINANCIAL STATEMENTS June 30, 2013 Ill. DETAIL NOTES ON ALL FUNDS AND ACCOUNT GROUPS (Continued) IV. B. Liabilities (Continued) 5. Risk Management (Continued) The Center self-insures for employee health and accident claims up to a stop loss provision of $50,000 per employee, per occurrence and an aggregate stop loss provision of $1,000,000. The Center carries commercial insurance coverage above these limits. A summary of changes in the self-insured health claims liability is as follows: 2013 2012 Beginning balance $ 90,000 $ 55,000 Claims incurred 1,057,248 721 ,918 Claims paid (1,147,248) (776,918) Claims incurred, but not reported at year end 150.000 90,000 Ending balance $ 150.000 $ 9Q.O~ SUMMARY DISCLOSURE OF SIGNIFICANT CONTINGENCIES The Center h~s reoejved proceeds from ~ever~! feqeral apR Sf~la Qf~nts. feriod!c auqjts qf !h~sa ~ramEi are re9u1req. "'PC! cenl'!l~ costa ffi"'V pa quesJ!opeq as poJ pein,~ appropr!t:tfe expepa11uras ~n9ar the wan! aqrl3emanta Sucp !:!ul:tils cAulc:t raEi~m m t~a r~f~nct l:lf arn nl ml:ln!ali IQ I~A f]rr::lntm ~gan~la& ~FinFlBam~nt p~lia\I~A tMI ~nv r~~wlrf'lq rf-'lf~mf~ wilf p~ lnimAtt:~nAI NA pmvt~iiA'n hq~ h~~n mAI1~ m 111~ A~~Am~~nvmr;~ finC~n~tC!I ~t~IMnf}nl~ fAr rh~ rMHnr:l ~f ~rf'lnt m11hi~~· • Page ?2 REQUIRED SUPPLEMENTAL FINANCIAL DATA This section contains additional information required by generally accepted accounting principles. • Schedule of Funding Progress for the Oth er Postemployment Benefits SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES OTHER POSTEMPLOYMENT BENEFITS REQUIRED SUPPLEMENTARY INFORMATION SCHEDULE OF FUNDING PROGRESS Actuarial Actuarial Accrued Actuarial Value of Liability (AAL)- Valuation Assets Proj Unit Credit Date (a) (b) 12-31-07 $ $ 1,643,596 12-31-10 580,414 Unfunded AAL (UAAL) (a-b) $ 1,643,596 580,414 Schedule 1 UAAL as a Percentage Funded Covered of Covered Ratio Payroll Payroll (a/b) (c) ((b-a)/c) 0.00% $ 8,492,156 19.4% 0.00% 3,493,140 16.6% Page 23 ) ) ~ ) ) ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES OTHER POSTEMPLOYMENT BENEFITS REQUIRED SUPPLEMENTARY INFORMATION SCHEDULE OF EMPLOYER CONTRIBUTIONS Year ended Annual required June 30 contribution 2009 $ 160,736 2010 160,736 2011 54,122 2012 54,215 2013 55,184 Schedule2 Percentage contributed 5.5% 5.5% 3.3% 0.0% 65.5% Page 24 SANOHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES BALANCE SHEET (MODIFIED ACCRUAL BASIS OF ACCOUNTING) June 30, 2013 ASSETS Cash and investments Due from other governments Prepaid insurance Restricted cash TOTAL ASSETS LIABILITIES Accounts payable and accrued liabilities Incurred but not reported-Medicaid claims Incurred but not reported -other claims TOTAL LIABILITIES fUND aALANCE Non §p!!!ndap!@: Pr@P~!q ms~r~r]C8 Rt:tsfrlcfeq· S~~~i!IZAII~:m ~V S!~!a S!i=~,~lr=l Mt:~~IPFII~ Rt&~ R~~~rv~ UnF!R~Iijl1~~ HH ~~ FHNR ~A~~NP~ TOTAL LIABILITIES AND FHND BALANCE i I 1J I I If II I Ill ' .'\!If I II H I II I '' II I . Reconciliation of fund Mlance as reported in the balance sheet with statement of net position: I 1 1 1llll !If flh II• 1 Jllfll!l,lll'llll r, ,, tr•l•11t!f 11 li llltr 'uii'H !I I '"'''•I •lllt 1 11/lf ,fl(llll nf Htlf1111llhtll Totql fund balance reported above I Afll~flt~ rePC?,Ijted f~r gp,ver~menta act vit!eS tn the statement of r:1et P.O''itjon ar.e dl·fferent because: 111}1 1 Ill 111 ' 1 .1 I I I '• I I liJ I I II I' I I ,, I J I II I CaQitat asse s used n governmehtal activities are not fmancial I resources and therefcrc are '~Ot reported ,... 1e fu'10S Som~ 1ab h!1es ·e ot due and payable ih •tle curren pe ;od and, t e efore. a e no repc rted 1'1 the ~ ... '1d;:, Otner post employment benef:ts Compensated absences payable T otat net pos lion Schedule 3 $ 32,231,358 523,657 207,831 2,147,797 $ 32,962,846 3,232,654 15,350,000 150,000 18.732.654 207.831 6~3,6157 2,147,7f:l7 1 4·4~H~7~~ 1 P·3Tf,~ftR d8·118·F1M 16,377,989 '" f 1lfll/ 4 185,544 ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SCHEDULE OF REVENUES AND EXPENDITURES AND CHANGES IN FUND BALANCE -BUDGET AND ACTUAL (MODIFIED ACCRUAL BASIS OF ACCOUNTING) For the Year Ended June 30, 2013 Budset Revenues: Restricted Intergovernmental revenues Federal $ 4,997,941 State 32,188,378 Medicaid 108,350,377 Other local revenues 18,026,938 Total revenues 163,563,634 Expenses: Administration 8,326.413 Medicaid Administration General 9,206,313 Mental Health/Substance Abuse 1,434,170 Developmental Disabilities 2,431,233 Contract Services Developmental Disabilities 9,200,610 Mental Health 19,116,972 Substance Abuse 9,701,847 Mfi!pica jq -gther 9,ij60,000 Mee!lca jq ~a!ver ___jfi,27a,§fl9 Tr*~l axp.anses 1 §1,§1§,21 H FX!:fll'il'i Qf rf.Wfl~l.l~li ~llflf exnenr.llll-lfllR faaa,pM) fHn~ Ml~nP~ Flp~mnn<~l~f! I ~~ Nm ~h~nR~ in fHnA P.AI~nP~ Fund balance at begtnning of year I I'" I I' ,,. '"' • II "' o;h 111!111! ':I ' I q l Actual $ 2,930,141 31,593,657 107,368,336 10,714,333 152,606.467 7,858,127 4,918,902 890,069 1,274,132 7,376,845 18,999,742 8,332,179 4,041.771 ~ lfl.l :ol1M.Q @,<t~1 .a~1 ~·1~1 ·H~7 6,896,092 • 'illl· II $ Fund balance at end of year I loll•! I· •I·Ht· I II I 11•1 '·' " ~ Schedule4 Page 1 of 2 Variance favorable !unfavorable} $ (2,067,800} (594,721} (982,041} (7,312,605) (10,957,167) 468,286 4,287,411 544,101 1,157,101 1,823,765 117,230 1,369,666 o.aof:l,229 6,§16,86l 21 ,121,§1§ 1CL4M,4ft1 ,~a:a~M1l *= .ft~l~Z. Page 26 ......, SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL ....... DISABILITIES AND SUBSTANCE ABUSE SERVICES Schedule4 SCHEDULE OF REVENUES AND EXPENDITURES Page 2 of2 AND CHANGES IN FUND BALANCE BUDGET AND ACTUAL {MODIFIED ...... ACCRUAL BASIS OF ACCOUNTING) .., For the Year Ended June 30, 2013 I Reconciliation of the modified accrual basis of accounting Funds Statement l of Revenues, Expenditures and Changes in Fund Balance to the Statement of Activities: ) Total net change in fund balance· governmental fund $ 9,481,897 Amounts reported in the statement of activities are different because: ::> Modified accrual accounting report capital outlays as expenditures. However in the :1 statement of activities the costs of those assets is allocated over their estimated useful ) lives and reported as depreciation expense. ) Capital outlay expenditures which were capitalized 828,454 Depreciation expense (240,520) Some expenses reported in the statement of activities do not require the use of current ) financial resources and, therefore, are not reported as expenditures in governmental funds. ) Compensated absences payable (106,467) Other post employment benafit~ (19,799) Char~~ in rt~t posjtlon ~ e1a43~G~Q Page 27 ) J ~ ) ) ) ) ) COMPLIANCE SECTION ) -.. ,;;. -.lil DIXON HUGHES GOODMANuP Certified Public Accountants and Advisors Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards To the Board of Directors Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services West End, North Carolina We have audited, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to the financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, the accompanying financial statements of the business-type activities and the major fund of the Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services (the Center), as of and for the year ended June 30, 2013, and the related notes to the financial statements, which collectively comprises the Center's basic financial statements, and have issued our report thereon dated November 5, 2013. Internal Control Oyer Einancjal Reporting In planning and performing our audit of the financial statements, we considered the Center's internal control over financial reporting (internal control) to determine the audit procedures that are ~ppropriaJe in the circ~m~t~n!;~~ far th@ pqrpgs~ of expressing gur OP.!nipna P.n th@ financial 6Ji:Jl~f11B!lt§, bul not fpr th Pl.!rposg of ~XPff!S6jf1Q ~n opinion on rna aff@cflv~nas& of thg CEJ!1f~r·s i~fernal comro,. AccRrd!~~IV· ~e dq ll'!f ax pres~. "'r '!p!n!PP on Ina effectlve~a&B ~f tre cpnfq(s interni'tl control. ,, '' t Page 28 ,.. Compliance and Other Matters As part of obtaining reasonable assurance about whether the Center's financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingiy, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this Report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the Center's Internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the Center's internal control and compliance. Accordingly, this communication is not suitable for any other purpose. November 5, 2013 Page 29 } ) ) ) -.. Wl;. ~~~ DIXON HUGHES GOODMANttP Certrfied Publ1c Accountants and Adv1sors Report On Compliance With Requirements Applicable to Each Major Federal Program And Internal Control Over Compliance; In Accordance With OMB Circular A·133 and the State Single Audit Implementation Act To the Board of Directors Sand hills Center for Mental Health, Developmental Disabilities and Substance Abuse Services West End, North Carolina Report on Compliance for Each Major Federal Program We have audited the Sandhifls Center for Mental Health, Developmental Disabilities and Substance Abuse Services' (the Center) compliance with the types of compliance requirements described in the OMB Circular A·133 Compliance Supplement and the Audit Manual for Governmental Auditors in North Carolina, issued by the Local Government Commission, that could have a direct and material effect on each of the Center's major federal programs for the year ended June 30, 2013. The Center's major federal programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Management's Respgoslbilitv Management is responsible for compliance with the reqUirements of laws, regulations, contracts, and grants applicable to 1ts federal programs. Auditors' Respgosibllltv Our responsipiljW IS !O express i'IO f:!Ri~iq~ on cqfllpll~:~pce for each of tp~ Cenl~r's major feqeral pmgr~rrp~ pFt~l3t1 ~n q~r r:luqlr '~f th~ 1vpe~ Qf !:omn11~poe re9~1rem~nta rt3ferre~ lA apov~. We l:;j:~OQI-IPI~f:l 1=11-lf fll-l~lt Af P~mphflOP~ 10 flPC'QfQt:mP"' Wll~ Fll-lf1lllnQ §~~nclllr~E? (leneri'IIIV FICPI=lpleQ Jn lht=~ WniiM S.I~IA~ Af Atn~riPfli Ill~ fllcU'l~flfR§ A~RiiPfli11~ lA ftnflnPifl fll-lRhl'l ctinl"'in~l1 In f3~v~mmf3nt Jl Htft(ltir;J ~lffnfi~tA~· js~H~R ~~ lh~ Cl.~rr1Rir811~f ~¢n~rRI Af 1M Wnil~~ §tfii~P.! ~rtR QM~ CircHfflf t'-1 ~~. 4H~f(S p,f ~tflrf!~· Hl~P.! l!{p,y~mnwnt~, ffnfl NP.nJFmm ~~mz21Mt'JS, f!n~ m~ ~f~f~ ~~n~l~ ~H~If lmj;Jr~m:=:n!~f~i~m ~ff· fr~~~ ~t~nA~r.:l~· PlM~ ~ifPHI~r 4-1~~. f10A lh~ ~l~l~ ~lnP,I~ ~Ht:llt !V~I~fj]~f'S h90 ~Rl. r~~~!WJqH ~~ ~lflO/lflaft~rmlfl~ tn~ ~H~~~ fR R~lfflJO r~~~~Rn&:lti ftf~Hr~n~q~~~Hl ~ .,dw~gf ~~~ ,;nn1M l~rg#e~Y'b~l '~ ffi~ib~ v~g~mf.~~~~~~lu ~· ~~.t~i~~~IT~~ lb~1~a~~~ ~k~glAJ~M~9 1mr~ tesl' b~ls~~ ~~hd~ri<!'el aU~Lt 1t6~ 1¢~A~~r~111~tMI~I~~~e11'ty,!~''tH .~~~ reW~i~WU~Rl~ '~8tl ' ~r;tSIIHIH~· s~bk ~thbl pr&cedur~s l as t~e~t!rl~rde!re~::dnecessatyi/H~ne ~~~HCJ~~iandesl'"l t ' fll1 111llltll'ldlllllrt ttl II tfll' 1 I I I I I 1• I I ~ f I 'I I t 1111111 ,,,, ' We beheve that our audit provtdes a reasonable basis for our opinton on compliance for each major 1 r: I I I 'I I 1 I ' 1 fl J I ' I I feaera.J program,. Ho~eyer 4 our audit 1does1 l0qt 1proyide ,a 11eQal peterrpinatiqn ,of,, .lhe 1 Center's f omP,hal1e. 11 f11 d j'l 1 II f j., ll( [ I· 1 1 rm ... , .I• 1 OpiNi~n on Each Major Federal Prog ram In o· r bptnion, the Center complied, in all matenal respects, With the compliance requirements ·eferred f 1 o abo\· :h · could have a direct and matenal effect on each of ·ts major federal programs f •r ~e year ended Ju"''e 30, 20~ 3. Page 30 I ) ) ) ) Other Matters The results of our auditing procedures disclosed instances of noncompliance, which are required to be reported in accordance with OMB Circular A-133 and which are described in the accompanying schedule of findings and questioned costs as item 2013·1. Our opinion on each major federal program is not modified with respect to these matters. The Center's response to the noncompliance findings identified in our audit is described in the accompanying Schedule of Findings and Questioned Costs. The Center's response was not subjected to the auditing procedures applied in the audit of compliance and, accordingly, we express no opinion on the response. Report on Internal Control Over Compliance Management of the Center is responsible for establishing and maintaining effective internal control over compliance with the types of compliance requirements referred to above. In planning and performing our audit, we considered the Center's internal control over compliance with the types of requirements that could have a direct and material effect on a major federal program to determine the auditing procedures for the purpose of expressing our opinion on compliance for each major federal program and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the Center's internal control over compliance. A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a deficiency, or combination of defici~nci~s, in internal control over compliance with a type of complj~nce requir~ment of a federal prggram 'hat Is !ass severe th~n a maJer!a! wea~r)~ss in internal control over compll"!nce, ye' imp.qrli!nt enpy~h to merit ananflqn PY mosa charqac:t "Vith gqyarnE!nce. . .. Ol.lf comiillen:tfirm ~f lhe intern~! cr:mlml over PQffiEiiRm:~ wat:1 for !he 1rmilell p~rw~f.ie ~tt~oril:l8Q in lh~; fir&f p~rftQraph Qf 'fni!:i ~f;lctil:m f=ln~· waf! nRI !:l~~ianan Ia i!:l~niifv ~II Q~fidi~n~ia~ in inlarm~l PRnlr~ qv~f ~l:!tnpliMlMI' th~l miaht ~~ ~iahifi~AOI h~fiP/t:lncie~ Ar ri\'atfilfi~l Wea~h~~~a~ A~~ t~l:lr~fj:~fel m~fflfif!l W~~~m~§~M .Rr ~~~nifiP~nt r:l~fi~iMPi~S. rfl~~ ~lSi~t m~t WM~ nP.t 1i~~Oiifi~~· W~ f:!i~ n~t IA~nfi1V ~n~ A~TIPI~nPilii' In .lnltl~. I ~nlffil ~~~r P~ffiP.II~nP~ lh~f W~ FRn§l~~r tR R~. m~ltm~l W~~~m· ~~~~· HP.Wf!.\'.~r: W~ ~~~Otl l~~ fl P~rlfi41n A~fiPI~~~y In lntf~m~l PA~lfAI ?{~~r PA~1Pll1~ffic!'!: ~~ deslf.nl· e, in fhe accom~anvilllg sc e u1e of. 1m(.l1·na~'~ and QHBSJimned cos s as item 2·0 l~1 f at w.e llll'll•l fl.t( II~ fif.; 1.11 I I ftC I l•tl H"llc/ T • I I: I • Ill lj !tl t \lr I IIIII ljl r • tf'tt ll ·IJ I H If 11fi IJIII I J 3 I t I 11!11 ~p,n~1, ~r R ,.,~ ~ ~~~m,~,, n, ''~"":r.nRr- The Center's response to the internal control over compliance findings identified in our audit are ~~sdibett' ih'·tt\~'aeabm~anVihghstflll:j~~~et ·m 'tihdih\j.> 1antJI~be!itioJ/e!dh:iqstkJt 'llitt~ d~Hterlis res~bnse was nbtlsw.bjeoted ltollnttlaudit~~g' ~a~m~resf~p~li~d in lth~l~u~lhof admp,iancM ~rh lclblordim~l~l' we expr~~~ no,~pi'Nor!d~ltre,~~~p~~~~·· d~lt II HI ·''"' m~ ,Hiltfl,, ',IIIII I'"'' 'l 11 ,, ll ',,,flll~jlr I t' 111 r I~~ llt~IL1!I fl II, !1111 ltd!, 11}1 1 THe purpose of this report on mternal control over compliance is solely tot describe the scope of our te~tjng ,pfpntrr1~al !co(lt~l~l oy~f R?mpliance and the results of that testing based on the requirements of OMB Circular r-133.1Accordingly, this report is not suitable for any other purpose. I I nr. ,1<Wh ); ., f.fij 11 11 ' II,, II ~I 1111111(, 1 1 Ifill II Ill 11111111 ~ IIIII/ ' November 5, 2013 I fl Ill 1 I Page 31 ) ) -, w,-;. ~,., DIXON HUGHES GOODMANLLP Certified Public Accountants and Advisors Report On Compliance For Each Major State Program; Report On Internal Control Over Compliance; In Accordance With OMB Circular A·133; and the State Single Audit Implementation Act To the Board of Directors Sand hills Center for Mental Health, Developmental Disabilities and Substance Abuse Service West End, North Carolina Report on Compliance for Each Major State Program We have audited the Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services' (the Center) compliance with the types of compliance requirements described in the Audit Manual for Governmental Auditors in North Carolina, issued by the Local Government Commission, that could have a direct and material effect on each of the Center's major State programs for the year ended June 30, 2013. The Center's major State programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Management's Responsibility Management is responsible for compliance with the reqUirements of laws, regulations, contracts and grants applicable to each of its major State program a. Page 32 ) ) Report on Internal Control Over Compliance Management of the Center is responsible for establishing and maintaining effective internal control over compliance with the types of compliance requirements referred to above. In planning and performing our audit, we considered the Center's internal control over compliance with the types of requirements that could have a direct and material effect on a major State program to determine the auditing procedures that are appropriate in the circumstances for the purpose of expressing our opinion on compliance for each major state program and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of the Center's internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the Center's internal control over compliance. A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a state program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a state program will not be prevented or detected and corrected on a timely basis. A significant deficiency in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance with a type of compliance requirement of a state program that is less severe than a material weakness in internal control over compliance, yet important enough to merit attention by those charged with governance. Our consideration of internal control over compliance was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be significant deficiencies or material weaknesses. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified. The purpo~e of this report on Internal control over compliance is solely to describe the scope of our teat!ng of lnt~rna! control ov~r CQ!llAI!~nce and ~he res!:llt~ of th!=!t t~s"ng ~f:l§~g Ql'l the r@gu!r@m~n's qf PMfl Cjrcy!ar A-133. Accordi'1QIV· mis r~port j& not aujtapl~ for f'!OY gfher pHrpose. . 1/}~tm ~~~~Mall ttr Page 33 ) ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SCHEDULE OF FINDINGS AND QUESTIONED COSTS Schedule 5 Page 1 of 3 For the Year Ended June 30, 2013 I. SUMMARY OF AUDtTORS' RESULTS Financial Statements Type of auditor's report issued: Internal control over financial reporting: • Material weakness( es) identified? • Significant deficiency(s) identified that are not considered to be material weaknesses Federal Awards Internal control over major federal programs: • Materi al weakness(es) identified? • Significant deficiency(s) identified that are not considered to be material weaknesses Unmodified No None reported No Yea No Tvpe of Fl~~ifor'!ii rep.on iSSHB~ An compj~~pe fQr rr~ajqr feaera! prqgrams· U~mQqlfleq Anv fll-l~ll fin~ino~ i11t:iC!A&at:l trFlt f:lra rfi~l-lifflQ h:J l:lf:l r~f)QrtA~ 1n FII1~Qr~Fim::!"l w11n ~~¢tir:~n ~1Aifl} P.f t:l(r;HIAr A-H~ I IA~mlfiPHiAn Rf mR1Rf f~Af1rf~l ~rARr~mr>· FFPf}1 9~.959 11 ' llhlf 93.958 !/II/I It Dollar threshold used to distinguish between Type A and Type B Programs Auditee qua1 f1ed as 'ow-risk auditee? y~s Block Grant for Prevention and Treatment of sbl)$t~rlce•~'oi!Jde • "' illt n '"" • • ~~~''''"'' t 1 C8mm\.mity· aased Programs Substance Abuse 1 •rl11ll lo oh lf1 I tll'llol]l olll' f toll' l•ll1 I lot't Block Grant for Community Mental Health Serv1ces 1111 Corrilnt.l81t~1Based1 Program Merltai A~a'lthj. ot1 , 'I t I I ~ II ., II I llllllhllllr~ I J']hnl! II tjl fill rl•'''~''''" lhl $300 000 Yes Page 34 ) ) SANDHILLS CENTER FOR MENTAl. HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SCHEDULE OF FINDINGS AND QUESTIONED COSTS For the Year Ended June 30, 2013 I. SUMMARY OF AUDITORS' RESULTS (Continued) State Awards Internal control over major State programs: • Material weaknesses identified: No • Significant deficiency(s) identified that are not considered to be material weaknesses None reported Type of auditor's report issued on compliance for major State programs: Unmodified Any audit findings disclosed that are required to be reported in accordance with the State Single Audit Implementation Act No Identification of major State programs: Program name Single Stream Line Funding 11. FINANCIAL STATEMENT FINDINGS Fl·ndlng 2013·1 r 1111 nu u 1 • r SIGNIFICANT DEFICIENCY It lllflr 'Ill It I I It II l1• ' Schedule 5 Page 2 of 3 Page 35 ) ) ) ) ) SANDHILL$ CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SCHEDULE OF FINDINGS AND QUESTIONED COSTS For the Year Ended June 30,2013 Ill. FEDERAL AWARD FINDINGS AND QUESTIONED COSTS (Continued) Effect: The Center was not in compliance with reporting requirements. Schedule 5 Page 3 of 3 Cause: Due to budget reductions in Block Grant funding, staff reductions were implemented at providers. As a result, staff responsibility for the completion of the NC-TOPPS was not clear thus, not completed in some cases. In addition, in some instances providers were not aware of the requirements for NC-TOPPS for outpatient substance abuse consumers. Questioned Costs: There are no questioned costs. Recommendation: We recommend the Center implement procedures to ensure providers are in compliance with NC-TOPPS reporting requirements. Views of responsible officials and planned corrective actions: The Center agrees with this finding. The Center has implemented training at quarterly provider meetings. In addition, staff responsibilities have been specifically identified. The Center will monitor and follow up with providers regarding the timely completion and submission of NC-TOPPS, as required. IV. STATE AWARD FINDINGS AND QUESTIONED COSTS None reported. Page 36 _) ) ) ) ) ) SANDHILLS CENTER FOR MENTAL HEALTH, DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SUMMARY SCHEDULE OF PRIOR YEAR AUDIT FINDINGS For the Year Ended June 30, 2013 No prior year audit findings. Schedule 6 Page 37 ) SANOHILLS CENTER FOR MENTAL HEALTH DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SCHEDULE OF EXPENDITURES OF FEDERAL AND STATE AWARDS For the Year Ended June 30, 2013 Granter/Pass-through Grantor/Program Title Federal Awards: U.S. Department of Health and Human Services Substance Abuse and Mental Health Service Administration Passed-through the N.C. Department of Health and Human Services: Division of Mental Health, Developmental Disabilities and Substance Abuse Services: Substance Abuse and Mental Health Service - Projects of Regional and National Significance Block Grant for Community Mental Health Services- Community Based Program -Mental Health Block Grant for Prevention and Treatment of Substance Abuse- Community Based Programs Substance Abuse Total U.S. Department of Health and Human Services Total fodflral ~wards ~nd state matcne§ st~l~ Awarfls: N.C. P~ef\rtmfi!nt Rf H~F111h F~ml H~m~n S13rvit::13f:i 111ViRiRn Af'M~nl~lft~~U~/ Pf'l'I1~1RRinl=ln~F!I Pi~Fl~tliU~~ flmt S.l-!~l31~hP~ AM~~ ~~hliP~~: I H<:lF' R~~~~m~ M~mm~m~m ~m~IP ~~r~~m Hn~ tHr.sm~ . . rw1~ ~Rrt:IP~r·., Hf~ ~Pvrh lnr.~H~nf Total D1vis1on of Mental Health. Developmental Disabilities I ''~Ad lst!J~~Iah~~ I,IXHU~d lsl:!~lc~s !\ nl• 'I I!! I ltll>~l lilt 'II: II II" I ,, ' ' II• lhl ' I "' II I 'II TOTA~ F.J;;OERAL ~NO STft.TE AWARDS 11 II ' I II I I I f I Ill• I I II I" j1j , Federal CFOA Number 93.243 93.958 93.959 ~/A II} /A . Federal Expenditures $ 142,631 258,215 2.529.295 2.930,141 2.'~30.141 Schedule 7 Page 1 of2 State Expenditures $ Page 38 ) ) SANDHILLS CENTER FOR MENTAL HEALTH DEVELOPMENTAL DISABILITIES AND SUBSTANCE ABUSE SERVICES SCHEDULE OF EXPENDITURES OF FEDERAL AND STATE AWARDS For the Year Ended June 30,2013 Notes to the Schedule of Expenditures of Federal and State Awards: 1. Basis of Presentation Schedule 7 Page 2 of2 The accompanying schedule of expenditures of federal and State awards includes the federal and State grant activity of Sandhllls Center for Mental Health, Developmental Disabilities and Substance Abuse Services and is from amounts presented in, or used in the preparation of the basic financial statements. Therefore some amounts presented in this schedule may differ presented on the modified accrual basis of accounting. The information in this schedule is presented in accordance with the requirements of OMS Circular A·133, Audits of States, Local Governments, and Non·Profit Organization and the State Single Audit Implementation Act. 2. Subrecipients Of the federal and State expenditures presented in this schedule, Sandhills Center for Mental Health, Developmental Disabilities and Substance Abuse Services provided federal and State awards to subrecipients as follows: Block Grant for Prevention and Treatment of Substance Abuse Single Stream Line Funding CFDA number 93.959 Federal expenditures $ 184,705 State expenditures $ 1.079.123 Page 39 ~7~ .. ,jf Table of Contents DIXON HUGHES GOODMAN Contacts........................................................................................................................... 1 Required Auditor Communications..................................................................... 2 Appendix A ~ Management Representation Letter................................................. 5 Report to tne Directors of Sand hills Center for Mental Health, Developmental Disabilities and Substance Abuse Services ~/; .,,, DIXON HUGHES GOODMAN I Jennifer Lambeth, CPA Director Dixon Hughes Goodman LLP 130 Tumberry Way Pinehurst, NC 28374 910-724-2018 jennifer.lambeth@dhgllp.com Kim Teague, CPA Senior Associate Dixon Hughes Goodman LLP 130 Tumberry Way Pinehurst, NC 28374 910-724-2046 kim.teague@dhgllg.com Contacts Report to the Board of Directors of Sand hills Center for Mental Health, Development Disabilities and Substance Abuse Services 1 ~·~ ... .. ,, DIXON HUGHES GOODMAN Required Auditor Communications November 5. 2013 To the Board of Directors of Sandhills Center for Mental Health, Development Disabilities and Substance Abuse We have audited the financial statements of the business-type activities and each major fund of Sandhills Center for Mental Health, Development Disabilities and Substance Abuse (the "Center") for the year ended June 30, 2013, and have issued our report thereon dated November 5, 2013. Professional standards require that we provide you with information about our responsibilities in accordance with auditing standards generally accepted in the United States of America and Government Auditing Standards. We have communicated such information in our letter to you dated February 6, 2013. In addition, professional standards require that we provide information related to the planned scope and timing of our audit. We communicated such information with management prior to the start of the audit. Professional standards also require that we communicate to you the following information related to our audit. Significant Audit Findings Qualitative Aspects of Accounting Practices Management is responsible for the selection and use of appropriate accounting policies. The significant accounting policies used by the Center are described in Note 1 to the financial statements. No new accounting policies were adopted and the application of existing policies was not changed during fiscal year ending June 30, 2013. We noted no transactions entered into by the Center during the year for which there is a lack of authoritative guidance or consensus. All significant transactions have been recognized in the financial statements in the proper period. Accounting estimates are an integral part of the financial statements prepared by management and are based on management's knowledge and experience about past and current events and assumptions about future events. Certain accounting estimates are particularly sensitive because of their significance to the financial statements and because of the possibility that future events affecting them may differ significantly from those expected. The most sensitive estimate(s) affecting the financial statements was (were): Report to the Board of Directors of Sand hills Center for Mental Health, Development Disabilities and Substance Abuse Services 2 ~,.:., .. ,, DIXON HUGHES GOODMAN Required Auditor Communications Management's estimate of depreciable lives of long lived assets, estimation of accrual for the Medicaid claims that have been incurred but not reported at year end, and estimation of Net OPEB Obligation. We evaluated the key factors and assumptions used to develop these estimates and determined that they are reasonable in relation to the financial statements taken as a whole. Difficulties Encountered in Performing the Audit We encountered no significant difficulties in dealing with management in performing and completing our audit. Corrected and Uncorrected Misstatements Professional standards require us to accumulate all misstatements identified during the audit, other than those that are trivial, and communicate them to the appropriate level of management. The Net OPEB Obligation does not include an estimate related to the merger of the Guilford Center employees effective January 1, 2013. The estimate of the understated liability and overstated net position is approximately $210,000. Management has determined that its effect is immaterial, both individually and in the aggregate, to the financial statements taken as a whole. In addition, none of the misstatements detected as a result of audit procedures and corrected by management were material, either individually or in the aggregate, to the financial statements taken as a whole. Disagreements with Management For purposes of this letter, professional standards define a disagreement with management as a financial accounting, reporting, or auditing matter, whether or not resolved to our satisfaction, that could be significant to the financial statements or the auditor's report. We are pleased to report that no such disagreements arose during the course of our audit. Management Representations We have requested certain representations from management that are included in the management representation letter included in Appendix A Management Consultations with Other Independent Accountants In some cases, management may decide to consult with other accountants about auditing and accounting matters. similar to obtaining a "second opinion" on certain situations. If a consultation involves application of an accounting principle to the Center's financial statements or a determination of the type of auditor's opinion that may be expressed on those statements, our professional standards require the consulting accountant to check Report to the Board of Directors of Sandhi lis Center for Mental Health, Development Disabilities and Substance Abuse Services 3 ~~ .,I, DIXON HUGHES GOODMAN Required Auditor Communications with us to determine that the consultant has all the relevant facts. To our knowledge, there were no such consultations with other accountants. Other Audit Findings or Issues We generally discuss a variety of matters, including the application of accounting principles and auditing standards, with management each year prior to retention as the Center's auditors. However, these discussions occurred in the normal course of our professional relationship and our responses were not a condition to our retention. Other Matters With respect to the supplementary information accompanying the financial statements, we made certain inquiries of management and evaluated the form, content, and methods of preparing the information to determine that the information complies with accounting principles generally accepted in the United States of America, the method of preparing it has not changed from the prior period, and the information is appropriate and complete in relation to our audit of the financial statements. We compared and reconciled the supplementary information to the underlying accounting records used to prepare the financial statements or to the financial statements themselves. This information is intended solely for the use of the Board of Directors and management of Sandhills Center for Mental Health, Development Disabilities and Substance Abuse Services and is not intended to be and should not be used by anyone other than these specified parties. Sincerely, Report to lha Board of Directors of Sandhills Center for Mental Health, Development Disabilities and Substance Abuse Services 4 ~;--.. .. ,~ Appendix A- DIXON HUGHES GOODMAN Management Representation Letter Report to the Board of Directors of Sandhills Center for Mental Health, Development Disabilities and Substance Abuse Services s SANDHILLS CENTER A LOCAL MANAGEMENT ENTITY-MANAGED CARE ORGANIZATION MANAGING MENTAl HBALTH,INTELLECTUAL/DEVELOPMENTAL DISABILJTIESAND SUBSTANCE ABUS8 SERVICES 910.673.9111 a (FAX) 910.673.6202 a WWW.SANDHILLSCENTER.ORG • VICTORIA WHITT, CEO November 5, 2013 Dixon Hughes Goodman LLP 130 Turnberry Way Pinehurst, NC 28374 This representation Jetter is provided in connection with your audit of the financial statements of Sandhills Center for Mental Health, Developmental Disabilities. and SUbstance Abuse Services (the Center) which comprise the statements of financial position of the business-type activities and each major fund and the respective changes in financial position and, where applicable, cash flows for the year ended June 30, 2013, and the related notes to the financial statements, for the purpose of expressing an opinion on whether the financial statements are presented fairly, in aU material respects, in accordan<:e with accounting principles generally accepted in the United States of America (U.S. GAAP). Certain representations in this letter are described as being limited to matters that are material Items are considered material, regllldless of size, if they involve an omission or misstatement of accounting information that. in the light of surrounding circumstances, makes it probable that the judgment of a reasonable person relying on the information would be changed or influenced by the omission or misstatement. An omission or misstatement that is monetarily small in amount could be considered material as a result of qualitative fBctors. We confirm that. to the best of our knowledge and belief, having made su.cb inquiries as we considered necessary for the purpose of appropriately informing ourselves as of the date ofthis letter. L We have fulfilled our responsibilities, as set out in the terms of the audit engagement letter dated February 6"', 2013, including our responsibility for the preparation and fair presentation of the financial statements and for preparation of the supplementary information in accordance with the applicable criteria. 2. The financial statements referred to above are fairly presented in conformity with U.S. GAAP and include all properly classified funds and other financial information of the primary government and all component units required by generally accepted accowrting principles to be included in 1he firumcial reporting entity. 3. We acknowledge our responsibility for the desigD, implementation, and maintenance of internal control relevant to the preparation and fair presentation of financial statements that are fu:e from material misstatement, whether due to fraud or error. 4. We acknowledge our responsibility for the design, imp1emenl3tion, and maintenance of internal control to prevent and detect fraud. 5. Significant assumptions we used in making 8C(;()U[lting estimates are reasonable. 6. Related party relationships and 1ranSaetions, including revenues, expenditures/expense, loans, transfers, leasing arrangements, and guarantees, and amounts receivable from or payable to related parties have been appropriately accounted for and disclosed in accordance with requirements ofU.S. OAAP. 7. All events subsequent to the date of the financial statements and for which U.S. GAAP requires adjustment or disclosure bave been adjusted or disclosed. No events, including instances of noncompliance, have occurred subsequent to the balance sheet date and through the date of this letter that would require adjustment to or disclosure in the aforementioned financial statements or io the schedule of findings and questioned costs. P.O. Box 9, West End, NC 27376 Serving Anson, Guilford, Harnett, Hoke, Lee, Montgomery, Moore, Randolph, & Richmond Counties Available 24 hours a day at 1-800-256-2452 PA~ -~ ACCIIIDIT&O lllAUltCAU.aoH!la ltl1AJ:nt"'IJWQJJI MI:AI.'m um.l'thllotf 'IIAMMlt.\tPIT 8. The Net OPEB obliption does not include an estimate related to the merger of the Guilford Center employees effective January 1, 2013. The estimate of the Ulldemated liability and overstated increase ill net position is approx:imately $210.000. The effects of this unconected misstatement arc immaterial, both individually and in the aggregate, to the financial slatem.ents for each opinion unit. 9. The effects of all known Ktual or possible litigation and claims have boellaa:ounted for and disclosed in accordance with U.S. GAAP. 10. Guarantees, wbc1bcr written or oral. llDder which the Center is contingently liable, if any, have been properly recorded or disclosed. 11. We have provided you with: a. Acc;ess to aU information, of which we arc aware, that is relevant to the IftpiU"alion and fair preseutBtion of the financial statements, sucll as records. doc:umeDtmon. and other matters. b. Additional information that you have requested tiom us for the purpose of the audit. c. Unrestricted access to persoos within the entity from whom you deterJninecl it oecessary to obtain audit evideoc:e. d. Minutes of the meetiugs of the Board or sllDUII8rics of actions of recem meetings fur which minotes bave not yet been prqmcd. 12. All materia) cransactions have been recorded in the IKlCOWting .reconts and arc reflected in the financial statements and the schedule of expenditures of fedetal awards 13. We have disclosed to you the results of our assessment of lbe risk that tbe financial statements may be materially misstated as a result of fraud. 14. We have no knowledge of any fnwd or suspcc:ted fraud atrming the Center involving: a. Maaagcment, b. ~loyecs who have significant roles in internal control, or c. Others where the fnwd could have a material effect on the fi.naDcial statements. 15. We have no knowledge of any allegations offnwd or suspected fiaud affecting tbe Center's financial staaements communicated by employees, former employees, regulators, or others. 16. We have no knowledge of instances of noncompliance or suspected noncompliauce with provisions of laws, regulatioDs, coo~ or paot agreemems, or libuse, whose effects sbould be considered when preparing financial statemeuts. 17. We have disclosed to you all known actual or possible litigation, claims, and assessments whose effects should be considered when pl'q)8ring the finanaal statmneuts. 18. We have di1c:losccl to you the identity oftbe Center's relaled parties and all the related party relationships and transactions of which we are aware. Govmtlllt!lll-ap«!!lc 19. We have made awilable to you all financial records and related data and an audit or relevant monitoring reports. if any, rcc:eivcd from funding sources. 20. There have been no communications from regulatoJy agen<:ies concerning noncomplilnce wilb, or deficiencies in, fiDan<:ial reporting practices. 21. We have taken timely and appropriate steps to remedy fiaud, violations of laws, regulations, COl1lnds, or grant agreemeuts, or abuse tbat you have n:ported to us. 22. We have a process to track the status of audit findinss and recommendations. 23. We have identified to you any previous audits, attcatation engagements, and other studies related to the audit objectives and whether related recommendations have been implemeuted. 24. The Center bas no plans or intentions that may matmially affect the carryins value or classification of assets, liabilities, or equity. 25. We have provided our views on reported fiodiugs, conclusions, and J'CCOllliDCildacms, as weU as our plaDned COin'JCtive actions, for the report. 26. We .n respoasib1e for compliance with the laws, regulatioos, and provisions of contn1as and grant agreements applic:able to us, includiug tax or debt limits and debt COD1J:1Ids; and we have identified and discJosed to you all laws. regulations and provisiODS of contmcts and grant a,sreements tbat we believe have a dnct and material effe<:t oo tbc det.erminatian of fiDaaci.al statement amounts or other financial data significant to the audit objedives, iDcluding lepl and cootriCtuaJ provisions for reporting specific activities in separate fimds. 27. There are DO violations or possible violations of budget ordinances, laws and regulations (including those pertaining to adopting, approving, and amendins budgets), provisions of OODtrl&:ts and grant agrecme:Dis, tax or debt limits, and any related debt coveoants whose effects should be considered for disciMUre in the financial S1Btements, or as a basis fur recording a loss c:cmlingency, or for reporting on noncompliance. 28. As part of your audit. you assisted with preparation of the financial statements and related notes and schedule of expenditures of federal. awards. We have desigrtmd an individual with suitable skill, knowledge, • experialce to ovcncc yow services aDd have assumed aU llliiDIIgeiDeDt respoosibilltiet. We have reviewccl, approved, and accepted respoasibility for those financial statements and related notes and schedule of expeoditures of federal awards. 29. 'Ibe Center has satis&ctory title to all owned wets and there are no liens or encumbrances oo such assets nor bas any asset been pledged as coDateral. 30. The Cent« bas complied with all aspects of contrmual agreements that would have a lll8la'ial eff'ea oo the fioancial staements in the event of noooompliance. 3 J. We bavc followed all applicable laws and regulations in adopting. approving, and amending budgets. 32. The financial statements include all romponent units as well as joint ventures with an equity interest, and properly disclose all other joint ventiD'es and other related cqmizMioos. 33. The financial statemen1S properly classify all funds aod aaivities. 34. All fUnds that meet the quantitative criteria in GASB Statement Nos. 34 aod 37 for presentation as major are identified and presented as such and all odler funds that are presented as major are particularly importaot to ~ia1 statement users. 35. Net asset components (invested in capital assets, net of related debt; restricted; aod wnstri~) and fimd balaoce reserves and designations are ~ly classified and, if applicable, approved. 36. Com.poneats of net position (net investment in capital assets; resbictod; and unrestricted) aod equity amounts are properly classified and, if applicable, approved 37. Receivables recorded in the financial statements tqJment valid claims against debtors for sales or other charges arising on or before the ba1aoce sheet date and have been appropriately reduced to their estimated net reali7Jible value. 38. Provisioos for uncollectible receivables have been properly identified and recorded. 39. Expenses have been appropriately classified in or allocated to functions and progam.s in the statement of activjties. and allocatioos have been made on a reasonable basis. 40. Revenues are appropriately classified in the statement of activities within program rcvmues, general revenues, contributioos to tenn or perm8l1el2t endowments, or coatributioas to permaoent fimd principal. 41. InterfuDd, iDieroal. aDd intra-emily activity md balances have been appropriately classified and reported. 42. Deposits and iovestmeot securities and cleriwtive instruments are properly classified as to risk, and are properly disclosed. 43. capital assets, including infrastnlcture assets, are properly capitalized, reported. and, if applicable, depreciated. 44. We have appropriately disclosed the Center's policy regardin& whether to first apply restricted or unrestricted res~ when an expense is incumd for pmposes for which both RStricted aud tmrcStrk:ted net position is avaiJable aDd bave determined 1bat net position is properly recognized under tbe policy. 45. We acknowlcd&e our respomibility for the required supplemeotary infonnat:ion (RSI). The RSI is measured and presented within prescribed guidelines and the methods of meastR~nent and presentation have not changed ftom those used in the prior period. We have disclosed to you any significant assumptions and interprebltions underlying the measun:mcmt and presentation oftbe RSJ. 46. With respect to the fund statements, other schedules, and the schedule of expenditures of federal and State awards ("supplementary information"): a. We admowledae our .responsibility for presenting the supplen:ientary information indicated above in accordaDce with aa:ountin& principles generally accepted in the United Stata of Ameria~, and we believe the supplemetdray information, iocluding its fonn and conteDt, is fairly presented .iD accordance with ~ priociples generally acc:epted in tbe United Sbltes of America. The methods of measurement and pmteDtldion of the sJWlementlry information have not cMnged from those used in tbe prior period. and we have disclosed to you any signifiamt assii!Dptious or intetpetatioos underlying the measurement and preiCid8tion ofdte supplementary infurmation. b. If the supplementary information is not preseotcd with 1lle audited financial staacments, we will make the audited financial statements readily a'Y&ilable to the inlended useB of the supplementary information no later tban tbe elm we issue the supplementary information and the auditor's report theroon. 47. We believe dull the actuarial assumptioos aud methods used to measure pension liabilities and costs for finaDeiaJ ac:c:ouoting purposes are appropriate in tbe eire~. 48. With respect to federal and state award programs: a. We are respomibJe foc undcnladiog ml complying with IDd have complied with tbe requirements ofOMB Circular A-133, Audits of States, Loclll Govemments, and Non-- Projil Organizations, including requirements relating to ptepaaation ofdte schedule of expenditures of federa1 and State awards. b. We acknowledge our responsibUity for presenting the Schedule of Expeuditures of Federal and Stale Awards ("SlW A") in accordance with the requimnents of OMB Circular A~l33 §310.b, and we believe the SBFA, including ita form and content. is fairly prescoted in a.cc:ordance wi1h OMB Circular A-133 §310.b. The methods of measurement or presentation of the SEF A have not clumged from these used .iD the prior period and we have disclosed to you any signifiCIIDIISSUDiptions 8lld ioteapaelad.ons underlying the measumDeDt or preseatation of the SEFA. c. If the SEFA is not presented with the IUditcd fiDancia1 ~ we will IDIIke the audited firumeial staaemcots readily available to the intended users of the SEF A no later than the dale we issue the SEFA and 1be auditor•s RlpOrt the.rcon. d. We have idaJtified 8Dd disclosed to you all of our go~ progtams and related activibes subject to OMB Cin:ullr A·133 Ed included in tbe SEF A made dmina 1he audit period for all awards provided by fedenU agencies in the fmm of tpDts, federal cost-reimbursement coatrects, loans, loan gu81'11ltees, property (inelwling douated surplus property). cooperative agRCJDents. interest subsidies, iosuranco, food commodities, direct appropriation.s, and other direct assistance. e. We are rapoasible for undersf.aDdiD&•d complying with, and have complied with, the requirements of laws, reguYtions, and the provisions of contracts 8IICi anmt agreements rektcd to each of our fedaal programs and bave icteDtified and disclosed to you tbe requimnebts of laws, replations, and the provisions of CCI!tniCtS aDd griD! agreements 1hat are coosidered to have a d.ircc:t and malaia1 effect 011 each major JXOIF8ID. £ We are respoasible for cstablisbin& and maintaining, and have ostablisbed and maintained, etfecti~ internal control over compliance .requin:meots applicable to federal programs dial provides reasonable 8SSUI'8Wle tbat we are managing our federal awards in compliance with laws, rep]atioos, and the provisiOD$ of c:ootracts and grant agreements tllat could have a material effect 011. our federal prognuns. We believe tbe intemal control system is adequate md is func:dooiDg as iDieDdcd. g. We bave made avan.ble to you all coab8Cb and gnmt aarcemmts (including IIIDCDdmems, if aoy) and lilY Olher comspondence with federal ageacies or pus-tbrougb eutities releY8Jlt to federal programs and rebad activities. h. We have received no requests from a federal agency to audit one or more specific: programs as a major progtam. i. We have complied with dle direct and material compliance rcquircmen1s (except fur noncompliance disclo5ed to you, if Ill)'), including when applicable, those Bet forlb in 1be OMB Circular A~ 133 Compl~ Supplement, reJatiD8 to federal awards IDi have identified and disclosed to you all amounts qucsdoned and all known noncompliance with the Rquirements of fcdcra1 awards. j. We have disclosed any c:ommwrlcations from gnmtots ad pass-through entities concorning possible noncompliance witb the direct and material compliance requirements, including communicatioos received ftom the end of the period covered by tbe compliance audit to the date of the auditor's report. k. We bavc disclosed to you tbe fiDdingJ m:eived and related corrective actions taken for previous audiu, attestatio11 engagements. aod internal or ext«nal monitoring tbat directly relate to the objecti* of the compliance audit, including findioga m:cived and corrective actions tabo from the end of the period covered by the compliance audit to the date of the auditor's Jq)Ort. I. Amounts claimed or used for matching were determined in accordance with relevant guidelioes in OMB Circular A-87, Cost Prillciples for State. Local, and Tn"bal Governments, and OMB's Uniform Administrative Requirements for Gnuds and Coopcntive Agreemeats to State aDd Loc:al Governments. m. We have disclosed to you our interptellltion of complilllce requirements that may have varying intetpretadoos. n. We have made available to you all documentation related to compliance with the db:m material compliaocc requirements, including infurmation related to federal program financial Rports and clabna ibr advances and ~imbursemeots. o. We have diS(;losed to you the lllltW"e of any subsequeot even13 that provide additionaJ evidellce about COD<titioas that existed at the end of the reporting period affcctiog noocompllimce durin& tbe reporting period. p. "I'hm are no suc:b known insbmces of Doncompliance with direct and materia] compliaoce requirements that occ:mred subsequent to the period covered by the auditor's report. q. . No changes have been made in intemal control over compllimce or other filctors that IJliabt sipificantly atfca internal contro~ including IllY corrective action we bave taken regarding significant dc6cieocies in internal control over compliance (including material wNkDcsses iD intcmal control over compliance). have O«urred subsequent to the date as ofwbicb compliance was audited. r. Federal program fiDam:ial reports and claims for advaoces and reimbursements are supported by dl.c boob and records from which the financial statements have been prep8R'd. s. The copies of federal prognun fiDaDcial rllpOl1s provided you are true copies oftbe reports submitted, or electronically transmitted, to the .respective federal agency or pass.- dlrougb entity, as applicable. t. We have morUto.red subre<:ipients to debmnine that they have expended pass-through assistacc in accordaDc:c with appUc:able law! and regulaticms and have met the requirements ofOMB Circular A~l33. u. We bave fBken appropriale .:tion, i.ocludiog issuing rnaoagemeot dec:bions, on a timely basis after receipt of s~ipients' auditor's reports that identified noncompliance with laws, regulatioos, or the provisions of CCJJIIraCts or grant agreemc:n1B and have ensured that su!Rcipien:ts have takm the appropriate and timely corrective ldion oa findings. v. We have coosidered the results of subrecipient audits and have made any necessary adjustments to our boob and m:mds. w. We have charged costs to federal awards in accordance with applicable cost priru;iples. x. We are responsible for and have aca.uately prql8red the summary sc:bedule of prior audit findinp to include all findings required to be included by OMB Cin:ullw A-133 and we have provided you with all information on dl.c stlltUs of 1be follow-up on prior audit findings by federal awanli.ng agencies and ~through entities, including all maoagement dec:is:ions. y. We are responsible for and have accurately prepared the auditee section oftbe Data Collection Form as required by OMB Circular A-133. z. We are responsible for prepariDg and implementiDg a corrective aaion plan for each 4 Ui audft 6ndm& Victoria Whitt, CEO