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HomeMy WebLinkAbout061521wsa9:00 am 9:05 am 9:20 am 9:40 am 9:50 am 10:05 am 10:25 am 10:50 am 11:00 am HARNETT COUNTY BOARD OF COMMISSIONERS Harnett County Resource Center and Library 455 McKinney Parkway Lillington, North Carolina Work Ses sion Tuesday June 15, 2021 9:00 am Call to order, Pledge of Allegiance and Invocation Discuss setting up the Airport as a General Fund-type fund, separating it out of the General Fund, Kimberly Honeycutt Discussion on allocating the remaining COVID first round funding for an employee bonus, George Wood Discussion on the 43,000,000 G.Q. School Bond issue the Board of Commissioners needs to approve on June 21, 2021, Kimberly Honeycutt Discuss the annual renewal for our Workers Compensation Stop-Loss Insurance Policy, Heather Pollard Discuss the hiring process for the County Manager Position, George Wood Discuss some proposed changes to the Fleet Management Vehicle Lease Program, Lisa McFadden and Renee Paschal Discuss the Termination of Easement for KDP Development, LLC, Christopher Appel Development Services briefing on upcoming public hearings: Proposed Land Use Plan Amendment: Case# PLAN2105-0001, Landowner/Applicant: Woodshire Partners, LLC, LLC /4D Site Solutions, Inc. Pin# 0506-88-4099.000; 72.6 acres. The applicant requests a Land Use Map Amendment from Agricultural & Rural Residential to Medium Density Residential Use; Anderson Creek Township Proposed Text Amendment: Case# PLAN2105-0002, Hamett County Unified Development Ordinance; Article VII, Sections 13.1, 13.2. To amend Harnett County's U.D.O. where it pertains to greenway, bicycle, & pedestrian facilities. Proposed Text Amendment: Hamett County Unified Development Ordinance; Article III; VII, XIV, Sections 2.0 & 4.0; 2.2; 2.0 & 4.0. To amend Hamett County's U.D.O. in order to comply with North Carolina General Statute 061521a HCBOC Page1 11:20 am 11 :35 am 11:50 am 12:00pm 12:15 pm 12:30 pm 12:35 pm 12:50 pm 1:20 pm 160D. This amendment brings consistency to definitions as referenced in the newly adopted language of 160D. Discuss Resolution from the Town of Lillington Requesting Extension of Development Rights with the County of Hamett Discuss proposed amendments to the Hamett County Economic Development Council Bylaws to add a Hamett County Schools representative, Angie Stewart Discuss Budget amendment to fund Northwoods Traverse, Paul Polinski Discuss the hiring of a law firm to assist with redistricting, Dwight Snow Discuss signing a SASO agreement with Executive Flight Training for operating a flight school at the airport, Barry Blevins Discuss reopening meetings County Manager's Report: June 21, 2021 Regular Meeting Agenda Review Announce Hiring of the Airp ort Operations manager, the Senior Line Te chnician, and the P-T Line Technicians Inform the Board of Commissioners of the decision to delay the Airport Apron Project bids for 30-days to determine if a better alternative to shorten the airport closure time is feasible Discuss hiring the Economic Development Director Review applications to serve on Boards and Committees Upcoming meetings and invitations Closed Session Adjourn 061521a HCBOC Page2 CONDUCT OF THE JUNE 15, 2021 MEETING OF THE HARNETT COUNTY BOARD OF COMMISSIONERS The Harnett County Board of Commissioners will convene their June 15, 2021 work session under certain conditions: The public will have the opportunity to listen to the meeting live online or by calling into the meeting. 1.Live audio of the meeting will also be streamed on the Hamett County Government's Y outube Channel at https://www.youtube.com/channel/UCU7mTF6HTD65x 98EhAMeMg/featured 2.If you wish to call in and listen to the meeting you may dial (910)814-6959. Please remember to mute your phone while listening so as not to disrupt others listening. The Board appreciates the public's patience and understanding as they seek to ensure the continuity of county operations while demonstrating compliance with State law and prudent public health practices in these difficult times. 061521a HCBOC Page3 EXTRACTS FROM MINUTES OF BOARD OF COMMISSIONERS A Regular Meeting of the Board of Commissioners (the "Board") of the County of Hamett, North Carolina was held on Monday, June 21, 2021, at 6:00 p.m. in the Board Chambers of the Hamett County Resource Center and Library, 455 McKinney Parkway, Lillington, North Carolina, W. Brooks Matthews, Chairman of the Board of Commissioners of the County of Hamett, North Carolina, presiding and the following Commissioners present: Commissioners Present: Commissioners Absent: * * * * * * Commissioner _________ introduced the following resolution (the "Resolution"), a summary of which had been provided to each Commissioner, a copy of which was available with the Clerk to the Board of Commissioners and which was read by title: RESOLUTION OF THE BOARD OF COMMISSIONERS OF THE COUNTY OF HARNETT NORTH CAROLINA PROVIDING FOR THE ISSUANCE OF GENERAL OBLIGATION SCHOOL BONDS, SERIES 2021 WHEREAS, the Bond Order (as defined below) has been adopted, and it is desirable to make provision for the issuance of the bonds authorized by the Bond Order; NOW, THEREFORE, BE IT RESOLVED by the Board of Commissioners of the County of Harnett, North Carolina (the "Board of Commissioners") as follows: Section 1. For purposes of this Resolution, the following words will have the meanings ascribed to them below: "Bond Order" means the Bond Order relating to the Projects which the Board of Commissioners adopted on July 21, 2014 and approved by the vote of a majority of the voters who voted thereon at a referendum duly called and held on November 4, 2014. "Federal Securities" means, to the extent permitted by the General Statutes of North Carolina, as amended, (a) direct obligations of the United States of America for the timely payment of which the full faith and credit of the United States of America is pledged; (b) obligations issued by any agency controlled or supervised by and acting as an instrumentality of the United States of America, the timely payment of the principal of and interest on which is fully guaranteed as full faith and credit obligations of the United States of America (including any securities described in (a) or (b) issued or held in the name of the Trnstee in book-entry form on the books of the Department of Treasury of the United States of America), which obligations, in either case, are held in the name of a trustee and are not subject to redemption or purchase prior to maturity at the option of anyone other than the holder; ( c) any bonds or other obligations of the State of North Carolina or of any agency, instrumentality or local governmental unit of the State of North 061521a HCBOC Page4 Carolina which are (1) not callable prior to maturity or (2) as to which irrevocable instructions have been given to the trustee or escrow agent with respect to such bonds or other obligations by the obligor to give due notice of redemption and to call such bonds for redemption on the date or dates specified, and which are rated by Moody's, if the 2021 Bonds are rated by Moody's, and S&P, if the 2021 Bonds are rated by S&P, within the two highest rating categories and which are secured as to principal, redemption premium, if any, and interest by a fund consisting only of cash or bonds or other obligations of the character described in clause (a) or (b) hereof which fund may be applied only to the payment of such principal of and interest and redemption premium, if any, on such bonds or other obligations on the maturity date or dates thereof or the specified redemption date or dates pursuant to such irrevocable instructions, as appropriate; or ( d)direct evidences of ownership of proportionate interests in future interest and principal payments on specified obligations described in (a) held by a bank or trust company as custodian, under which the owner of the investment is the real party in interest and has the right to proceed directly and individually against the obligor on the underlying obligations described in (a), and which underlying obligations are not available to satisfy any claim of the custodian or any person claiming through the custodian or to whom the custodian may be obligated. "Finance Officer" means the County's Finance Officer, or such other officer of the County designated as the Finance Officer. "Moody's" means Moody's Investors Service, a corporation organized and existing under the laws of the State of Delaware, its successors and their assigns and, if such corporation for any reason no longer performs the functions of a securities rating agency, "Moody's" will be deemed to refer to any other nationally recognized rating agency other than S&P designed by the County. "Pricing Certificate" means the certificate of the County's Finance Officer delivered in connection with the issuance of the 2021 Bonds which establishes, with respect to the 2021 Bonds, the final maturity amounts, the interest payment dates and the provisions for redemption. "Projects" means providing for the construction, renovation, improvement, equipping and furnishing of public school facilities within the County, including the acquisition ofland, rights-of-way and easements required therefor. "S&P" means S&P Global Ratings, its successors and their assigns and, if such corporation for any reason no longer performs the functions of a securities rating agency, "S&P" will be deemed to refer to any other nationally recognized rating agency other than Moody's designed by the County. "2021 Bonds" means the County's General Obligation School Bonds, Series 2021 authorized under the Bond Order. Section 2. The County shall issue not to exceed $43,000,000 in total aggregate principal amount of its 2021 Bonds. Section 3. Unless the Finance Officer provides otherwise in the Pricing Certificate, the 2021 Bonds shall be dated their date of issuance and pay interest semiannually on February 1 and August 1, beginning February 1, 2022. The 2021 Bonds are being issued to provide funds (1) to finance the capital costs of a portion of the Projects pursuant to and in accordance with the Bond Order and (2) to pay the costs of issuing the 2021 Bonds. Section 4. The Board of Commissioners has ascertained and hereby determines that the average period of usefulness of the capital projects being financed by the proceeds of the 2021 Bonds is not less than 25 years computed from the date of issuance of the 2021 Bonds. 2 061521a HCBOC Page5 Section 5. The 2021 Bonds are payable in annual installments on August 1 in each year, unless the Finance Officer establishes a different date in her Pricing Certificate. The maturities of the 2021 Bonds will be as set forth in the Pricing Certificate. Section 6. The 2021 Bonds are to be numbere d from "R-1" consecutively and upward. All 2021 Bonds sha11 bear interest from their date at a rate or rates which shall be hereafter determined on the sale thereof computed on the basis of a 360-day year of twelve 30-day months. Section 7. The 2021 Bonds are to be registered as to principal and interest, and the Finance Officer is directed to maintain the registration records with respect thereto. The 2021 Bonds shall bear the original or facsimile signatures of the Chairman of the Board of Commissioners or the County Manager and the Clerk to the Board of Commissioners of the County. An original or facsimile of the seal of the County is to be imprinted on each of the 2021 Bonds. Section 8. The 2021 Bonds will initially be issued by means of a book-entry system with no physical distribution of bond certificates made to the public. One bond certificate for each maturity will be issued to The Depository Trust Company, New York, New York ("DTC'), and immobilized in its custody. A book-entry system will be employed, evidencing ownership of the 2021 Bonds in principal amounts of $5,000 or integral multiples thereof, with transfers of beneficial ownership effected on the records of OTC and its participants pursuant to rules and procedures established by OTC. Interest on the 2021 Bonds will be payable to DTC or its nominee as registered owner of the 2021 Bonds in immediately available funds. The principal of and interest on the 2021 Bonds will be payable to owners of 2021 Bonds shown on the records of DTC at the close of business on the 15th day of the month preceding an interest payment date or a bond payment date. The County will not be responsible or liable for maintaining, supervising or reviewing the records maintained by DTC, its participants or persons acting through such participants. If (a) OTC determines not to continue to act as securities depository for the 2021 Bonds or (b) the Finance Officer of the County determines that the continuation of the book-entry system of evidence and transfer of ownership of the 2021 Bonds would adversely affect the interests of the beneficial owners of the 2021 Bonds, the County will discontinue the book-entry system with DTC in accordance with OTC's rules and procedures. If the County fails to identify another qualified securities depository to replace OTC, the County will authenticate and deliver replacement bonds in accordance with OTC's rules and procedures. Section 9. If the Pricing Certificate designates a date for the 2021 Bonds on and after which the 2021 Bonds are subject to redemption, then such 2021 Bonds are subject to redemption before maturity, at the option of the County, from any money that may be made available for such purpose, either in whole or in part on any date on or after the date set forth in the Pricing Certificate, at the principal amount of the 2021 Bonds to be redeemed, together with interest accrued thereon to the date fixed for redemption, with such redemption premium, if any, designated for the 2021 Bonds in the Pricing Certificate. If the 2021 Bonds are subject to optional redemption and if less than all the 2021 Bonds are called for redemption, the County shall select the maturity or maturities of the 2021 Bonds to be redeemed in such manner as the County in its discretion may determine, and OTC and its participants shall determine which 2021 Bonds within a maturity are to be redeemed by lot; provided, however, that the portion of any 2021 Bond to be redeemed must be in principal amount of $5,000 or integral multiples thereof and that, in selecting 2021 Bonds for redemption, each 2021 Bond is to be considered as representing that number of 2021 Bonds which is obtained by dividing the principal amount of such 2021 Bond by $5,000. When the County elects to redeem any 2021 Bonds, notice of such redemption of such 2021 Bonds, stating the redemption date, redemption price and identifying the 2021 Bonds or portions thereof to be redeemed by reference to their numbers and further stating that on such redemption date there are due and payable on each 2021 Bond or portion thereof so to be redeemed, the principal thereof and interest accrued to the 3 061521a HCBOC Page6 redemption date and thatfrom and after such date interest thereon shall cease to accrue, is to be given not less than 30 days nor more than 60 days before the redemption date in writing to DTC or its nominee as the registered owner of such 2021 Bonds, by prepaid certified or registered United States mail ( or by such other means as may be permitted by DTC's rules and procedures), at the address DTC provides to the County, but any failure or defect in respect of such mailing will not affect the validity of the redemption. If DTC is not the registered owner of such 2021 Bonds, the County will give notice at the time set forth above by prepaid first class United States mail, to the then-registered owners of such 2021 Bonds or portions thereof to be redeemed at the last address shown on the registration books the County keeps. The County will also mail or transmit by facsimile or electronic submission a copy of the notice of redemption within the time set forth above (1) to the Local Government Commission of North Carolina (the "Commission") and (2) to the Municipal Securities Rule Making Board (the "MSRB") in an electronic format as prescribed by the MSRB. If at the time of mailing of the notice of redemption there is not on deposit money sufficient to redeem the 2021 Bonds called for redemption, such notice may state that it is conditional on the deposit of money for the redemption on the date of redemption as set forth in the notice. Any notice, once given, may be withdrawn by notice delivered in the same manner as the notice of redemption was given. Section 10. The 2021 Bonds and the provisions for the registration of the 2021 Bonds and for the approval of the 2021 Bonds by the Secretary of the Commission are to be in substantially the form set forth in Exhibit A hereto. Section 11. The Finance Officer is hereby authorized to execute a non-arbitrage certificate with respect to the 2021 Bonds to comply with Section 148 of the Code and the applicable Income Tax Regulations thereunder. Section 12. The Finance Officer is hereby directed to create and establish a special fund to be designated "County of Harnett, North Carolina General Obligation School Bonds, Series 2021 Project Funcf' (the "Project Funcf') and may establish separate accounts within the Project Fund related to each of the Projects or otherwise track the expenditures related to each of the Projects. The Finance Officer shall deposit the proceeds from the sale of the 2021 Bonds in the Project Fund. The Finance Officer shall invest and reinvest any money held in the Project Fund as the laws of the State of North Carolina permit and the income, to the extent the Code permits, is to be retained in the Project Fund and applied with the proceeds of the 2021 Bonds to pay the costs of the Projects, as the Finance Officer directs. The Finance Officer shall keep and maintain adequate records pertaining to the Project Fund and all disbursements therefrom so as to satisfy the requirements of the laws of the State of North Carolina and to assure that the County maintains its covenants with respect to the exclusion of the interest on the 2021 Bonds from gross income for purposes of federal income taxation. Section 13. Actions taken by officials of the County to select paying and transfer agents, and a bond registrar, or alternate or successor agents and registrars pursuant to Section 159E-8 of the Registered Public Obligations Act, Chapter 159E of the General Statutes of North Carolina, are authorized and approved. Section 14. The Commission is hereby requested to sell the 2021 Bonds through a competitive sale to the bidder whose bid results in the lowest interest cost to the County, determined on the basis of the true interest cost method. Section 15. The Chairman of the Board, the County Manager, the Clerk to the Board and the Finance Officer (individually and collectively, the "Authorized Officers") are hereby authorized and directed to cause the 2021 Bonds to be prepared and, when they shall have been duly sold by the 4 061521a HCBOC Page7 Commission, to execute the 2021 Bonds and to tum the 2021 Bonds over to the registrar and transfer agent of the County for delivery through the facilities of DTC to the purchaser or purchasers to whom they may be sold. Section 16. The form and content of the Notice of Sale and the Preliminary Official Statement, together with the final Official Statement related to the 2021 Bonds ( collectively, the "Official Statement'), are in all respects authorized, approved and confirmed, and the Authorized Officers are authorized, empowered and directed to execute and deliver the Official Statement in substantially the form and content presented to the Board, but with such changes, modifications, additions or deletions therein as seem necessary, desirable or appropriate to the Authorized Officers, their execution thereof to constitute conclusive evidence of the approval of the Board of any and all changes, modifications, additions or deletions therein from the form and content of the Official Statement presented to the Board. Section 17. The Authorized Officers are authorized and directed to execute and deliver for and on behalf of the County any additional certificates, documents, opinions or other papers and perform all other acts as the documents contemplated hereinabove may require or as may be deemed necessary or appropriate to implement and carry out the intent and purposes of this Resolution. Section 18. The County agrees, in accordance with Rule 15c2-12 (the "Rule") promulgated by the Securities and Exchange Commission (the "SEC') and for the benefit of the Registered Owners and beneficial owners of the 2021 Bonds, to provide to the MSRB: ( 1)by not later than seven months after the end of each Fiscal Year, beginning with the Fiscal Year ending June 30, 2021, in an electronic format as prescribed by the MSRB, the audited financial statements of the County for such Fiscal Year, if available, prepared in accordance with Section 159-34 of the General Statutes of North Carolina, as it may be amended from time to time, or any successor statute, or if such audited financial statements are not then available, unaudited financial statements of the County for such Fiscal Year to be replaced subsequently by audited financial statements of the County to be delivered within 15 days after such audited financial statements become available for distribution; (2)by not later than seven months after the end of each Fiscal Year, beginning with the Fiscal Year ending June 30, 2021, the financial and statistical data as of a date not earlier than the end of such Fiscal Year for the type of information included under the captions "THE COUNTY--DEBT INFORMATION" and "--TAX INFORMATION" (excluding information on underlying and overlapping units) in the Official Statement; (3)in a timely manner not in excess of 10 business days after the occurrence of the event, notice of any of the following events with respect to the 2021 Bonds: (a) (b) (c) difficulties; (d) difficulties; (e) principal and interest payment delinquencies; non-payment related defaults, if material; unscheduled draws on the debt service reserves reflecting financial unscheduled draws on any credit enhancements reflecting financial substitution of any credit or liquidity providers, or their failure to perform; 5 061521a HCBOC Page8 (f)adverse tax opinions, the issuance by the Internal Revenue Service of proposed or final detenninations oftaxability, Notices of Proposed Issue (IRS Fonn 5701- TEB) or other material notices or detenninations with respect to the tax status of the 2021 Bonds or other material events affecting the tax status of the 2021 Bonds; (g)modification of the rights of the Beneficial Owners of the 2021 Bonds, if material; (h)call of any of the 2021 Bonds, if material, and tender offers; (i)defeasance of any of the 2021 Bonds; (j)release, substitution or sale of any property securing repayment of the 2021 Bonds, if material; (k)rating changes; (I)bankruptcy, insolvency, receivership or similar event of the Board; (m)the consummation of a merger, consolidation, or acq uisition involving the Board or the sale of all or substantially all of the assets of the County, other than in the ordinary course of business, the entry into a definitive agreement to undertake such an action or the termination of a definitive agreement relating to such actions, other than pursuant to its tenns, if material; ( n)the appointment of a successor or additional trustee, or the change in the name of a trustee, if material; ( o)incurrence of a financial obligation of the County, if material, or agreement to covenants, events of default, remedies, priority rights, or other similar terms of a financial obligation of the County, any of which affect securities holders, if material; and (p)default, event of acceleration, tennination event, modification of tenns, or other similar events under the terms of a financial obligation of the County, any of which reflect financial difficulties; and ( 4)in a timely manner, notice of the County's failure to provide the required annual financial information described in (1) and (2) above on or before the date specified. For purposes of this undertaking, "financial obligation" means (a) a debt obligation, (b) a derivative instrument entered into in connection with, or pledged as security or a source of payment for, an existing or planned debt obligation, or (c) a guarantee of either clause (a) or (b) above. The term "financial obligation" shall not include municipal securities as to which a final official statement has been provided to the MSRB consistent with the Rule. The County agrees that its undertaking under this Section is intended to be for the benefit of the registered owners and the beneficial owners of the 2021 Bonds and is enforceable by any of the registered owners and the beneficial owners of the 2021 Bonds, including an action for specific performance of the County's obligations under this Section, but a failure to comply will not be an event of default and will not result in acceleration of the payment of the 2021 Bonds. An action must be instituted, had and maintained 6 061521a HCBOC Page9 in the manner provided in this Section for the benefit of all of the registered owners and beneficial owners of the 2021 Bonds. All documents provided to the MSRB as described in this Section shall be provided in an electronic format as prescribed by the MSRB and accompanied by identifying information as prescribed by the MSRB. The County may discharge its undertaking described above by providing such information in a manner the SEC subsequently authorizes in lieu of the manner described above. The County may modify from time to time, consistent with the Rule, the information provided or the format of the presentation of such information, to the extent necessary or appropriate in the judgment of the County, but: ( 1)any such modification may only be made in connection with a change in circumstances that arises from a change in legal requirements, change in law or change in the identity, nature or status of the County; (2)the information to be provided, as modified, would have complied with the requirements of the Rule as of the date of the Official Statement, after taking into account any amendments or interpretations of the Rule as well as any changes in circumstances; (3)any such modification does not materially impair the interest of the registered owners or the beneficial owners, as determined by nationally recognized bond counsel or by the approving vote of the registered owners of a majority in principal amount of the 2021 Bonds. Any annual financial information containing modified operating data or financial information will explain, in narrative form, the reasons for the modification and the impact of the change in the type of operating data or financial information being provided. The provisions of this Section terminate on payment, or provision having been made for payment in a manner consistent with the Rule, in full of the principal of and interest on the 2021 Bonds. Section 19. This Resolution, other than Section 18, may be amended or supplemented, from time to time, without the consent of the owners of the 2021 Bonds if in the opinion of nationally recognized bond counsel, such amendment or supplement would not adversely affect the interests of the owners of the 2021 Bonds and would not cause the interest on the 2021 Bonds to be included in the gross income of a recipient thereof for federal income tax purposes. This Resolution may be amended or supplemented with the consent of the owners of a majority in aggregate principal amount of the outstanding 2021 Bonds, exclusive of 2021 Bonds, if any, the County owns, but a modification or amendment (1) may not, without the express consent of any owner of 2021 Bonds, reduce the principal amount of any 2021 Bond, reduce the interest rate payable on it, extend its maturity or the times for paying interest, change the monetary medium in which principal and interest is payable, or reduce the percentage of consent required for amendment or modification and (2) as to an amendment to Section 18, must be limited as described therein. Any act done pursuant to a modification or amendment consented to by the owners of the 2021 Bonds is binding on all owners of the 2021 Bonds and will not be deemed an infringement of any of the provisions of this Resolution, whatever the character of the act may be, and may be done and performed as fully and freely as if expressly permitted by the terms of this Resolution, and after consent has been given, no owner of a 2021 Bond has any right or interest to object to the action, to question its propriety or to enjoin or restrain the County from taking any action pursuant to a modification or amendment. 7 061521a HCBOC Page10 If the County proposes an amendment or supplemental resolution to this Resolution requiring the consent of the owners of the 2021 Bonds, the Registrar shall, on being satisfactorily indemnified with respect to expenses, cause notice of the proposed amendment to be sent to each owner of the 2021 Bonds then outstanding by first-class mail, postage prepaid, to the address of such owner as it appears on the registration books; but the failure to receive such notice by mailing by any owner, or any defect in the mailing thereof, will not affect the validity of any proceedings pursuant hereto. Such notice shall briefly set forth the nature of the proposed amendment and shall state that copies thereof are on file at the principal office of the Registrar for inspection by all owners of the 2021 Bonds. If, within 60 days or such longer period as shall be prescribed by the County following the giving of such notice, the owners of a majority in aggregate principal amount of 2021 Bonds then outstanding have consented to the proposed amendment, the amendment will be effective as of the date stated in the notice. Section 20. Nothing in this Resolution precludes (a) the payment of the 2021 Bonds from the proceeds ofrefunding bonds or (b) the payment of the 2021 Bonds from any legally available funds. If the County causes to be paid, or has made provisions to pay, on maturity or on redemption before maturity, to the owners of the 2021 Bonds the principal of the 2021 Bonds (including interest to become due thereon), through setting aside trust funds or setting apart in a reserve fund or special trust account created pursuant to this Resolution or otherwise, or through the irrevocable segregation for that purpose in some sinking fund or other fund or trust account with an escrow agent or otherwise, money sufficient therefor, including, but not limited to, interest earned or to be earned on Federal Securities, the County shall so notify each rating agency then rating the 2021 Bonds, and then such 2021 Bonds shall be considered to have been discharged and satisfied, and the principal of the 2021 Bonds (including and interest thereon) shall no longer be deemed to be outstanding and unpaid; provided, however, that nothing in this Resolution requires the deposit of more than such Federal Securities as may be sufficient, taking into account both the principal amount of such Federal Securities and the interest to become due thereon, to implement any such defeasance. If such a defeasance occurs and after the County receives an opinion of a nationally recognized verification agent that the segregated money or Federal Securities together with interest earnings thereon are sufficient to effect a defeasance, the County shall execute and deliver all such instruments as may be necessary to effect such a defeasance and desirable to evidence such release, discharge and satisfaction. The County shall make provisions for the mailing of a notice to the owners of the 2021 Bonds that such money is available for such payment. Section 21. If any one or more of the agreements or provisions herein is held contrary to any express provision oflaw or contrary to the policy of express law, though not expressly prohibited, or against public policy, or for any reason whatsoever is held invalid, then such covenants, agreements or provisions are null and void and separable from the remaining agreements and provisions and will in no way affect the validity of any of the other agreements and provisions hereof or of the 2021 Bonds authorized hereunder. Section 22. All resolutions or parts thereof of the Board of Commissioners in conflict with the provisions herein are, to the extent of such conflict, hereby superseded and repealed. Section 23. This Bond Resolution is effective on its adoption. On motion of Commissioner ______ , seconded by Commissioner-----� the foregoing resolution entitled "RESOLUTION OF THE BOARD OF COMMISSIONERS OF THE COUNTY OF HARNETT NORTH CAROLINA PROVIDING FOR THE ISSUANCE OF GENERAL OBLIGATION SCHOOL BONDS, SERIES 2021" was duly adopted by the following vote: 8 061521a HCBOC Page11 AYES: NAYS: 9 061521a HCBOC Page12 No.R- INTEREST RA TE REGISTERED OWNER: PRINCIPAL SUM: APPENDIX A FORM OF 2021 BOND UNITED ST ATES OF AMERICA STATE OF NORTH CAROLINA COUNTY OF HARNETT MATURITY DATE AUGUST 1, CEDE&Co. DATED DATE AUGUST 3, 2021 DOLLARS GENERAL OBLIGATION SCHOOL BOND, SERIES 2021 $ CUSIP THE COUNTY OF HARNETT, NORTH CAROLINA (the "County'') acknowledges itself indebted and for value received promises to pay to the Registered Owner named above, on the Maturity Date specified above, upon surrender hereof, the Principal Sum shown above and to pay to the Registered Owner hereof interest thereon from the date of this 2021 Bond until it shall mature at the Interest Rate per annum specified above, payable on February 1, 2022 and semiannually thereafter on August 1 and February 1 of each year. Principal of and interest on this 2021 Bond are payable in immediately available funds to The Depository Trust Company ("DTC') or its nominee as registered owner of the 2021 Bonds and is payable to the owner of the 2021 Bonds shown on the records of OTC at the close of business on the 15th day of the month preceding an interest payment date or a bond payment date. The County is not responsible or liable for maintaining, supervising or reviewing the records maintained by OTC, its participants or persons acting through such participants. This 2021 Bond is issued in accordance with the Registered Public Obligations Act, Chapter 159E of the General Statutes of North Carolina, and pursuant to The Local Government Finance Act, the Bond Order adopted by the Board of Commissioners on July 21, 2014 and approved by the vote ofa majority of the voters who voted thereon at a referendum duly called and held on November 4, 2014. The 2021 Bonds are being issued to provide funds to pay the capital costs of providing for the construction, renovation, improvement, equipping and furnishing of public school facilities within the County, including the acquisition of land, rights-of-way and easements required therefor and to pay the costs of issuing the 2021 Bonds. The 2021 Bonds maturing on or before August 1, 2031 will not be subject to redemption prior to maturity. The 2021 Bonds maturing on and after August 1, 2032 will be subject to redemption prior to maturity, at the option of the County, from any money that may be made available for such purpose, either in whole or in part on any date on or after August 1, 2031. Any 2021 Bonds called for redemption will be redeemed at the redemption price of the principal amount of 2021 Bonds to be so redeemed, plus accrued interest to the redemption date. If less than all of the 2021 Bonds are called for redemption, the County shall select the maturity or maturities of the 2021 Bonds to be redeemed in such manner as the County in its discretion may detennine and OTC and its participants shall determine which of the 2021 Bonds within a maturity are to be redeemed A-1 061521a HCBOC Page13 in accordance with its rules and procedures; provided, however, that the portion of any 2021 Bond to be redeemed shall be in principal amount of $5,000 or integral multiples thereof and that, in selecting 2021 Bonds for redemption, each 2021 Bond shall be considered as representing that number of 2021 Bonds which is obtained by dividing the principal amount of such 2021 Bond by $5,000. Whenever the County elects to redeem 2021 Bonds, notice of such redemption of 2021 Bonds, stating the redemption date, redemption price and any conditions to the redemption and identifying the 2021 Bonds or portions thereof to be redeemed by reference to their numbers and further stating that on such redemption date there shall become due and payable on each 2021 Bond or portion thereof so to be redeemed, the principal thereof, and interest accrued to the redemption date and that from and after such date interest thereon shall cease to accrue, shall be given not less than 30 days nor more than 60 days before the redemption date in writing to OTC or its nominee as the registered owner of the 2021 Bonds, by prepaid certified or registered United States mail (or by such other means as permitted by OTC's rules and procedures), at the address provided to the County by OTC, but any failure or defect in respect of such mailing will not affect the validity of the redemption. IfOTC is not the registered owner of the 2021 Bonds, the County will give notice at the time set forth above by prepaid first class United States mail, to the then-registered owners of the 2021 Bonds or portions thereof to be redeemed at the last address shown on the registration books kept by the County. It is hereby certified and recited that all conditions, acts and things required by the Constitution or statutes of the State of North Carolina to exist, be performed or happen precedent to or in the issuance of this 2021 Bond, exist, have been performed and have happened, and that the amount of this 2021 Bond, together with all other indebtedness of the County, is within every debt and other limit prescribed by said Constitution or statutes. The faith and credit of the County are hereby pledged to the punctual payment of the principal of and interest on this 2021 Bond in accordance with its terms. This 2021 Bond shall not be valid or become obligatory for any purpose until the certification hereon shall have been signed by an authorized representative of the Commission. A-2 061521a HCBOC Page14 IN WITNESS WHEREOF, the County has caused this bond to bear the original or facsimile of the signatures of the Chairman of the Board of Commissioners of the County and the Clerk to the Board of Commissioners of the County and an original or facsimile of the seal of the County to be imprinted hereon and this bond to be dated as of the Dated Date above. (SEAL) Clerk to the Board of Commissioners Date of Execution: , 2021 ------- Chairman The issue hereof has been approved under the provisions of The Local Government Bond Act. Secretary of the Local Government Commission A-3 061521a HCBOC Page15 FORM OF ASSIGNMENT ASSIGNMENT FOR VALUE RECEIVED the undersigned hereby sells, assigns and transfers unto (Please print or typewrite Name and Address, including Zip Code, and Federal Taxpayer Identification or Social Security Num her of Assignee) the within 2021 Bond and all rights thereunder, and hereby irrevocably constitutes and appoints Attorney to register the transfer of the within 2021 Bond on the books kept for registration thereof, with full power of substitution in the premises. Dated: ------- Signature guaranteed by: NOTICE: Signature must be guaranteed by a Participant in the Securities Transfer Agent Medallion Program ("Stamp") or similar program. NOTICE: The signature to this assignment must correspond with the name as it appears on the face of the within 2021 Bond in every particular, without alteration, enlargement or any change whatever. TRANSFER FEE MAY BE REQUIRED A-4 061521a HCBOC Page16 STATE OF NORTH CAROLINA COUNTY OF HARNETT ) ) ) ss: I, MARGARET REGINA WHEELER, Clerk to the Board of Commissioners of the County of Hamett, North Carolina, DO HEREBY CERTIFY that the foregoing is a true and exact copy of a resolution entitled "RESOLUTION OF THE BOARD OF COMMISSIONERS OF THE COUNTY OF HARNETT NORTH CAROLINA PROVIDING FOR THE ISSUANCE OF GENERAL OBLIGATION SCHOOL BONDS, SERIES 2021" adopted by the Board of Commissioners of the County of Hamett, North Carolina in regular session convened on the 21 st day of June, 2021. WITNESS my hand and the seal of the County of Hamett, North Carolina, this __ day of June, 2021. (SEAL) Margaret Regina Wheeler, Clerk to the Board of Commissioners County of Hamett, North Carolina 061521a HCBOC Page17 Debt Affordability Analysis A B C D G K Existing Red Potential M N 0 Q s Estimated ��Harnett COUNTY J.:)t7H t1,,narn11 l Existing County Existing School Rock Debt Proposed Operating School Capital Debt SeNiCe Rnlr,ttW4n 40 & 42 SaJes Tax• Total Revenues i Surplus/ (Deficit) Revenue From Capital Reserve Adjusted Surplus/ Incremental Ta Debt SeMCe FY : DebtService Debt Service Service School OS Impact 0ut1a}" Total Fund Revenue2 Lotterv / ADM3 QSCBSubs;dy' Available i Prior Tax Impact Utilized (Deficit) Equivalent Fund 8alance7 �� _· 4_0:.:.51=-700,4.::.2cc6,_�1�0�,6�7�5�,5�9 7c-_ �8�5�5.::,8 �9,,.7 _______ ··_··�·1"6�,0_4�8�,9_200-�-�9,828j6Q 6,426,397 2,642,660 1,171,640 20,069,05i i _4�,0=2�0,�1.:.37�--------202 2 ; 6,234,200 12,042,314 •.•. 870,875 ---··------· __ -------=19'-''"14"7"",3�9"'04 __ ..,c9,c,8.=28cc.3cc.6cc0c....__ _ ___ 6,554,925 __ 2,695,513 _ _.=,1,=17"1",6"-4"'0 __ �2cc0.::,2:;:5.:.0,:.:4=38=.+l -'1",1"'0:c:3.::,0cc4.c.8 _ 2023 j 6,019,600 _1�1,_67_9�,7_1 __ 4, ___ 8_8�6,�1_16_____ 18,585,430 9,828,360 6,686,023 __ 2�,7 _49�,_42_3 ___ 1�,1_7_1�,6_4 _0 __ 2_0�,4_35�,_44_7_:�_1�,8_5 _0,�0 _17 __ _ 2024 i _5,793,000 .�1'-'1.::,3�5�8�,9,,.2 7:---9=-0c.c1.::,6c.c2�3 ____ ,__ 18,053,55 0 9,828.360 6,819,744 2,804,412 1,171,640 20,624.156 l 2,570.606 2025 -- ! _ 3,!!_57.�00 11,380,�?!'.. -�1 _7,40!c 16,15 4,727 i 9,828,360 6,956,1.�� 2.��0,5 0� 1,171,�40 2 0,816,639 l 4,661,912 __ 2�0 2 2 67 _ -+-, 3 3 .201474 90,5 45 7 0 5 11,036,353 933,456 _ ·--··---·---,,_ ·-· 15,244,383 l _ 9,828,360 ____ 7,095,262 2,917,.?!£.,, __ 1,171,64 0 21,� / ___ 5,�7 _68_0,5_88 ________ _ 10,4 68,546 949.791 ----14,567,788 l 9,828,360 7,237,167 2,976,064 1,171,640 21,213,231 l 6,645,444 __ 2020 ; 3,019,100 10.121,055 9s5,4 12 1•,101,161; 9,s2s,3so 1,301,910 3,035,5 86 1,1 11,640 ._ E.417,496 ; 1,310,325 .... ----. -·-· -.---l-.4 8,872,608 · 4,020,137 � · 12,892,745 --1,103,0�� 13,9�_5,793 _ 1,s5o,on 1�.�•5,819 _ ·2,570,606 18,41 6,416 ----4,661,912 23,078,328 5,768,588 28,846,916 6,645A44 35,492.360 7,310,32 8 42,802,688 10,314,822 53,117,510 2.029 i ,_1.�Q���� 8,724,249 ·-•-· 9 83,325 11,311,024 l 9,828,360 7,529,548 3,096,297 1,17 1,640 21,62 5,846 l 10,314,822 -�2 0 0 3 3 01 +, 11 .. 4 54952.,85725 5 6,985,840 1,� ------9,531,948 l 9,828,360 --7,680:139 3,158 ,223 1,171,640 21,83 8,363 i,. 1 2,3 06,415 -----------��� .. ----��33,752 1,018,042__ --------9,344,619 l 9,828,360 7,833,742 3,221,388 1,171,640 22,055,130 l 12,710,51 1 12,306,415 12,710,511 65,423,925 78,134,436 2032 l 1.4 40,075 __ 6,687,9 92 1,035,858,, _________________ , ____ 9,163,924 [ 9,828,360 _ 7,990.41L,_ 3,285,816 ____ �1=,1�7=1,�64_00_�22c.c,2c.7.c6cc,2�3.cc2➔l-"1"'3"°,1"'120,,cc30c.c8�-----------"===c..i _2033_;__1,387,325 8,995,106; 9,828,360 8,150,225 3,351,532 1,171,�4 0 22,501,7 57 l 13,5 06,651 6,553,795 13,112,308 13,506,651 1,053,98� 2034 i 1,334,575 • 8.��8,585,l -�.828.,3.� 8,3 _13,230 3,418,5 62 ;.1_71,6�� n?3!,7 92 j_, 13,893,2�8 ..:_ ici';s· I i.2si.ioo s.103,738 1 9.s20,360 8,479,49 4 3.486,934 1.111,640 22,966,428 1 14,262.sso 6,431,580 1,�?2,430 6,325,440 1,091,198 5,313,040 1,110,294 13,893,2 08 14,262,690 15,537,523 91,246,744 104,753,396 118,646,6 03 132,909,293 148,446,817 --· 220 0 3367 _ :.--1 1_.2204 •2 •• 910 0 0 0 ---7,668,233 �14.ioo----_ __ 8,649.os4 __ 3,556.672 ____ 585,820 23,205,1� 15,537,523 __ 5,355,830 ; 11,000,000 8,822,0 66 3,627,806 23_.4_49�,_87_2..,..l _1_8�,0_9 __ 4�,0 _4 _2 __________ _ 3,023.406 1,129,724 ... 22_0 0_33.89 ___ :_: _ 11_ •. 116108,,3 50 090__ .: ··--· 3,782,96� i 1;,£90,9_0� s,,�98,507 _ 3,100,362 _ .2.�,�9,!!. .. ��9 ;_ !9.�5,!!.0.?_ 1,4?_�-��--_!._,!_49,4_��-1,445 .469 18,094,042 166,540,858 !-������ _-=-----.i. 186,456,765 21,389,07 8 --' 207,845,843 2040 1,07 6,1 00 1,417,969 ------------·---�2,�56,.3�,7,.,6"9_;;-1�1�,o�o"'o�,o�o�o-9,178.477 3.774,3 69 23,952,847 ; -'2"'1"',3"'8""9,"'0 �78�-------------------· 2,494,069; 11,000,000 9,362,047 3,849,857 24,211,904 l 21,717,835 --------�--- _21�,7_1 _7,�,8 _3 _5_1-----1-229,563,678 2041 ---1,389,609 1,389,609 l 11,000,000 9,549,2 88 3,926,854 24,476,142 ; 23,086,532 23,086,532 252,650,2 10 _.2042 -!-------------· ------·--·------------·-----·--·-------� 11,000,000 --------9.740,274_ 4,005,391_ 24,745,664: 24,745,664 24,745,664 277.395$742043 11,0�0.000 9,935,079 4,085,499 25,020,57 8 ; 2.5,02_0.�18 _25,02.0,578 302,416,452 2044 _ ------------------_____ , __________ ,_ 11,000,000 10,133,781 4,167:209 2s,3cio:iies i 25,300,989 25,3 00,989 327,717,4 41 _2_0_4_5_\ ____ 11,000,000 10,3 36,456 4,250,553 25,587,009 l 25,587,009 25,587,009 353,304,451 220 04467 ;_' . . _______ ,,._1�1�,o'-'o-'o.::,o�o�o .. _____ ,10.543,185 4,335,564 2 5,878,749 i 25,87 8,749 22 5 6 0,8117 8 6 .• ,734 24 9_ _ __ l.E�,183,� ; 11.000,000 10,154,.049 4,422,21s 26,116,324 ; 26,116,324 . I 4o5,359,s2• 2048 -!... , -_-_-__ -_--_-_·_--__________________-�+-11,000,000 10,969E.Cl_ 4,510,721 26,479,851 · ,; 26,479,851 2 6,479� 1331,839,375 Total 51,758,676 151,367,641 17,926,454 221,052,771: Total 1 The County has adopted a funding formula fo, capi1al and capital maintenance. Appropriations will be based on an amount equal to 65%ofthe prior fiscal year ADM Lottery proceeds. For the 2018 • 2019 budget year, the following amount has been catcuiated: 65.00% x $1,571,5 81 • $1,021,528. The remaining35%shall be retained in the Public School Building Capital Fund for future land purchase or debt payments. NOTE: for purposes of this analysis, all school pay-go capital is assumed to be funded from lottery proceeds and excluded from this anal},sis.. 2 1ncludes the Debt Service Fund Revenue of $11,000,000 , less QSCB Subsidies (Column M). 3 For purposes of this analysis, lottery proceeds are excluded and assumed to fund school capital outlay outside of this anal)Sis. See note 1 above. �Restricted Article 40 & 42 Board of Education Sales Tax.FY 2021 Revenues of $6,42 6,397 are assumed to grow at 1.50%peryear. �The 1/4� Sales Tax is dedicated solely to pay for New Schools debt service. FY 2021 Revenues of $2,642,660 are assumed to grow at 1.50% per year. 6 FY 2019 Subsidy per County Budget. QSCB Subsidies are reduced by 5.9�as a result of sequestration. 7 Per County Staff. Estimated balance as of 6/30/2020. •FY 2021 Value of a Penny8 : •Assumed Growth Rate: 8 Source: County StaffDAVENPORT .. PUBLIC FINANCE ;ei,: May 3, ?021 $891,333 1.00% •Note: Additional future changes in operating impacts have not been included. Harnett County, NC 10 061521a HCBOC Page18 Debt Affordability Analysis �-� Harnett COUNTY FY C l Existing County Existing School l OebtService DebtService D Existing Red Rock Debt Service Proposed School DS �.;·;f:n; (A�fll PJl-: NW Harnett Elementary School: $38,100,000 in August 2021 (FY 2022) Remaining GO Authorization: $4,900.000 in August 2021 (FY 2022) Potential Operating Impact G School Capital Outlay' Total 1 Debt Service \ Fund Revenue2 Lottery/ ADM3 K Restricted Art. 40 & 42 Sales Tax• 1/4 t Sales Tax5 M QSCB Subsidy6 Total Revenues [ Available ! 0 Surplus; (Deficrt) Q s Estimated Revenue From Capital Reserve Adjusted Surplus/ Incremental Tax Debt Service Prior Tax Impact Utilized (Deficit) Equivalent Fund Balance7 __ 2021 _ _! __ 4,517,426 __ 1 0,67 5,597 __ 8��,�9-7 .. -:-:::--:-·-�--=-:-----=--=�-1?,_0�8 .��_oi .. 9,828,360 __ ···-1,171,640-__ -_-2D:069.057i _:-:4,020,137 __ ____________ _ 4,020,1 37 1:;�;•��! 2022 : 6,234,200 12,042,314 870,87 5 ---967,500 _ ------· 20,114,890 i--9.828 ~,3 _6_o _______ �-�---��--�1,~17_1_c•6_4_0 20,250,438 i _____ 135,548 13 5,54 8 13_,0 28,293 _ 6,426,?97 �.642,6 �9 --6,554,925 2,695,513 -2023-_1_-s,019,6 00 _ 11,619,114 _ 886,116 4,085,ooo 22,610,4 30; 9,828,36 0 ;.;11,6�_ 20._4c3_5,447 L 1�.23_4,9_!l3J 12.234,9 83! 10,193,310 2024 ; 5,793,000 11,35 8,927 ·001:sn 3,988,250 ----22P41:8ooT-· 9:82s::isii 1,171,6 40 . -20,624.�U __,_(1CC'CC41=.c7..c,6c..4c..c4,._J ------"(1"-,4"'1""7",6-'4-'4),_ __ =---1----· +--'9-",3'-'7-'5",6"6"-6 6,6 86,023 2,749.423 6,819,744 2,804,412 �--�.857,� _1-'1,_3 8_0�,0_2 _6 ___ 9_1_7 �.4_0_1 __ 3,�8_91-',5_0_0____ _ 2 1 0 9 •. 0 0 4369 .• 212 3 1 3 i _9�,8_2�8�,3_6_o _______ �------�-�---1 ~,1_1�1,_6 4_0 . 20,816,639; 110.412 110,412 10,146,078 2026 : ��7.�.575 11,036,353 933.4 56 3,794-',7_5 _0____ 9,828.36 0 1,1 71,6 40 21,01 2,972 ; __ 1�,9 _7�3,_83_8--'------------1-',9_7_3,._8 _38_ 12,119,916 6,956,139 2,86 0,500 7,095,26 2 2,917,710 __ 20_2_7 _ _,_�3,�14_9�,4_5_0 __ 1_0~,4-6�8 ~,5�46 -,-__ �94 79�·-7�9�1 ____ 3,69 8,0 00 18,26 5,788 i 9,828,360 1,171,640 21,213,23!:_�--2,947.444 2,947.444 15,067,36 0 2 028 3,019,7 00 10,121,055 9 66,412 3,601,250 17,70_8,417 i _ 9,8,28,36 0 1,171,6 40 21 .417,49_6 i 3,709,078 3,709,0_78 -------_ 1 8,776,438 7,23?,167 2,9 76,064 7,3 81,910 �_.03 5,586 � _. -----'i"',6-'0-':i�.4-'50-'· ---'s:�7 _24-',2_4_9 ____ 9_8 _3�,3 _25 ___ 3,�5_04-',5_0_0_ --1 4,815,5 24: 9,82 8,360 1,171,64 0 21,62 5,846 i 6,810,322 6,810,3 22 2 5,586,76 0 20 30 : 1,54 5,575 6,9 85,840 1,000,533 3,407,750 12,9��.69�j __ 9,82 8,3.60_ 1,171,64 0 21,838,36 3 i 8,89 8,665 8,89 8,66 5_ ----34AB5�-7,529,548 3,096,29 7 7,680,139 3,158,223 _2 031 _J--1,492,825 6,833,752 1'.018:0 42 3,311,0DQ ________________ E����· 9,828,360 i:171,640 22,055,130 r-9,399,511 �399,511 --4 3,8 84,936 2032 ; 1,440,075 6,6 87_.992 1,035,8_58 . 3,214,250 12,378,174 i 9,828,36 0 1,171,64_0 22_.276,2_3� j 9,898,0�8 9,89�,05ll_ 53,782,994 1,8:Ja:1,12 3,221,388 7,990,417 2033 j 1,387,32 5 6,5 53,79 5 1,053,985 3,117,5 00 __ 1�2._11_2�,6_0_6�! __ 9~,8_2_8~,3_60 _________ ��--1,1 71,64 0 2 2,501,757 ; __ 1 _0,�3 _89-',_15_1_________ 10,389,151 � 64,172,146 2034 1,334,575 6,431,5 80 1,072.430 3,020,750 11,859�j__--c9,,8=728 c" ,736:c0c-______ -:'-='.:-'-c-C"c-----c-'='-=-,---'1,�1771-',6-'4c'Oc--'2'-'2"",7c'3-'1�,7-'9':"2-,: --=1-'0'"-8"-72"',4"-5'-'8'-------------=1�0,""8�72".4:c5 '-' 8 -t- ----;--=-7='5,�04c-4"",6'""'0cc--3 _3,2_85,816 ·8.150,225 3,351,532 8,313,230 3,418,56 2 __ 2-'03_5 __ +---1�,2 _87-',_1 0_0 __ 6�,3_2_5~.4_4 _0 __ 1~,0 _9 _1,�1 _98_ 2,924,000 11,627,738 i 9,82 8,36 0 1,1 71,64 0 22,966,428: 11,338,690 11,338,69Q. _ �3,293 2036 1,244,90 0 5,313,040 1,110,294 2,827,250 10,495,483 :... __ 10_.4�1_4_,1_8_0 ______ 585,820 23,205,757 :_12_,7_1_0,273 12,710,273 99,093,567 8,479,49� _ 3,486,934 8.6 49,084 3,556,672 _2031 -l 1.202 .100 3,023.40 6 1.1 29.124 2,1 30,500 8.08a,33 0 , 11,000.000 23.449,81 2 t�5.363.542 15,363.542 ----·114,451,108 · 2038 : 1,16 0,500 1,472cc,9-=-69=---'1"',1'-49�,4-'9 -'4-�2,"-6�33",7c-5c'-O _ --6,416,713 j_ll,000,000 ---23,698,869: 17,282,1�-----------�17-',2CC8'-'2"',1"5-=-7 131,739Jss 8,822,066 3,6 27,806 8,998,507 3,700,362 2039 _i ___ 1,118,300_ _ _ !,�4_5.�� 2,�:i1 ,D_?_O --·-···· ___ 5,!00.,!69_4 _ 11,o_oo,o_o� 9,178.477 ···-.�!.?4,3_69 __ 23,9 52,84 7_; 18,852,078 __________ . __ . ____ . _____ 18_.853,01_8+-----,-1_5_0_0,5 __ 9_1~,3�43 2040 : 1,076,100 _ 1.417,969_____ 2,440,25 0 __ 4,934,319,' 11,00 0,000 _________ .:.._�1_aj2,047 --3,849,857 24,211.� 19,277,585 -----· ---___ , ___ 19-'._27_7-',5_8_5,, 169,86 8,9 28 =-2_ci4f--J _ ___ 1_.:i�9.609 _ 2,34 3,500 _______ 3,7.3_3,!:_o� j ;1 .�09,?o_o ___ _ _ 9,54_9,28� 3,926,854 _ 24.476,14? L ?_0,74 3,Q.32 2.0,14:i_,0_�2 -190,s11,9 60·- __ 3___2o 0�32 ;_ _ _______________ 2,246,150 _____________ -___ 2,245,1 504_11.oo o.ooo ______ -___ 9,1 40,21 4 _ 4,005,39 1 __ 2 4,74 5,664 ;_"22"''-'-49""8",9"'1"'4 ___________ 22,495,914 213,110E�-• · J_1 1,000,000 9,9 35,079 �.085.499 -----25,020,578 : 25,020,578 ______ 2_5-',0_2_0~,5_7 _8-t---238,131,4� --------�.: 11:000:000 1 0,13 3,781 4,167,209 ·25,300,989 :_2-'5�,3 _0 0-''-'98�9--'---------2 5,300,9 89 263,432,441 _ 2044 ----------------11,000,000 10,336,456 4,250,553 25,587,009 i 25,587,009 -----=2-'5,"-5-'87-',0"-0=9 ------+-'2-'8-'9.,019,4 51 · : 11,000,000 1 0,543,185 4,335,5 64 25,878,749; 25,878,749 25,878,749 . 314,89 8,200 _ 2048_ :---------· -----------·-__ · : 11,0 00,000 10,754,049 4,422,275 26,17 6,324 : 26,1 76,324 ____________ 26,176,324 I .141,074,524 -------------=------=--i .... 1;,o_o?,_DO_o ___ --·-__ !2.��.1.�� -��1._0,721 --=---26.479.851· L-26,479,851 -- · - - - --26,479,851 r 367,554,375 Total ! 51,75 8,676 151,367,641 17,926,454 64,285,000 285,3 37,77 1 ! ! Total (3,652,627) 1Toe County has adopted a fundingformu1a for capital and capital maintenance. Appropriations will be based on an amount equal to 65% of the prior fiscal year ADM Lottery proceeds. For the 2018 -2019 budget year, the following amount has been calculated: 65.00%x $1,571,581 = $1,021,528. The remaining 35% shall be retained in the Public School Building Capital Fund for future land purchase or debt payments. NOTE: For purposes of this analysis, alt school pay-go capital is assumed to be funded from lottery proceeds and excluded from thfs analysis. 2includes the Debt 5eivice Fund Revenue of $11,000,000 , less QSCB Subsidies (Column M). 3For purposes of this analysis, lottery proceeds are excluded and assumed to fund school capital outlay outside of this anal?,S,is. See note 1 above. ,.. Restricted Anicle 40 & 42 Board of Education Sales Tax. FY 2021 Revenues of $6,426,397 are assumed to grow at 1.50% per year. 5 The 1/4,t; Sales Tax is dedicated solely to pay for New Schools debt service. FY 2021 Revenues of $2,642,660 are assumed to f!JOw at 1.50% per year. 6 FY 2019 Subsidy per County Budget QSCB Subsidies are reduced by 5.9% as a result of sequestration. 7 Per County Staff. Estimated balance as of 6/30/2020. •FY 2021 Value of a Penny9 : •Assumed Growth Rate: 9 Estimated per the FY 2021 Budget.DAVENPORT Ill PUBLIC FINANCE w May 3, 2021 $891,333 1.00% •Notes: Additional future changes in operating impacts have not been included. Harnett County, NC 14 061521a HCBOC Page19 Board Meeting Agenda Item MEETING DATE: June 21, 2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: RFP for Workers' Compensation REQUESTED BY: Heather D. Pollard, Human Resources Director REQUEST: Request consideration from the Harnett County Board of Commissioners to review and approve the attached recommendation regarding the selection of a new 3 rd par ty administration for the County's Workers' Compensation Adminstration. The information is a comparison between the two finalist who submitted their proposal through an Requst for Proposal (RFP) process earlier this year. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\llucas\AppData\Local\Microsoft\Windows\INetCache\Content.Outlook\UUXMODL0\Agenda-Workers Compensation.docx Page I of I 061521a HCBOC Page20 RlSKVERSlTY SMART ORGANIZATIONS MANAGE RISK. EXCEPTIONAL ORGANIZATI ON S PREPARE FOR IT. June 4, 2021 Ms. Heather Pollard Human Resources and Risk Management Director Harnett County 455 McKinney Parkway Lillington, NC 27546 Re: 7/01/2021 Third Party Administrator RFP Recommendation Heather: Our evaluation of responses to the Request for Proposals for a Third-Party Administrator for the County of Harnett's self-insured worker's compensation insurance program is nearing completion. As you are aware we issued the RFP in the first Quarter of 2021, and we received responses from: •Brentwood •BSI/Specialized Contract Administrators •John's Eastern •Sedgwick Respondents to the RFP were evaluated primarily on professional competence, cost, and ability to comply with the County's servicing criteria. Each respondent is a qualified third-party claims administrator with the ability to service the County's self-insured worker's compensation program effectively. Each of the respondents prepared a response to the County's request that demonstrated professional competence. Most of the cost proposals were within an acceptable range of variance to the County's existing program. John's Eastern distinguished themselves among other respondents. Their existing technology will assist the County in managing claims. The County will have real time access to adjuster's notes, doctor's notes, invoices, payment status and other relevant claims data. Access to this information will allow county staff to communicate effectively with injured employees. It will also assist with budgeting and payment processing by reducing the number of file touches from county staff to obtain relevant documentation. In addition, this system will allow County Staff to retrieve and customize status reports for the purposes of identifying trends which should ultimately result in fewer claims as injury sources are identified and properly managed. John's Eastern provided a fixed cost pricing structure. This structure is slightly less than the County's existing provider and has no contingent fees for subrogation recoveries. John's Eastern will work closely with the county to manage claims and not just process payments. Currently John's Eastern is securing excess worker's compensation quotes for the County. This is the final item that will complete their cost proposal. Due to the County's internal timing constraints, we have included one of the two options in the comparison on the following page. Actual numbers from the 2nd option could differ materially from what is presented here. Corporate Office: 151 W Fourth Street, Cincinnati, OH 45202 51 3-644-1 085 www.RiskVersity.com North Carolina Address: 5710 West Gate City Blvd., Suite K 129 Greensboro, NC 27 407 704-245-4308 Mailing Address: PO Box 62 1 047 Cincinnati, OH 45262 061521a HCBOC Page21 RlSKVERSlTY John's Eastern is familiar with local providers and will work with the County to direct care to Lillington Medical Services and others as needed. John's Eastern has a robust Safety program. If properly implemented, this program could work to further reduce the County's claims. Other strengths and weaknesses were discussed internally with you and other County staff and are not captured in this summary. In addition to third party administrators the North Carolina Association of County Commissioners (NCACC) was also invited to provide an alternative to the County's self-insured worker's compensation insurance program. It is important to note that this option would not mirror the County's existing arrangement. Instead, it more closely resembles the County's pooling arrangement for its property and liability insurance program. The NCACC proposal is a high deductible option not a self-insured retention. Here are a few points of contrast: •In this high deductible program, the NCACC would pay for losses on behalf of the County and collect payment for its deductible monthly. Whereas in a self-insured retention program, the County pays for the costs of claims as they are incurred through its arrangement with a third party claims administrator. For the purposes of comparison, having the NCACC incur theses costs first then seek reimbursement from the County would generally be viewed as a positive from a cash flow perspective. •In this high deductible program, the NCACC has final authority on which claims are paid and/or settled. The County should expect to be consulted by the NCACC on any points of contention, however the final decision rests with the NCACC not the County. In contrast, in a self-insured retention program, the County retains the authority to decide whether to settle and/or pay for claims. This is typically viewed as a negative from a control perspective. •In this high deductible program, the NCACC has an incentive for the County's claims to remain low and infrequent. However, in our opinion, this incentive is not as strong as the County's incentive under its current self-insured program. While interests for low cost and low frequency claims are shared between the two organizations. It is our opinion that the County will remain more motivated to mange its claims in its current Self-Insured program. •In this high deductible program, the NCACC outsources the claims management and processing to Sedgwick. This team is based in Charlotte North Carolina. This team is experienced in claims management much like the County's existing service team. However, this contract is between the NCACC and Sedgwick not the County and Sedgwick. o The County may not have the same level of access to reports, notes, etc. that it has now under its current program. o Staff member's responsibility could shift as there will be a reduced need for oversight. Attached on the following pages is a cost comparison between the two programs. A few points of note: •The NCACC's high deductible program is for a $500,000 deductible vs. the County's existing $1,000,000 Self Insured Retention •The NCACC's costs does not include a multi-pool credit of ~$30,000 which could be applied to the contribution costs of either pool if the County decides to become members of both Property and Liability and Worker's Compensation Pools. www.RiskVersity.com 061521a HCBOC Page22 RlSKVERSlTY After review of this information, we recommend that the County remain in its self-insurance program and transition existing claims to John's Eastern. While the Cost savings of moving to a program like the NCACCs is enticing, price is not the only factor when choosing a Worker's Compensation Program . As a direct result of County staff's current engagement, there are relatively low claims volume and costs. In addition, the John's Eastern Team should complement county staff's efforts and continue to drive down these costs by providing access to relevant data, introducing new management tools, and implementing a strong effective safety program. Our next steps are for the County to review proposed contract language from John's Eastern as we await the final quote for comparison. Please contact us if you have any questions regarding this recommendation. R07-�mitted, Christo� Holmes CEO & Co-Founder www.RiskVersity.com 061521a HCBOC Page23 Harnett County TP A Rating Pricing Comparison Sheet Jun-21 Existine: Proe:ram John's Eastern LINE ITEM FIXED COSTS II Claims Administration Annual Fee $ 34,000.00 $ 30,000.00 Brokerage Fee $ 17,500.00 $ 10,000.00 Pre mi um/Contribution $ 163,430.00 $ 179,021.00 Subtotal $ 214,930.00 $ 219,021.00 VARIABLE COSTS Estimated Claims inside deductible $ 398,000.00 $ 398,000.00 Subtotal $ 398,000.00 $ 398,000.00 TOTALS $ 612,930.00 $617,021.00 Notes: NCACC - - $ 146.437.00 $ 146,437.00 $ 300,100.00 $ 300,100.00 $ 446,537.00 * John's Eastern is still securing an additional quote for Excess Worker's Compensation coverage. this option could casue the Premium/Contribution number to vary materially *The NCACC's premium/contribution number does not include a multi-pool credit of ~$30,000. If selected the County could apply this credit to either the P&L or WC pool. *The NCACC's program would replace the County's existing $1,000,000 Self Insured retention with a $500,000 deductible. The NCACC also provides higher deductible options. 061521a HCBOC Page24 Board Meeting Agenda Item MEETING DATE: June 21, 2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Termination of Easement REQUESTED BY: Christopher W. Appel REQUEST: The Legal Department requests permission from the Board to terminate an easement for KDP Development, LLC FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: P: \BOC\agendaform202 l .docx Page 1 of 1 061521a HCBOC Page25 Prepared By: Christopher W. Appel Senior Staff Attorney Department of Legal Services Post Office Box 238 Lillington, North Carolina 27546-0238 Return to: Hamett County Staff Attorney Department of Legal Services Post Office Box 238 Lillington, North Carolina 27546-0238 Revenue: $0.00 STATE OF NORTH CAROLINA COUNTY OF HARNETT TERMINATION OF EASEMENT THIS TERMINATION OF EASEMENT (this "Termination") is executed this __ day of ____ is executed, by the COUNTY OF HARNETT (hereinafter referred to as the "County"). WHEREAS, on June 18, 2003, Aaron Chesley Johnson, Jr. and wife, Regina Currin Johnson, (hereinafter referred to as "Grantors") executed a Deed of Easement (hereinafter referred to as the "Easement") which granted the County a 20 foot access easement across Grantors' land as described in Book 1782, Page 242, Hamett County, North Carolina Registry; and WHEREAS, on September 8, 2003, Grantors executed a Corrected Deed of Easement to correct an error in the description of the Easement as described in Book 1832, Page 466, Hamett County, North Carolina Registry; and WHEREAS, KDP Development, LLC (hereinafter referred to as "KDP"), the current owners of parcel ID number 0651-77-1507 .000, which encompasses a portion of the Easement, will execute and record a Deed of Easement which will grant the County a new access easement across this parcel of land; and 061521a HCBOC Page26 WHEREAS, with the grant of a new access easement, the County will no longer require the use of the portion of the Easement across KDP's parcel of land for any purpose, and is not required or convenient for any use or public purpose in the future and has no value to the County; and WHEREAS, the County desires to release and terminate the portion of the Easement that lies within KDP's parcel of land. NOW, THEREFORE, in consideration of the foregoing, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the County does hereby declare and agrees as follows: The above described Easement being described in Book 1782, Page 242 and Book 1832, Page 466 in the Office of the Register of Deeds for Hamett County, with the exception of the portion of the Easement as shown on the map attached hereto as Exhibit A and more particularly described in the attached Exhibit B, is hereby forever released, extinguished, and terminated in all respects and the County shall not have any further rights or obligations with respect to or pursuant to the portion of the Easement terminated herein. IN WITNESS WHEREOF, the County has executed this Termination of Easement as of the day and year first above written. STATE OF NORTH CAR OLINA COUNTY OF HARNETT COUNTY OF HARNETT By: ---------------W.Brooks Matthews, Chairman Hamett County Board of Commissioners I, ___________ , a Notary Public for Hamett County and State of North Carolina, do hereby certify that W. Brooks Matthews, Chairman of the Hamett County Board of Commissioners, personally appeared before me this day and acknowledged the due execution of the foregoing instrument. Witness my hand and official seal, this the day of June 2021. -- Notary Public My Commission Expires: 061521a HCBOC Page27 �!TE '-, .'\.t �----'-- '--./ VICINITY --.. -EXHIBIT"A" ½i/.I I !/.!) / I� I 'bj I ;1 /J�f / JERI« -IIWIC1Wi!), JR. &lliVlllEY JOSEPH lfN«:IWlll, JR.P.LN. 0651-7!1-3201.000 D.S. JSOf, PG. 900 -JRACr J IIA 16, PG. 16 - l07 J /i'( I� f ,,, / ;:pl / r;;i 11----- /✓ �Ji I SIElTER I/ IN OIJl•IR-91 ,1 £EV: IMRON C1ESl£f JOll6JN. JR.P.LN. 06SI-S7--08JB.000 D.B. J747, PG. 961 P.c./1, SI. J71 l07 9 I I I J� #4 I 1 �,I� \ 'L � KDPDEl£i.OPIIENr,U.C P.J.N. 0551-77-1507.000D.8. J76B, PG. 188 --�r-/ \ '· \ LJgy \ \\ ------/----------- / /P.O,B. .......__ / --- \\ \.��I \ \ \ flt�.--rvv \ \ � • ( T • • • --------� :_�-�-\·,,, ___ KADERWE J. CQUS I\O.C. ......_ ......, .,.,,,. - ....._ P.LN. OBSl-57-2060.000 ......_ ....._ ....._ ....._ ✓ ..._ ...._ o.s.1411,PG.:m , ........._ - t P.c.,,. SL Jn ', -....... � preliminary plat -not for wr 10 ' · recordation, conveyances. or salesTHIS MAP IS NOT A CERTIFIED SURVEY AND HAS NOT BEEN REVIEWED BY A LOCAL GOVERNMENT AGENCY FOR COMPLIANCE WITH ANY APPLICABLE LAND DEVELOPMENT REGULATIONS (N.C.G.S. 47-30(1 l)(n)) C:R\PHIC .'C\IY -------- -- , II\ rrr·1 i / < � ...... p.; ��-,,;-��� I- 1-, "J, � <IJ ill e-.� (IJ l)'j,'l ,,C: 0 G••!., U.'"""' t,QSl�'•f 0 O J ) { ! t : i:: i:: �.[,• � �H l 00 u � g � g� 51 ��!j �i ii �< � I i � � @if ta. g� ;!;� �t:I �t:I � � � \ i! I I t lI I t I' "'\ i l !! "�. ; � .I;; i,i,c ffl 15�§ ii :1si ► ;1: -�"'�;a � �-11[ g ;:;;�ii i ��i I- z(J)ZQ = s:�� � 8wo I-<( (/) a.-c::w<(c, !:Q � � w z :c w(/)z>< _(/)_ w ....I w <( 0::(.)�<( (.) w<( 0:: t i l t I lJ ;! §! I ;I i Ii'i Il'-.__Ji lEEFflOJECJ: SXN!.' � S -1 511fEI' 1 " , 061521a HCBOC Page28 Joe E. Godwin Sr., P.E., P.L.S. Email: general@enochengineers.com Exhibit "B" E nochngmeers, P. A. Consulting Engineers & Surveyors 1403 NC Hwy 50 South Benson, NC 27504 Description for 20' Access Easement for Harnett County Regional Water Aaron Chesley Johnson. Jr. -remaining portion Phone: (919) 894-5731 (919) 894-7765 Fax:(919)894-8190 Situated in the County of Harnett, Neill's Creek Township, State of North Carolina and being located on the property of Aaron Chesley Johnson as recorded in Deed Book 3747, Page 961, Harnett County Registry(HCR). Further being bounded and described as follows: COMMENCING at a point in the northern boundary of Katherine J. Coates as recorded in Deed Book 7 48, Page 371 and Plat Cabinet#1, Slide 371, HCR, said point also being the southeastern corner of Aaron Chesley Johnson, Jr. as recorded in Deed Book 3747, Page 961 and Plat Cabinet #1, Slide 371, HCR, said point also being the southwestern corner of KDP Development, LLC as recorded in Deed Book 3766, Page 168, HCR; thence running with the common boundary of said Aaron Chesley Johnson, Jr. and KDP Development, LLC, CALL#1: N 07 ° 42' 03" E, 191.54' to the POINT OF BEGINNING; thence leaving said POINT OF BEGINNING and running the following bearings and distances: CALL#2: N 72 ° 16' 31"W, 16.27' to a point; thence CALL#3: N 82 ° 09' 42" W, 81.49' to a point; thence CALL#4: N 04 ° 18' 12" E, 183.04' to a point; thence CALL#5: N03 ° 22' 26"E, 175.50' to a point in the southern boundary of an existing 40' sewer easement as recorded in Deed Book 1587, Page 1 and Map#2001-1330, Harnett County Registry; thence running with said southern easement boundary CALL#6: N22 ° 08' 54"E, 62.14' to a point; thence leaving said southern easement boundary and running with the eastern and northern boundary of aforementioned access easement CALL#?: S03° 22' 26"W, 234.50' to a point; thence CALL#8: S04° 18' 12"W, 164.40' to a point; thence CALL#9: S82 ° 09' 42"E, 64.41' to a point; thence CALL#10: S72 ° 16' 31"E, 14.46' to a point in the the common boundary of said Aaron Chesley Johnson, Jr. and KDP Development, LLC,; thence with said common boundary CALL#11: S 07° 42' 03" W, 20.31' to the POINT OF BEGINNING and containing 9,341 square feet (0.21 acres), more or less. 061521a HCBOC Page29 Board Meeting Agenda Item MEETING DATE: June 21, 2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Land Use Plan Amendment: Case# PLAN2105-0001 REQUESTED BY: Development Services/ Mark Locklear REQUEST: Landowner/ Applicant: Woodshire Partners, LLC / 4D Site Solutions, Inc. PIN # 0506-88- 4099 .000; 72.6 acres. The applicant requests a Land Use Map Amendment from Agricultural & Rural Residential to Medium Density Residential Use; Anderson Creek Township. Development Services staff reccomends approval based on existing Medium density Residential designation on adjoining tracts. No one spoke in oppsition. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\llucas\AppData\Local\Microsoft\Windows\lNetCache\Content.Outlook\UUXMODL0\Woodshire_CC agenda fonn.docx Page I of I 061521a HCBOC Page30 HARNETT COUNTY NORTH CAROLINA A RESOLUTION AMENDING THE HARNETT COUNTY UNIFIED DEVELOPMENT ORDINANCE WHEREAS, the Board of Commissioners of Harnett County adopted the UDO on October 17, 2011 for the purpose of promoting the health, safety, and general welfare of the county residents; and WHEREAS, this ordinance was adopted under authority granted by the General Assembly of the State of North Carolina, particularly G.S. 153A-340; and WHEREAS, the UDO contains provisions for amending said ordinance and those provisions have been followed; and WHEREAS, the Harnett County Planning Board has reviewed the amendment to the article of the UDO as listed below and recommends the adoption of the following amendment. NOW, THEREFORE BE IT RESOLVED BY THE BOARD OF COMMISSIONERS OF HARNETT COUNTY, NORTH CAROLINA that Hamett County Unified Development Ordinance Article VII: Development Design Guidelines, Section 13.1 Recreation & Park Development; Section 13.2 Bicycle, Pedestrian, & Greenway Improvements, of the UDO shall be amended to read as indicated in "Attachment". "Attachment" is filed with the Unified Development Ordinance in the Clerk to the Board's Office. Duly adopted this 21st day of June 2021 and effective upon adoption. HARNETT COUNTY BOARD OF COMMISSIONERS W.Brooks Matthews, Chairman ATTEST: Lindsey B. Lucas, Interim Clerk 061521a HCBOC Page31 Article VII Development Design Guidelines Section 13.0 Other Improvement Standards 13.1 Recreation & Park Development All residential subdivisions and developments, except minor subdivisions, shall provide funds to the County whereby the County may acquire public recreation and park land or areas to serve the development or subdivision in the immediate area. A.The amount of such fee shall be the product of the total number of dwelling units and/ or building lots located inthe development or subdivision multiplied by the recreation fee as established by The Harnett County Board ofCommissioners.B.The fee shall be paid prior to approval of a final plat for the subdivision, provided that payments may be phased inaccordance with the approved phasing of the subdivision.C.The County may transfer funds paid by one (1) or more subdivisions to a municipality or make arrangements forthe joint County/municipal expenditure of the funds where the County determines that such transfer orarrangements would better ensure the funds will be used to acquire public recreation and park areas that will servethe recreational needs of the development and developments in the immediate area.D.In situations where a development has already been approved prior to the adoption of the Hamett County Bicycle,Pedestrian, & Greenway Plan, the developer may choose to build the prescribed facility in place of paying all or aportion of the above described recreation fee. If it is desirable to provide for such improvements, this discussionand review shall be conducted by the Development Review Board and any of its advisory members , as per policy and standards set by the Harnett County Parks & Recreation Advisory Committee. Upon approval, the applicantand the County may enter into a development agreement as set forth in article VI, Section 8.0 of this UnifiedDevelopment Ordinance.13.2 Bicycle, Pedestrian, & Greenway Improvements A.Purpose & ApplicabilityThe Hamett County Bicycle, Pedestrian, & Greenway.Plan is an officially adopted plan addressing short and longrange recreation and transportation needs linking quality of life with land use and development within HamettCounty. For the purpose of this Ordinance, it shall be the responsibility of developer(s) of major subdivisions,multifamily developments, and nonresidential sites to comply with the Hamett County Bicycle, Pedestrian, &Greenway Plan.B.Required ImprovementsAll such development located adjacent to a route or trail that is included in the County's adopted Bi cycle, Pedestrian,& Greenway Plan., or any other officially adopted Plan, shall comply with the prescribed improvements as indicatedwithin said Plan13.3 Monuments & Lot Comers All permanent monuments shall be of a type in compliance with State statutes regulating Professional North Carolina Land Surveyors. All lot comers, other than those marked by permanent monuments as herein described, shall be marked in a type in compliance with State statutes regulating Professional North Carolina Land Surveyors. 13.4 Guidelines for Handicapped Persons In order to remove restrictive barriers which severely impede the daily movements of physically handicapped and elderly persons, the developer shall comply with all requirements of North Carolina General Statute 136-44.14 061521a HCBOC Page32 \ Harnett (.-., C O U N T Y Development Services Department Proposed Land Use Map Amendment: Case # PLAN 21os-0001 Landowners: Woodshire Partners, LLC Applicant: 4D Site Solutions, Inc Request: 72.6 acres from Agricultural & Rural Residential to Medium Density Residential Location: Nursery Rd; Anderson Creek Township Pin #: 0506-88-4099 Meeting Date: June 21, 2021 Statement-of-Consistency www.harnett.org PO Box 65 108 E. Front St. Lillington, NC 27546 Ph: 910-893-7525 Fax: 910-814-6459 The requested Land Use Map amendment is compatible with Harnett County regulatory documents and would not have an unreasonable impact on the surrounding community due to the existing Medium Density Residential designation on adjoining tracts. Therefore, the Harnett County Commissioners APPROVE this rezoning request. W.Brooks Matthews, Chairman ATTEST: Lindsey B. Lucas, Interim Clerk strong roots • new growth 061521a HCBOC Page33 Board Meeting Agenda Item MEETING DATE: June 21, 2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Text Amendment: Case# PLAN2105-0002 REQUESTED BY: Development Services/ Mark Locklear REQUEST: Harnett County Unified Development Ordinance; Article VII, Sections 13.1, 13.2. To amend Harnett County's U.D.O. where it pertains to greenway, bicycle, & pedestrian facilities. Development Services staffreccoments APPROVAL ofthis Text Amendment as it is compatible with Harnett County regulatory documents, specifically the recently approved Harnett County Bicycle, Pedestrian, & Greenway Plan. No one spoke in oppsition. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C: \Users\llucas\AppData \Local\Microsoft\ Windows\IN etCache\Content. Outlook\UUXM ODL0\Green way TA_ CC agenda form.docx Page 1 of I 061521a HCBOC Page34 ��Harnett }_(� co u NT v TEXT AMENDMENT REQUEST FORM -NORTH cARouNA (Internal) Development Services 108 E. Front Street P.O. Box 65, Lillington, NC 27546 Phone: (910) 893-7525 Fax: (910) 893-2793 Planning Board: June 7, 2021 County Commissioners: June 21, 2021 Applicant Information: Case Number PLAN21os-0002 Applicant: Name: Harnett County Development Services Address: 108 E Front St City/State/Zip: Lillington NC, 27546 E-mail: Phone:910-893-7525 Type of Change [gl New Addition �Revision Unified Development Ordinance: Ordinance Current Text: See attached Article: Proposed Text: (Attach additional sheets if necessary) See attached Reason for Requested Change: VII Section: 13.1, 13.2 To amend Harnett County's U.D.O. where it pertains to greenway, bicycle & pedestrian facilities. Sugge sted Statement-of-Consistency: (Staff concludes that...) The requested Text Amendment is compatible with Harnett County regulatory documents, specifically the recently approved Harnett County Bicycle, Pedestrian, & Greenway Plan. Therefore, it is recommended that this Text Amendment request be APPROVED Additioanl Information: At their June 7th meeting, the Harnett County Planning Board voted 4-0 to recommend approval of this of the Text Amendment based on compliance with recently adopted Bicycle, Pedestrian, & Greenway Plan, as well as the overall economic development opportunities associated with these facilities. Page 1 of 3 061521a HCBOC Page35 ATTACHMENT 1 Re: create recreational areas and useable open space throughout Harnett County. Red text is proposed Article VII Development Design Guidelines. Section 13.0 Other Improvement Standards 13.1 Recreation & Park Development All residential subdivisions and developments, except minor subdivisions, shall provide funds to the County whereby the County may acquire public recreation and park land or areas to serve the development or subdivision in the immediate area. A.The amount of such fee shall be the product of the total number of dwelling units and/ or building lots located inthe development or subdivision multiplied by the recreation fee as established by The Harnett County Board ofCommissioners.B.The fee shall be paid prior to approval of a final plat for the subdivision, provided that payments may be phased inaccordance with the approved phasing of the subdivision.C.The County may transfer funds paid by one (1) or more subdivisions to a municipality or make arrangements forthe joint County/ municipal expenditure of the funds where the County determines that such transfer orarrangements would better ensure the funds will be used to acquire public recreation and park areas that will servethe recreational needs of the development and developments in the immediate area.D.In situations where a development has already been approved prior to the adoption of the Harnett County Bicycle,Pedestrian, & Greenway Plan, the developer may choose to build the prescribed facility in place of paying all or aportion of the above described recreation fee. If it is desirable to provide for such improvements, this discussionand review shall be conducted by the Development Review Board and any of its advisory members, per policy andstandards set by the appointed Harnett County Parks & Recreation Board. Upon approval, the appl icant and theCounty may enter into a development agreement as set forth in article VI, Section 8.0 of this Unified DevelopmentOrdinance.13.2 Bicycle, Pedestrian, & Greenway Plan A.Purpose & ApplicabilityThe Harnett County Bicycle, Pedestrian, & Greenway Plan is an officially adopted plan addressing short and longrange recreation and transportation needs linking quality of life with land use and development within HarnettCounty. For the purpose of this Ordinance, it shall be the responsibility of developer(s) of major subdivisions,multifamily developments, and nonresidential sites to comply with the Harnett County Bicycle, Pedestrian, &Greenway Plan.B.Required ImprovementsAll such development located adjacent to a corridor that is included in the County's adopted Bicycle, Pedestrian, &Greenway Plan., or any other officially adopted Plan, shall comply with the prescribed improvements as indicatedwithin said Plan.C.Measurement of Land Area for Future Right-of-\VayY..a 13.3 Monuments & Lot Comers All pennanent monuments shall be of a type in compliance with State statutes regulating Professional North Carolina Land Surveyors. All lot corners, other than those marked by permanent monuments as herein described, shall be marked in a type in compliance with State statutes regulating Professional North Carolina Land Surveyors. Page 2 of 3 061521a HCBOC Page36 �13.4 Guidelines for Handicapped Persons In order to remove restrictive barriers which severely impede the daily movements of physically handicapped and elderly persons, the developer shall comply with all requirements of North Carolina General Statute 136-44.14. Page 3 of 3 061521a HCBOC Page37 HARNETT COUNTY NORTH CAROLINA A RESOLUTION AMENDING THE HARNETT COUNTY UNIFIED DEVELOPMENT ORDINANCE WHEREAS, the Board of Commissioners of Harnett County adopted the UDO on October 17, 2011 for the purpose of promoting the health, safety, and general welfare of the county residents; and WHEREAS, this ordinance was adopted under authority granted by the General Assembly of the State of North Carolina, particularly G.S. 153A-340; and WHEREAS, the UDO contains provisions for amending said ordinance and those provisions have been followed; and WHEREAS, the Harnett County Planning Board has reviewed the amendment to the article of the UDO as listed below and recommends the adoption of the following amendment. NOW, THEREFORE BE IT RESOLVED BY THE BOARD OF COMMISSIONERS OF HARNETT COUNTY, NORTH CAROLINA that Harnett County Unified Development Ordinance shall be amended, per the new requirements of Chapter 160D of the North Carolina General Statutes which consolidates current city­and county-enabling statutes for development regulations, to read as indicated in the following "Attachments". "Attachment" is filed with the Unified Development Ordinance in the Clerk to the Board's Office. Duly adopted this 21st day of June 2021 and effective upon adoption. HARNETT COUNTY BOARD OF COMMISSIONERS W.Brooks Matthews, Chairman ATTEST: Lindsey B. Lucas, Interim Clerk 061521a HCBOC Page38 ARTICLE III. DEVELOPMENT & SUBDMSIONS REVIEW, PERMITTING, & APPROVAL REQUIREMENTS Section 2.0 Permit Requirements 2.1.4 Expiration of Land Use & Zoning Permits If the work described in any land use and zoning pennit has not begun within 365 days from the date of issuance thereof, said permit shall expire. If after commencement, the work is discontinued for any period of 365 days, the permit shall immediately expire and further work as described in the expired pennit shall not proceed unless and until a new land use and zoning permit has been obtained. 2.4 Sign Permit 2.4.1 Filing Procedure C.Expiration of an Approved Sign Site Plan 1.Any sign pennit that has received final approval shall be valid for a period of 365 days from the date the plan received approval from the Administrator. During this time the sign shall be constructed as approved. Once this period has passed the site plan shall be considered null and void. In the situation where the sign is considered to be conforming the permit may be renewed after the Planning Department has determined that the sight is still a conforming site. Each application for renewal shall constitute a new review of the application and all pertinent fees shall apply.2.11 Permit Expiration Unless otherwise specified herein, all pennits shall be valid for a period of 365 days. SECTION 4.0 SITE PLAN REVIEW REQUIREMENTS 4.1.2 Site Plan Expiration Any site plan that has received approval shall be valid for a period of 365 days from the date the plan received approval from the Administrator or Development Review Board. Any conditional approval or hold decision for a site plan made by the DRB or Admi nistrator shall be valid for a period of 90 days from the date on which the decision was made. It shall be the applicant's responsibility to obtain full app roval during said period. Once this period has passed the site plan shall be considered null and void unless vested rights have been established in accordance with this Ordinance. In these instances, a new review shall be obtained. 061521a HCBOC Page39 ARTICLE VII. HISTORIC PRESERVATION SECTION 2.0 HISTORIC LANDMARKS 2.3 Required Procedure for Designation 2.3.1 Review Standards Prior to the designation of any historic landmark or district, the HPC shall prepare and adopt standards, not inconsistent with the North Carolina General Statutes for altering, restoring, moving, or demolishing of property designated as historic. It is the intention of these standards to ensure, insofar as possible, that changes in designated landmarks or properties located within designated districts shall be in harmony with the reasons for designation. SECTION 4.0 CERTIFICATE OF APPROPRIATENESS4.2 Review Standards The HPC shall review the established guidelines prepared during the designation resolution process for the subject property. It is the intention of these guidelines to ensure, insofar as possible, that changes in designated landmarks or properties located within design ated districts shall be in harmony with the reasons for designation. 4.8 Required Procedures 4.8.6 HPC Action on Application When considering the application, the HPC shall apply the review guidelines required by Section "Conflicts with Other Laws or Regulations" of Article I" General Provisions", and shall, before final action on the application, make findings of fact indicating the extent to which the application is or is not in compliance with the review criteria. The HPC's quasi-judicial action on the application shall be approval, approval with modifications, deferral, or disapproval. 4.8.9 Appeals of the Historic Properties Commission's Decision An appeal may be made to the Harnett County Board of Adjustment regarding the HPC's action in approving or denying any application for a Certificate of Appropriateness. Appeals shall be filed with the Harnett County Board of Adjustment within 30 days following the Commission's decision. Appeals shall be in the nature of certiorari. The Board of Adjustment's decision in any such case may be appealed to the Superior Court of Hamett County. Article XIV. Definitions & Certifications 2.0 General Definitions & Acronyms 2.2 Gener al Definitions Manufactured Home 061521a HCBOC Page40 A home that: A.Consists of a single unit completely assembled at the factory or of two (double-wide) or three (triple-wide) principalcomponents totally assembled at the factory and joined together at the site;B.Is designed so that the total structure (or in the case of double-wide or triple-wide, each component thereof) can betransported on its own chassis;C.Is over 32 feet long and over 8 feet wide;D.Is designed to be used as a dwelling and provides complete, independent living facilities for one (1) family, includingpermanent provisions for living, sleeping, eating, cooking, and sanitation;E.Is actually being used, or is held ready to use, as a dwelling; andMeets or exceeds the construction standards adopted by the U.S. Department of Housing and Urban Development that were in effect at the time of construction 061521a HCBOC Page41 Board Meeting Agenda Item MEETING DATE: June 21, 2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Text Amendment: Case# PLAN2105-0003 REQUESTED BY: Development Services/ Mark Locklear REQUEST: Hamett County Unified Development Ordinance; Article III; VII, XIV, Sections 2.0 & 4.0; 2.2; 2.0 & 4.0. To amend Hamett County's U.D.O. in order to comply with North Carolina General Statute 160D. This amendment brings consistency to definitions as referenced in the newly adopted language of 160D. Development Services staffreccoments APPROVAL of this Text Amendment based on compliance the County's regulatory documents as well as the NC General Statutes. Additional Information: On June 7, 2021, the Hamett County Planning Board voted unanimously ( 4-0) to recommend approval of application based on compatibility with the NC General Statutes. No one spoke in opposition. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C: \Users\llucas\AppData \Local\Microsoft\ Windows\INetCache\Content. Outlook\UUXM ODL0\l 60D TA_ CC agenda fonn.docx Page 1 of I 061521a HCBOC Page42 � � Harnett J_(� co u NT v TEXT AMENDMENT REQUEST FORM NoRr (Internal) Development Services 108 E. Front Street P.O. Box 65, Lillington, NC 27546 Phone: (910) 893-7525 Fax: (910) 893-2793 Planning Board: June 7, 2021 County Commissioners: June 21, 2021 Applicant Information: Case Number PLAN2105-0003 Applicant: Name: Harnett County Development Services Address: 108 E Front St City/State/Zip: Lillington NC, 27546 E-mail: Phone:910-893-7525 Type of Change C8l New Addition C8]Revision Unified Development 2.0 & 4.0; 2.2; 2.0 & Ordi nance: _O--=----::....:rd=i=n-=a=nc.;;;;..e;;;:;...._ ______ _ Article: III; VII; XIV Section: _4_.----'--0 ___ _ Current Text: See attached Proposed Text: (Attach additional sheets if necessary) See attached Reason for Requested Change: To amend Harnett Co unty's U.D.O. in order to comply with North Carolina General Statute 160D. This amendment brings consistency to definitions as referenced in the newly adopted language of 160D. Summary: •All development permits and approvals as valid for 12 months•Historic Preservation district provisions shall be referred to as "standards" rather than "guidelines."•Historic Preservation Certificate of Appropriateness reviews shall follow quasi-judicial process.•Historic Preservation Certificate of Appropriateness appeals shall be filed 30 days after decision.•Must not excluded a manufactured home based on age. Suggested Statement-of-Consistency: (Staff concludes that ... ) The requested Text Amendments are compatible with Harnett County regulatory documents as well as the North Carolina General Statutes. Therefore, it is recommended that this Text Amendment request be APPROVED. Add itional Information On June 7th, the Harnett County Planning Board voted unanimously (4-0) to recommend approval of this application based on compliance with the NC General Statutes. •No one spoke in opposition. Page 1 of 4 061521a HCBOC Page43 ATTACHMENT 1 Red text is proposed, Black text is existing ARTICLE III. DEVELOPMENT & SUBDMSIONS REVIEW, PERMITTING, & APPROVAL REQUIREMENTS Section 2.0 Permit Requirements 2.1.4 Expiration of Land Use & Zoning Permits If the work described in any land use and zoning permit has not begun within +8Q 365 days from the date of issuance thereof, said permit shall expire. If after commencement, the work is discontinued for any period of +89 365 days, the permit shall immediately expire and further work as described in the expired permit shall not proceed unless and until a new land use and zoning permit has been obtained. 2.4 Sign Permit 2.4. 1 Filing Procedure C.Expiration of an Approved Sign Site Plan 1.Any sign permit that has received final approval shall be valid for a period of +8Q 365 days from the date the plan received approval from the Administrator. During this time the sign shall be constructed as approved. Once this period has passed the site plan shall be considered null and void. In the situation where the sign is considered to be conforming the permit may be renewed after the Planning Department has determined that the sight is still a conforming site. Each application for renewal shall constitute a new review of the application and all pertinent fees shall apply. 2.11 Permit Expiration Unless otherwise specified herein, all permits shall be valid for a period of +89 365 days. This sttttemeat shall aot s.pply to bl:ltidi:ag pennits. Section 4.0 Site Plan Review Requirements 4.1.2 Site Plan Expiration Any site plan that has received approval shall be valid for a period of +89 365 days from the date the plan received approval from the Administrator or Development Review Board. Any conditional approval or hold decision for a site plan made by the DRB or Administrator shall be valid for a period of 90 days from the date on which the decision was made. It shall be the applicant's responsibility to obtain full approval during said period. Once this period has passed the site plan shall be considered null and void unless vested rights have been established in accordance with this Ordinance. In these instances, a new review shall be obtained. Page 2 of 4 061521a HCBOC Page44 Article VII. HISTORIC PRESERVATION Section 2.0 Historic Landmarks 2.3 Required Procedure for Designation 2.3.1 Review Gttide-li�,e:r Standards Prior to the designation of any historic landmark or district, the HPC shall prepare and adopt gtlfdettftcs standards, not inconsistent with the North Carolina General Statutes for altering, restoring, moving, or demolishing of property designated as historic. It is the intention of these gtti:dcltftes standards to ensure, insofar as possible, that changes in designated landmarks or properties located within designated districts shall be in harmony with the reasons for designation. Section 4.0 Certificate of Appropriateness 4.2 Review Guidelines Standards The HPC shall review the established guidelines prepared during the designation resolution process for the subject property. It is the intention of these guidelines to ensure, insofar as possible, that changes in designated landmarks or properties located within designated districts shall be in harmony with the reasons for designation. 4.8 Required Procedures 4.8.6 HPC Action on Application When considering the application, the HPC shall apply the review guidelines required by Section "Conflicts with Other Laws or Regulations" of Article I" General Provisions", and shall, before final action on the application, make findings of fact indicating the extent to which the application is or is not in compliance with the review criteria. The HPC's quasi-judicial action on the application shall be approval, approval with modifications, deferral, or disapproval. 4.8.9 Appeals of the Historic Properties Commission's Decision An appeal may be made to the Harnett County Board of Adjustment regarding the HPC's action in approving or denying any application for a Certificate of Appropriateness. Writtefl fletiee ef ifltent to flf)peal shall be scat to tflc HPC, pestffiarl�cd within 20dttys follEl'w'ing tflc HPC's deeisiea, unless erttl aetiec ef appeal is made te the HPC dUffflg the ffieCtiflg at � hieh the deeisiofl is rendered. Appeals shall be filed with the Harnett County Board of Adjustment within� 30 days following the Commission's decision. Appeals shall be in the nature of certiorari. The Board of Adjustment's decision in any such case may be appealed to the Superior Court of Harnett County. Page 3 of 4 061521a HCBOC Page45 Article XIV. Definitions & Certifications 2.0 General Definitions & Acronyms 2.2 General Definitions Manufactured Home A home that: A.Consists of a single unit completely assembled at the factory or of two (double-wide) or three (triple-wide) principalcomponents totally assembled at the factory and joined together at the site;B.Is designed so that the total structure (or in the case of double-wide or triple-wide, each component thereof) can betransported on its own chassis;C.Is over 32 feet long and over 8 feet wide;D.Is designed to be used as a dwelling and provides complete, independent living facilities for one (1) family, includingpermanent provisions for living, sleeping, eating, cooking, and sanitation;E.Is actually being used, or is held ready to use, as a dwelling; andF.Censfflleted 1tf1:er Jttry 1 §, 1976, tflltf m:Meets or exceeds the construction standards adopted by the U.S. Departmentof Housing and Urban Development that were in effect at the time of construction.Page 4 of 4 061521a HCBOC Page46 Harnett Land Use Plan/ Map Amendment Development Services Department COUNTY---' Case: PLAN2105-0001 Jay Sikes, Mgr. of Planning Services jsi kes@harnett.org Phone: (910) 893-7525 Fax: (910) 814-8278 Planning Board: June 7, 2021 County Commissioners: June 21, 2021 Requesting an Amendment from Agricultural & Rural Residential to Medium Density Residential Applicant Information Owner of Record: Name: Woodshire Partners, LLC Address: 291 Breezwood Av, Suite 100 City/State/Zip: Fayetteville, NC 28303 Property Description PIN(s): 0506-88-4099 Address/SR No.: Nursery Rd (SR 1117) Township: [8l (01) Anderson CreekD (02)AverasboroD (03)Barbecue D (05)BuckhornD (06)Duke D (07)Grove Applicant: Name: 4D Site Solutions, Inc Address: 409 Chicago Dr, Suite 112 City/State/Zip: Fayetteville, NC 28306 Acreage: 72.6------ D (09)JohnsonvilleD (10)Lillington D (11)Neill's Creek D (04)Black River D (08)Hectors Creek D (12)Stewart's Creek D (13)Upper Little River Vicinity Map wm tmnm:i.lC® I �riill, � 061521a HCBOC Page47 .. 17 , ■Agr:cuitural Low '.)er:s·ty Res·dent al �. ed·um Density Resicer.t:a1 Land Use � II 061521a HCBOC Page48 Aerial Physical Characteristics •The property is vacant land and, per the application is the last remaining tract for the final phases ofthe existing development. All the other sections of this development are within a MDR land use classification. •Surrounding land uses consist of single-family residences and several undeveloped parcels. Services Available Water: IZ)Public (Harnett County) □Private (Well)D other: Unverified Sewer: IZ) Public (Harnett County) D Private {Septic Tank) D Other: unverified Transportation: Annual Daily Traffic Count: 6,500 on Nursery Rd Site Distances: Moderate 061521a HCBOC Page49 Evaluation � Yes D No � Yes � Yes D Yes � No The IMPACT to the adjacent property owners and the surrounding community is reasonable, and the benefits of the rezoning out weigh any potential inconvenience or harm to the community. REASONING: The requested Land Use classification change to Medium Density Residential will not have a negative impact on the surrounding properties as the same classification exists for adjacent properties. The requested zoning district is COMPATIBLE with the existing Land Use Classification. REASONING: The requested Land Use classification is compatible with the existing Land Use as this classification is of a residential nature, and is the same classification as on the adjacent properties. The proposal does ENHANCE or maintain the public health, safety and general welfare. REASONING: The requested Medium Density Residential classification would enhance or maintain the public health, safety, and general welfare since the zoning will be maintained as RA-20R. Therefore, permitted uses, lot sizes, etc will remain the same. The request is for a SMALL SCALE REZONING and should be evaluated for reasonableness. REASONING: The subject area is immediately adjacent to the designation of Medium Density Residential and therefore this does not need to be evaluated for a Small Scale amendment. Suggested Statement-of-Consistency (Staff concludes that. .. ) As explained in the evaluation, the requested Land Use Map amendment is compatible with Harnett County regulatory documents and would not have an unreasonable impact on the surrounding community due to the existing Medium Density Residential designated areas adjacent to the property as well as the maintaining the current zoning district. Therefore, it is recommended that this reclassification request be APPROVED. Additional Information On June 7th , the Harnett County Planning Board voted unanimously (4-0) to recommend approval of this Land Use Map amendment based on zoning compatibility and the existing Medium Density Residential on adjacent properties. •No one spoke in opposition. 061521a HCBOC Page50 Site Site & Street view Site & Street view Across the street 061521a HCBOC Page51 TRADITIONAL STANDARDS OF REVIEW The Planning Board shall consider and make recommendations to the County Board of Commissioners concerning each proposed zoning district. The following policy guidelines shall be followed by the Planning Board concerning zoning districts and no proposed zoning district will receive favorable recommendation unless: D Yes D No A. The proposal will place all property similarly situated in the area in the same category, or in appropriate complementary categories. D Yes D No B. There is convincing demonstration that all uses permitted under the proposed district classification would be in the general public interest and not merely in the interest of the individual or small group. D Yes D No C. There is convincing demonstration that all uses permitted under the proposed district classification would be appropriate in the area included in the proposed change. (When a new district designation is assigned, any use permitted in the district is allowable, so long as it meets district requirements, and not merely uses which applicants state they intend to make of the property involved.) D Yes D No D. There is convincing demonstration that the character of the neighborhood will not be materially and adversely affected by any use permitted in the proposed change. D Yes D No E. The proposed change is in accordance with the comprehensive plan and sound planning practices. 0 GRANTING THE REZONING REQUEST Motion to grant the rezoning upon finding that the rezoning is reasonable based on All of the above findings of fact A-E being found in the affirmative and that the rezoning advances the public interest. 0 DENYING THE REZONING REQUEST Motion to deny the rezoning upon finding that the proposed rezoning does not advance the public interest and is unreasonable due to the following: D The proposal will not place all property similarly situated in the area in the same category, or in appropriate complementary categories. D There is not convincing demonstration that all uses permitted under the proposed district classification would be in the general public interest and not merely in the interest of the individual or small group. D There is not convincing demonstration that all uses permitted under the proposed district classification would be appropriate in the area included in the proposed change. (When a new district designation is assigned, any use permitted in the district is allowable, so long as it meets district requirements, and not merely uses which applicants state they intend to make of the property involved.) D There is not convincing demonstration that the character of the neighborhood will not be materially and adversely affected by any use permitted in the proposed change. D The proposed change is not in accordance with the comprehensive plan and sound planning practices. D The proposed change was not found to be reasonable for a small scale rezoning 061521a HCBOC Page52 TOWN OF LILLINGTON RESOLUTION FY 2021-28 RESOLUTION FROM THE TOWN OF LILLINGTON REQUESTING EXTENSION OF DEVELOPMENT RIGHTS WITH THE COUNTY OF HARNETT WHEREAS, the North Carolina General Assembly has provided in Chapter 160D-203 of the North Carolina General Statutes a process for local governments to mutually agree on applicable development regulations if a parcel of land lies within the planning and development jurisdiction of more than one local government; and WHEREAS, the requested development area is designated by the Town of Lillington Land Use Plan as Single Family, Townhomes, Multi-family, Commercial, Greenways, and Parks; and WHEREAS, the Town of Lillington's Land Use Plan includes comprehensive planning documents for Land use, Transportation, Bike and Pedestrian Facilities, infrastructure and utilities that include their ETJ area; and WHEREAS, future development within this area will be at urban densities; and WHEREAS, the Town of Lillington has made progress in annexing and supplying municipal services throughout its existing ETJ; and WHEREAS, the area designated for this development is predominantly within the Town's ETJ; THEREFORE, BE IT RESOLVED by the Board of Commissioners of the Town of Lillington requests, per§ 160D-203, that the County of Harnett designate to the Town of Lillington planning and development jurisdiction for area shown on the attached map entitled "Winston Tract " and more specifically, the applicable parcels as listed below: PINNUMBER 1 0660-21-8598 2 0660-42-7059 OWNER SITE ADDRESS Winston Robert W & Winston 10723 CANDLEWOOD DR Joel Layton HOUSTON, TX 77042-1434 Winston Robert W & Winston 10723 CANDLEWOOD DR Joel Layton HOUSTON, TX 77042-1434 102 East Front Street • P.O. Box 296 • Lillington, North Carolina 27546 Phone: (910) 893-2654 • Fax (910) 893-3693 • www.lillingtonnc.com Parcel Current Size 161.06 103.55 Planning Jurisdiction Lillington & Harnett Co Lillington & Harnett Co 061521a HCBOC Page53 Town of Lillington I 2 3 80.14 Lillington Winston Robert W & Winston 10723 CANDLEWOOD DR & Hamett 0660-52-9024 Joel Layton HOUSTON, TX 77042-1434 Co 4 Winston Robert W & Winston 10723 CANDLEWOOD DR 75.24 Hamett Co 0660-61-9572 Joel Layton HOUSTON, TX 77042-1434 419.99 total acres c:::JETJ Tax Parcels Cltylltrits I I Adopted this the 15th day of June, 2021. Attest: Alicia L. Gregory, Town Clerk Glenn McFadden, Mayor 102 East Front Street • P.O. Box 296 • Lillington, North Carolina 27546 Phone: (910) 893-2864 • Fax (910) 893-3607 • www.Iillingtonnc.com 061521a HCBOC Page54 TOWN OF LILLINGTON MEMORANDUM Hamett County Board of Commissioners 455 McKinney Parkway Lillington, NC 27546 JUNE 8, 2021 RE: Resolution from the Town of Lillington Requesting Extension of Development Rights with the County of Harnett The purpose of this memorandum is to request consideration and approval of a resolution requesting extension of the Town of Lillington's Development Rights. Per§ 160D-203 split jurisdiction, there are four parcels that are in the Town of Lillington's ETJ jurisdiction and County of Harnett. In addition, parcels are located within the Town of Lillington's Future Land Use Map. The property owner has requested and given written consent to assign exclusive planning and development regulation jurisdiction for the parcels. The attached resolution list the properties and a map for reference. §160D-203. Split jurisdiction. If a parcel of land lies within the planning and development regulation jurisdiction of more than one local government, for the purposes of this Chapter, the local governments may, by mutual agreement pursuant to Article 20 of Chapter 160A of the General Statutes and with the written consent of the landowner, assign exclusive planning and development regulation jurisdiction under this Chapter for the entire parcel to any one of those local governments. Such a mutual agreement shall only be applicable to development regulations and shall not affect taxation or other nonregulatory matters. The mutual agreement shall be evidenced by a resolution formally adopted by each governing board and recorded with the register of deeds in the county where the property is located within 14 days of the adoption of the last required resolution. (2019-111, s. 2.4; 2020-3, s. 4.33(a); 2020-25, s. 51(a), (b), (d).) If you should need any additional information or have any questions, please feel free to contact me directly. Sincerely, ��9� Town Manager 102 East Front Street • P.O. Box 296 • Lillington, North Carolina 27546 Phone: (910) 893-2654 • Fax (910) 893-3693 • www.lillingtonnc.org 061521a HCBOC Page55 "' Ill ..I ,I( Ill "'..I a: 0 I&. l­o z '1/, $,1/ fJ & fi]' I ��,{rt� c:,�a,, mi� " � e . I �lit? � (it � �� t:!I Ci) __ � �! I� Q�!oii! GIS/E-911 Addressing June 9, 2021 Federal Property City Limits ETJ L E_G E N D Hamett County Boundary MaJorRoads _ /IJrport Interstate NC Harnett GIS us Road s Rairoad Parcels @m (P I � \ ' ij @m � '<&)0 A211 Harnett County GIS, Harnett County Public Utilities w�• [o 0.01s 0.1s 0,3 0.45 I Miu 1 inch = 1,505 feet 061521a HCBOC Page56 Ill Ill :::, a! 0 l­o z GIS/E-911 Addressing June 9, 2021 \ " Federal Property City Limits ET J Airport Interstate NC Roads Rairoad Parcels CapeFearRiver FloodHazardZones 100 Year Flood Plain 500 Year Flood Plain N W�E 10 0.01s 0.1s o.3 o.�1., [ 1 inch = 1,505 feet 061521a HCBOC Page57 RESOLUTION BY THE HARNETT COUNTY BOARD OF COMMISSIONERS TO ASSIGN EXCLUSIVE PLANNING AND DEVELOPMENT REGULATION JURISDICTION TO THE TOWN OF LILLINGTON WHEREAS, North Carolina General Statute § 160D-203 provides that if a parcel of land lies within the planning and development regulation jurisdiction of more than one local government, the local governments may, by resolutions adopted by each governing board, assign exclusive planning and development regulation jurisdiction for the entire parcel to any one of those local governments; and WHEREAS, Robert W. Winston and Joel Layton Winston (hereinafter the "Landowners") desire to develop certain parcels ofland known as the "Winston Tract." WHEREAS, the Winston Tract is predominately located within the Town ofLillington's ETJ with a portion located in Hamett County's jurisdiction; and WHEREAS, the Winston Tract is located within the Town ofLillington's Future Land Use Map and the Town of Lillington desires to have exclusive planning and development regulation jurisdiction over the Winston Tract; and WHEREAS, the Landowners have requested and consent to assign exclusive planning and development regulation jurisdiction to the Town of Lillington; and WHEREAS, on June 15, 2021, the Town of Lillington adopted a resolution requesting exclusive planning and development regulation jurisdiction for the Winston Tract, a copy of which is attached hereto as Exhibit A; and WHEREAS, The Hamett County Board of Commissioners agrees that it would be beneficial and efficient for the Landowners to adhere to one local government's planning and development regulations and that such jurisdiction should be granted to the Town of Lillington. NOW, THEREFORE, BE IT RESOLVED THAT that the Hamett County Board of Commissioners, pursuant to§ 160D-203 of the North Carolina General Statutes, consents and agrees to assign to the Town of Lillington, North Carolina the exclusive planning and development regulation jurisdiction for the area shown on the attached map and more specifically, the applicable parcels as listed below: Parcel Current PIN NUMBER OWNER SITE ADDRESS Size Planning Jurisdiction I 3.87 Lillington Winston Robert w & 10723 CANDLEWOOD DR & Hamett 0660-21-8598 Winston Joel Layton HOUSTON, TX 77042-1434 Co 061521a HCBOC Page58 2 18.6 Lillington Winston Robert w & 10723 CANDLEWOOD DR & Harnett 0660-42-7059 Winston Joel Layton HOUSTON, TX 77042-1434 Co 3 57.8 Lillington Winston Robert w & 10723 CANDLEWOOD DR & Harnett 0660-52-9024 Winston Joel Layton HOUSTON, TX 77042-1434 Co 4 Winston Robert w & 10723 CANDLEWOOD DR 75.24 Harnett Co 0660-61-9572 Winston Joel Layton HOUSTON, TX 77042-1434 155.51 total acres c::Jm Tax Parceils City Llmlta I Duly Adopted this the __ day of ___ _, 2021. W.Brooks Matthews, ChairmanAttest: Melissa Capps, Clerk to the Board 061521a HCBOC Page59 Board Meeting Agenda Item �l MEETING DATE: June1¼-2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Budget Amendment to fund Northwoods Traverse REQUESTED BY: Department of Social Services REQUEST: Harnett County Department of Social Services is asking the Board to approve a budget amendment in the amount of$213,270.00 to fund Northwoods Traverse. Traverse is a mobile software program used by DSS social workers on home visits. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\Users\llucas\AppData\Local\Microsoft\Windows\lNetCache\Content.Outlook\UUXMODL0\agendafonn2021 (002).docx Page I of I 061521a HCBOC Page60 COUNTY OF HARNETT 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 annualbudget ordinance for the fiscal year ending June 30, 2021. Section I. To ammend the Social Services The appropriations are to be changed as follows: department of the General fund. EXPENDITURE AMOUNT ORG OBJECT PROJECT TASK SUB-TASK JOB DESCRIPTION OF CODE INCREASE DECREASE 1105310 544050 SOFIWARE MAINT & $213,270 REVENUE AMOUNT ORG OBJECT PROJECT TASK SUB-TASK JOB DESCRIPTION OF CODE INCREASE 1105310 330210 FEDERAL $106,635 1103900 390990 f1JND BALANCE $106,635 EXPLANATION: To budget Northwoods Traverse software. The current software will be obsolete Juoe 30, 2022. The oew software will allow social workers to access client files while working in the field. APPROVALS: DECREASE Dept 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. heparedby: Adopted this ___ day of ________ , 20 __ • Lindsey B. Lucas, Interim Clerk to the Board mwimberly W_ Brooks Matthews, Chairman Board of Commissioners Date: May::?8, 2021 061521a HCBOC Page61 t:tt.eNORTHWOODS" SOFTWARE AS A SERVICE AGREEMENT This Software as a Service Agreement (hereinafter referred to as "Agreement" or "SaaS Agreement") is made and entered when fully executed by signatures of both parties July 1, 2021 by and between Northwoods Consulting Partners, Inc., an Ohio corporation with its principal offices at 5200 Rings Road, Dublin, Ohio 43017, USA, (hereinafter referred to as ''Northwoods"), and Hamett County Department of Social Services (hereinafter referred to as "You" "Your" or "Subscriber"). 1.Scope of Agreement. This Agreement states the terms and conditions under which Northwoods will:a)Grant You access to certain software programs and related documentation on a non-exclusive basis; andb) Provide services such as project management, installation, training, infrastructure hosting, and support to You.c) In the event there is a conflict between this Agreement and the attached Scope of Work, the terms of this Agreementshall govern.2.Definitions. As used in this Agreement, the following definitions apply to capitalized terms:a)"Aggregate/ Anonymous Data" means: (i) data generated by aggregating Your Data with other data so that the resultsare non-personally identifiable with respect to You or your customers; and (ii) anonymous learning, logs, and dataregarding the use of the Services.b)"Charges" means the amounts to be paid by You for the right to use any of the applicable Software, Services and/orhardware or other Third Party Products under the terms of this Agreement. The Charges are described in AttachmentA and the payment schedule for these Charges are defined in Schedule A 1.c)"Documentation" means Northwoods' electronic user guides, documentation, and help and training materials, asupdated from time to time.d)''Northwoods Software" means the Compass®, Traverse®, or other proprietary Northwoods-branded, computerprograms, in object code form, and their associated documentation. Attachment A lists separately the various modulesand quantities (where applicable) of Northwoods Software made available to You and Attachment B contains theterms of use applicable to the Northwoods Software.e)"Service Level Agreement" or "SLA" defines the terms under which Northwoods will offer the Services, as definedin Schedule C 1.f)"Services" means the professional services that are ordered by and paid by You.g)"Software" means collectively Northwoods Software and any Third Party Products.h)"Statement of Work" means the detailed work plan for the initial implementation, attached hereto as Attachment D.i)"Subscription Date" means the date that equals the first day of the month following the Effective Date.j)"Support Services" means the maintenance and support services to be provided by Northwoods in accordance withAttachment C.k)"Third Party Products" means any product or software program acquired by Northwoods from an outside vendor onYour behalf under the terms of this Agreement. Attachment A lists separately the various Third Party Products madeavailable to You.1)"Your Data" means electronic data and information submitted by You or for You to the Services or collected andprocessed by or for You using the Services.m)"Your Database" means a collection of data records that are maintained as a single logical area that is used, accessed,or acted upon by You.3.Northwoods' Responsibilities. Northwoods will (i) make the Software available to You pursuant to this Agreement; (ii)provide Services for the initial implementation of this project, as described more fully in Attachment D; and (iii) provideour Support Services to You, as described more fully in Attachment C.4.Term. The term of this Agreement is for a period of five (5) years from the Subscription Date ("Initial Term"). ThisAgreement may be terminated by either Party as provided in Section 12. At the expiration of the Initial Term, thisAgreement will be automatically renewed on an annual basis on the anniversary of the Subscription Date for additionalfive (5) year terms ("Option Terms"). Either Party may terminate this Agreement as of the last day of the Initial Term or any Option Term by giving the other Party not less than sixty (60) days' written notice of termination prior to the last day of the Initial Term, or the last day of any Option Term.5.Initial Implementation. Northwoods will furnish only such staff, materials, supplies, and labor for the initial implementationas detailed in the Statement of Work for this Project. Upon execution by both parties, any subsequent Statement of Workwill become part of this Agreement. The Parties may modify the requirements of any Statement of Work through a writtenchange order, and such written change order will become part of the respective Statement of Work when executed byauthorized representatives of both parties.061521a HCBOC Page62 Ci'fioRTHWOODS� 6.Charges and Payment Terms.a)You agree to pay Northwoods the Charges at the times and in the amounts set forth in Schedule Al.b)Invoices are payable net thirty (30) days after receipt of invoice. Failure to remit timely payment of any invoice mayresult in Northwoods ceasing work on the initial implementation and/or ceasing to provide the Software or theServices.c)Any delay in the project that is the direct result of Your failure to comply with the terms of this Agreement and anyof its Attachments or Schedules may result in Northwoods ceasing work on the initial implementation and will requireYou to reimburse Northwoods' actual costs incurred as a result of said delay.7.Truces. Fees are exclusive of taxes and You will promptly pay or reimburse Northwoods for all taxes arising out of thisAgreement, whether or not Northwoods provided prior notice of, or invoiced, any such taxes to You. For purposes of thisAgreement, "taxes" means any sales, use, and other taxes (other than taxes on Northwoods' income), export and importfees, customs duties, and similar charges applicable to the transactions contemplated by this Agreement that are imposedby any government or other authority. If You are required to pay or withhold any tax in respect of any payments due toNorthwoods hereunder, You will gross up payments actually made such that Northwoods receives sums due hereunder infull and free of any deduction for any such tax. If You are legally entitled to an exemption from the payment ofany taxes,You will promptly provide Northwoods with legally sufficient tax exemption certificates for each taxing jurisdiction forwhich it claims exemption.8.You acknowledge and understand that the output of Northwoods Software is not intended to replace human discretion,decision-making or research, but is to be used as a guidance tool only.9.Ownership.a)Your Data shall be considered Confidential Information and remains Your sole and exclusive property.Notwithstanding the foregoing, and subject to Section 11 below, You grant Northwoods a limited, revocable, royalty­free license to use Your Data only for the purpose of providing and continually improving and refining the Services.The license grant includes a license to store, transmit, maintain, and display Your Data only to the extent necessaryto provide the Services to You.b)Customizations. Any customization of Northwoods Software specifically for You or at Your request is owned byYou, with all rights, title, and interest to such customization being assigned to You. For such customizations, Yougrant Northwoods a worldwide, non-exclusive, royalty-free, perpetual license to use, modify, and distribute suchcustomization(s) for its own business purposes and for use with other customers.c)Aggregate/Anonymous Data. You agree that Northwoods will have the right to generate Aggregate/AnonymousData. Notwithstanding anything to the contrary herein, the Parties agree that Northwoods may useAggregate/ Anonymous Data for any business purpose during or after the term of this Agreement (including withoutlimitation to develop and improve Northwoods' products and services and to create and distribute reports and othermaterials). Northwoods will not distribute Aggregate/ Anonymous Data in a manner that personally identifies You oryour customers.d)Feedback. If You elect to provide any feedback, suggestions, comments, improvements, ideas, or other informationto Northwoods regarding the Service(s) ("Feedback"), you acknowledge that the Feedback is not confidential andyou authorize Northwoods to use that Feedback without restriction and without payment to you. Accordingly, youhereby grant to Northwoods a nonexclusive, royalty-free, fully-paid, perpetual, irrevocable, transferable, and fullysublicensable right to use the Feedback in any manner and for any purpose.10.Privacy. You are aware and agree that Northwoods may, as part of the normal operation and support of the NorthwoodsSoftware, collect information related to the use of the Northwoods Software, through tracking and other technologies.Northwoods does so to gather usage statistics and information about the effectiveness of our products for the purpose ofimproving user experience.11.Publicity. You authorize Northwoods to identify You as a client, and to use Your name and logo in any of Northwoods'mutually agreed to advertising copy, promotional material, and/or pressreleases.12.Termination.a)If either Party is in default of any of its material obligations hereunder, and has not commenced cure within ten (10)days and effected cure within thirty (30) days of receipt of written notice of default from the other Party, then thisAgreement may be terminated.b)In the event of termination, You shall be responsible for payment for all Software and Services rendered by Northwoods061521a HCBOC Page63 �<NORTHWOODS"through the date of termination. c)Upon termination of this Agreement for any reason, You shall immediately (i) discontinue any and all use of theSoftware and Documentation; and (ii) either (A) return the Documentation to Northwoods, or (B) with the priorpermission of Northwoods, destroy the Documentation and certify in writing to Northwoods that You have completedsuch destruction. Further, upon termination of this Agreement, Northwoods may immediately deactivate Your account.d)Upon receipt ofa termination notice and within thirty (30) days of the date of termination of this Agreement by eitherParty, Northwoods will make Your Data available to You for export or download. Specifically, within 30 days of thedate of termination, Northwoods will provide You with an encrypted hard drive containing I) all data stored in thedatabase in a format that is comparable to a relational database backup; and 2) all other content in the original formatin which it was collected (e.g., jpeg or mp3) at no additional cost to You.13.Warranties.a)Each party represents and warrants that it has the legal power to enter into this Agreement. Northwoods warrants: (i) theSoftware will substantially conform in all material respects with the applicable Documentation; (ii) Northwoods furtherrepresents and warrants that it has all rights required to provide the Software to You and that to the best of Northwoods'knowledge the Software does not infringe upon or violate the United States patent rights of any third party or thecopyright or trade secret right of any third party; and (iii) the functionality of the Software will not be decreased from that available as of the Effective Date.b)If any modifications, additions, or alterations of any kind or nature are made to the Software by You or anyone actingwith Your consent or under Your direction, all warranties will immediately terminate.c)NORTHWOODS HEREBY DISCLAIMS ALL OTHER WARRANTIES AND CONDITIONS, WHETHEREXPRESS, IMPLIED OR STATUTORY, WHETHER IN RELATION TO THE SOFT ARE, HARDWARE, OR THEPROVISION OF ANY SERVICES INCLUDING, BUT NOT LIMITED TO, ANY IMPLIED WARRANTIES, DUTIESOR CONDITIONS OF MERCHANTABILITY, OF FITNESS FOR A PARTICULAR PURPOSE OR ARISING BYTRADE USAGE OR COURSE OF DEALING.14.Limitation of Liability. NEITHER PARTY'S LIABILITY WITH RESPECT TO ANY SINGLE INCIDENT ARISING OUTOF OR RELATED TO THIS AGREEMENT WILL EXCEED THE AMOUNT PAID BY YOU HEREUNDER IN THE 12MONTHS PRECEDING THE INCIDENT, PROVIDED THAT IN NO EVENT WILL EITHER PARTY'S AGGREGATELIABILITY ARISING OUT OF OR RELATED TO THIS AGREEMENT EXCEED THE TOTAL AMOUNT PAID BY YOU HEREUNDER. THE ABOVE LIMITATIONS WILL APPLY WHETHER AN ACTION IS IN CONTRACT OR TORT AND REGARDLESS OF THE THEORY OF LIABILITY. HOWEVER, THE ABOVE LIMITATIONS WILL NOTAPPLY TO LIMIT LIABILTY IN CONNECTION WITH CLAIM FOR INDEMNIFICATION. In no event shall eitherParty be liable for any special, incidental, punitive, indirect, or consequential damages whatsoever (including, but not limitedto, damages for loss of profits or confidential or other information, for business interruption, for personal injury, for loss ofprivacy, for failure to meet any duty including of good faith or of reasonable care, for negligence, and for any other pecuniaryor other loss whatsoever) arising out of or in any way related to the Software or Services even if Northwoods has been advisedof the possibility of such damages.15.Indemnification.a)Cyber/Security Breach Indemnification. In the event of any claim by a third party against You (the "CyberClaim"), alleging that You and/or Northwoods caused a breach of the security, confidentiality, or integrity ofYour Data, You will notify Northwoods of the Cyber Claim in writing within five (5) business days of the receiptof the Cyber Claim and tender sole control of the Cyber Claim to Northwoods and/or its insurer(s) andNorthwoods will defend such Cyber Claim in Your name at Northwoods' expense, and will indemnify Youagainst any liability actually paid by You, including but not limited to reasonable attorneys' fees anddisbursements arising out of such Cyber Claim, to the extent that Northwoods' insurance policies providecoverage for such indemnification obligation. Northwoods' indemnification obligation set forth in this sectionis strictly limited to the coverage afforded such indemnification obligation pursuant to the terms of Northwoods'insurance policies. In the event such a breach is found, then Northwoods may terminate thisAgreement. Notwithstanding the foregoing, Northwoods shall have no obligation to defend or indemnify You,and Northwoods will be defended and indemnified by You with respect to any Cyber Claim, to the extent thatthe Cyber Claim is based upon the sole negligence or willful misconduct of You. If You and Northwoods areboth at fault in connection with the data breach, Northwoods' obligation to defend and indemnify shall be limitedand proportional to the parties' relative fault.061521a HCBOC Page64 b)IP Indemnification. In the event of any claim by a third party against You ( the "IP Claim"), alleging that the useof the Northwoods Software infringes upon any intellectual property rights of such third party, You will notifyNorthwoods and/or its insurer(s) of the IP Claim in writing within five (5) business days of the receipt of the IPClaim and tender sole control of the IP Claim to Northwoods and/or its insurer(s) and Northwoods will defendsuch IP Claim in Your name at Northwoods' expense, and will indemnify You against any liability actually paidby You, including but not limited to reasonable attorneys' fees and disbursements arising out of such IP Claim,to the extent that Northwoods' insurance policies provide coverage for such indemnificationobligation. Northwoods' indemnification obligation set forth in this section is strictly limited to the coverageafforded such indemnification obligation pursuant to the terms of Northwoods' insurance policies. In the eventsuch an infringement is found and Northwoods cannot either procure the right to continued use of the NorthwoodsSoftware, or replace or modify the Northwoods Software with a non-infringing program, then Northwoods mayterminate this Agreement. Notwithstanding the foregoing, Northwoods shall have no obligation to defend orindemnify You, and Northwoods will be defended and indemnified by You with respect to any IP Claim, to theextent that the IP Claim is based upon (i) the negligence or willful misconduct of You; (ii) the use of theNorthwoods Software in combination with other products or services not made or furnished by Northwoods,provided that the Northwoods Software alone is not the cause of such IP Claim; or (iii) the modification of theNorthwoods Software or any portion thereof by anyone other than Northwoods, provided that the NorthwoodsSoftware in unmodified form is not the cause of such IP Claim.16.Confidentiality.a)Each party (including its employees and agents) will use the same standard of care, but in no event less than reasonablecare, that it uses to protect its own confidential information to protect any confidential information of the other party thatis disclosed during negotiation or performance of this Agreement.b)You will take adequate steps and security precautions to prevent unauthorized disclosure of information which is proprietary to Northwoods and/or the owner of the Third Party Products. This includes, but is not limited to: (i) instructing Your employees that have access to such information not to copy or duplicate the same or any part thereofand to withhold disclosure or access or reference thereto from unauthorized third parties; and (ii) maintaining propercontrol of passwords and security procedures to prevent unauthorized access to Your Database.17.Notices. All official notifications, including but not limited to, termination of this Agreement must be sent to the otherParty's authorized representative. All notices required under this Agreement will be in writing and deemed delivered upon:(1)personal delivery; (2) three (3) days subject to being posted with the U.S. registered or certified mail, return receiptrequested; or (3) two (2) days after deposit with a commercial express air courier specifying next day delivery, withverification of receipt.Northwoods' authorized representative for the purpose of administration of this contract is: Name: Sarah Edwards, General Counsel and Chief Administrative Officer Address: Telephone: Email: 5200 Rings Road Dublin, OH 43017 (614) 781-7800Sarah.Edwards@teamnorthwoods.comYour authorized representative for the purpose of administration of this contract is: Name: Address: Telephone: Email: 18.Neither Party shall assign this Agreement (or assign any right or delegate any obligation contained herein whether suchassignment is of service, of payment or otherwise) without the prior written consent of the other Party hereto. Any suchassignment without the prior written consent of the other Party hereto shall be void.19.This Agreement shall be binding upon all parties hereto and upon their respective heirs, executors, administrators,successors, and permitted assigns.061521a HCBOC Page65 �<NORTHWOODS"20.This Agreement shall not be modified in any manner except by an instrument, in writing, executed by all parties to thisAgreement.21.This Agreement and any claim, action, suit, proceeding, or dispute arising out of this Agreement shall in all respects begoverned by, and interpreted in accordance with, the substantive laws of the State of Ohio without regard to its conflictsof laws provisions. Venue and jurisdiction for any action, suit, or proceeding arising out of this Agreement shall vestexclusively in the federal or state courts of general jurisdiction in Franklin County, Ohio.22.If any term or provision of this Agreement shall be held invalid or unenforceable, the remainder of this Agreement, or theapplication of such term or provision to persons or circumstances other than those as to which it is held invalid orunenforceable, shall not be affected thereby and each term and provision of this Agreement shall be valid and enforcedto the fullest extent permitted by law.23.Nothing in this Agreement is intended to, or shall be deemed to constitute a partnership, association or joint venturebetween the parties in the conduct of the provisions of this Agreement. Northwoods shall at all times have the status ofanindependent contractor.24.Ifby reason of force majeure either party is unable in whole or in part to act in accordance with this Agre ement, the partyshall not be deemed in default during the continuance of such inability. The term '1orce majeure" as used herein shallinclude without limitation: acts of God; strikes or lockout; acts of public enemies; insurrections; riots; epidemics;lightning; earthquakes; fire; storms; flood; washouts; droughts; arrests; restraint of government and people; civildisturbances; and explosions. Each party, however, shall remedy with all reasonable dispatch any such cause to the extentwithin its reasonable control which prevents the party from carrying out its obligations contained herein.25.Any waiver by either party of any provision or condition of this contract shall not be construed or deemed to be a waiverof any other provision or condition of this Agreement, nor a waiver of a subsequent breach of the same provision orcondition.26.This Agreement may be executed in one or more identical counterparts, each of which shallb�,deemed an ·original but allof which together shall constitute but one and the same instrument. This Agreement may aiso be executed electronically.Delivery of an executed counterpart of this Agreement by either electronic means or by facsimile shall be as effective asa manually executed counterpart.27.This Agreement sets forth the entire agreement of the Parties and supersedes all prior or conte��oraneo�s-�tings,negotiations, and discussions with respect to the subject matter hereofRemainder of Page Intentionally Blank Signature Page Follows 061521a HCBOC Page66 IN WITNESS WHEREOF, the parties hereto have executed, or caused to be executed by their duly authorized officials, this Agreement in duplicate, each of which shall be deemed an original, as of the date first above written. Northwoods Consulting Partners, Inc. By: ------------- Nick Patel, Chief Financial Officer Date: � c\ of-�vnis�,Q'WSHarnett County �iGweut of� Seoricell By: Name: Title: Date: 061521a HCBOC Page67 �.fNORTHWOODS" �,f'NORTHWOODS Attachment A Quote for Traverse Prepared for Hamett County DSS Date Submitted: Expiration Date; / � //.,. ""·traverse- os12612021 06/30/2021 Prepared by Chris Mease, Northwoods Consulting Partners Summary The fol lowing is a fixed quote of Software-as-a-Service (SaaS) and Professional Services for the implementation of Traverse within Harnett County DSS. First Year Cost Description Traverse Subscription (100,001-200,000 Population) Traverse Prof'esslonal Services Upfront Content Migration (Aoorox. 759,000 lmaqes) First Year Total CoPilot to Traverse Migration Incentives l:)escri p!j<>_I) CoPilot to Traverse Vear 1 Saas Reduction* CoPilot to Traverse Professional Services Reduction* CoPllot to Traverse Content Mlqration Reduction* Incentive Total After Incentive First Year Cost Period Year1 Year 1 Year 1 Code �!'tw-l�ii1t,�f�w)d SaaS-TRV-P0 $158,000.00 PS-TRV-H1 $223,000.00 PS-TRV-H1 $45,540.00 $426,54-0.00 Code i;:l?s_l SaaS-TRV-PO $79,000.00 PS-TRV-H1 $111,500.00 PS-TRV-H1 $22,770.00 $213,270.00 T striP..!1Qn Period Code Cost Year'! SaaS-TRV-PO $79,000.00 Traverse Professional Services Year1 PS-TRV-H1 $111,500.00 Year1 PS-TRV-H1 $22 770.00 After Incentive Total $213,270.00 Annual Ongoing Cost After First Year ·-- � -� ---- - ~ • Peri�d • I -code.., : � CostDescription - Traverse Subscriotion (100,001-200,000 Pooulatlonl Year 2 SaaS-TRV-PO $158,000.00 Traverse Subscription (100,001-200 000 Pooulation) Year 3 SaaS-TRV-PO $158,000.00 Traverse Subscription (100,001-200,000 Population) Year4 SaaS-TRV-PO $158,000.00 Traverse Subscription (100,001-200,000 Population) Years SaaS-TRV-PO $158,000.00 S Year SaaS Total $711,000.00 • -Northwoods is offering on incentive for current CoPilot customers to migrate to Traverse. Customer must be in contract before June 30. 2021 to be eligible for this discount. Additional terms and conditions apply. Northwoods Consulti� Partners, Inc. Page 1 of 1 Created 5/26/2021 061521a HCBOC Page68 �iNORTHWOODS" DESCRIPTION Northwoods Software Subscription (Initial Term} Year 1 -Due upon execution of Agreement SCHEDULE Al Payment Terms Year 2 -Due on anniversary of Subscription Date Year 3 -Due on anniversary of Subscription Date Year 4 -Due on anniversary of Subscription Date Year 5 -Due on anniversary of Subscription Date Upfront Content Migration-due upon execution of Agreement Professional Services 30% due upon completion of the Startup Phase of the Project 20% due upon completion of the Design Phase of the Project 20% due upon completion of the Test Phase of the Project 20% due upon completion of the Deploy Phase of the Project 10% due upon completion of the Closeout Phase of the Project *Software subscription payments are subject to fee increases for each Option Tenn. AMOUNT DUE $79,000.00 $158,000.00 $158,000.00 $158,000.00 $158,000.00 $22,770.00 $33,450.00 $22,300.00 $22,300.00 $22,300.00 $11,150.00 061521a HCBOC Page69 �e NORTI-JWOODS& 1.USAGE GRANT: ATTACHMENT B Terms of Service (a)Northwoods grants to You, for the term of this Agreement, a non-exclusive, non-assignable { except as herein provided), non-transferable, right to use the Northwoods Software solely for use by You internally, and only for capturing, storing, processing and accessing Your Data. You shall not make any use of the Northwoods Software in any manner not expressly permitted in this Attachment B. (b)You acknowledge and understand that the Northwoods Software is available for use only during the term of this Agreement (as defined in the Software as a Service Agreement). (c)You agree: {I) not to remove any Northwoods' notices in the Northwoods Software or Documentation; (2) not to sell, transfer, rent, distribute, make available, lease or sub-license the Software or Documentation to any third party; (3) not to alter or modify the Northwoods Software or Documentation; (4)attempt to gain unauthorized access to the Software or its related systems or networks(5) not to reverse engineer, disassemble, decompile or attempt to derive source code from the Northwoods Software; and (6) not to prepare derivative works from the Northwoods Software or Documentation. ( d)You may not assign, transfer or sub license all or part of Your rights without the prior written consent of Northwoods; provided that Northwoods agrees that such consent shall not be unreasonably withheld in the case of any assignment by You of Your rights in their entirety to the surviving entity of any merger or consolidation or to any purchaser of substantially all of Your assets that assumes in writing all of Your obligations and duties under this Attachment B. ( e)The Northwoods Software may be bundled with software owned by third parties. Such third party software is available for use solely within the Northwoods Software and is not to be used on a stand-alone basis. Notwithstanding the above, You acknowledge that the Northwoods Software may include open source software governed by an open source license, in which case the open source license may grant you additional rights to such open source software. 2.OWNERSHIP: (a)Notwithstanding the ownership of any customization made to the Northwoods Software for User or at User's request, Northwoods and its licensors retain all right, title, and interest in and to the Northwoods Software and related documentation and materials, including, without limitation, any and all worldwide copyrights, patents, trade secrets, trademarks and proprietary and confidential information rights in or associated with the Northwoods Software. The Northwoods Software is protected by copyright laws and international copyright treaties, as well as other intellectual property laws and treaties. No ownership rights in the Northwoods Software are transferred to You. You agree that nothing in this Agreement or associated documents gives You any right, title or interest in the Northwoods Software, except for the limited express rights granted herein. (b)You (i) are responsible for the accuracy, quality, and legality of Your Data and the means by which You acquired Your Data, Your use of Your Data with the Software; and (iii) must use commercially reasonable efforts to prevent unauthorized access to or use of the Northwoods Software, and notify Northwoods promptly of any such unauthorized access or use. 3.CUSTOMER RESPONSIBILITIES: (a)In order to use the Northwoods Software, You must have or must obtain access to the World Wide Web, either directly or through devices that access Web-based Content. You must also provide all equipment necessary to make (and maintain) such connection to the World Wide Web. (b)You agree to provide at least one (1) "System Administrator" responsible for the administration, supervision and management of the Software. 061521a HCBOC Page70 c:tte NORTI7WOODS� ( c)You will provide and assign a unique password and user names to each authorized user. You acknowledge and agree that You are prohibited from sharing passwords and or user names with unauthorized users. You will be responsible for the confidentiality and use of Your (including Your employees') passwords and user names. You agree to notify Northwoods ifY ou become aware of any loss or theft or unauthorized use of any of Your passwords, user names, and/or account number. 061521a HCBOC Page71 (i� NORlHWOODS" ATTACHMENT C Ongoing Support SUPPORT CENTER ACCESS Ongoing support services are provided via Northwoods Support Center and generally will be available during the hours of 7:00 a.m. to 5:00 p.m., in the applicable time zone for the User, Monday through Friday, excluding Northwoods' holidays, or asotherwise provided by Northwoods to its end users in the normal course of its business, either by telephone or NorthwoodsCustomer Portal, in accordance with the severity levels described below.ESCALATION / SEVERITY LEVELSIssues will be generally categorized and handled according to an assigned severity level, as follows:Severity Level Description and Examples -Level 1 - High Critical production issue affecting all users, including system unavailability and data integrity �ssues with no workaround available System performance issue or bug affecting some but not all users. Short-term workaround is Level 2 -Medium iavailable, but not scalable. Inquiry regarding a routine technical issue; information requested on application capabilities, Level 3-Low navigation, installation or configuration; bug affecting a small number of users. Reasonabl� workaround available. Resolution required as soon as reasonably practicable. For Severity Level I issues, Users must call the Support Center. For Severity Levels 2 and 3, Users should submit cases over the Web via the Northwoods Customer Portal. Upon case submission, Users will be asked to provide their organization name, contact information and case details, and each case will be assigned a unique case number. A Northwoods Representative will use commercially reasonable efforts to call or e­mail the User within one (1) business day and will use commercially reasonable efforts to promptly resolve each case. Actual resolution time will depend on the nature of the case and the resolution. A resolution may consist of a fix, workaround or other solution in Northwoods' reasonable determination. Reproducible errors that cannot promptly be resolved will be escalated to higher support tiers for further investigation and analysis. TELEPHONE SUPPORT The Telephone Support phone number is 833-323-2637 SUBMITTING A CASE Users may log a case as follows: I.For Severity Levels 2 and 3 issues, use the Northwoods Customer Portal at https://portal.teamnorthwoods.com toclick the "New Case" button and provide the requested information.2.For Severity Level I issues, Users must call the Support Center. REPRODUCING ERRORS Northwoods must be able to reproduce errors in order to resolve them. Customer agrees to cooperate and work closely with Northwoods to reproduce errors, including conducting diagnostic or troubleshooting activities as reasonably requested and appropriate. Also, subject to Customer's approval on a case-by-case basis, Users may be asked to provide remote access to their account and/or desktop system for troubleshooting purposes. EXCLUSIONS Ongoing Support does not include any of the following: •Assistance with password resets. Users should click the "Don't remember your password?" link on the login page orcontact their system administrator;•Assistance with usemame(s). Users should contact their system administrator;•Assistance with lockouts due to incorrect login attempts. Users should contact their system administrator to unlockthe account, or wait for the lockout period to expire;061521a HCBOC Page72 rtte NORTI-lWOODSS• Assistance in developing User-specific customizations;•Assistance with non-Northwoods products, services or technologies, including implementation, administration or useof third-party enabling technologies such as databases, computer networks or communications systems; or•Assistance with installation or configuration of hardware, including computers, hard drives, networks or printers.Northwoods is also not responsible for providing, nor obligated to provide, support services under this Agreement if User requested integration services and changes are made to the source data subsequent to Northwoods performing the integration services. This includes, but is not limited to, (i) making changes to the format of the source data; (ii) changing, removing, or introducing new APis; (iii) changing, removing, or introducing an enterprise service bus; and (iv) changing, removing, or introducing direct database access. Any request by User for Northwoods to support such an instance is available at the sole discretion of Northwoods and Northwoods reserves the right to bill for any such request on a time and materials basis at Northwoods' then-current rates. DOCUMENTATION AND VIDEOS Where applicable, all pertinent product documentation is available through the application's help feature and/or Northwoods Customer Portal. Fully searchable and regularly updated, product documentation and videos provide customers with specifics around product features, functionality, configurable settings, and product updates. 061521a HCBOC Page73 l'n.'­NORTHWOODS" Service Commitment SCHEDULE Cl Service Level Agreement This Service Level Agreement (SLA) applies to You because you have contracted for web-based software and/or infrastructure hosting services ("Hosting Services"). Northwoods will use commercially reasonable efforts to make its Hosting Services available with a monthly System Availability Percentage ( defined below) of at least 99 .9% ("Service Commitment"). Definitions "System Availability Percentage" is calculated by subtracting from J 00% the percentage of minutes during the month in which the Hosting Services were Unavailable to You. System Availability Percentage measurements exclude downtime resulting directly or indirectly from any Hosting Services Exclusion (defined below). "Scheduled Downtime" equals the aggregate total of all minutes of planned and scheduled maintenance performed during the month to perform any necessary hardware, operating system, network, database, application software maintenance, repair, upgrades, and updates. Northwoods will work with You to determine and use commercially reasonable efforts to schedule any such downtime after regular business hours, during times that minimize the disruption to operations. The amount of Scheduled Downtime may vary from month to month depending on the level of change to the system. "Unavailable" and "Unavailability'' mean all of your running instances have no external connectivity. Service Credits Service credits are calculated as a percentage of the total charges paid by You annually for the Hosting Services, divided by twelve (12)to determine the credit for the month in which the Unavailability occurred. In the event Northwoods does not meet the Service Commitment, You may be eligible to receive a J 0% service credit. Northwoods will apply any such service credit only against future Hosting Services payments otherwise due from You. Service credits will not entitle You to any refund or other payment from Northwoods. Service credits may not be transferred or applied to any other account You may have with Northwoods. Unless otherwise provided, Your sole and exclusive remedy for any Unavailability, non­ performance, or other failure by Northwoods to provide the Hosting Services is the receipt of a service credit in accordance with the terms of this SLA. Credit Request and Payment Procedures To receive a service credit, You must submit a claim by contacting the Northwoods Support Center. To be eligible, the credit request must be received by us by the end of the calendar month after which the incident occurred and must include: •The words "SLA Credit Request" in the subject line; •The dates and times of each Unavailability incident that you are claiming; •Your request logs that document the errors and corroborate your claimed outage. If the System Availability Percentage of such request is confirmed by Northwoods and is less than the Service Commitment, then Northwoods will issue the service credit to You and will apply such credit against your next annual invoice for Hosting Services. Your failure to provide the request and other information as required above will disqualify You from receiving a service credit. Hosting Services Exclusions The Service Commitment does not apply to any Unavailability, suspension, or termination of Hosting Services: (i) caused by factors outside of our reasonable control, include any force majeure event or internet access or related problems beyond the demarcation point of the hosting data center; (ii) that result from any actions or inactions of You or a third party, including failure to acknowledge a recovery volume; ( iii) that result from Your equipment, software, or other technology and/or third party equipment, software or other technology (other than third party equipment within our direct control); or (iv) that are due to any Scheduled Downtime (collectively, the "Hosting Services Exclusions"). If availability is impacted by factors others than those used in our System Availability Percentage calculation, then we may issue a service credit considering such factors at our discretion. 061521a HCBOC Page74 ATTACHMENT D Statement of Work See Attachment Copyright© Northwoods Consulting Partners, Inc. All rights reserved. Gif-NORTHWooos ® 061521a HCBOC Page75 '-:! NORTHWOODS ® -Traverse Implementation Project Presented to Harnett County, North Carolina Department of Social Services Document Version Version 1.0 Date Submitted February 23, 2021 Expiration Date May 23, 2021 061521a HCBOC Page76 I Statement of Work I Traverse Implementation Project Copyright and Trademark Notice Copyright© Northwoods Consulting Partners, Inc. All rights reserved. t«'f-NORTHWOODS e Northwoods, the Northwoods Bear Logo, Traverse, CoPilot, and Compass are all registered trademarks and service marks of Northwoods Consulting Partners, Inc. Rather than repeat the trademark and service mark attributions throughout this document, Northwoods hereby asserts its rights for all of its products and services. All other trademarks and service marks are the property of their respective owners. Unless stated to the contrary, no association with any other company or product is intended nor inferred. I Copyright and Trademark Notice 061521a HCBOC Page77 .. Statement of Work I Traverse Implementation Project �. . -: :l-,.':j .Table ·of Contents r=- " � - ; ; ; ; � . . (i'[-NORTHWOODS" Purpose ....................................................................................................................................................................................... 1 Project Scope ............................................................................................................................................................................ 2 Deliverables ............................................................................................................................................................................................... 2 Northwoods Project Team Roles ....................................................................................................................................................... 2 Harnett DSS Key Project Team Roles ............................................................................................................................................... 3 Work Activities ......................................................................................................................................................................... 5 Project Planning and Management .................................................................................................................................................. 5 Coach Development .............................................................................................................................................................................. 6 Server Environment ................................................................................................................................................................................ 8 Business Process Review ....................................................................................................................................................................... 8 Electronic Forms Design ....................................................................................................................................................................... 9 Client Hardware Deployment ............................................................................................................................................................. 9 Client Software Deployment ............................................................................................................................................................. 10 MEI Development ................................................................................................................................................................................. 10 ETL Configuration .................................................................................................................................................................................. 11 ETL Review ............................................................................................................................................................................................... 12 Training and Implementation Support .......................................................................................................................................... 12 Training ................................................................................................................................................................................................ 12 Implementation Support ............................................................................................................................................................... 13 Training and Implementation Support Phases ...................................................................................................................... 13 Work Requirements .............................................................................................................................................................. 15 Phase 0: All Project Phases ................................................................................................................................................................ 15 Phase 1: Startup ..................................................................................................................................................................................... 15 Phase 2: Design ..................................................................................................................................................................................... 17 Phase 3: Test ........................................................................................................................................................................................... 19 Phase 4: Deploy .................................................................................................................................................................................... 20 Phase 5: Closeout. ................................................................................................................................................................................ 22 Phase 6: Post-Project Consultation ................................................................................................................................................ 23 Location and Hours of Work ............................................................................................................................................................ 23 Table of Contents 061521a HCBOC Page78 7 ·•, Statement of Work I Traverse Implementation Project («f-NORTHWOODS e Project Acceptance·········································································································································································.····· 23 Project Assumptions ........................................................................................................................................................................... 24 Appendix A: Change Management ................................................................................................................................. A-1 Change Control Process ................................................................................................................................................................... A-1 Identification ................................................................................................................................................................................... A-2 Evaluation ........................................................................................................................................................................................ A-2 Management .................................................................................................................................................................................. A-3 Appendix B: Deliverable Review Procedures ................................................................................................................ B-1 Review Methods .................................................................................................................................................................................. B-1 Formal Evaluation .......................................................................................................................................................................... B-1 Functional Review ......................................................................................................................................................................... B-2 Walk-Through Inspection .......................................................................................................................................................... B-3 Acceptance Log .................................................................................................................................................................................. B-4 Timeliness ............................................................................................................................................................................................. B-4 Appendix C: Deliverable Acceptance Criteria ............................................................................................................... C-1 Appendix D: Laserfiche Document Types ..................................................................................................................... D-1 I Table of Contents 061521a HCBOC Page79 T I Statement of Work I Traverse Implementation Project Purpose («'{-NORTHWOODS" The purpose of this Statement of Work (SOW) is to define the scope of work and deliverable work products necessary for the implementation of a Traverse solution within Harnett County Department of Social Services (Harnett DSS or customer). This SOW specifies the work to be done by the Northwoods Consulting Partners, Inc. (Northwoods) project team in providing the services associated with the Harnett DSS Traverse Implementation Project (the Project). Any requests for services and/or system functionality that exceed the scope specified in this SOW are subject to change management.1 1 See "Aopendix A: Change Management" on page A-1. Purpose 061521a HCBOC Page80 C ''' Statement of Work I Traverse Implementation Project Project Scope («f' NORTHWOODS" The project objective is to deploy Traverse for use by Harnett DSS, which includes the following business units: •Child Welfare •Adult Services Deliverables The following project deliverables are subsidiary elements of the final project product each with its own separate but interdependent deliverable scope: •Baseline Project Schedule •Client Software Deployment •Saas Environment Setup •Baseline ETL Configuration •ETL Testing •Training •Training Schedule •Business Process Review •Extract, Transform, Load (ETL) Design Document •Electronic Forms Design •ETL Review •Implementation Support Deliverable review procedures are described in "Appendix B: Deliverable Review Procedures" on page B-1 while deliverable acceptance criteria for this project's deliverables are provided in "Appendix C: Deliverable Acceptance Criteria" on page C-1. Northwoods Project Team Roles The Northwoods project management team is responsible for ensuring the satisfactory and timely completion of each project task by planning, organizing, motivating, and controlling human and equipment/material resources and applying project management methodologies in alignment with Project Management Institute (PMI) standards. The Northwoods project team will include the following roles: Role I Responsibilities Project Manager Manages the project implementation approach, staffing, responsibilities, and delivery of services. Serves as one of the primary points of contact for Harnett DSS. Oversees and supports solution rollout. Responsible for day­ to-day project quality assurance. ,, I Project Scope 061521a HCBOC Page81 Statement of Work I Traverse Implementation Project («� NORTHWOODS�. Role I _Responsibilities Solution Analyst ETL Analyst Solution Architect Forms Design Team Leads business process review sessions, consulting with Harnet t DSS subject matter experts (SMEs) on identified areas where Traverse will intersect with day-to-day business processes. Provides consultation around what agency forms should be included in Traverse. Ensures the solution appropriately meets Harnett DSS's needs. Ensures the readiness of Harnett DSS as it pertains to the delivery of training. Provides direct training support to ensure Traverse is appropriately adopted by Harnett DSS workers. Participates in Technical Evaluation and Ancillary System Technical Evaluation sessions. Participates in Technical Evaluation and Ancillary System Technical Evaluation sessions. Designs ETL agents according to the ETL Design Document deliverable. Ensures Traverse successfully integrates with applicable Harnett DSS systems. Responsible for incorporating Harnett DSS's electronic filing structure into Traverse and building Harnett DSS-specific service deliveries within the application. Provides consultation on how Harnett DSS should deploy Traverse. Responsible for testing the designed ETL solution(s). Responsible for overseeing the collection and development of up to a total of 400 electronic forms. Harnett DSS Key Project T earn Roles The Harnett DSS project team will include at least the following key roles: Role I Responsibility Project Manager Head Coach Project Scope Responsible for scheduling and overseeing tasks and resources assigned to the project. Ensures that project management standards are met. Assists the Northwoods Project Manager with monitoring the overall quality of the project and furthering the ongoing integration of the Northwoods solution. Ensures that solution adoption continues to increase after the project is completed. Responsible for monitoring the overall quality of the project and furthering the ongoing integration of the Northwoods solution into day-to-day business processes. Ensures that solution adoption continues to increase after the project is completed. 061521a HCBOC Page82 I Statement of Work I Traverse Implementation Project («f NORTHWOODS� Role ] Responsibility Assistant Coach IT Lead Subject Matter Experts System Administrators I Project Scope Responsible for the day-to-day training and support needs of the Northwoods solution. Ensures the delivery of training occurs during the onboarding process for new hire staff. Responsible for provisioning necessary hardware and facilitating access to systems that are required to be integrated with Traverse. Responsible for serving as the technical subject matter expert. Responsible for participating in business process reviews with Northwoods staff, as well as other identified activities. Responsible for system administration activities, including maintaining user accounts within Traverse. 061521a HCBOC Page83 Statement of Work I Traverse Implementation Project The work activities in this section define the tasks necessary for the successful design and deployment of the Traverse solution. Project Planning and Management The Northwoods Project Manager is responsible for ensuring the satisfactory and timely completion of each project task by planning, organizing, motivating, and controlling human and equipment/material resources and applying project management methodologies. The internal methodology used by Northwoods Project Managers is as follows: •Calendar of Events and Deadlines o Establish, review, and communicate project events and deadlines throughout the duration of the project •Change Management o Track and monitor change requests for anything affecting scope, time, or cost for the project o Identify and process in-scope and out-of-scope requests •Communications Management o Provide project status updates and communication o Use appropriate communication channels to ensure visibility and cooperation by communicating status and relevant news about the project to key stakeholders o Provide regular status reports to the Harnett DSS Project Manager and key customer stakeholders •Deliverable Management o Facilitate the configuration and implementation of project deliverables and deliverable review procedures •Issue and Risk Management o Assign issues to team members for resolution and/or follow up o Assign a rank to risks identifying the likelihood and severity of a risk should it happen. Identify methods to mitigate or eliminate the risk o Communicate potential risks and issues that may affect the schedule, budget, and/or project deliverables to key stakeholders o Identify schedule variance and potential problems •Leadership and Decision Support and Prioritization o Identify decision owners and proactively support the project decision-making process Work Activities 061521a HCBOC Page84 Statement of Work I Traverse Implementation Project o Determine the relative priority of decisions •Work Breakdowns, Schedules, Milestones lttf-NORTHWOODS 8 o Assign work activities and target completion dates required for the project team o Review and approve task updates for the project team o Adjust the Baseline Project Schedule and/or reassign resources as necessary For additional details around the Northwoods Project Manager's role, as well as the roles that make up the Northwoods project team, please refer to "Northwoods Project Team Roles• on page 2. Coach Development Northwoods will provide Harnett DSS with coach development before, during, and after solution implementation, which will assist with the implementation of Traverse and create the foundation for long-term solution success. Using coaching principles championed by the University of California -Davis and the University of Denver's Butler Institute for Families, we spend significant time assisting an agency in creating and developing a coaching team. We apply our expertise and knowledge of agency business units by working with an agency's stakeholders to evaluate, identify, and develop the best possible staff members to: •Assess the current state of, and future changes to, agency business processes •Establish communication protocols that are in line with the modernization of existing business processes •Train and support agency staff •Advocate for and lead necessary business process changes that promote overarching and sustainable agency success In support of this project, we will begin by providing Harnett DSS with our recommended skillsets and criteria for coaches. We will then outline what Harnett DSS coaches will do, how each role will be involved in the project, and why the coaching team is critical to the solution's success. All of this leads to Harnett DSS's coaches becoming in-house experts in supporting and sustaining Traverse in all aspects of their organization. The primary roles in a coaching team include a head coach and assistant coaches, which are supported by the Northwoods project team, the agency's project manager, and the agency's IT staff. In addition to the high-level project team roles presented in "Harnett DSS Key Project Team Roles" on page 3, the characteristics and responsibilities of a head coach and assistant coaches are summarized in the following +table: Work Activities 061521a HCBOC Page85 I Statement of Work I Traverse Implementation Project bi� Head Coach Assistant Coaches NORTHWOODS� The head coach serves as the project lead, establishes readiness, and ensures solution success before implementation, during training, and after the project is closed. The Northwoods Project Team works closely with and supports the head coach, establishing the head coach as their agency's champion of the Northwoods solution-from the day­ to-day utilization of the solution to being a visionary for continued process improvement. The head coach should have a complete understanding of the project from business process review to baseline solution configuration to its use in the field, as well as agency policies and procedures. Serving as the central point of contact between an agency and Northwoods-as well as internally-the head coach ensures accurate and timely communication, fosters relationships with an agency's staff, and implements new business processes developed during the project's implementation. Assistant coaches provide direct support to a small team of agency staff, offering guidance and encouraging them to adopt new techniques. These coaches have in-depth knowledge of their agency's business processes, as well as caseworker responsibilities. Assistant coaches focus on developing staff proficiency as they adopt the Northwoods solution. While a head coach is responsible for overall project success and end-user adoption, assistant coaches work with a smaller subset of staff to provide support, identify areas of strength and weakness, determine if strengths and weaknesses are common across the subset of staff, and provide information to the head coach. Once a head coach and assistant coaches are identified, Northwoods will provide targeted support to position Harnett DSS's coaching team for lasting success. Working together, Northwoods and Harnett DSS's coaching team will identify agency strengths and critical business processes that have the greatest potential to be affected by the Northwoods solution. The coaching team will then guide Harnett DSS through changes to policies and procedures. Through consultation provided by the Northwoods project team, Harnett DSS's coaching team will help the agency and its staff navigate through organizational changes, including the onboarding of new staff, implementing new programs, responding to new state mandates, and incorporating future product enhancements. As such, coaches will remain critical to the flow of communication within Harnett DSS, supporting front-line staff who will use the Northwoods solution and ensuring that all staff remain informed about organizational changes as they are implemented. We understand the importance of an agency's coaching team in the continued success of a Northwoods solution and recognize the need for additional opportunities to support the coaching team's "next steps" once the project is fully implemented. After project implementation, the Northwoods Customer Success Manager will work with Harnett DSS to schedule post-project implementation check-ins with the coaching team, providing additional consultation. Work Activities 061521a HCBOC Page86 Statement of Work I Traverse Implementation Project Server Environment t«< NORTHWOODS & Northwoods will install an ETL agent on a Harnett DSS server {physical or virtual) that will be used to enable the exchange of data between Laserfiche and Traverse, as detailed in "ETL Configuration" on page 10. The ETL agent is required to communicate with both the data source(s) and target data. It is installed on a server at the agency and provides secure data transfer to and from the Traverse solution. Harnett DSS must provide the ETL agent server according to the minimum specifications listed below at Harnett DSS's own cost: •One of the following operating systems: o Windows Server 2012 or greater o Windows Server 2016 is recommended •Microsoft components: o Microsoft .NET Framework 4.7.2 (full version) o Microsoft Windows Identity Foundation •Minimum specs: o Quad Core CPU o 8 GB of RAM o 8 GB of free hard disk space Business Process Review Business Process Review consists of all activities required for Harnett DSS SMEs to review existing business processes and how those business processes will change. During the course of the project, the Northwoods project team meets with the Harnett DSS SMEs to review Traverse-specifically functionality related to the Traverse web application, Traverse forms, and the Traverse mobile application-and discuss potential business process changes. Harnett DSS SMEs, comp osed of representatives from different program areas, will be asked to review how existing processes will be affected by Traverse, changes that will help workers realize the most benefits from Traverse, and any other decisions that may affect business processes. Following each business process review meeting, Harnett DSS SMEs evaluate any necessary business process changes related to the use of Traverse. The SM Es document the current business process, how the business process will change with Traverse, and any other considerations that Harnett DSS should consider when implementing the business process change. I Work Activities 061521a HCBOC Page87 Statement of Work I Traverse Implementation Project Electronic Forms Design t«r NORTHWOODS" Electronic Forms Design consists of all activities required for the Northwoods forms designers to convert up to a maximum of 400 existing paper-based and electronic forms into a user-friendly format during the course of the project. Please note that after project closure, regardless of the number of forms actually converted, any requests for additional electronic forms conversions that were not identified during the project are considered out of scope and will be subject to additional fees.2 Northwoods uses a forms design process that allows forms designers to create electronic forms that an agency uses every day. Northwoods will start the form design process by holding discovery sessions with Harnett DSS SM Es to ensure appropriate agency forms are selected. Following discovery sessions, Northwoods forms designers will create an electronic template for each form provided by Harnett DSS SMEs. Northwoods forms designers will then add form fields to the template­ including, but not limited to, text fields, checkboxes, drop-down lists, and signature fields-based on Harnett DSS's existing paper or electronic forms. Northwoods will also add form fields, based on the design request of Harnett DSS, that can be configured as required fields or autofilled with a case, client, and/or service provider's information. Client Hardware Deployment Client Hardware Deployment includes the Harnett DSS activities required to make its client-side hardware available for agency use. Harnett DSS will take inventory of and order client hardware to ensure that it is available for deployment to Traverse end users. Required client-side hardware includes the following3 : •Desktop scanners (one Fujitsu fi-7160 Desktop Scanner is recommended per unit) •One of the following types of tablets: o Apple iPad Wi-Fi and 4G Tablets with iOS 12.2 or higher o Tablets with Windows 10 (version 1709) or higher (Microsoft Surface tablets recommended) 2 Following project completion, Northwoods forms designers will provide Harnett DSS with up to 80 hours of forms maintenance per year. Forms maintenance involves creating, updating, and retiring electronic forms in Harnett DSS's forms library. If Harnett DSS elects to add additional forms into Traverse, the county will be able to draw upon its forms maintenance hours when engaging Northwoods. Any additional electronic forms design and/or maintenance beyond the allocated hours will require a separate work order subject to additional fees. 3 While Traverse requires the hardware listed in this SOW at the time of writing, the Traverse Technical Re quirements document contains up-to-date hardware versions required for Traverse to function correctly. Work Activities 061521a HCBOC Page88 '· I Statement of Work I Traverse Implementation Project Client Software Deployment («f NORTHWOODS11 Client Software Deployment includes the activities necessary to make client-side software available to Traverse end users. Traverse requires compatible browsers and operating systems as seen in Traverse Technical Requirements. Northwoods will be available to provide Harnett DSS with consultation as they complete the following software deployment activities: •Deploying scanner drivers (PaperStream IP (TWAIN) 1.30.0.5032 recommended) to worker desktop •Adding the Traverse browser shortcut to worker desktops •Adding Traverse to favorites/bookmarks in worker browsers •Adding the Traverse link to the Harnett DSS intranet site •Adding the Traverse mobile app to each end user's device via Enterprise Mobility Management (EMM) Northwoods recognizes that Harnett DSS uses an Enterprise Mobility Management (EMM) software (not included with project) for device security, protection, and management. Harnett DSS will be responsible for appropriately configuring the EMM prior to Traverse mobile device deployment. MEI Development Northwoods will be responsible for creating the initial import from Compass Pilot to Traverse. Northwoods will create a master entity index (MEI) in Traverse for Harnett DSS's case files included in the scope of this project. The MEI will include demographic data from existing cases and people from Compass Pilot and will enable Northwoods to connect content to case and person attributes within Traverse. To assist its creation, Northwoods will use an import tool to perform a one-time import of demographic data and case narratives directly from Compass Pilot and automatically add it to the MEl.4 Once the MEI is created, Northwoods will consult with Harnett DSS on how to connect specific content items to specific cases, people, and/or organizations within Traverse. Please note that Harnett DSS will be responsible for maintaining the MEI once Northwoods finishes the initial import of data from Compass Pilot. This will involve Harnett DSS creating all new cases in Traverse as part of the agency's day-forward approach. To ensure that the MEI is appropriately maintained, Northwoods will provide Harnett DSS with MEI consultation as part of this project's scope. 4 The demographic fields available in Compass Pilot may not match the demographic fields availabl e in Traverse. Information contained within incompatible fields in Compass Pilot will not be transferred to Traverse, and information from Traverse will not be transferred back to Pilot. I Work Activities 061521a HCBOC Page89 Statement of Work I Traverse Implementation Project ETL Configuration («� NORTHWOODS B Extract, transform, load (ETL) configuration involves importing data from disparate system{s)-Laserfiche-into Traverse. Northwoods will perform the following ETL configurations: •A one-time import of content from Laserfiche to Traverse, up to 405 document types for a total of up to 757,956 documents, as detailed in "Appendix D: Laserfiche Document Types" •A periodic import of content from Laserfiche to Traverse •A periodic import of content from Traverse to Laserfiche Northwoods will determine ETL requirements-inclusive of a unique case file or case member identifier-during the ancillary system evaluation sessions, documenting the results in the ETL Design Document project deliverable. Consistent with the approved ETL Design Document, Harnett DSS will provide Northwoods with, at a minimum, a Laserfiche CSV file (or similar method of transport) consisting of case, client, and service provider demographic data. Prior to importing any content, Harnett DSS will validate the list of Laserfiche document types and document counts provided by Northwoods, verifying the document types that Northwoods will migrate to Traverse. Northwoods will then configure the agency's Laserfiche electronic filing structure within Traverse.5 Northwoods will then complete a preliminary configuration of the ETL agent to ensure it appropriately receives data. Following the preliminary configuration, Northwoods will conduct an ETL review with Harnett DSS as described in "ETL Review" on page 12. The Northwoods project team will test the ETL process(es) as designed and documented in the ETL Design Document within a dedicated test environment to confirm the system complies with specified requirements. During ETL testing, Northwoods will validate that content from Laserfiche is available within Traverse and mapped to the appropriate fields within the solution. Please note that any changes to the Laserfiche integration process, as well as changes made to the source data that result in additional Northwoods services, are subject to change order. This includes modifying the format of the source data, modifying document types, adding/changing/removing application programing interfaces (APls), adding/changing/removing an enterprise service bus (ESB), and adding/changing/removing direct database access. 5 Additionally, Northwoods will perform discovery to determine what file types are currently being used in Laserfiche, as certain file types are not compatible with Traverse. Work Activities 061521a HCBOC Page90 I Statement of Work I Traverse Implementation Project ETL Review («f-NORTHWOODS 11 Once ETL testing is completed, Northwoods will conduct an ETL review with Harnett DSS. During the ETL review, Northwoods will walk through the data within Traverse, verifying that all case and client data is mapped to the appropriate fields within Traverse. Following the completion of the ETL review, Northwoods will be responsible for initiating the approved ETL process(es) as documented in the ETL Design Document project deliverable. Once the ETL review is successfully completed and approved, the baseline ETL configuration will be placed under configuration management and serve as a reference point for future ETL changes. Baseline categories include: •Preliminary ETL Baseline (changes moderately controlled): Establishes the benchmark ETL configuration once the ETL Design Document deliverable is approved. •Production Baseline (changes strictly controlled or controlled by change order): Reflects a completed, client-accepted system that is ready for the production release. Training and Implementation Support Northwoods will provide the Harnett DSS coaching team with training and implementation support during the limited production (LP) phase of the project. Upon completion of the LP training and implementation support, Northwoods will deliver end-user training while Harnett DSS coaches will deliver implementation support during the full production (FP) phase of the project. Training and implementation support ensure that an agency's workers know how to use Traverse, allowing the agency to minimize disruption to daily workloads as Traverse goes live. Training Training activities associated with this project are described in detail in the following subsections. Solution Demonstration The first training step is a solution demonstration that shows workers how they will complete day-to-day responsibilities using Traverse. During the initial solution demonstration, the Northwoods project team provides a high-level demonstration of Traverse to Harnett DSS, providing Harnett DSS workers with an overview of their soon-to-be-implemented solution. This demonstration serves as a worker's first exposure to the new solution, generating excitement for Traverse while laying the groundwork for a successful project. Web-Based Training Following the solution demonstration, Harnett DSS workers will view web-based training videos to gain a deeper understanding of the features of Traverse. I Work Activities 061521a HCBOC Page91 Statement of Work I Traverse Implementation Project �f' NORTHWOODS I! Web-based training videos are a proven training delivery method that provides an agency's workers with training on the functionality of their Northwoods solution. Web -based training helps workers understand and familiarize themselves with Traverse and are specifically developed with social services workers in mind to show how they can use the software to help them better perform their daily responsibilities. Web-based training videos can be accessed within Traverse, and Harnett DSS workers can access the most recent versions anytime, anywhere with an internet connection. Traverse Application Review Northwoods will conduct an end-to-end application review, using newly identified business process decisions made during the business process review sessions to demonstrate day-to-day uses of Traverse. Throughout the limited production phase, Northwoods will continue to work with the Harnett DSS coaching team, building the coaching team's skillset before the coaching team provides support to end users during the full production phase of the project. Implementation Support Northwoods will provide the Harnett DSS coaching team with implementation support during the limited production (LP) phase of the project to effectively support the project's implementation. Implementation support is arguably the most important step for the solution to achieve overall succ ess at an agency. Up to this point, coaches and end users have seen and learned what the solution can and will do based on the features of the software. During implementation support, coaches learn how to use the software in their daily activities. During this step, a Northwoods project team member provides direct support to a coaching team member in order to share successes and challenges, integrate the solution with daily tasks, and clarify any areas of confusion. This support promotes trust and confidence not only in the software but also with business processes being implemented. Having support increases user knowledge, confidence, and adoption, and reduces the likelihood that users will resort back to a paper-based system. Additionally, the Northwoods project team member helps an agency develop best practices for the solution. Training and Implementation Support Phases Training and Implementation Support for Traverse, which includes the training and implementation support activities discussed in the previous sections, is broken into two phases: limited production (LP) and full production (FP). Limited Production The Northwoods project team will provide targeted development for the Harnett DSS coaching team and other LP participants as part of Northwoods' implementation. Consisting of a combination of supervisors, social workers, clerical staff, and administrative staff, the coaching team (and other LP participants as applicable) will receive support and consultation, as well as one-on-one assistance, during a series of remote targeted-support Work Activities 061521a HCBOC Page92 1 Statement of Work I Traverse Implementation Project («[-NORTHWOODS� sessions. This series of sessions will allow the coaches to quickly apply Traverse to their daily responsibilities and enable them to become valuable internal supports for their peers once all FP participants are appropriately trained on the software. Full Production During the FP rollout of Traverse, Northwoods will provide application review sessions to end users as the coaching team provides targeted support sessions. The Harnett DSS coaching team will work closely with end users as they learn to use Traverse, applying new technology and revised business processes to their day-to­ day work activities. I Work Activities 061521a HCBOC Page93 Statement of Work I Traverse Implementation Project («� NORTHWOODS It The project is organized in phases that define the work required for a successful project. Phase 0: All Project Phases The following work requirements define the specific tasks the Northwoods project team and the Harnett DSS project team will complete throughout all project phases. The timeline for completion is determined by the Baseline Project Schedule deliverable, as developed by the Northwoods Project Manager and approved by the Harnett DSS Project Manager. Responsibilities Code j Description j Responsible Party 0.1 Facilitate status review meetings throughout the duration of Northwoods project to review progress and detailed plans, and identify and communicate potential risks and issues that may affect the schedule, budget, or deliverables 0.2 Attend status review meetings Harnett DSS 0.3 Prepare and distribute written status reports, including updates Northwoods pertaining to project deliverables 0.4 Review written status reports Harnett DSS 0.5 Support Harnett DSS coaches Northwoods Phase 1: Startup Project startup represents one of the most important aspects of the overall project. It focuses specifically on planning and communication. During this phase, the Northwoods project team focuses on all aspects of project initiation and planning, which allows the project team to monitor, control, and complete the project within time and budget constraints while meeting all required deliverables. Objectives 1.Plan and initiate the project. 2.Assemble the Northwoods project team and secure necessary resources. 3.Assemble the Harnett DSS project team and secure necessary resources. Work Requirements 061521a HCBOC Page94 Statement of Work j Traverse Implementation Project Responsibilities Code j Description 1.1 Introduce Harnett DSS to their dedicated Northwoods Cust omer Success Manager 1.2 Introduce Harnett DSS to the Northwoods project team members and provide the agency with appropriate contact information 1.3 Introduce Northwoods to the Harnett DSS Project Manager 1.4 Request 4 to 6 common Harnett DSS forms to begin Traverse forms design 1.5 Provide 4 to 6 forms to Northwoods 1.6 Facilitate planning meeting with the Harnett DSS Project Manager and other key stakeholders to: •Outline project goals•Establish roles and responsibilities of team members•Clarify the expectations of all parties•Create a shared commitment toward project success 1.7 Attend planning meeting with the Northwoods project team 1.8 Facilitate coaching overview meeting with Harnett DSS leadership 1.9 Attend coaching overview meeting 1.10 Identify and assign the Harnett DSS coaching team members 1.11 Provide Northwoods with an overview of Harnett DSS coaching team, forms team, and IT team 1.12 Provide Harnett DSS with work activities and target completion dates required for Harnett DSS and Harnett DSS coaching team members 1.13 Request user information for the Harnett DSS coaching team, forms team, and IT team for Traverse user provisioning 1.14 Provide user information for Traverse user provisioning 1.15 Schedule agency staff and provide environment/equipment for initial solution demonstration 1.16 Facilitate Forms Gathering Introduction with the Harnett DSS forms team Work Requirements �[' NORTHWOODS" I Responsible Party Northwoods Northwoods Harnett DSS Northwoods Harnett DSS Northwoods Harnett DSS Northwoods Harnett DSS Harnett DSS Harnett DSS Northwoods Northwoods Harnett DSS Harnett DSS Northwoods 061521a HCBOC Page95 Statement of Work i Traverse Implementation Project Code I ���cription_ ::· .-...-. . 1.17 Participate in the Forms Gathering Introduction 1.18 Facilitate technology meeting with Harnett DSS to: •Identify technical requirements and discuss implementation timelines•Discuss Laserfiche technical requirements 1.19 Attend technology meeting with Northwoods 1.20 Review project management procedures with the Harnett DSS Project Manager 1.21 Review the format and frequency of status reports with the Harnett DSS Project Manager 1.22 Develop and submit the Baseline Project Schedule to the Harnett DSS Project Manager for review 1.23 Evaluate and approve the Baseline Project Schedule 1.24 Facilitate Forms Gathering Workshop with the Harnett DSS forms team 1.25 Participate in the Forms Gathering Workshop 1.26 Provide Northwoods with the agency-specific electronic filing structure 1.27 Review existing forms library and update forms as needed to prepare for electronic forms design 1.28 Provide Northwoods with all forms for forms design, identifying 50 high priority forms 1.29 Lead initial solution demonstration with the Harnett DSS Head Coach, providing the Harnett DSS coaching team, forms team, and IT team with an introduction to Traverse and information about how to begin accessing web-based training videos 1.30 Attend initial solution demonstration Phase 2: Design («� NORTHWOODS Qt I Responsible Party Harnett DSS Northwoods Harnett DSS Northwoods Northwoods Northwoods Harnett DSS Northwoods Harnett DSS Harnett DSS Harnett DSS Harnett DSS Northwoods Harnett DSS This phase includes the objectives and responsibilities f or designing the business and system requirements for the project. Work Requirements 061521a HCBOC Page96 Statement of Work I Traverse Implementation Project Objectives 1.Identify business (functional) and system (nonfunctional) requirements. 2.Complete preliminary system design. Responsibilities Code j Desc ription. 2.1 Facilitate a coaching team session on coaching implementation methodology and communication 2.2 Participate in the coaching team session 2.3 Take inventory of and order client hardware to ensure that it is available for deployment to Traverse end users 2.4 Provision and distribute client-side hardware based on Northwoods' recommendations 2.5 Facilitate business process review sessions with Harnett DSS SMEs, including sessions specific to: •Functionality in the Traverse web application•Functionality related to forms and in the Traverse mobile application 2.6 Participate in all business process review sessions 2.7 Submit the Traverse Functionality Document to the Harnett DSS Head Coach 2.8 Develop and submit ETL Design Document to Harnett DSS for review 2.9 Evaluate and approve the ETL Design Document 2.10 Provision server(s) (virtual or physical) for ETL agent 2.11 Provide access to Laserfiche data 2.12 Stand up ETL agent on Harnett DSS's network 2.13 Provide Northwoods with, at minimum, a CSV file for Laserfiche demographic data 2.14 Provision the following Saas environment(s): •Test•Production I Work Requirements («f-NORTHWOODSg ) Responsible Party Northwoods Harnett DSS Harnett DSS Harnett DSS Northwoods Harnett DSS Northwoods Northwoods Harnett DSS Harnett DSS Harnett DSS Northwoods Harnett DSS Northwoods 061521a HCBOC Page97 !Statement of Work I Traverse Implementation Project Code I Description 2.15 Develop the ETL solution based on requirements in the ETL Design Document, completing preliminary configurations of the ETL agent to ensure it appropriately receives data 2.16 Provide Northwoods with access to Compass Pilot in order for Northwoods to configure its Compass Pilot import tool 2.17 Execute the Compass Pilot import tool to extract demographic data and case narratives from Compass Pilot 2.18 Create the MEI to assist with the Laserfiche import and build out cases and people for case files included in the scope of this project 2.19 Review data elements and determine business rules for the Laserfiche import process, including specific business rules around mapping document types to content types and connections to people and cases 2.20 Configure the Harnett DSS-provided Laserfiche electronic filing structure within Traverse 2.21 Provide Northwoods with access to Harnett DSS's Laserfiche environment(s) in order for Northwoods to configure its import tool 2.22 Map content types and rules for connecting content to people and cases 2.23 Execute the import tool to perform the initial transfer of Laserfiche content into Traverse 2.24 Provide consultation to assist Harnett DSS with maintaining the MEI 2.25 Continue designing remaining electronic forms, not to exceed a total of 400 forms 2.26 Request full end user information for Traverse user provisioning 2.27 Provide full end user information for Traverse user provisioning Phase 3: Test («f-NORTHWOODS11 j Responsible Party Northwoods Harnett DSS Northwoods Northwoods Harnett DSS Northwoods Harnett DSS Northwoods Northwoods Northwoods Northwoods Northwoods Harnett DSS The Northwoods project team tests the ETL process(es) within a dedicated test environment to confirm the system complies with specified requirements. ETL testing involves testing of the ETL process(es) to confirm data from Laserfiche and Compass Pilot is available and mapped correctly. Work Requirements 061521a HCBOC Page98 Statement of Work ! Traverse Implementation Project Objective («[-NORTHWOODS® 1.Verify that all functional and nonfunctional requirements are satisfied prior to full production implementation. 2.Verify Production Release Criteria have been achieved. Responsibilities Code I Description 3.1 Perform ETL testing within a dedicated test environment to ensure the ETL process(es) are configured correctly and in accordance with the ETL Design Document 3.2 Provide Harnett DSS IT with consultation around updating hardware and software systems configuration, as needed 3.3 Facilitate ETL review with Harnett DSS 3.4 Participate in the ETL review 3.5 Formally approve the ETL review 3.6 Deploy ETL process(es) to the Traverse production environment Phase 4: Deploy I Responsible Party Northwoods Northwoods Northwoods Harnett DSS Harnett DSS Northwoods This phase includes the objectives and responsibilities for deploying the project, including an iterative, multilayered approach to training and implementation support. Objective 1.Deploy client hardware and software. 2.Train and support end users on system functions and new/revised business processes. Responsibilities Code I Descr'.?ti�n I Responsible Party 4.1 Place 50 high priority electronic forms into the Harnett DSS Traverse Northwoods production system 4.2 Deploy client-side hardware based on recommendations Harnett DSS 4.3 Deploy desktop scanner drivers to applicable worker desktops Harnett DSS 4.4 Add Traverse browser shortcut to worker desktops Harnet t DSS Work Requirements 061521a HCBOC Page99 Statement of Work I Traverse Implementation Project Code I Description 4.5 Add Traverse to favorites/bookmarks in worker browsers 4.6 Add Traverse link to Harnett DSS intranet site 4.7 Deploy the Traverse mobile application to worker mobile devices 4.8 Develop and submit training schedule to Harnett DSS for review 4.9 Evaluate and approve the training schedule 4.10 Schedule training sessions, create rosters, and provide training equipment and logistical support 4.11 Provide Harnett DSS with consultation on how the agency will maintain the MEI and manually build new cases in Traverse 4.12 Conduct Traverse system administration training for designated Harnett DSS staff 4.13 Participate in Traverse system administration training 4.14 Review maintenance and support protocol/procedures with Harnett DSS 4.15 Review maintenance and support protocol/procedures with Northwoods 4.16 Conduct the Traverse application review session, reviewing Harnett DSS-specific configuration with the coaching team 4.17 Participate in the Traverse application review sessions 4.18 Conduct targeted limited production (LP) support sessions 4.19 Participate in targeted LP support sessions 4.20 Conduct the end user kickoff session, introducing end users to Traverse 4.21 Conduct Traverse application review sessions with end users 4.22 Conduct coach-led targeted full production (FP) support sessions 4.23 Participate in coach-led FP targeted support sessions 4.24 Place all remaining electronic forms in the Harnett DSS Traverse production environment 4.25 Conduct a coaching team session on long-term training, support, and onboarding for post-project success Work Requirements t«f-NORTHWOODS !t I Responsible Party Harnett DSS Harnett DSS Harnett DSS Northwoods Harnett DSS Harnett DSS Northwoods Northwoods Harnett DSS Northwoods Harnett DSS Northwoods Harnett DSS Northwoods Harnett DSS Harnett DSS Northwoods Harnett DSS Harnett DSS Northwoods Northwoods 061521a HCBOC Page100 Statement of Work I Traverse Implementation Project («[' NORTHWOODS & _(ode I ·D�sc�iption -j Responsible Party 4.26 Participate in the coaching team session Harnett DSS 4.27 Conduct a coaching team session to perform an end-of-project Northwoods assessment 4.28 Participate in the coaching team session Phase 5: Closeout This phase includes the objectives and responsibilities for finalizing the project. Objective 1.Confirm Project Acceptance Criteria. 2.Verify completion of work requirements and deliverable acceptance. 3.Verify Project Acceptance Criteria have been achieved. 4.Formally close the project. Responsibilities _Code j Description 5.1 Review outstanding issues with the Harnett DSS Project Manager 5.2 Review Project Acceptance Criteria with the Harnett DSS Project Sponsor and Project Manager 5.3 Schedule up to 3 30-day post-project implementation assessment meetings and consultations with Harnett DSS 5.4 Work with Northwoods to schedule up to 3 30-day post-project implementation assessment meetings and consultations with Northwoods 5.5 Submit Project Acceptance form for signoff 5.6 Approve project acceptance 5.7 Perform administrative closure: final invoicing; collection and archival of project records; and release of project resources (for example, staff, facilities, and automated systems) 5.8 Decommission the Traverse test environment Work Requirements Harnett DSS j Responsible Party Northwoods Northwoods Northwoods Harnett DSS Northwoods Harnett DSS Northwoods Northwoods 061521a HCBOC Page101 Statement of Work I Traverse Implementation Project Phase 6: Post-Project Consultation Gt� NORTHWOODS® This phase includes the objectives and responsibilities for providing post-project consultation to the Harnett DSS coaches. Northwoods will provide Harnett DSS with post-project consultation sessions within the first 90 days following project closure. Please note that this phase will occur following the formal completion of the project and payment of the final project invoice. Objective 1.Provide consultation to the Harnett DSS coaching team. 2.Provide resources to the Harnett DSS coaching team to maintain user adoption of Traverse. Responsibilities Code I Descriptio� _ _ _ __j Responsible Party 6.1 6.2 Facilitate up to 3 30-day post-project implementation assessment Northwoods meetings and consultations with representatives from Harnett DSS business units Participate in assessment meetings and consultations with the Harnett DSS Northwoods project team Location and Hours of Work In order to reduce deployment barriers, all work activities performed by the Northwoods project team will be performed remotely. The Northwoods project team ensures the effective exchange of information and transfer of knowledge by using alternate methods of communication including but not limited to email, teleconferencing, and remote network access. Project Acceptance The following acceptance criteria are used to acknowledge acceptance of the final project deliverable: •All Northwoods assigned project work requirements have been completed. •All project deliverables have been accepted. The Northwoods Project Manager submits a Project Acceptance form once project acceptance criteria have been achieved. The Harnett DSS Project Sponsor, or authorized designee, evaluates whether the final project deliverable meets project acceptance criteria listed above. If the final project deliverable meets the project I Work Requirements 061521a HCBOC Page102 I Statement of Work I Traverse Implementation Project t«< NORTHWOODS g acceptance criteria, the Harnett DSS Project Sponsor, or authorized designee, signs the Project Ac ceptance form within five business days to acknowledge acceptance of the project. Should the final project deliverable fail to conform to acceptance criteria, the Harnett DSS Project Sponsor, or authorized designee, documents any deficiencies in the Project Acceptance form and returns the form to the North woods Project Manager within five business days. The Northwoods Project Manager then facilitates corrective action and resubmits the Project Acceptance form once corrective action is complete. If the Project Acceptance form is not returned to the Northwoods Project Manager within five business days, the project is deemed accepted by the customer. Project Assumptions The following assumptions are used to acknowledge requirements and dependencies for the project. Code I Topic I Assumption A.1 General All project participants will provide the necessary resources (for example, human resources, facilities, and equipment) to complete assigned work activities within established timelines in the approved Baseline Project Schedule deliverable. A.2 General Harnett DSS will provide Northwoods with local and remote •(VPN) network access and appropriate security privileges to application server(s) for the Northwoods project team to complete configuration of solution software. A.3 General Harnett DSS will provide: •Technical assistance as needed•Appropriate security and network access levels to all required support systems related to the project•Appropriate access levels, procedure documentation, and/or consultation for all supporting systems A.4 General Northwoods will deliver all services associated with this Project remotely. A.5 General Harnett DSS will provide all required ETL agent servers and access at the start of the project. A.6 General Harnett DSS will adhere to timeframes established in a mutually agreed upon Baseline Project Schedule. Delays in project activities may result in additional service costs, change orders, and possible delays in the project. A.7 Project Planning The Harnett DSS Project Manager or Harnett DSS Head Coach will and Management coordinate activities for Harnett DSS resources (for example, personnel and facilities). Work Requirements 061521a HCBOC Page103 Statement of Work I Traverse Implementation Project («f' NORTHWOODS11 Code I Topic j Assumption A.8 Electronic Filing Northwoods will use Harnett DSS's existing Laserfiche electronic filing Structure structure in Traverse. Modifications to the electronic filing structure are considered outside of project scope. A.9 Forms Design The Northwoods project team will be responsible for reviewing and approving all Traverse forms prior to placing them in the production environment. A.10 Client Hardware Harnett DSS will purchase and install client hardware within timeframes Deployment established in a mutually agreed upon Baseline Project Schedule. Delays in purchasing client hardware may result in additional service costs and possible delays in the project. A.11 Client Hardware Harnett DSS will be responsible for configuring an appropriate Enterprise Deployment Mobility Management (EMM) tool. A.12 Client Hardware Northwoods will provide technical specifications for Harnett DSS to procure Deployment all necessary client hardware. A.13 Client Hardware Harnett DSS will be responsible for purchasing app ropriate desktop Deployment scanners. A.14 Commercially Traverse is a commercially available software product. As such, suggestions Available for changes/enhancements to software source code may be considered for Software future releases, but implementation will not be contingent upon these changes. A.15 Extract, Harnett DSS will adhere to the ETL Design Document and the ETL Transform, Load specifications provided by Northwoods. A.16 Extract, Changes to the ETL process(es) will be subject to Change Management, as Transform, Load detailed in "AQgendix A: Change Management". A.17 Extract, Harnett DSS will be responsible for providing Northwoods with access to Transform, Load Laserfiche. A.18 Extract, Extract files are deleted after they have been successfully captured on the Transform, Load Traverse server. If, for any reason, there is already one or more extract file in the same location, the ETL process will place the new extract file in the location. A.19 Extract, Laserfiche data files, provided by Harnett DSS, must have a unique identifier. Transform, Load Work Requirements 061521a HCBOC Page104 Statement of Work I Traverse Implementation Project («f NORTHWOODSg Code I Topic I Assumption A.20 Extract, Harnett DSS will be responsible for resolving any duplicate records for cases Transform, Load and people within Compass Pilot prior to the execution of any Traverse ETL process(es). A.21 Extract, Northwoods will not be responsible for resolving any duplicate records for Transform, Load cases and people within Traverse. A.22 Extract, Harnett DSS Traverse users will discontinue use of Compass Pilot following Transform, Load Northwoods' one-time data import. Any use of Compass Pilot occurring after Northwoods' one-time data import will require additional import(s); additional import(s) after project closure are not considered within the scope of this project and will be subject to Change Management, as detailed in "AQgendix A: Change Management". A.23 Extract, Harnett DSS will provide Northwoods with ongoing access to the ETL agent Transform, Load server. If Harnett DSS does not provide Northwoods with ongoing access to the ETL agent server, Harnett DSS must provide Northwoods with a process for server access as well as prompt responses in the event Northwoods must deploy an upgrade to the ETL agent. A.24 Extract, Northwoods' ability to connect content to a case in Traverse during MEI Transform, Load Development is dependent upon Harnett DSS connecting documents to a case in Compass Pilot. If Harnett DSS does not connect documents to a case in Compass Pilot, Northwoods will be unable to connect content to a case in Traverse. A.25 Testing Harnett DSS will provide the appropriate network access and security privileges for Northwoods' testers. A.26 Testing Following completion of the ETL review, as detailed in "Phase 3: Test" Northwoods will promote Traverse to its production environment (upon Harnett DSS's approval and authorization). Upon project completion, Northwoods will decommission the Traverse test environment. A.27 Training Consistent with the approved training schedule, Harnett DSS will ensure users can access remote and web-based training. A.28 Training Based on a mutually approved training schedule, Harnett DSS users will attend each scheduled training session. Northwoods is not responsible for makeup training sessions. I Work Requirements 061521a HCBOC Page105 Statement of Work I Traverse Implementation Project («,.P-NORTHWOODS" Code I Topic J Assumption A.29 Out of Scope Imaging of closed case files (that is, backfile scanning) outside of case file scanning mutually approved during the project is considered outside of project scope. Northwoods will train Harnett DSS on scanning best practices for the open and active cases that will be ingested during implementation. While Harnett DSS will be responsible for scanning any inactive and/or closed case files, this activity will not impact Northwoods' ability to implement Traverse and ultimately close this project in a timely manner. A.30 Out of Scope Shredding of paper documents is considered outside of project scope . A.31 Out of Scope Following project closure, any forms maintenance requests that exceed the allotted 80 hours of forms maintenance is considered out of scope and will be subject to additional fees. A.32 Out of Scope Importing case notes from Laserfiche is considered out of scope. Work Requirements 061521a HCBOC Page106 I Statement of Work I Traverse Implementation Project Appendix A: Change Management (-if-NORTHWOODS" Many projects suffer from "scope creep," "growing requirements," and changes in plans that ultimately cause unnoticed slippage in the budget and schedule and loss of the control needed to deliver the intended work products according to specifications. Effective Change Management ensures that changes within the project are made in a consistent manner and that key stakeholders are informed of the state of the requested changes and the impact of those changes. Change Control Process The purpose of Northwoods' Change Control Process is to ensure that changes within the project are made in a consistent manner and that key stakeholders are informed of the state of the requested changes and the impact of these changes. Whenever possible, the Northwoods project team works with Harnett DSS to identify in-scope workarounds for any out-of-scope requests. The Change Control Process is a three-step process. •Identification •Evaluation •Management The following diagram represents the Change Control Process for the project. Appendix A: Change Management 061521a HCBOC Page107 I Statement of Work I Traverse Implementation Project -Ou1n9� Reqwst ;,;.,;,;.1,d _____ i . . -. Identification .... o..,. ........ • • ..... • no addhlonal cm11o customer ,� : : _________________________________________ : ... , ............ -------··-·-··---; : .................... : ·­--...... A Change Request (CR) form is used to formally initiate a change request. Types of change requests to be initiated using this form include changes to the project. Any project stakeholder can initiate a change request by submitting a Change Request (CR) form to the Northwoods Project Manager. The Northwoods Project Manager screens the request to determine whether or not there is adequate information for evaluation. The Northwoods Project Manager may request that more information be provided. Once enough information is available to assess the CR, the Northwoods Project Manager reviews the request with the Harnett DSS Project Manager, and they collectively decide if the change should be recommended for further evaluation. Evaluation The Northwoods Project Manager and the Harnett DSS Project Manager can jointly accept in-scope or out-of­ scope changes whose impact does not exceed the following threshold limits: •A delay of one or more days to any project deliverable, milestone, or scheduled project completion date •Scope changes to any project deliverable •Negative impact on the quality of a project deliverable •Additional expenditures in excess of $100 or additional project resources I Appendix A: Change Management 061521a HCBOC Page108 Statement of Work I Traverse Implementation Project •Requested changes/enhancements to project products t«'� NORTHWOODS. If the change request exceeds any of the established threshold limits, the Northwoods Project Manager evaluates whether the CR is within the overall scope of the project. If the requested change exceeds the threshold but is within scope of the project, the Northwoods Project Manager refers the CR to the Northwoods Project Management Office (PMO) for a decision. In instances for which the CR exceeds the threshold but is not within scope of the project, the Northwoods Project Manager refers the matter to the Northwoods Change Control Board (CCB), which determines if the change request is to be implemented. The Northwoods Project Manager communicates decisions by the PMO/CCB to the Harnett DSS Project Manager. Management The Northwoods Project Manager is responsible for implementing approved change requests and managing the risks associated with all approved or rejected change requests. The details surrounding all approved change requests expanding the scope of the project, are provided to each respective legal department to determine if such changes require a change to existing governing project documents or whethe r additional governing documents are required. Appendix A: Change Management 061521a HCBOC Page109 I Statement of Work I Traverse Implementation Project («f-NORTHWOODS" I •1: •• • -� ♦• , -.-1 • i .. ·.. -: ;.. ·,, -.. ---_. •. - . ._ �. _. ..t. '. . .• - . ; Appendix B:·oeliverable ·Review Procedures· .... � • � ... _.i..t .. ;��r -•-•• J. �._ • :i�•;. • l..t-. � ; '• • -�"" UL.-. ,.•-L.i -�•-•.! •,. �I.it, The tools, techniques, and procedures described in this section are used to create a clear and unambiguous definition of each project deliverable and of the process used to obtain acceptance of each deliverable. To be accepted, all deliverables must be: •In accordance with the scope of work defined for this project •Complete and ready for handover •Reviewed and approved by the Harnett DSS Project Manager in accordance with the defined acceptance criteria for the respective deliverable Review Methods Depending on its classification, project deliverables are reviewed through formal evaluation, functional review, or walk-through inspection. The purpose of deliverable classification is to ensure each deliverable receives the appropriate level of review and acceptance based on the characteristics, complexity, and source of the deliverable. •Formal Evaluation: The systematic process of evaluating whether a deliverable meets specifications. Formal evaluations are most appropriate for written deliverables that require review by multiple Harnett DSS SMEs. •Functional Review: The informal and immediate review of a deliverable to gain immediate feedback about content or technical quality. Alterations to the deliverable often occur during the review. Functional reviews are most appropriate for written deliverables or performance-based deliverables within the area of expertise and/or responsibility of a single person or small work group. •Walk-Through Inspection: The informal and immediate examination of material or equipment. The purpose is to validate the completion of a deliverable work activity. Walk-through inspections are most appropriate for performance-based deliverables within the area of expertise and/or responsibility of a single person or small work group. Functional reviews and walk-through inspections typically allow for faster turnaround time for review and acceptance than formal evaluations. They differ from formal evaluation with their openness of structure in which direct verification occurs at the time of review or inspection. Formal Evaluation The following deliverable acceptance procedure describes the formal evaluation process: 1.The Northwoods Project Manager submits a Deliverable Acceptance form (for more information, see the "Acceptance Log" section of this document) as the deliverable is completed. Within five business Appendix B: Deliverable Review Procedures 061521a HCBOC Page110 Statement of Work I Traverse Implementation Project �[' NORTHWOODS11 days, the Harnett DSS Project Manager and any necessary Harnett DSS SMEs evaluate whether the deliverable meets the acceptance criteria. 2.If the deliverable meets the outlined specifications, the Harnett DSS Project Manager signs the Deliverable Acceptance form acknowledging acceptance of the deliverable. The Harnett DSS Project Manager then returns the form to the Northwoods Project Manager within the five-day review period and no further action is necessary. 3.If a deliverable were to fail to conform to acceptance criteria, the Harnett DSS Project Manager must adequately document the deficiency in the Deliverable Acceptance form and return the form to the Northwoods Project Manager within the five-day review period. The Northwoods Project Manager then facilitates corrective action and returns the corrected deliverable within a mutually agreed upon timeframe. 4.The Harnett DSS Project Manager evaluates and approves or rejects corrected deliverables received from the Northwoods Project Manager within five business days, unless the Harnett DSS Project Manager notifies the Northwoods Project Manager within the five business days that additional time is required for the review. Both the Northwoods Project Manager and the Harnett DSS Project Manager must mutually agree to the time of the extension. 5.If additional corrective action is necessary, both the Northwoods Project Manager and Harnett DSS Project Manager must mutually agree to the time period for corrective action. 6.Any deliverables not evaluated and returned to the Northwoods Project Manager for correction within the agreed upon period are deemed accepted by Harnett DSS. Functional Review The following deliverable acceptance procedure describes the process for functional reviews: 1.The Northwoods Project Manager meets with the Harnett DSS Project Manager to evaluate whether the deliverable meets the acceptance criteria. As needed, additional reviewers may review the deliverable based on specific areas of expertise. 2.The Harnett DSS Project Manager determines if the deliverable should be accepted or rejected. If a deliverable were to fail to conform to acceptance criteria, the Northwoods Project Manager and the Harnett DSS Project Manager may immediately attempt to make alterations to the deliverable. If the deliverable meets the outlined specifications, the Harnett DSS Project Manager signs the Deliverable Acceptance form acknowledging acceptance of the deliverable arid no further action is necessary. 3.Should a deliverable fail to conform to acceptance criteria and immediate alterations are unsuccessful or not practical/possible, the Northwoods Project Manager documents the deficiency in the Deliverable Acceptance form. The Northwoods Project Manager then facilitates corrective action and returns the corrected deliverable within three business days. The Northwoods Project Manager and the Harnett DSS Project Manager may mutually agree to a time extension if additional time is necessary for corrective action. 4.Following corrective action, the Northwoods Project Manager notifies the Harnett DSS Project Manager. The Northwoods Project Manager and the Harnett DSS Project Manager meet within three business Appendix B: Deliverable Review Procedures 061521a HCBOC Page111 Statement of Work Traverse Implementation Project («f-NORTHWOODS 11 days after notification of corrective action is sent to the Harnett DSS Project Manager for the Harnett DSS Project Manager to approve or reject the corrected deliverable, unless the Harnett DSS Project Manager notifies the Northwoods Project Manager that additional time is required. Both the Northwoods Project Manager and the Harnett DSS Project Manager must mutually agree to a time extension to review the corrected deliverable. 5.If additional corrective action is necessary, both the Northwoods Project Manager and the Harnet t DSS Project Manager must mutually agree to the time period for corrective action. 6.Any deliverables not inspected within the agreed upon period are deemed accepted by the Harnett DSS Project Manager. Walk-Through Inspection The following_deliverable acceptance procedure describes the process for walk-through inspections: l The Northwoods Project Manager meets with the Harnett DSS Project Manager to evaluate whether the deliverable meets the acceptance criteria. As needed, additional reviewers may review the deliverable based on specific areas of expertise. 2.The Harnett DSS Project Manager determines if the deliverable should be accepted or rejected. If a deliverable were to fail to conform to acceptance criteria, the Northwoods Project Manager and the Harnett DSS Project Manager may immediately attempt to make alterations to the deliverable. If the deliverable meets the outlined specifications, the Harnett DSS Project Manager signs the Deliverable Acceptance form acknowledging acceptance of the deliverable and no further action is necessary. 3.Should a deliverable fail to conform to acceptance criteria and immediate alterations are unsuccessful or not practical/possible, the Northwoods Project Manager documents the deficiency in the Deliverable Acceptance form. The Northwoods Project Manager then facilitates corrective action and returns the corrected deliverable within three business days. The Northwoods Project Manager and the Harnett DSS Project Manager may mutually agree to a time extension if additional time is necessary for corrective action. 4.Following corrective action, the Northwoods Project Manager notifies the Harnett DSS Project Manager. The Northwoods Project Manager and the Harnett DSS Project Manager meet within three busi ness days after notification of corrective action is sent to the Harnett DSS Project Manager for the Harnett DSS Project Manager to approve or reject the corrected deliverable, unless the Harnett DSS Project Manager notifies the Northwoods Project Manager that additional time is required. Both the Northwoods Project Manager and the Harnett DSS Project Manager must mutually agree to a time extension to review the corrected deliverable. 5.If additional corrective action is necessary, both the Northwoods Project Manager and the Harnett DSS Project Manager must mutually agree to the time period for corrective action. 6.Any deliverables not inspected within the agreed upon period are deemed accepted by the Harnett DSS Project Manager. Appendix B: Deliverable Review Procedures 061521a HCBOC Page112 Statement of Work I Traverse Implementation Project Acceptance Log �[-NORTHWOODS· The Northwoods Project Manager will maintain an Acceptance Log to document the delivery and approval of each deliverable. The Acceptance Log will include the following information: •ID: The identification number assigned to the deliverable. •Deliverable Description: Brief identification of the deliverable which may include the cross reference from the Project Management Plan or Acceptance Delivery Plan for the deliverable. •Date Submitted: The date the Northwoods Project Manager presents the deliverable to the Harnett DSS Project Manager for acceptance. •Approval Decision: Indication of whether or not the deliverable is approved or rejected by the Harnett DSS Project Manager. •Date of Decision: Date that the approval or rejection decision by the Harnett DSS Project Manager took place. Timeliness A mutually agreed upon Baseline Project Schedule establishes the baseline timeframes and how related deliverables are tracked and accounted for throughout the project. The Baseline Project Schedule is routinely evaluated by the Northwoods Project Manager for comparison of baseline data against actual performance. Risks and deviations to the plan are identified in written status reports and/or discussed during project team status meetings. As a result, the Northwoods Project Manager identifies schedule variance and potential problems, adjusts the schedule and/or reassigns resources, and reports progress to appropriate stakeholders and team members. I Appendix B: Deliverable Review Procedures 061521a HCBOC Page113 Statement of Work I Traverse Implementation Project r:-;p ltl� NORTHWOODS� The following table provides a deliverable description and identifies the review method and acceptance criteria standards for each deliverable in this project. Baseline Project Schedule Training Schedule Client Software Deployment Business Process Review Defines work breakdown activities associated with developing project deliverables and executing project work. Establishes when solution training will occur. Includes the deployment of all client-side software by Harnett DSS. Includes the review of defined business processes which are a result of the deployment of the Traverse solution. 1 Appendix C: Deliverable Acceptance Criteria Review Method: Formal Evaluation The delivered Project Schedule addresses the following: •Deliverable task activities •Estimated start and finish dates for all task activities •Intermediate and terminating milestones •Summary tasks that roll up task activities Review Method: Formal Evaluation The delivered Training Schedule details the time, place, and assigned resource(s) for all project-associated training activities. Review Method: Walk-Through Inspection Solution software has been installed in accordance with the "Client Software Deployment" section of this document and is ready for production use. Review Method: Functional Review In alignment with the coaching methodology used to implement the full Traverse solution, Business Process Review has been provided to encourage the review and analysis of business processes leading to the best use of Traverse for the needs of the agency. 061521a HCBOC Page114 Statement of Work Traverse Implementation Project Saas Environment Setup ETL Design Document Baseline ETL Configuration Includes provisioning the cloud environment(s). Details requirements for the following: •The development of the ETL between Laserfiche, Compass Pilot, and Traverse •The development of the server environment Defines the configuration of the ETL process(es). I Appendix C: Deliverable Acceptance Criteria r;-;-· � t«( NORTHWOODS� Review fvlethod: Functional Review The Saas environment(s) have been configured and are ready for production. Review fvlethod: Formal Evaluation The delivered ETL Design Document addresses: •The fields that will be drawn from Compass Pilot and Laserfiche •Provides case-, client-, and service provider-based information from Laserfiche and Compass Pilot to Traverse. •Provides content-driven information from Laserfiche and Compass Pilot to Traverse, including client documents from Laserfiche and case narratives from Compass Pilot •Verifies that work requirements in the "Server Environment" section of this document have been completed Review fvlethod: Functional Review ETL process(es) have been configured consistent with the approved ETL Design Document. Preliminary ETL process(es) have been placed under configuration management and baselined as a benchmark and reference point for future system changes. 061521a HCBOC Page115 I Statement of Work Traverse Implementation Project Electronic Forms Design ETL Testing ETL Review Training Implementation Support Includes the design of electronic forms in the Traverse solution. Includes the testing of the Traverse ETL process(es). Includes the review of specific baselines to ensure the project is ready to proceed with end-user implementation. Includes training necessary to enable all end users, including social workers, supervisors, management, and support staff, to independently operate primary system functions. Includes the post-training personal assistance for coaches by Northwoods personnel. i Appendix C: Deliverable Acceptance Criteria G{,_P NORTHWOODS� Review Method: Functional Review Forms created within the Traverse solution, as established in the "Electronic Forms Design" section of this document, have been added to the production environment. Review Method: Walk-Through Inspection All requirements in the ETL Design Document, provided as part of the project, have been completed. Review Method: Walk-Through Inspection All baselines are deemed acceptable and the solution is ready to "go live." Review Method: Functional Review Consistent with the approved training schedule and course descriptions, training has been conducted in accordance with the "Training and Implementation Support" section of this document. Review Method: Functional Review Implementation support has been provided in accordance with the "Training and Implementation Support" section of this document. 061521a HCBOC Page116 I Statement of Work I Traverse Implementation Project Appendix D: Laserfiche Document Types �� NORTHWOODS ® Northwoods will migrate up to 405 document types, for a total of up to 757,956 documents, from Laserfiche to Traverse as part of the initial bulk import of documents. These document type groups, document types, and document counts are detailed in the following table. Document Type Group I Document Type . j Document Count Adoption AD Accounting Affidavit 183 Adoption AD Adoption Checklist 13 Adoption AD Adoption Health History 97 Adoption AD Adult Adoptee Consent 1 Adoption AD Agency Consent 80 Adoption AD Child Adoption Profile 108 Adoption AD Child Consent 13 Adoption AD Dictation 59 Adoption AD Dismissal of Adoption 8 Adoption AD Final Decree 139 Adoption AD Information Sharing 68 Adoption AD Letters 185 Adoption AD NC KIDS Child Registration Form 7 Adoption AD NC KIDS Exemption 140 Adoption AD NC KIDS Family Registration Form 0 Adoption AD NC KIDS Legal Risk 1 Adoption AD Non Identifying Info 98 Adoption AD Order for Report 96 Adoption AD Parent Consent 34 Adoption AD Paternity 148 Adoption AD Petition for Adoption 153 Adoption AD Post-Adoption Records 34 Adoption AD Pre-Placement Assessments 113 Adoption AD Pre-Placement Background Check 482 Adoption AD Relinquishments 85 I Appendix D: Laserfiche Document Types 061521a HCBOC Page117 7 I Statement of Work I Traverse Implementation Project Document Type Group I Document Type - Adoption AD Report on Proposed Adoption Adoption AD Report to Vital Records Adoption AD Revocations Adoption Assistance AA Adoption Assistance Agreement Adoption Assistance AA Adoption Assistance Payment Adoption Assistance AA Amendment Adoption Assistance AA Annual Letters Adoption Assistance AA Eligibility Checklist Adoption Assistance AA ICAMA Notice of Action Adoption Assistance AA ICAMA Notice of Medicaid Adoption Assistance AA ICAMA Report of Change Adoption Assistance AA Non-recurring Adoption Cost Adoption Assistance AA Su pplemental Assistance Adoption Assistance AA Suspension Notice Adoption Assistance AA Termination Notice Adoption Assistance AA Vendor Payment Requests Adoption Media MEDIA Adoption Photo Adoption Media MEDIA Prospective Parents Photo Adult Day Care ADC Accident\lncident Reports Adult Day Care ADC Invoices Adult Day Care ADC Nutrition Records Adult Day Care ADC Participant Records Adult Day Care ADC Program Activities Adult Day Care ADC Program Certification Adult Day Care ADC Program Complaints Adult Day Care ADC Program Monitoring Report Adult Day Care ADC Program Recertification Adult Guardianship GDN Accounting Adult Guardianship GDN DSS 7016-Bond Coverage Adult Guardianship GDN Status Report Adult Home Specialist AHS Accident\lncident Reports Appendix D: Laserfiche Document Types r:--� ltl( NORTHWOODS11 I Document Count 127 21 0 110 19 10 0 122 0 65 0 112 3 -1 1 3 58 11 18 117 3 32 0 5 3 79 24 114 180 222 3,678 061521a HCBOC Page118 I Statement of Work I Traverse Implementation Project («'� NORTHWOODS ID Document Type Group ·11c ... -� ·--· •�'-Pit_'H ... ,, , -�-·�1Document Type. _ • . >. _ :_.-·.� -A : .... ,�,, - -�-- ·.t .. C. � � Document Count Adult Home Specialist AHS Activities 55 Adult Home Specialist AHS Admission & Discharge 32 Adult Home Specialist AHS CARs\Penalty 717 Adult Home Specialist AHS Complaint Investigation Summary 307 Adult Home Specialist AHS Complaint Letter 79 Adult Home Specialist AHS DHSR 4609 Documentation Tool 0 Adult Home Specialist AHS DHSR 4615 Medication Storage 1 Adult Home Specialist AHS DHSR 4632 Special Care Unit 0 Adult Home Specialist AHS DHSR 4636 Healthcare Monitoring 21 Adult Home Specialist AHS DHSR 4647 Fundamental Focus Rules 0 Adult Home Specialist AHS DHSR 4659 Plan of Protection 171 Adult Home Specialist AHS Environment Monitoring Tool 0 Adult Home Specialist AHS Facility Census 558 Adult Home Specialist AHS Facility Monitoring 1,553 Adult Home Specialist AHS Facility Records 1,370 Adult Home Specialist AHS Fire and Building Safety Inspection 25 Adult Home Specialist AHS Food Service 195 Adult Home Specialist AHS Licensed Health Professional Support 0 Adult Home Specialist AHS Licensing 121 Adult Home Specialist AHS Medication Administration Observation 14 Adult Home Specialist AHS Medication Management 719 Adult Home Specialist AHS Nutrition ARRA 1 Adult Home Specialist AHS Nutrition Monitoring 44 Adult Home Specialist AHS Personal Care & Supervision 111 Adult Home Specialist AHS Personal Funds 27 Adult Home Specialist AHS Record Review 899 Adult Home Specialist AHS Resident Labs Review 1 Adult Home Specialist AHS Resident Rights 4 Adult Home Specialist AHS Restraints 8 Adult Home Specialist AHS Staff Qualifications 203 Adult Legal AS LEG Attorney Correspondence 33 I Appendix D: Laserfiche Document Types 061521a HCBOC Page119 1 Statement of Work I Traverse Implementation Project Document Type Group I Document Type Adult Legal AS LEG Civil Subpoena for Records Adult Legal AS LEG Court Orders Adult Legal AS LEG Legal Notices Adult Legal AS LEG Legal Referrals to Attorney Adult Legal AS LEG Petitions APS APS Checklist AP$ AP$ Consent-Refusal for APS APS APS Determination of Ability to Consent AP$ APS Diligent Efforts to Locate Adult APS APS Evaluation APS APS IHA Refferal AP$ APS Report to APS Register APS APS Reporter Letters APS APS Resources APS APS Written Notice to Facility Administrator APS AP$ Written Report of APS Evaluation AS AS Annual Reassessment AS AS Case Closing\ Transfer AS AS Functional Assessment AS AS Quarterly Reviews AS AS Services Plan Child & Family Team Meetings CFT Agenda\ Family Rules Child & Family Team Meetings CFT Conference Plan Child & Family Team Meetings CFT Confidentiality Agreement Child & Family Team Meetings CFT Documentation Tool Child & Family Team Meetings CFT Referrals Child Care CC Referrals Child Care CC Vouchers Children Services Plans and Reviews SER CAT Invitation letters Children Services Plans and Reviews SER Contracts with Children Children Services Plans and Reviews SER Family Services Agreement Review I Appendix D: Laserfiche Document Types (.t[< NORTHWOODS" -I Document Count 18 424 405 2 109 292 91 146 49 811 1 815 234 502 2 31 631 934 149 1,771 1,600 26 160 177 110 103 1,032 3,452 199 15 3,982 061521a HCBOC Page120 j r,.: Statement of Work I Traverse Implementation Project Document Type Group I Document Type Children Services Plans and Reviews SER Home Study Children Services Plans and Reviews SER Out-of-Home Service Agreements Children Services Plans and Reviews SER Reunfication Assessment Common COM Authorized Rep\Consent to Release Common COM Capture Receipts Common COM Collateral Common COM Correspondence Client Common COM Correspondence Non-Client Common COM Criminal Records Common COM FACE SHEET Common COM FAX Common COM Fax Confirmations Common COM FL 2 Common COM Message from Client Common COM Mother's Verification of Facts Confidential Intermediary Service CIS Confidential lntermed Serv Application (CIS) Confidential Intermediary Service CIS Consents (CIS) Confidential Intermediary Service CIS Documentation & Correspondence (CIS) Confidential Intermediary Service CIS Policy & Agreement (CIS) CPS In Home CPS IH 7 Day Contact Form CPS In Home CPS IH In Home Letters CPS In Home CPS IH In Home Risk Reassessment CPS In Home CPS IH In Home Service Agreement\Caseplan CPS In Home CPS IH Supervisory Conference Form CPS In Home Monthly In-Home Contact Record CPS Investigation-Assessments CPS I-A 5010 Documentation CPS Investigation-Assessments CPS I-A 5104 CPS Investigation-Assessments CPS I-A Absent Parent I Appendix D: Laserfiche Document Types («[-NORTHWOODS® I Document Count 345 1,159 429 28,686 58,924 220 8,657 12,456 2,044 1,942 6,102 6,791 5,898 613 1,782 3 9 172 2 247 815 267 1,368 353 297 6,543 10,973 1,036 061521a HCBOC Page121 I Statement of Work I Traverse Implementation Project Document Type Group I Document Type CPS Investigation-Assessments CPS I-A Assessment\ Investigation Check List CPS Investigation- Assessments CPS I-A Case Decision\lnitial Case Plan CPS Investigation-Assessments CPS I-A Case Transfer Summary from A\I to IHS CPS Investigation-Assessments CPS 1-A Central Registry Checks \ NC FAST Checks CPS Investigation-Assessments CPS I-A DV Assessments CPS Investigation-Assessments CPS I-A DV Safety Plan CPS Investigation-Assessments CPS I-A Eligibility for Services (TANF Form) CPS Investigation-Assessments CPS I-A Extended Hours\ OnCall Requests CPS Investigation-Assessments CPS I-A Letters CPS Investigation-Assessments CPS I-A Notification of CPS Involvement CPS Investigation-Assessments CPS I-A Other County and State Records CPS Investigation-Assessments CPS I-A Risk Assessments Tool CPS Investigation-Assessments CPS I-A Safety Assessments CPS Investigation-Assessments CPS I-A Strength & Needs Assessment Tool CPS Investigation-Assessments CPS I-A Supervisory Conference Form Document Deletion ZZ Delete-Services Education EDU 24 Month Tracking Education EDU IEP\PEP Education EDU Regular School Attendance Education EDU Scholarships and Grants Education EDU Student Status Expenses EXP Child-Adult Care Expenses EXP Medical Expenses EXP Shelter\Utilities FOSTER CARE MEDICAID FCM IVE Eligibility FOSTER CARE MEDICAID FCM IVE Transfer Letters Foster Care Services FC Child Placement Report Foster Care Services FC Child Writings & Art Foster Care Services FC Diligent Efforts Foster Care Services FC Handbook Signature Page Foster Care Services FC Initial Placement I Appendix D: Laserfiche Document Types �f-NORTHWOODS e j Document Count 678 6,320 648 12,832 13 32 1,372 3,676 19,804 212 2,414 5,668 8,509 3,464 169 7 4 56 180 134 1,774 1,682 3,038 45,307 2,454 16 1,721 27 38 278 4,356 061521a HCBOC Page122 Statement of Work I Traverse Implementation Project Document Type Group I Document Type Foster Care Services FC LifeBook Foster Care Services FC Missing Child Foster Care Services FC Monthly Contact Sheet Foster Care Services FC Notice of placement change Foster Care Services FC Placement Foster Care Services FC Placement Log Foster Care Services FC Relative Notifications Foster Care Services FC Travel Foster Care Services FC Visitation Documents Foster Home Licensing FHL Action Notice Foster Home Licensing FHL Agreements Foster Home Licensing FH L Background Checks Foster Home Licensing FH L Certificates Foster Home Licensing FHL Change Notice Foster Home Licensing FH L Checklists Foster Home Licensing FHL Critical Incident Report Foster Home Licensing FHL Family Profile Foster Home Licensing FHL Foster Parent Placement Log Foster Home Licensing FHL FP Medical Profile Foster Home Licensing FHL FP Training Log Foster Home Licensing FHL Home Environment Foster Home Licensing FHL Initial License Foster Home Licensing FHL MAPP Foster Home Licensing FHL Quarterly Reports Foster Home Licensing FHL References Foster Home Licensing FHL Re-Licensure Foster Home Licensing FHL Revocation Foster Home Licensing FHL Termination Foster Home Licensing FHL Transfer Request Foster Home Licensing FHL Waiver I D\CITIZEN5H I P\RESI DEN CY ID Birth Certificate\Death Certificate\Naturalizatoin Appendix D: Laserfiche Document Types (,if' NORTHWOODS e I Document Count 34 11 5,393 281 1,024 950 308 557 1,768 348 557 793 263 94 178 5 507 149 274 376 506 271 148 1,346 95 327 5 53 12 3 19,621 061521a HCBOC Page123 I Statement of Work I Traverse Implementation Project Document Type Group I DocumentType ID\CITIZENSHIP\RESIDENCY ID Driver's License\Photo ID ID\CITIZENSHIP\RESIDENCY ID INS ID\CITIZENSHIP\RESIDENCY ID Kinship ID\CITIZENSHIP\RESIDENCY ID Legal Documents ID\CITIZENSHIP\RESIDENCY ID Participant Photo ID\CITIZENSHIP\RESIDENCY ID Requests For Legal Documents ID\CITIZENSHIP\RESIDENCY ID Residency ID\CITIZENSHIP\RESIDENCY ID SSN\MDCR Indian Child Welfare ICWA Consent to Explore Indian Child Welfare ICWA Tribal Relative Search In-Home Aide IHA Client Notice of Service In-Home Aide IHA Client Registration Form In-Home Aide !HA Consumer Contribution Letter In-Home Aide !HA Provider Assurance Form In-Home Aide !HA Referral In-Home Aide !HA Service Plan In-Home Aide !HA Weekly Task Report Interstate Compact ICPC 5252 101 Interstate Compact ICPC 5253 102 Interstate Compact ICPC Checklist and Cover Letter Interstate Compact ICPC Child Placement Status Interstate Compact ICPC Financial -Medical Plan Interstate Compact ICPC Reg 7 Expedited Placement Decision Interstate Compact ICPC Statement of Interest Interstate Compact ICPC Supervision Reports Juv Legal Services JUV LEG Adjudication & Disposition Orders Juv Legal Services JUV LEG Attorney Correspondence Juv Legal Services JUV LEG Civil Subpoena for Records and or Testimony Juv Legal Services JUV LEG Continuance Orders Juv Legal Services JUV LEG Court Reports Juv Legal Services JUV LEG Criminal Records Appendix D: Laserfiche Document Types t:ir NORTHWOODS I) I Document Count 32,923 1,010 123 6,145 427 86 27,183 30,125 70 177 2 132 184 173 69 363 0 49 10 201 378 71 19 72 583 426 162 291 2,017 3,258 2,221 061521a HCBOC Page124 ::.. I Statement of Work I Traverse Implementation Project Document Type Group I Document Type Juv Legal Services JUV LEG Day One Conference Order Juv Legal Services JUV LEG Discovery Juv Legal Services JUV LEG DNA Test Order Juv Legal Services JUV LEG DVPO Juv Legal Services JUV LEG Issued Subpoenas Juv Legal Services JUV LEG Juvenile Justice Orders Juv Legal Services JUV LEG Legal Referrals to Attorney Juv Legal Services JUV LEG Legitimation Letter Juv Legal Services JUV LEG Medicaid Referral Juv Legal Services JUV LEG Motions Juv Legal Services JUV LEG Notice of Hearing Juv Legal Services JUV LEG Permanency Planning Order Juv Legal Services JUV LEG Petition \ Pre-Ajudication Juv Legal Services JUV LEG Public Records Request Juv Legal Services JUV LEG Responsible Individual's List (Rill Juv Legal Services JUV LEG Review Court Orders Juv Legal Services JUV LEG Services of Process Juv Legal Services JUV LEG Stand Alone Custody Orders Juv Legal Services JUV LEG Support Civil\Criminal Orders Juv Legal Services JUV LEG TPR Order Juv Legal Services JUV LEG TPR Petition Juv Legal Services JUV LEG Voluntary Placement Agreement Kinship KIN Comprehensive Kinship Assessment Kinship KIN Family Finders Kinship KIN Guardianship Comprehensive Assessment Kinship KIN Initial Kinship Assessment Kinship KIN Inter County Placement Agreement Kinship KIN Kinship Face Sheet Kinship KIN Relative Discipline Agreement Legal LEG Civil Court Documents Legal LEG Criminal Court Documents 1 Appendix D: Laserfiche Document Types («[-NORTHWOODS� I Document Count 2 250 43 90 54 79 10 56 2 150 732 1,004 1,982 8 380 425 390 85 515 79 80 47 149 165 71 1,015 113 331 9 6,063 5,388 061521a HCBOC Page125 I Statement of Work I Traverse Implementation Project Document Type Group I Document Type Legal LEG Linden Oaks Legal LEG Police Records LINKS LINKS Agreements LINKS LINKS Assessment LINKS LINKS Credit Report LINKS LINKS Emancipation Plan LINKS LIN KS Expenditures LINKS LINKS Funding Request LINKS LINKS Transitional Living Medicaid Transportation TRANS Financce Forms Medicaid Transportation TRANS Medical Transportation Consent Medicaid Transportation TRANS Monitoring Tool Medicaid Transportation TRANS Transporation Rights and Responsibilities Medicaid Transportation TRANS Transportation Approval Medicaid Transportation TRANS Transportation Assessment Medicaid Transportation TRANS Transportation Denial Medicaid Transportation TRANS Transportation Exception Verification Medicaid Transportation TRANS Transportation Log Medicaid Transportation TRANS Transportation Mileage Medicaid Transportation TRANS Transportation No Show Notices Medicaid Transportation TRANS Transportation Policies Medicaid Transportation TRANS Verification of Service Narratives NARR Medicaid Transportation Rep Payee REP Desposits Rep Payee REP Payee Account Summary Rep Payee REP Payee Check Requests Rep Payee REP Representative Payee Report Resources RES Bank Accounts Resources RES Cemetery\Burial Contracts Resources RES Emergency Assistance Received Resources RES Financial Aid\ Student Loans\ Grants I Appendix D: Laserfiche Document Types l«f-NORTHWOODS g I Document Count 33 5,277 332 87 46 9 106 100 221 62 2,372 2 37,081 3,917 4,101 93 1,013 2,096 381 187 77 2,230 360 64 60 7,141 179 20,392 886 64 517 061521a HCBOC Page126 I Statement of Work I Traverse Implementation Project Document Type Group j Document Type Resources RES Income Producing Property Resources RES Investments Resources RES Life Insurance Resources RES Lump Sum Resources RES Real Property Resources RES Reduction of Reserve Resources RES Reserve History Sheet Resources RES Retirement Resources RES SSA\ SSI Resources RES Trust Resources RES Vehicles\Personal Property SA-In Home SAIH Case Management SA-In Home SAIH Economic SA-In Home SAIH Pre-Screening SA-In Home SAIH SA Project Services Narrative SNARR AHS Dictation Services Narrative SNARR APS Dictation Services Narrative SNARR AS Dictation Services Narrative SNARR CPS Investigation Dictation Services Narrative SNARR Foster Care SW Dictation Services Narrative SNARR In Homes Services Dictation Services Narrative SNARR Prevention Dictation Services Common SCOM Services OLV's Services Common SCOM Body Diagram Services Common SCOM Case Correspondence Services Common SCOM Case Setup Services Common SCOM Change of Status Services Common SCOM Collateral Contact Services Common SCOM Family Correspondence Services Common SCOM Message-Note from Client Services Common SCOM Referrals I Appendix D: Laserfiche Document Types («� NORTHWOODS® j Document Count 44 89 6,839 14 33,042 2,351 629 190 1,466 400 16,468 173 799 98 2 0 80 126 1,294 1,125 404 325 2,227 5 12,210 2,687 10 370 1,033 30 857 061521a HCBOC Page127 I Statement of Work I Traverse Implementation Project Document Type Group I Document Type.. Services Common SCOM Services Application DSS-5027 Services Education SERED Education Certificates Services Education SERED Education Records\School Transcript Services Education SERED Educational Components Services Education SERED Financial Aid (In Resources Folder) Services Education SERED Report Cards\ Progress Notes Services Education SERED School Attendance Records Services Education SERED Specialized Educational Plans Services Intake\ Assists\ Courtesy DSS 100001 sp Interpreter Consent Form Services Intake\ Assists\ Courtesy SI Adult Facility Complaints Services Intake\ Assists\ Courtesy SI APS Assists Services Intake\ Assists\ Courtesy SI APS Reports Services Intake\ Assists\ Courtesy SI CPS Courtesy Services Intake\ Assists\ Courtesy SI CPS Intake Services Intake\ Assists\ Courtesy SI CPS Intake Letters Services Intake\ Assists\ Courtesy SI Services Memo Services Media MEDIA Adult Interview Services Media MEDIA Audio Recordings Services Media MEDIA Care Facility Services Media MEDIA Child Drawing, Pictures, Child Written Notes Services Media MEDIA Child Interview Services Media MEDIA Collateral Interview Services Media MEDIA CPS CME\ CFE Evaluation Services Media MEDIA Educational Literature or Resources Services Media MEDIA Electronic Evidence-Discovery Services Media MEDIA Family Photo Services Media MEDIA Foster Care Annual Photo Services Media MEDIA Home lmprovements\Modifications Services Media MEDIA Life Events\Books Services Media MEDIA Living Conditions Services Media MEDIA Newspaper Article I Appendix D: Laserfiche Document Types («[-NORTHWOODS® I Document Count 22,733 211 807 792 15 1,253 348 308 3 312 8 1,119 6,612 11,091 2,493 619 58 28 254 50 236 132 82 691 6,451 955 1,016 398 113 9,899 85 061521a HCBOC Page128 I Statement of Work I Traverse Implementation Project Document Type Group I Document Type Services Media MEDIA Parent\Family Interviews Services Media MEDIA Physical Injury Services Media MEDIA Social Media Services Media MEDIA Voice Note Services Medical SMED 5243 Child Health Status Services Medical SMED 5244 Child Physical Examination Services Medical SMED Advance Directives Services Medical SMED CFE\CME\Forensic Interview Services Medical SMED CMEP Medical Report Services Medical $MED Consent Services Medical $MED Dental Records Services Medical SMED Developmental Services Services Medical SMED Immunization Records Services Medical SMED Medical Records Services Medical SMED Medication Records Services Mental Health SMH Compr ehensive Mental Health Eval Services Mental Health SMH Consent Services Mental Health SMH Mental Health Authorization Services Mental Health SMH Mental Health Record Services Mental Health SMH Psychiatric Evaluation Services Mental Health SMH Psychological Evaluation Services Mental Health SMH Therapeutic Placement Paperwork Services Mental Health SMH TOP Services Referrals\ Requests REF CME\CFE\CAC Services Referrals\ Requests REF Consent for Release of Information Services Referrals\ Requests REF Court House Request for Records Services Referrals\ Requests REF IFPS Referral Services Referrals\ Requests REF Law Enforcement Requests Services Referrals\ Requests REF Linden Oaks Services Referrals\ Requests REF Mental Health Referrals\Requests Services Referrals\ Requests REF Referrals for DSS paid Services Appendix D: Laserfiche Document Types t«r NORTHWOODS" j Document Count 181 1,221 161 11 803 537 24 200 186 103 276 135 538 5,531 802 220 so 299 1,677 80 301 468 370 1,062 2,629 365 95 5,054 8 236 805 061521a HCBOC Page129 I Statement of Work I Traverse Implementation Project Document Type Group I Document Type Services Referra Is\ Requests REF Referrals for Outside Services Services Referrals\ Requests REF Request for Children's Services Records Services Referrals\ Requests REF Request for Confidential Information Services Referrals\ Requests REF Requests for Courtesy Assistance Services Referrals\ Requests REF Substance Abuse Referrals Services Substance Abuse SA Alcohol Testing Services Substance Abuse SA Drug Testing Services Substance Abuse SA Substance Abuse Assessments Services Substance Abuse SA Substance Abuse Treatmen t Records Unclaimed Bodies UB Cremation Authorization Unclaimed Bodies UB lnvoice\Bills Appendix D: Laserfiche Document Types t:ttf-NORTHWOODS11 I Document Count 762 576. 2,156 1,240 346 1 606 378 162 2 239 061521a HCBOC Page130 061521a HCBOC Page131 Board Meeting Agenda Item MEETING DATE: June 21, 2021 TO: HARNETT COUNTY BOARD OF COMMISSIONERS SUBJECT: Special Aviation Service Organization (SASO) Agreement to Operate at Harnett Regional Jetport -Executive Flight • REQUESTED BY: Barry A. Blevins REQUEST: The General Services Director requests the Board of Commissioners review and approve an agreement with Executive Flight to operate a Special Aviation Service Organization (SASO) to provide aircraft flight training services at Harnett Regional Jetport. The agreement term is June 17, 2021 -June 16, 2026 with Executive Flight providing an annual payment of $900. FINANCE OFFICER'S RECOMMENDATION: COUNTY MANAGER'S RECOMMENDATION: C:\U sers\llucas\AppData\Local\Microsoft\ Windows\INetCache\Content. Outlook\UUXM ODL0\21.06.21 -Executive Flight Agenda Request.docx Page I of2 061521a HCBOC Page132 C:\U sers\llucas\AppData\Local\Microsoft\ Windows\JNetCache\Content. Outlook\UUXMODL0\21.06.21 -Executive Flight Agenda Request.docx Page 2 of 2 061521a HCBOC Page133 NORTH CAROLINA, HARNETT COUNTY AGREEMENT THIS AGREEMENT, made and entered into by and between the COUNTY OF HARNETT, a body politic and corporate of the State of North Carolina, (hereinafter referred to as "Owner"), and Executive Flight Training & Services, LLO . a North Carolina Com any (hereinafter referred to as the "Operator") having its office and rinci al lace of business located at 712 Rod Sullivan, Sanford, NC 27330, hereinafter referred to as "the Jetport"; WITNESSETH WHEREAS, Owner is the owner of an airport known as the Hamett County Jetport located in the eastern part of Harnett County, between the Village ofBuies Creek and the Town of Erwin, south of U.S. #421 and lying between S.R. #1769 and the Cape Fear River, about one mile, more or Jess, west of the Village ofBuies Creek; and WHEREAS, Operator desires to provide aircraft flight training services at the Jetport;_, a.l!.Jld WHEREAS, Owner desires to have Operator provide flight trainimi services. Owner agrees subject te this AgFeernent. 061521a HCBOC Page134 2 061521a HCBOC Page135 NOW, THEREFORE, the Owner does hereby agree to allow said Operator to provide the below described services, all upon the following terms and conditions, to wit: 2.J.!se eJJ?remises by Qf:l\!!!fflf Agreement:_This Agreement exnressly nermits_the Operator•:-_.. Formatted: Font: 12 pttQ provide instruction in flight training in fixed wing Aircrat1;-It is JffitataUy agreed by _______ _ane between the f)arties berets that the f)remises shall be usee fur the pUFflese ef eeneueting the business ef a Sf)eeial A•;iatien Serviee Organfa:atien with rights as defined !Ifie previeed fur herein, ane fur ne ether puff)ese. The Of)erater sh.all have full, (IUiet, peaeeful enjeyment efthe premises 011ring the term efthis agreement, iaelusive efth.e ingress ane egress ta and frnm the premises, subject enly-to . �u_�!i_!Ules and regul�ti()ns \1/_hi�h. _h ��� be� _()r m_ay b� adopted by county ordinance for the subject Jetport, and those conditions and limitations L _______________ _ Formatted: List Paragraph, Numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.25" + Indent at: 0.5'' Formatted: Font: 12 pt l Formatted: Font: 12 pt -{ Formatted: No underline {"Foimatted: Font: 12 pt 7 ] �2. Permissive Services� Th_e ()pei:litC>r �lia!lJ:11;:_ !im,!ted to the fol_lo'l'ling l!�CJnautical _ activities, all of which shall be performed in accordance with published minimum • · --· · · f Formatted: List Paragraph standards: aircraft flight training services. Operater agrees that any leased premises sh.all be used fur aYiatien related puff)eses enly. Operator agrees that it and its employees have and will maintain all proper permitting and certification for the said use of this premises. Operator agrees to observe and obey all rules and regulations with respect to the use of the leased premises and the Jetport and those of the Federal Aviation Administration, as well as all local, state and Federal ordinances and laws. Failure to 3 061521a HCBOC Page136 meet the requirements of this paragraph will result in a breach of the agreement. The nature of the Operator's business is as follows: (Please Fill) 6'-----,Use by the Public. Rates. Charg�. Etc_.-J'he Op�a!or �grees to fumi�l_I_!!:l�.._ __ _ .:'.:\::::: t Formatted: Font: 12 pt, Und_er1_ine __ ====---< \.. Formatted: Font: 12 pt Lservices on a fair, equal, and nondiscriminatory basis to all users thereof, and to charge •\ .. \� Formatted: -Fon-t,-12..;pt:..,_ _ ____ �=�--< Formatted: List Paragraph, Numbered+ Level: 1 + fair, reasonable, and nondiscriminatory prices for each unit of service. The Owner agrees \ Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left+ \ Aligned at: 0.25" + Indent at: 0.5'' that rates and charges for such activities and services shall be fixed by the Operator and such rates and charges shall be reasonable. All services offered by the Operator shall be performed with promptness and courtesy. Formatted: List Paragraph, Left, Numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.25" + Indent at: 0.5'', Adjust space between Latin and Asian text, Adjust space between Asian text and number.; LL ______ Rights Not Exclusive-It is exp!��ly Ull�ers_tood and agreed that_ nothing h!:��in •· { Fonnatted: Font: 12 pt 5. atted: List Paragraph, Numbered+ Level: 1 + contained shall be construed to grant or authorize the granting of exclusive rights within the meaning of Section 308 (a) of the Federal Aviation Act of 1958, as amended. bering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left + ned at: 0.25" + Indent at: 0.5" ----------� Hours of Operation-Except during inclement weather and emergency aircraft operations, the Operator agrees to provide the above said services during regular business hours and the fellewing days and heurs after 6:00 p.HJ. TweHey feur (24) Heurs a day, Meaday throagh Samrdayaf!�r_ b_usiness_ h():iir� as_ !l_�essitated -�\..i!'�iJ!jll_l! ______ . _ _ _ ____ . �atted: Font: 12 pt, Not Highlight requirements ,._ Th� Qper_<!t()r_ is gran!� ac�ess beyond regular busine�s ko11�s. °\'Y_ the_.. , Fonnatted: Font: 12 pt Owner to all facilities available to the Operator, and the security and safety of said facilities will be maintained by and is the responsibility of the Operator. 4 ___) 061521a HCBOC Page137 6. 0 erator'skeep the lee.sea-premises clean and free from rubbish and in a neat and presentablemanner. The Operator shall secure and supervise the timely removal o f all wrecked,dismantled, or junked aircraft from the leased-premises.( Formatted: UnderlineFormatted: Font: 12 pt, Underline�tted: Font: 12 pt�ttad: Font: 12 pt, No uncleri,ne --------! Formatted: Font: 12 pt7.i na •e-No si 11s or advertisin matter ma be erected on the Jet ort remises without .•·· { Fonnatted: Font: 12 pt-'-'--" ............. ············· .... . .... . ............... ·················· ····-,.. ;.=-=�=�-...;.._=-------=�-< 8.9.·· Fonnatted: Underlineth__!Ulrior written consent of the Owner ................................................................... •··· Fonnatted: Font: 12 pt '-------'--------------' 7.Utilities. Taxes Operater will pay a menthly eentri'e11tien fer 11tilitiesinehiding water, gas hea-t er elestrieity; said payment will be 13art ef the yearl-y fee asstated in Paragrajlh 1 e. Operator shall pay any and all taxes and assessments which maybe levied or assessed by any governmental authority against any business or property theOperator may operate or own l¾J30n the leased prtlHiises under this agreement, andOperator agrees to indemnify and hold harmless the Owner from any such taxes orassessments. ;Operator agrees that all Aircraft will be based out of Harnett CountyRegional Jetport and will be listed with the County of Harnett Tax Department1 -----;'b---ln!!!.§s;yunran!filc�e-The Operator shall maintain a Special Aviation ServiceOrganization airport liability insurance policy in limits of One Million dollars ($1,000,000)bodily injury and One Million dollars ($1,000,000) property damage, and One Millionand hold harmless the Owner, its employees, elected officials, volunteers, officers, andagents from and against all loss, cost, damage, expense and liability caused by accident orother occurrence resulting in bodily injury, including death and disease to any person or5 Commented [TRl]: Where will the plane be based? At the Jetport or at one of the other airports that Executive Flight Training Services flies out of? Fonnattad: Font: 12 ptE: Font: 12 pt: Font: 12 pt061521a HCBOC Page138 damage or destruction to property, real or personal arising directly or indirectly from operations, products, or services rendered under this Agreement. lb...._ Operator shall also indemnify the Owner, its employees, elected officials, volunteers, officers, and agents against any and all claims brought against Operator and/or Owner for bodily injury and property damage or death claims arising out of any automobile accident. The Operator shall provide Owner with a current and valid Certificate oflnsurance and add Owaer, eftd Owaer' s emJllayeesthe Coun ty of Harnett; as additional insureds, upon execution of this a.Agreement. Owner shall maintain necessary fire, theft, and comprehensive insurance to cover its fixed assets. Property owned by Operator shall be insured by it and Owner shall have no responsibility for loss to any such property. Operator shall maintain all required insurance necessary to function as an aircraft ma-ifltenanoe facilityfligl11 training service and provide this information to Owner upon execution of this lease-aA_greement. .ill...--·__.,9,.__ --Term-This agreement shall commence on ==-=---17 June 2021 and expire five years later on SASO will be: =============-�• -1lQ6..,1J.\!U!!!ne,;_.2026. The location of the •----·· Formatted: List Paragraph, Numbered+ Level: 2 + Numbering Style: a, b, c, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75" _+_Inden __ t _at_: _1_" _______ _ j Fonnatted: Indent: First line: o._s·-------� { Formatted: Font: 12 pt � ( Formatted: List Paragraph, Numbered + Level: 2 + l Numbering Style: a, b, c, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75" +_I_nden_t_a_t:_1_" -------aaa,;Formatted: List Paragraph, Numbered + level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left + Aligned at: 0.25" + Indent at: 0.5" !1 Other_Speyial_ A_':ill�on S�<:�.Q�ganiza�ion�-_ The !ef!Il�_an<! _c�!!di_tj!)n�---••. �-,.' Forma __ tted __ : _Fon_t :_12-'pt'-------�-�---.; of this At!gr�_�rnent s�_a]l not prevent_the Q\Yner from ex�uting agr��ts wit� other Special Aviation Service Organizations as well as the United States Army, United States Air Force, United States Navy, er-other federal agencies, or state agencies. p�ining to governmental use of the Harnett County Jetport. 6 I Formatted: List Paragraph, Numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left + . Aligned at: 0.25" + Indent at: 0.5'' ( Fonnatted: Font: 12 pt - ( Formatted: Font: 12 pt 061521a HCBOC Page139 Force Majeure-If during this �S!t:emerit, _th� Ynited �ta�� 9.0.Y�-��t or any governmental agency acquires possession of the premises herein leaseafrom which Operator provides flight traininl! service!' by virtlle of any laws __ now jII eff�t �r.whi�h option of the Operator, may be terminated or may be suspended for the period the Operator is deprived of the premises; and, thereafter, the Operator may resume his enjoyed by the Operator. Jetport expansion and construction activities does not constitute a Breach under this A 1,,reement. •------.. _________ . __________________________________ _ _...l.,,_3.,_. O-"'-"w,..n.,er"'-"s,,haJ,..._l -"w,_,o""r.,k_,w"-'1'-"·th.....,.O<.iperae..a,.,t.,,,o,.r _.,,to"-'-'m.,,i.,,m.,,·m"'1"'·z"'e--"an"'-'-,_,un"""n"'ec""es"""s""an'--'·-d,.,1..,.· "-'!l"-'ti"'·o.,,n to assist in the continuation of flight training service . In the event that a disruption resulting in an inability to conduct flight training services lasts less than thirty !30) days, Ooerator shall not be entitled to refund of the SASO/Flight Training Fees. In the event that a uisru tion resulting in an inabili1, to conduct flil!ht traininl! services lasts more than thirtv 130) days. Operator shall be entitled to a partial refund of the SASO/Flight Traininta. Fees enumerated in Paragra ph 17 on a ro rata basis of the number of da vs in which Operator is unable to perform flight training services from Jetport� 12 Altt,•rolion, Aaaitiflns. or Jmpro\1ements Oflerater mttst first ebtain the approYal ef the Ovmer befere making any alteratiens, aaditions, or improvements te or OH the leased premises. Effect of Other Agencies-Operator shall not enter into any transaction which would deprive the Owner of any of the rights and powers necessary to perform any 7 Formatted: Font: 12 pt I Formatted: Font: 12 pt ' Formatted: Font: 12 pt (�atted: Font: 12 pt f Formatted: Font: 12 pt Formatted: Under1ine ------�----..,:f Formatted: No underline .. ----[ Formatted: Underline f Formatted: Font: 12 pt, Underline 061521a HCBOC Page140 17. covenants of the grant agreements or other obligations under various type agreements now or hereafter in effect. It is understood by the Operator that this Mgr��t_ is subordinate to the terms and conditions of all deeds and agreements between the Owner and the United States relative to operations, maintenance, and control of the Jetport. slihlet-by the Operator without the prior written consent of the Owner. Breach-Should either party violate any term or provision of this Aagreement,_the party not in default may immediately terminate the bJ¼greement,_as ---------:·provided for in Paragraph l-9�·-······--------· ---·-·····-·--.......... ..... . ............... . ( �rmatted: Font: 12 pt --_J [ Formatted: Font: 1_2_pt _________ �J Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt, Under1ine Formatted: Underline, Highlight Nine Hundred and no 100 dollars (USD) ($900.00) per year, to be paid quarterly. The first quarterly payment of Two Hundred Twenty-Five and no/I 00 dollars ($225.00) will be due upon execution oftheil�,w.:�ent. ': • Formatted: Highlight Formatted: Underline Formatted: Underline .. Formatted: Font: 12 pt, No underline Formatted: Font: 12 pt lb. Discrimination Prohibited-The Operator for itself, successors in interest, Formatted: Font: 12 pt and assigns, as a part of the consideration hereof, does hereby covenant and agree that it will not discriminate upon the grounds of race, color, national origin, sex, religion, age or disability in employment or the provision of services. �---That in the event of a breach of any of the above nondiscrimination covenant, Owner shall have the right to immediately terminate this A.agreement. said premisescease operations at Hamett Re!!ional Je1pon, �tted: Font: 12 pt ___________ • ♦··--·· r Formatted: List Paragraph, Numbered+ Level: 2 + I Numbering Style: a, b, c, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75" + Indent at: 1" _ I Formatted: Font: 12 pt I Formatted: Font: 12 pt ( Formatted: Font: 12 pt J 12.,_--. Owner I Jetport Committee/ County Manager/ Operator Relationships . -·· r Formatted: List Paragraph, Numbered+ Level: 1 + •J ·\,, Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left+ '->, Aligned at: 0.25" + Indent at: 0.5'' Owner has a duly appointed Jetport committee and a county manager. Operator agrees to deal with the Owner concerning daily operations through the Jetport Director. 8 \'1 Formatted: Font: 12 pt, No underline \/ Formatted: Font: 12 pt _-_-___ _ 061521a HCBOC Page141 Alterations, additions, or improvement recommendations to the Jetport should go throughthe following channels: first, through the Jetport Committee when practicable; second,through the Jetport Director, the County Manager's representative, and third, through theHarnett County Board of Commissioners. All alterations, additions, or improvementrecommendations are subject to the limitations and provisions made in the budgetordinance for the County of Harnett, and shall be subject to specific approval by theCounty Manager.agreement shall terminate as provided for therein; otherwise, this .N!gr�el!! shallterminate upon breach of any other condition of this agreement by either party whichremains uncured for more than thirty (30) days after written notification of breach isgiven by the party not in default, or immediately upon bankruptcy of the Operator, orupon expiration, whichever first occurs. Provided, however, this Aagr:�e!l_(�_hall_terminate immediately upon more than one breach of the same conditions in thisAagr��ent c!1;1�11_g_!_t!!y_ twelv!i( (._l_?l !l_l_�J_l�J>��c_l, __ 9-�1_1_!�i-���j9_1_1_ (_lD!t_� _h,.a_gi:��!l_!, .. -<-··:�<��the Operator agrees to immediately 1,•aeate saia 13remisece _e oner?:_tio11�_?:_t_ff11fl_l�_t ___________ \�Regional Jetpotlr ________ . ___ . ____________________________________________ .. ···------_________ . ___ ·-· _ -·· __ ", ........ ll.,_---��i11_�!!(_l!l__((_l� Conveni.1!_11�e _ l;j!�.l!_I Part, �av _terminate �j�_�g���e!l_t_31_1_<Hl!e_...,, ____obliuations contained thereir\_bv ;.1ivinu tp._i!_t\_J�0l _4in_� pri�r no_tice in wrj!t�g_t�_t)!�_(_lt)!� _ ·.·,:::_sent by certified mail, return receipt requested or via facsimile to such addresses as theparties may designate from time to time in writing. At the time of the execution of thishJ¼greement, the �dresses (_lft]l_� parties ar� ll_�JoHows:9 Ftted: Font: 12 pt, No underline Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt L Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt Fonnatted: Font: 12 pt Fonnatted: Font: 12 pt �atted: Font: 12 pt, Underline Formatted: No underline Formatted: No undertine Formatted: No underline { Formatted: No underline j Formatted: Font: 12 pt 1 Fonnatted: Indent: Left: 0.25", Hanging: 0.25" ==========<( Formatted: Font: 12 pt Formatted: Font: 12 pt ( Fonnatted: Font: 12 pt \ Formatted: Font: 12 pt __ ) 061521a HCBOC Page142 Owaer: County of Harnett, Harnett Regional Jetport (KHRJ): •------1 Formatted: List Paragraph, Indent: Left: 0.5", Hanging: . 0.19" Attn: Ba.i:ry BleYins, Director •------ffonna tted: List Paragraph, Indent: Left: 1.13", Hanging: l� -County of Hamett -Harnett Regional Jetport Attn: Barn• Blevins Director-POBox940 Lillington, NC 27546 -Fax:_-910-893-2793 With a copy to: Senior Staff Attomev County of Hamett POBox238 J.,illington, NC 27546. Opera-tor: Executive Flight Training & Services, LLC ... _____ --·-------. -------------------.. Attn: Da¥ia Williams, Presiaeat --Executive Flight Training & Services. LLC ...__ -------------------------------------- - . ---Attn: David Williams. President,. --712 Rod Sullivan Road, --Sanford, NC 27330 22:"ih-.Integration ofti1i'defsiandings ;-�is wfli:rTit'i-r\grec,11&..n!i,i�. �11-���ded as the co�pl�e-- integration of all understandings between the parties. No prior or contemporaneous additions, deletions, subsequent renewal, deletion, or other amendment hereto shall have any force or affect unless embodied herein in writing signed by both parties. 23.�Controlling Law. ,Ih!�-�A l!reement is made under an_\\ �ll,all ��--gc.,vemed_�)'_ and construed in accordance with the laws of the State of North Carolina and applicable shall be Hamett Count\, North Carolina. where all matters, whether sounding in Contract QI jn tort, relatinc. 1Q its validit\. construction. inter11retatio11 and enforcement shall be 10 { Formatted: Font: 12 pt Fonnatted: Font: 12 pt > Fonnatted: List Paragraph, Indent: Hanging: 0.25" Fonnatted: List Paragraph, Indent: Left: 0.5", Hanging: 0.25", Line spacing: single Fonnatted: Font: 12 pt Formatted: List Paragraph, Indent: Left: 1.13" Fonnatted: Font: 12 pt --1 Fonnatted: Font: 12 pt. Double undenine {�tted: Indent: Left: 0.25", Hanging: 0.25" j { Formatted: Font: 12 pt 7 f Formatted: List Paragraph, Indent: Hanging: 0.25" I Fonnatted: List Paragraph, Numbered + Level: 1 + Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left +Aligned at: 0.25" + Indent at: 0.5" Formatted: Font: 12 pt Formatted: Font: 12 pt Formatted: Font: 12 pt : Formatted: Font: 12 pt 061521a HCBOC Page143 determined. Operator agrees and submits. solely for matters relating to the Al!.feement. to the jurisdiction of the courts of the State of North Carolina. and stipulates that Hamett Counly shall be the 1roper venue for all matters, .. --{"Foimatted: Font: 12pt 24.if3. _J,foeiatien_l2ispute Resolution .• The [?arties a1,rree that it is in their mutual interest to ___ .--j Formatted: Font: 12 pt, unc1er11ne ----------------------------------------· --------------------------------··\::--Formatted: Font: 12 pt J resolve disnutes informally. The Parties shall neuotiate in good faith and use all reasonable \·· Formatted: Underline efforts to resolve such disputljS). During the time the Parties are attempting to resolve all} dispute, each shall proceed diligentlv to perform their respective duties and responsibilities under the A t,'Teement. Formatted: Font: 12 ptIf a dispute cannot be resolved between the Parties within_ thirty (30} days after delivery of•------( Forma_tted __ : List_· _P_a_rag=-ra-'ph _________ _,) Agreement shall be subject to mediation as a condition precedent to the institution oflegal or equitable proceedings by either party. Carolina Rules Implementing Statewide Mediated Settlement Conferences in Superior Court Civil Actions and the North Carolina General Statutes. agreed upon. any court having jurisdiction thereof.,.., � �Severance Clause-,_ 11_fh� ey�n,!_�y_p_r(?visi'?ll of !)l_is Agreement i_s adj1:1dged tob�unenforceable or found invalid, such provision shall be stricken and the remaining provisions shall be valid and enforceable. EXECUTED, this the __ day of ___ , 2021. II l_g rmatted: Font: 12 pt rmatted: Font: 12 p_t __________ ..J Formatted: Font: 12 pt Formatted: List Paragraph, Numbered + Level: 1 + Numbering Style: a, b, c, ... + Start at: 1 + Alignment: Left + Aligned at: 0.75" + Indent at: 1" ___, ( Formatted: Font: 12 ptj Formatted: Font: 12 pt --�----------� 1 Formatted: Font, 12 pt 7 Formatted: List Paragraph, Numbered + Level: 1 + 1 Numbering Style: 1, 2, 3, ... + Start at: 1 + Alignment: Left + \,Aligned at: 0.25" + Indent at: 0.5" _\Formatted: Font: 12 pt, No under11ne Jj l�rmatted: F_o_nt_: _12_pt __________ �.061521a HCBOC Page144 ATTEST: Lindsay Lucas, Interim Clerk to the Board (SEAL) ATTEST: Secretary (CORPORATE SEAL) STATE OF NORTH CAROLINA CITY/COUNTY OF _____ _ COUNTY OF HARNETT W.Brooks MatthewHarnett County Board of CommissionersEXECUTIVE FLIGHT TRAINING & SERVICES, LLC _______ , Registered Agent I, Lindsay Lucas, a Notary Public of the County and State aforesaid, do hereby certify that Brooks Matthew personally appeared before me this day and acknowledged that he is Chair of Harnett County Board of Commissioners, and that by authority duly given and as an act of the Harnett County Board of Commissioners, the foregoing instrument was signed by its Chair. Witness my hand and official stamp or seal, this __ day of _______ _ 2014. My Commission Expires: ____ _ [SEAL] STATE OF NORTH CAROLINA CITY/COUNTY OF -------Notary Public I,------------� a Notary Public of the County and Stateaforesaid, do hereby certify that , personally appeared before 12 061521a HCBOC Page145 me this day and acknowledged that he/she is _________ ofExecutive Flight Training & Services, LLC and that by authority duly given and as an act of the Company, the foregoing instrument was signed on behalf of the company. Witness my hand and official stamp or seal, this __ day of _______ _ 2013. Notary Public My Commission Expires: _____ [SEAL] 13 061521a HCBOC Page146 Executive Flight ..Tra1n1ng LLC Business Plan For Expansion of Flight Training from KTT A to KHRJ Prepared by: Executive Flight Training & Services, LLC 712 Rod Sullivan Road Sanford, NC 27330 (919)219-5933 061521a HCBOC Page147 General Information History of EFTS Executive Flight Training and Services LLC was founded in June of 2011 with the goal of providing a quality option for flight training and aircraft rental operations at the Harnett County Regional Jetport. Since that time, the company has developed a comprehensive operations plan, added new shareholders and experience, and transferred operations to the Raleigh Executive Jetport in Lee County. EFTS is currently in its 10th year of operation. The EFTS web site is located at http://www.execft.com Company Address EFTS 712 Rod Sullivan Road Sanford, NC 27330 Company Contact David Williams, (919) 219-5933 or david@execft.com Qualifications of Officers Executive Flight Training and Services is a unique experience for every client. We expect to be a staple of professional excellence in Harnett County. David Williams -David serves as the President of the board of directors for EFTS and co­ operations manager for maintenance. David is a Gold Seal instrument, single (land and sea) and multi-engine flight instructor who has been flying since 1998. He is a past FAA FAASTeam Representative, a volunteer pilot for Angel Flight and a Young Eagle pilot volunteer for EAA Chapter 1114 in Apex. In 2010 he was selected as the EAA Outstanding Chapter Coordinator for Young Eagles. He holds instrument and advanced ground instructor certifications and has taught aviation ground school at Wake Tech Community College and currently teaches at Central Carolina Community College in Pittsboro. His previous company, Wildon Software, provided initial support for the Operation Fly NC program. David, an NC native, lives in Cary. 18 years' experience managing large software projects. Member of AOPA, EAA and NAFI. Gene Conard -Secretary/Treasurer for EFTS and co-operations manager for maintenance. 20 years U.S. Navy (retired). 24 years with Booz-Allen & Hamilton as a senior consultant to the National .Reconnaissance Office (NRO) and the National Security Agency (NSA). This included a three-year NRO representative assignment in Hawaii responsible for providing overhead intelligence to afloat and shore-based commands through the entire Pacific region. Has over 43 years and over 3,600 hours of flight experience with military flying clubs all over the continental U.S., Alaska, Hawaii, and Guam. He held management positions in some of these.military clubs. He is a dedicated flight instructor (CFI, AGI). Gene is a retired veteran of the United States Navy, and a member of AOPA. 061521a HCBOC Page148 Carson Willis - Carson has served as our Chief Pilot since 2017 and is a CFI, CFII, MEI with more than 5,500 hours of experience. Carson began flying in 1995 and was hired with a regional airline flying the Beech 1900 at the age of 22. He left the airline industry as a Captain on the CRJ 200/700 in 2007, but his passion for flying remains. He continues to train new students, develop & mentor our CFl's and share his love of aviation. Carson is also a Wealth Advisor with Pinnacle Financial Partners in Raleigh, NC. David Hedley -David grew up in the UK and started flying in the late 1980's with the Royal Air Force Cadets. He earned a RAF Flying Scholarship in 1992 and flew Bulldogs, Chipmunks and Piper Warriors but ultimately chose an engineering career. Following 20 years at Silicon Valley semiconductor companies and the past S years designing Human Machine Interfaces for Caterpillar here in North Carolina, he returned to flying. 3 years ago, he joined EFTS as a student again and has since earned FAA Private, Instrument, Complex, Commercial and Certificated Flight Instructor pilot privileges. He is the owner of a 1969 Piper Arrow 200. Additional biographical information on each of the current EFTS instructors is available at http://www.execft.com/staffbio.aspx Corporate structure Executive Flight Training and Services LLC is a limited liability corporation with a bylaw-controlled number of shareholders and a board of directors. The board of directors is made up of three senior shareholders and consists of a President, Secretary/Treasurer, and a board member at, large. The board provides guidance and policy to the management staff for execution and represents the interests of the shareholders in developing policy and guidance. Summary Statement of projected operations ►We expect to place one or two aircraft at KHRJ initially and will grow as demand for additional airplanes grow. ►We project annual fuel purchases of approximately 3500 gallons/airplane of lO0L. ►Flight training and aircraft rental services will play the critical role of increasing the pilot population operating at the airport ultimately leading to higher fuel, retail, and use sales. Successful flight training encourages aircraft ownership which results in additional property tax revenue to the county. ►The cost to Harnett County for EFTS operations will be zero. Executive Summary Executive Flight Training & Services (EFTS) is proposing to extend our current flight training operations to the Harnett Regional Jetport (KHRJ). We are interested in working with KHRJ to supply airplanes and instructors for flight training there. EFTS has 10 years of experience operating a flight school and airplane rental operation. •Initially we will station one or two aircraft at KHRJ but as needed we intend to add more either from our existing fleet or through new purchases or leases. 061521a HCBOC Page149 •Currently all our airplane maintenance occurs at Tanner Aviation and that would continue. •The current KHRJ flight instructor, Chris MacDonald, at KHRJ would join us and be covered by our insurance. Cecil Edgerton and Jeff Dillon will also be covered if they wish to be. •Fuel for our airplanes at KHRJ would be purchased at KHRJ. We estimate a total of 300 gallons per month per airplane. •Airplane billing, instructor payment and airplane scheduling would be handled by EFTS with no intervention required by current KHRJ FBO staff. •We can likely begin within a week of accepting our proposal. •As a business reference for our company, please contact Bob Heuts, airport manager at KTTA, at 919-776-2939. He is very knowledgeable of our business at KTTA. Business Plan Executive Summary -At Executive Flight Training and Services we provide primary and advanced flight instruction to people from all walks of life. We work with zero-time students to introduce them to the wonders and accessibility of aviation, as well as thousand-hour veterans to maintain proficiency and safety. Mission Statement -To provide and promote aeronautical flight training and rental services safely and efficiently. Vision Statement -We will provide quality and safe flight training and aircraft rental at a competitive cost. Values Statement - •We will be community-oriented in our focus and always strive to be a good neighbor. •We will reach out to the aviation community to understand and balance their needs and priorities. •We will constantly search for new opportunities and challenges and attempt to create innovative solutions. •We will nurture and guide our employee growth and well-being. •We will protect the environment and always minimize negative impacts. •We will always be conscious of safety and security in our operations. •We will maintain a transparent environment based on integrity, trust, and respect. •We will strive for excellence in service with fair, responsive, and courteous treatment of all. •We will strive towards financial affordability for local pilots, scrutinize costs and evaluate rates and charges. Operations Plan ►Flight Training o Flight training and aircraft rental services will play the critical role of increasing the pilot population operating at the airport ultimately leading to higher fuel, retail, 061521a HCBOC Page150 and use sales. Successful flight training encourages aircraft ownership which results in additional property tax revenue to the county. ►Aircraft Rental o Aircraft rental will be available to all qualified pilots following checkout by EFTS personnel. ►Retail Pilot Supplies o EFTS will make products available for sale from the FBO to include such items as hats, flight bags, tee shirts, etc. Structure and Schedule ►Executive Flight Training and Services LLC management conducts the day-to-day operations of the organization. Operations are divided into two categories o Flight Operations -Flight Operations are overseen by the Chief of Operations for Flight Operations (Chief Pilot). The Chief pilot provides oversight of safety and standardization in the Training, and charter operations department. Develops and enforces pilot safety and recurrence check standards to ensure safety and compliance with all FAA regulations. Hires/fires all CFls and pilots. Provides oversight of training and charter ops departments. The chief pilot has overall responsibility for safety in all aircraft operations. All flight instructors, fall under the direction of the Chief Pilot. Currently all flight instructors are 1099 contract employees. o Service Operations -Service Operations are overseen by the President. Provides oversight of daily operations. Coordinates all efforts across operations departments. Provides oversight of all operations departments (Maintenance, Aircraft, Office, Finance, and Marketing) Hires/Fires all employee/intern level operators. ►Operating schedule o Normal hours of operation■Every day ... and evenings by prior reservation■Closed Thanksgiving and Christmas Market Assessment for Region Surrounding KHRJ The Harnett County Regional Jetport is located at 35.38°N/78.73°W in east central Harnett County in the sandhills of southeastern North Carolina. The location is convenient to both Lillington (the county seat), 7.5 miles, and Erwin, 6 miles, and is only 10 miles from Dunn. There is a population of approximately 575,000 persons within a 30-minute driving radius. Physically the airport has a single runway 5,000 feet long and 75 feet wide. It is served by four instrument approaches of which two are RNAV LPV. The airport has several hangars of various sizes and a self-service fuel capability. Previously there was an active glider group organized on the field and there is a turf landing area adjacent to the main runway for their use. Fayetteville 061521a HCBOC Page151 Clearance provides for IFR departures and is served by Fayetteville radar in IFR weather. Auto rental is available in the area. There are six other airports in the vicinity. The nearest is JNX 19nm to the northeast. It is followed in order of distance, by TTA 22nm northwest, FAY 24nm south, RDU 30nm north, m 30nm south and SOP 33nm west southwest. It probably cannot be said that HRJ lies in an area underserved by aviation facilities. On this date the fuel price for Jet-A at HRJ is $3.99, JNX is $4.08, FAY is $6.02, ITT is $4.19, RDU is $5.46, TTA is $4.30 and SOP is $4. 75. Fuel price for lO0LL at HRJ is $4.75, JNX is $4.33, FAY is $6.13, mis $4.35, RDU is $6.14, TTA is $5.10 and SOP is $5.10. Currently the fuel prices at HRJ certainly make it a more economical stop over FAY or RDU if conditions permit it. The FAA reports that there are 71 aircraft registered in Harnett County. The FAA does not report number of pilots by county however the FAA does show 21 pilots in Dunn, 19 in Lillington, 4 in Erwin and 2 in Buies Creek. There are around a dozen hotels within a 15-mile distance of HRJ. The town of Erwin, 6 miles away, has a population of about 5,035 persons with a median household income of $29,521. Its claim to fame is that it is home to the tallest sphere-shaped water tower at 219.75 feet. Unfortunately, the tower is not known to be a large tourist attraction. The town of Lillington, 7.5 miles away, is the county seat of Harnett County. Its mo st recent population census showed about 3,657 persons. The 2000 census showed the population at 2915 so there has been growth in the town in the last 10 years. The median household income was $30,670. Fully 20% of the population is below the poverty line. The town of Dunn, 10 miles away, has a 2010 population of 9,718. In 2000 the census showed a population of 9,196 indicating slow growth. The median household income is $28,550. 23% of the population is below the poverty line. Buies Creek is not designated as a town by the census but does contain a population of 2,942 in 2000 and is located 4 miles from HRJ. The median household income was $21,019. Its claim to fame is Campbell University (see below). Education needs are served by Campbell University in Buies Creek and the Central Carolina Community College nearby. Campbell University serves the liberal arts and sciences. Its law school left the area and moved to Raleigh in 2009. There is a school of Pharmacy and Lundy­ Fetterman School Business. A Divinity School opened in 1995. Athletically it is in the NCAA Division I. There are over 100 scholastic concentrations including master's degrees in business, education, pharmaceutical science, clinical research, and divinity. A new osteopathic medical school is open that forecasts to graduate 150 students per year. Current enrollment at Campbell University is 3,049. 061521a HCBOC Page152 Central Carolina Community College is a tax-supported, non-profit, two-year college which opened in 1961. It has campuses in Chatham, Harnett, and Lee counties. It offers primarily associate degrees. There is an extension center in Dunn and Pittsboro where classes can be held. There are 4 high schools in Harnett County which are Harnett Central High in Angier, Overhills High in Spring Lake, Triton High in Erwin, and Western Harnett High in Lillington. Recreational attractions in Harnett County include the Cape Fear River and the 4,667-acre Raven Rock State Park near Lillington. Both of which attract many visitors to the areas every year. Harnett County runs the Cape Fear River park and Erwin hosts the Cape Fear River Trail Park. Other parks in the area include Neill's Creek, Barbecue Creek, South Harnett, and Anderson Creek Parks. Cape Fear River Adventures in Lillington offers both flat water rafting trips along the river as well as well as more adventurous white-water trips. The river and the parks could be a good destination for pilots flying into HRJ. There is a large military presence near HRJ. Fort Bragg and the associated Pope Field (formerly Pope Air Force Base until 2011) is only 30 miles to the southwest with a 2010 population of 39,457 (an increase of 35% in the last 10 years). The median age is 22 years, and the median household income is $30,106. SWOT Analysis ❖Strengths ►As a small organization we will be easily able to adjust to changes in opportunities in Harnett County ►Our management team has experience running businesses of various types. ►We are motivated. ►Ten years of experience operating flight schools divided between years at KHRJ and KTTA. ❖ Weaknesses ►Low-income population in the vicinity of the airport and many other airports for pilots further away to choose from. ❖Opportunities ►The Central Carolina Community College may be a good source of students if a joint arrangement can be worked out. ►There may be opportunities at Campbell University for aviation inspired courses. ►Fort Bragg is a strong source for military supported pilot training. We currently support several students at KTTA receiving scholarship money from the military. ►Since there are currently no fly-in events at HRJ it would be in our best interest to create some. Won't everyone want to see the world's tallest spherical water tower? ❖Threats ►Part 141 flight training may already exist at KFAY which is much closer to Fort Bragg. ►Numerous other airports exist in the area. 061521a HCBOC Page153 Population growth over last decade in Harnett County. Harnett County, NC 5,000 4,000 3,000 2,000 Proposed Additional Revenue e Population change Net migration ►Joint venture with Central Carolina Community College for aviation courses is possible. We will pursue the possibility of using the HRJ airport as a satellite flight training center. ►Young Eagle events can be scheduled at HRJ to bring the public to see the airport. ►The airport may wish to pursue sponsoring an Open House organized for the purpose of introducing the community to the airport. ►Campbell University is close by and there could be an interaction with courses they may be interested in offering. 061521a HCBOC Page154 Addendum A: EFTS Operations Manual Executive Flight Training and Services LLC OPERATIONS MANUAL 01 September 2018 TABLE OF CONTENTS PART 1-Administration PART 2 -General Operations and Rules of Flight PART 3 -Flight Checks and Currency Requirements PART 4 -Instructors Training and Student Pilots PART 5 -Maintenance PART 6 -Safety ANNEXES A.Purchase Request Form B.Retail Sales Tax Schedule C.Facilities Hours of Operations D.Aircraft Grounding Form E.Standard Operating Procedures for Training F.GPS Checkout Procedures G.Accident Report Form Introduction The purpose of this operations manual is to provide written guidelines for the operation of Executive Flight Training and Services LLC (EFTS) by all shareholders, employees, contractors, students, clients, and all other persons having business with EFTS. Executive Flight Training is made up of like-minded individuals with the goal of providing educational, business, and recreational flying opportunities, advancing the cause of general aviation. The group was formed out of a common desire to see a quality organization structured around quality equipment, quality training, and courteous personnel. It is vital to the success of our operations that we uphold these principles in all aspects of our business. As such, this operations manual designates standard operating procedures designed specifically to meet that goal. The future of general aviation is in our hands. Let us ensure we are careful stewards. David Williams President 061521a HCBOC Page155 PARTI ADMINISTRATION 1-1 Departments and Positions Authority for this section is derived from article three of the Executive Flight Training and Services LLC Bylaws. With respect to the daily operations of the flight school: (a)The operational organization is divided in the following manner. I.Operations A.Flight Operations l.Training Operations Department 2.Charter Operations Department B.Service Operations l.Maintenance Department 2.Aircraft Department 3.Office Department 4.Finance Department 5.Marketing Department (b)The Chief of Operations is the Senior operational manager overall responsible for the day-to­ day operations of all departments. Provides recommendations to the board of directors for deputy positions (Chief Pilot and Dep. Chief of Operations-Service Operations). Hires/fires all director level positions (Training, Charter Ops, Maintenance, Aircraft, Office, Finance, and Marketing) (c)The Deputy Chief of Operations, Flight Operations (DCO-F/Chief Pilot) provides oversight of safety and standardization in the Training, and Charter departments. Develops and enforces pilot safety and recurrence check standards to ensure safety and compliance with all FAA regulations. Hires/fires all CF ls and pilots. Provides oversight of training and charter ops departments. Overall responsibility for Safety in all aircraft operations. (d)The Training Director is responsible for all training operations. Manages scheduling, service, training standards and safety of training aircraft. Provides oversight of all CFls and maintains training records for all students. (e)The Charter Operations Director is responsible for all charter and aircraft rental operations. Manages scheduling, service, customer relations, and safety, of all charter aircraft. Provides oversight of all pilots. (f)The Deputy Chief of Operations, Service Operations (DCO-S) provides oversight of daily operations. Coordinates all efforts across operations departments. Provides oversight of all service operations departments (Maintenance, Aircraft, Office, Finance, and Marketing) Hires/Fires all employee/intern level operators (Mechanics, Brokers, Service Assistants) (g)The Maintenance officer is Responsible for all maintenance operations. Manages scheduling, orders, inspections, and customer relations. Maintains maintenance records for all aircraft. Recommends aircraft return to service to the Chief Pilot. Provides training and oversight of all Mechanics. (h)The Aircraft Manager is responsible for the management and care of all client aircraft. Manages sales, acquisitions, and brokering. Provides oversight of all aircraft brokers. (i)The Office Manager is responsible for the daily office operations. Areas of responsibility include maintaining client records, aircraft dispatching, client contact, pilot shop sales. 061521a HCBOC Page156 Provides oversight and training of service assistants. (j)The Finance Manager is responsible for invoicing, collections, payment of receipts, management and balancing of operational funds. Provides quarterly reports to the board of directors. (k)The Marketing Director is responsible for the marketing and advertising of the company, its services, and operations. Manages community relations and public affairs. 1-2 Client Records All new clients are assigned a personnel folder which will contain his/her completed student/ pilot information form, copies of any certifications (to include student, pilot, medical, and additional ratings), government issued photo ID, most recent pilot checkout form, last flight review/proficiency check. Before flight, all clients will complete the on line version of the pilot information form and entries will be reviewed and approved by the office manager, training director or charter ops director. (a)For new students, a U.S. Passport or birth certificate and any second form of government issued identification (Driver's License, Military ID, State issued ID Card), confirming the student's citizenship status. (b)The chief pilot is responsible for ensuring all records are maintained up to date. Instructors are responsible for ensuring their students records are maintained up to date with the training director. (c)No person will be permitted to operate any EFTS equipment without a previously approved client record on file. 1-3 Accounting EFTS utilizes a cash accounting method for receipt of all accounts receivable. Everyone wishing to operate EFTS equipment will maintain an account with EFTS which will include a current, valid, credit card on file. (a)The office manager will ensure that all accounts are current PRIOR TO dispatching any EFTS equipment. (b)The office manager will ensure that all instructional and rental clients settle their accounts immediately upon the closeout of dispatches. During after-hours training operations EFTS instructors will execute transactions for all instructional clients immediately following all instruction. (c)Checks returned for insufficient funds (NSF) will be billed to the clients on file credit card and charged a $35 NSF fee to offset bank charges to EFTS for the returned check. (d)EFTS management will notify instructors and clients of accounts that have become more than 15 days delinquent. All services will be terminated for any delinquent (more than 15 days) accounts until all arrears have been paid. 1-4 Aircraft Scheduling In accordance with EFTS bylaws all aircraft will be scheduled on a first come first served basis utilizing the Take Off scheduling service at www.tak-off.com/efts. Access to the system is set up during client introduction by the sponsor pilot or instructor. Once all the required information has been provided for the client file, the client will be afforded scheduling rights on Take Off. No client will be provided scheduling rights until their client file has been validated by the chief pilot, or his designee. The client's instructor or sponsor pilot will provide instruction to the client on the use of the Take Off scheduling system and ensure all administrative information is input 061521a HCBOC Page157 properly. (a)Multiple day use for long trips requires two weeks advanced notice in the system. Any overnight reservations made less than two weeks in advance may be denied. (b)Operators, instructors, shareholders, and other lessees will not exceed the scheduled window Aircraft scheduled but not utilized may be re-scheduled by other persons. (c)Aircraft may not be extended beyond the scheduled time without being input into the scheduling system. (d)ln the event of late returns, the Operator, instructor, shareholder, or other lessee will notify the appropriate director (training or charter) of the delay and the reasons. The office manager of appropriate director will notify any persons scheduled to fly the aircraft during that time of the delay. It is important to note that operators place priority on the safe operations of the aircraft above its return at a designated time. This requires careful flight planning to help ensure weather will not prevent the return of the aircraft at the scheduled time. (e)Instructors and sponsor pilots will schedule aircraft to allow for re-fueling and preflight inspection operations. As all aircraft are to be returned to the ramp with full fuel (unless by prior arrangement with the next instructor or client), scheduling and use will accommodate the time required to refuel aircraft after operations. (f)Local flights may be cancelled up to 3 hours prior to the scheduled flight time without incurring a penalty. Cancellations after that time may be excused at the discretion of the Chief of Operations for extenuating circumstances such as official military duty, adverse weather, or emergencies. Unexcused, late cancelations may be assessed a $50.00 fee. (g)The pilot-in-command will return the aircraft before the end of the scheduled time block (see c)and d) above). Returning the aircraft later than the time for which it was scheduled may result in a penalty fee if the late return was not due to circumstances beyond the pilot's control. For instruction activities the instructor is considered the "pilot-in-command" for the purposes of this provision. Determination of whether to assess a fee for late return will be made by the Chief of Operations with input from the chief pilot. Late return fees are $25.00 per hour (non-prorated for the first hour) in addition to any charges incurred for equipment operation. A second offense will incur a $50.00 per hour (non-prorated for the first hour) fee and may result in suspension of equipment use. 1-5 Damaged/Unsafe Aircraft (a)If an aircraft is damaged white being operated, whether the damage results in grounding the aircraft, the Chief of Operations will request an investigation by the Chief Pilot and maintenance officer to determine liability. (b)If an aircraft is rendered temporarily unusable because of actions by an instructor, pilot, or client that individual may be assessed a fee to cover the costs of repairs and lost profits to EFTS. (Such actions include, but are not limited to: leaving the master switch on, failing to return the aircraft key or damaging a tire through improper braking.) (c)Any instructor, pilot, or client may ground an aircraft for safety reasons and report that rational to the chief pilot immediately. 1-6 Aircraft Rental Rates Rental rates are based on maintenance, depreciation, and operating costs and are approved by the EFTS board of directors. Current rates are posted in the EFTS website and are subject to change every 90 days. 061521a HCBOC Page158 (a)All charges for equipment rental will be computed based on the Hobbs meter. For aircraft with a malfunctioning Hobbs meter, the time will be logged and charged utilizing the "Tach" multiplied by 1.2. All numbers will be rounded to the next highest tenth. (I.E. 1.24 is rounded to 1.3). (b)Rental charges are payable at the time they are incurred. Payment may be received by personal check, cash, or credit card (Visa, MasterCard, or American Express). Payment may be made through Square. Cash and Check transactions will be placed in the locking cash box within the office cabinet. Any employee or contractor accepting cash transactions will immediately notify the office manager or finance manager to facilitate a cash deposit as soon as practicable. 1-7 Instruction Rates Instructional rates are based on contract costs and are approved by the EFTS board of directors. Current rates are posted in the office and are subject to change every 180 days. (a)All charges for flight instruction will be computed based on the Hobbs meter. For aircraft with a malfunctioning Hobbs meter, the time will be logged and charged utilizing the "Tach" multiplied by 1.2. All numbers will be rounded to the next highest tenth. (I.E. 1.24 is rounded to 1.3). (b)All charges for ground instruction will be computed based on clocked time. Instructors will note the time when instruction begins and ends in their instruction log. Students will be billed for the instruction noted in the log. (c)Instructors may receive additional compensation from clients if the client elects to "tip" the instructor. Instructors will not solicit tips from their clients, and will not charge rates not approved or posted by the board of directors. 1-8 Pilot Rates Rates for all other contract pilot services are based on costs incurred for the activity. Contract pilot services will be negotiated on an individual basis and all contracts will be approved by the EFTS Board of Directors. All contracts will be in writing. No instructor, sponsor pilot, or shareholder has the authority to bind EFTS to any contract not approved by the board of directors. 1-9 Off Field Expenses Fuel purchases, landing fees, tie-down fees, and storage fees at locations other than Raleigh Executive Jetport or other EFTS satellite airports are paid by the client and are reimbursed only to the extent: (a)Fuel purchased away from home or satellite airports by clients is reimbursed at the rate posted in the home airport office only for operations established prior to departure as "wet rate" rentals. A receipt for fuel purchased is required for reimbursement. (b)Fuel purchased away from a home airport by instructors and contract pilots will be charged to the EFTS bank card whenever possible. If not available a receipt showing the purchase by the instructor/contract pilot, will be reimbursed in full. (c)Aircraft hangered to protect them from adverse weather conditions at locations away from home airports will be reimbursed the difference between the hangar costs and the normal tie down fee. A receipt will be provided indicating the costs incurred and difference. (d)If a client grounds an aircraft away from the home airport because of poor flight planning or for maintenance discrepancies not affecting the safety of flight, the client is responsible for 061521a HCBOC Page159 costs of storage and return of the aircraft to KTT A. 1-10 Repairs away from home airports (a)Mechanical or avionics repairs away from KTTA, including emergency repairs, will be submitted to EFTS and approved prior to execution. Clients, Instructors, or Pilots may not commit EFTS to any expenses without prior approval from the Chief of Operations. (b)Once the Chief of Operations has given authorization and instructions, the client, instructor, or pilot will obtain an invoice and receipt for payment. They will also request a maintenance report to be provided for the aircraft logbooks describing the repairs that were made. 1-11 Insurance (a)The hull insurance carried by EFTS and it's Lessors is designed to provide coverage for loss or damage to aircraft. However, a pilot-in-command may be held liable for damages caused by negligence. Examples of negligence include, but are not limited to, striking an object while taxiing or parking, failure to follow established procedures, off airport landings due to fuel exhaustion, etc. If found negligent the client may be required to pay all deductible and other expenses incurred, not covered by the insurance. (b)Clients are encouraged to purchase separate insurance that covers deductible and personal liability. 1-12 Retail Sales, Billing, and Purchases 1-12.1 Purchasing (a)The Purchase of items by EFTS requires pre-approval by the Deputy Chief of Operations for Service Ops (DCO-S). All purchases for office supplies, equipment, oil, cleaning supplies, etc. will be submitted (annex A) to the DCO-S for approval prior to purchase. No person may contract EFTS to any purchase without prior approval. (b)Fuel purchased locally, or off site during wet rate rentals due to cross country flights, may be purchased without prior approval. Fuel purchases may not exceed $500.00 per instance without first contacting the finance manager to verify availability of funds. All fuel purchases will be documented in the aircraft dispatch log and notification of purchase will be sent to the treasurer immediately upon closure of the dispatch. 1-12.2 Sales No retail sales may be conducted on credit. All retail sales require payment at the time products are provided to the customer. Acceptable means of payment are cash, personal check, or credit card. 1-12.3 Tax (a)All retail sales require the collection of sales tax. A current retail sales tax schedule will be published semi-annually by the board of directors. (Annex B) (b)All equipment rentals require the collection of an equipment rental/use tax. Rental and use taxes are included in the published rental rates for each aircraft. 1-12.4 Storage All retail items will be stored in a secure manner and location. Displays will be neat and orderly. Additional inventory not utilized for display will be stored in a secure location, out of view. Detailed inventory records will be kept by the office manager for the purposes of accounting and tax reporting. 1-12.5 Re-stocking Items identified to be maintained in inventory will be re-stocked to ensure availability when 061521a HCBOC Page160 required by students or clients. Low inventory items will be identified to the Finance Manager for replenishment. Any inventory item, sold out, will be immediately reported to the Finance Manager for replenishment. 1-12.6 Billing All aircraft rental is billable at the time of dispatch closure. No terms of credit are to be extended to any client for any reason. Acceptable methods of payment include cash, personal check, or credit card (kept on file for every client). No person with an outstanding balance over 15 days will be permitted to rent or utilize any EFTS aircraft or equipment until their account is settled in full. Clients may maintain an account on file with EFTS paid in advance. Such accounts may qualify clients for discounts as approved by the Board of Directors. All clients maintaining accounts with EFTS will receive a monthly notice of their account status provided by the Finance Manager. 1-13 Facilities 1-13.1 Hours Operators, instructors, members, and lessees will utilize EFTS facilities only during approved hours of use. Approved hours will be published by the Chief of Operations. (annex C) 1-13.2 Use (a)EFTS facilities are for the sole use of it's approved operators, instructors, shareholders, and lessees in the conduct of EFTS business and for the purposes which they are intended. No person shall utilize EFTS facilities for personal storage, lodging, meetings, or any other personal use. (b)EFTS facilities are available to persons on a fist come-first served basis. All persons will show consideration to others in their scheduling and use of the facilities. 1-13.3 Conditions All persons will maintain EFTS facilities, furniture, and equipment in a clean and working manner. Facilities will be kept neat, and free of personal belongings. 1-13.4 Relations Local relations with fellow operators on the airfield are vital to the success of EFTS operations. No person shall utilize any facilities connected to or neighboring EFTS facilities without the express consent of the owner/operator of those facilities. Operators, instructors, and clients will maintain a respectful rapport with persons operating neighboring facilities and aircraft on the field. Disputes with persons outside of EFTS will be handled by the EFTS board of directors. 1-14 Authority .Authority for imposing fees and penalties and for approving reimbursements or credits rests with the Chief of Operations. A client, contractor, or employee may seek redress of a Chief's ruling by submitting a written appeal to the Board of Directors. The board will then review the appeal and make a final decision. 061521a HCBOC Page161 PART2 GENER.AL OPERATIONS AND RULES OF FLIGHT 2-1 Chief Pilot The chief pilot establishes procedures to ensure that EFTS flight operations are safe and efficient, and that they are carried out in accordance with the applicable Federal Aviation Regulations, EFTS Operations Policies, EFTS Bylaws, and all other legal governing rules and regulations. The Chief pilot updates and disseminates information regarding local operations, practices, and requirements. The Chief Pilot may disapprove advanced reservation requests. 2-2 Use of Aircraft EFTS aircraft are used solely by clients of EFTS, its employees, and shareholders. Aircraft leased from owners are provided through the Take Off scheduling system to their owners for personal use only. They will not be provided for commercial use outside of EFTS. No EFTS aircraft will be utilized in any activity prejudicial to safety 2-3 Pilot in Command According to FAA regulations, the pilot in command (PIC) is the person responsible for the operation and safety of an aircraft throughout the flight. EFTS holds that, in addition, the PICs responsibility extends from the time the PIC accepts the aircraft dispatch binder and key until both items are returned to the terminal. The PIC will comply with all EFTS operating rules as well as applicable federal regulations. 2-4 Passenger Briefings The PIC briefs all occupants of the aircraft on the items pertaining to safety. At a minimum, this includes the prohibition on smoking, the correct use of seat belts and shoulder harnesses, location and use of fire extinguishers, operation of door and window locks, and emergency procedures. 2-5 Use of belts and Harnesses All occupants of EFTS aircraft will wear seat belts through the flight. Shoulder harnesses, if available, will be worn by all required crew members. Each seat belt is used by only one person. 2-6 Use of Checklists A checklist is provided with each EFTS aircraft and will be used for all phases of flight, including preflight inspection, taxiing, takeoff, landing, shutdown, and post flight inspection and security. If the checklist is missing from the aircraft, an alternative checklist may be acquired in the office. No other alternative checklists are approved for use in EFiS aircraft. Missing checklists should be recorded on the squawk sheet. 2-7 Dispatch Log A three-ring binder known as the "Dispatch Log" is maintained for each EFTS aircraft. It contains keys to the aircraft, refueling instructions, log and squawk sheet, POH, weight and balance, and other pertinent information to the operation of the aircraft. It is to be kept in the aircraft always when the aircraft is being operated and returned to the dispatcher when operations are complete. 2-8 Required Items and Equipment (a)The PIC ensures that the dispatch log, current charts, and required flight publications are in the aircraft. If passenger airsickness is a possibility, the PIC will provide bags to protect the aircraft from being soiled or damaged. (b)A checklist, control wheel lock, and fuel sample cup will always remain in the aircraft 061521a HCBOC Page162 (c)If the aircraft is operated at night, an operating flashlight with spare batteries will be carried aboard. 2-9 Flight minimums 2-9.1 VFR Weather Minimums (a)Licensed pilots: For day flights, cloud ceilings can be no lower than 1,500' AGL, with visibility no less than 3 statute miles. For night flights, cloud ceilings can be no lower than 2,500' AGL, with visibility no less than 5 statute miles. (b)Primary student pilots: For solo flights, cloud ceilings can be no lower than 3,000' AGL with visibility no less than 5 statute miles. (2,000 AGL for pattern work under the observation of an instructor) 2-9.2 VFR Altitude Minimums (a)The minimum en route altitude for EFTS aircraft is 1,500' AGL (b)Stalls, steep-bank turns, slow flight, and unusual attitudes will be performed at an altitude that allows for recovery at or above 1,500' AGL. 2-9.3 Runway Minimums (a)The minimum acceptable length for runways at destination and alternate airports is 2,999' or the takeoff-and-landing roll requirement specified for the aircraft being flown plus 500', whichever is greater. (b)Exception to 2-9.3(a) is SNC3 (Carthage) at discretion of the instructor. 2-9.4 Minimum Fuel (a)Upon landing at the destination or intermediate airport on any VFR flight in an EFTS aircraft there will be sufficient fuel remaining in the tanks to fly for one additional hour at normal cruise power. {b}Upon landing at the destination or intermediary airport on any IFR flight in an EFTS aircraft there will be sufficient fuel remaining in the tanks to fly for one additional hour at normal cruise power, or as required by the CFR 14 91.167, whichever is greater. (c)Any PIC who has a fuel exhaustion incident that was not the result of a mechanical failure will be immediately grounded and barred from future use of EFTS aircraft and equipment. 2-10 Wind limitations Pilots operating EFTS aircraft observe the following limits for winds. (a)Licensed pilots will not exceed the maximum demonstrated crosswind component of any aircraft in the EFTS fleet (b)Licensed pilots will not exceed a maximum headwind velocity of 30 knots. (c)Instructors are authorized to fly any EFTS aircraft with a headwind velocity of 35 knots but may not exceed the maximum demonstrated crosswind component of any aircraft (d)Wind gusts indicated as higher than the velocities cited above are considered as exceeding permissible limits. (e)A crosswind component calculation chart and wind limitations chart is located in the front of the checklist on each aircraft. 2-11 Special VFR EFTS aircraft will not depart any airport under special VFR clearance. EFTS aircraft will not land at any airport under special VFR, unless the PIC is instrument rated and instrument current in the aircraft. 2-12 Cross Country Flights 061521a HCBOC Page163 (a)For licensed pilots, cross country flights in EFTS aircraft are those which exceed 50 nautical miles from the KHRJ, KJNX, KRDU, or KITA airport (wherever the aircraft initially departs from). (b)For night cross country flights, licensed pilots must be qualified IAW FAR 61.109, in addition to having a one-time EFTS night checkout. (c)For student pilots, flights over water along their cross-country route may not exceed 5 miles (or gliding distance for a given altitude), whichever is less, from the shoreline. (d)All cross-country flights are restricted to the 48 contiguous states. Flights outside the U.S. in EFTS aircraft require prior approval from the Chief of Operations. (e)Primary flight students require an instructor endorsement in their logbook for any flights to any airport other than the airport the student regularly trains at. 2-13 Flight Dispatching The office manager is responsible for properly dispatching the aircraft prior to operation. The office manager may assign dispatching responsibilities to service assistants as appropriate. No one may dispatch an aircraft that has not been properly scheduled through the Take Off scheduling system. (a)All aircraft operations require the dispatch log to be always maintained in the aircraft. The aircraft dispatch log includes records for maintenance, regulations, limitations, operating standards specific to that aircraft, the POH, squawk sheet, and a host of other applicable information. (b)The Pilot in command is responsible for checking the current Hobbs time, rounded up to the next highest tenth, on the aircraft dispatch. Hobbs differences found prior to starting the aircraft will be immediately reported to the office manager for adjustment. Unreported differences are the PICs responsibility. The PIC will record on the aircraft dispatch, rounded up to the next highest tenth, the ending Hobbs time after shutting down the aircraft. (c)The dispatch log will be returned to the office manager after all flights are completed. The aircraft manager, maintenance officer, Chief Pilot, and Chief of Ops will regularly review the dispatch logs and record hours for the purposes of tracking maintenance requirements, account standing, and adherence to standards. 2-14 Flight Plans Flight plans are filed with FSS prior to any flight away from the KHRJ/KITA/KJNX/KRDU local areas. Flight following is highly encouraged for all cross-country flights. Flight plans will be closed IMMEDIATEL V upon arrival at the destination either with the controlling agency or by contacting the FSS via phone or radio. 2-15 Operations 2-15.1 Preflight and Taxi (a)The windscreen and side windows are cleaned with a soft cloth and a plexiglass cleaner/ polish. The use of paper towels (except "Viva" brand) and commercial cleaners intended for glass is strictly prohibited as they will damage the plexiglass. (b)All preflight items are verified with the checklist (c)The rotating beacon is turned on and the immediate vicinity of the aircraft is cleared prior to operations. (d)Hand propping to start the engine is prohibited when at KHRJ, KITA, or KJNX. For flights away from home airports hand propping is authorized ONLY in the event of a starter failure 061521a HCBOC Page164 in order to facilitate the aircraft's return to a home airport. Hand propping will only be conducted by EFTS instructors and only with a competent pilot who is familiar with proper hand propping procedures at the controls. (e)Verify fire extinguishers are present and charged (f)During taxi, maintain vigilance to ensure aircraft strikes are avoided. Watch for aircraft traveling near EFTS aircraft in operation. (g)Taxi only at a safe and controllable speed. (h)Control inputs during taxi will be in accordance with the pilot's operating handbook. 2-15.2 Run-Ups (a)Run-up checks are conducted at or near the hold short line or other designated area as determined and indicated by airport management or ATC. The aircraft is oriented in a manner that will permit the PIC to see aircraft on the runway as well as any aircraft that might be on a base leg or final approach leg to the airport. (b)Before taxi onto the active runway the "before takeoff" checklist is complete and the proper "takeoff" checklist for the specific conditions (normal, short field, soft field) have been reviewed. Transponder will be set to "alt" and runway and traffic pattern will be visually and radiographically cleared. (c)At KHRJ and all airfields where glider operations are being conducted the PIC will ensure the run-up checks are conducted a distance well away from glider ground operations in order to ensure safety and preserve the hearing of those personnel on the ground. 2-15.3 Post Flight (a)While positioning the aircraft into its assigned parking space, the yoke will be held in the full back position when passing over the tie-down ropes/chains. (b)The control wheel lock, cowling intake blocks, tie downs, and aircraft covers will be in place and secured prior to leaving the aircraft. (c)A post flight inspection will be conducted to look for any damage that may have occurred to the aircraft. (d)Students will clean all leading edge, cowling, propeller, and windscreen surfaces. (e)Double check to ensure the avionics, ignition, and master switches are turned off. (f)Tie down ropes (if chains not present) are secured utilizing a proper "taught-line" hitch. (g)The aircraft is refueled whenever fueling operations are available at the airport. Aircraft will be filled to prevent moisture condensation. (h)Students and Clients (not contracted) will settle all charges immediately upon the completion of the flight prior to departing the airport. (i)The dispatch log is updated with Hobbs/tach time, oil used, and fuel burned and return ed to the dispatcher. 2-16 Unplanned Landings (a)Any pilot landing at a location other than an airport listed in the Airport/Facility Directory will contact the Chief Pilot before taking off. (b)Student pilots landing at airports other than those endorsed in their logbooks will tel ephone their instructor for clearance prior to taking off. (c)In the event of an "off-field" forced landing, the PIC will close the flight plan, report the location and nature of the problem to EFTS, and await qualified maintenance personnel to determine the issue and the best solution. 061521a HCBOC Page165 2-17 Landings away from Home Airport When a "final" landing cannot be made at the home airport for the aircraft being operated due to runway closure, weather, or an emergency, the PIC will determine if a landing at an alternate EFTS home airport may be safely executed. If they cannot the following applies: (a} If flying IFR, or in rapidly deteriorating weather conditions, landing at the nearest safe airport is authorized. (b} Under VFR conditions, pilots should land at field within the local EFTS triangle area that is consistent with the pilot's skill and comfort levels. (c} If a pilot chooses to land at KRDU or KFAY in VFR conditions or a non-emergency situation, they will be responsible for all landing/parking fees incurred. (d} In any of these cases the PIC is responsible for notifying EFTS as soon as possible and making all necessary arrangements for transportation and aircraft recovery. 2-18 Damages occurring away from home airport. Any damages to an EFTS aircraft away from a home airport, even though it may not appear to be significant, will be reported to the chief pilot before the aircraft may be flown again (to include returning to a home airport}. Prop strikes, wing dents, and tire blow-outs may cause damage within the engine or airframe which are not readily obvious during a cursory inspection. In the event of damage the following actions apply: (a} The PIC contacts the Chief Pilot or Director of Charter Ops, Director of Training, or Office Manager (contact information is included in the dispatch log}. Student pilots also contact their instructors. Information is then disseminated across EFTS. (b} The aircraft is not flown until it is inspected by a certified mechanic, preferably the EFTS approved maintenance shop. If instructed to do so by the Chief Pilot or Chief of Operations the pilot may coordinate with a certified mechanic at the location to determine whether the aircraft can be flown safely. That information is then conveyed to the EFTS Chief Pilot who may then approve a return flight to KTTA for further inspection by the Maintenance Officer. Upon return to KTTA the aircraft is grounded until inspected by the Maintenance Officer and released for operation. (c} Within 24 hours, the pilot will submit a written report to the EFTS Chief Pilot detailing the events which led to the damage. (d)The pilot is grounded until the board of directors completes an inquiry into the incident and makes its determination. 2-19 Refueling (a} The PIC is responsible for refueling the aircraft after each flight upon return to the home airport. Procedures for refueling vary depending on the airport the aircraft is located at. At KHRJ and KJNX fuel is self-service and available 24 hours a day 7 days a week (excepting periods of maintenance or fuel delivery}. Fueling at KTTA is only available via fuel truck between the hours of 0900 and 2000. The requirement to refuel may be waived if the next person on the schedule for the aircraft requests that the tanks not be filled to accommodate weight/balance requirements. Such requests will be made through the Office Manager/Dispatcher. (b} Away from a home airport the PIC observes the same rules for safety as are in effect at a home airport. The PIC verifies the fuel being pumped is an appropriate grade for that aircraft. 061521a HCBOC Page166 Persons renting aircraft on a "wet-rate" must obtain a receipt for fuel purchased at other airports to be reimbursed for fuel. (c)During refueling, the nozzle is never left unattended in the filler neck of the fuel tank. The filler neck is easily damaged by excessive force from the nozzle. The aircraft nozzle is bonded to the filler neck during all fueling operations to prevent static discharge explosions. (d)Electrically ground all aircraft prior to refueling to prevent static discharge explosions. 2-20 Aircraft Cleanliness The PIC ensures that the aircraft's windscreen, windows, and interior are clean prior to flight. After the flight, the PIC leaves the aircraft clean for the next client. All trash will be removed from the aircraft. Seats will be moved to their full back position, seat belts and harnesses will be secured over the seats, carpets will be re-placed if moved, aircraft doors will be locked and secured, and cargo will be neat. 2-21 Aircraft Discrepancy Reporting (a)The PIC reports any problems discovered during his/her flight in the aircraft dispatch log (Squawks) as well as verbally to the Office Manager. (b)Descriptions of discrepancies should be concise, but specific. (c)Previously reported discrepancies will not be listed again unless they were reported as corrected and the problem has resurfaced. 2-22 Grounding an Aircraft If the PIC believes that the aircraft is unsafe to fly, the aircraft will be immediately grounded until the situation has been investigated and any necessary repairs have been made. The PIC describes the reasons for the grounding in as much detail as possible on the grounding form (Annex D) contained in the dispatch log. The PIC then informs the chief pilot or office manager Follow up actions are taken as described in Paragraph 5-4 2-23 Night Flights (a)To qualify for night flight in an EFTS aircraft, pilots must receive a one-time approval from the chief pilot who determines suitability by either a logbook review (pilots with over 200 hours) or a check ride with an approved EFTS instructor. (b)For night currency all applicable FARs will be followed. 2-24 Simulated Emer�ency Approaches (a)The use of private airstrips for simulated emergency approaches is prohibited. (b)Simulated emergency approaches which are not conducted at a public use airport are terminated at 500' AGL. (c)Pilots may practice forced landings away from an authorized runway ONLY when accompanied by an instructor 2-25 Evacuation Procedures (a)When severe weather conditions are predicted, EFTS staff will attempt to provide temporary hangar space at aircraft home airports. (b)If no space is available the board of directors may direct evacuation of aircraft to a location where the threat of damage is reduced. (c)Warnings for Hurricanes, Tornadoes, and Floods are examples conditions that may justify evacuation orders. Watches do not generally justify evacuations. 061521a HCBOC Page167 PART3 FLIGHT CHECKS AND CURRENCY REQUIREMENTS 3-1 Initial Flight Checks and Written Exams Pilots will receive an initial flight check, in each make and model aircraft that they wish to fly. (a)Initial flight checks include, at a minimum, one half hour of flight time including three takeoffs and landings. (b)Initial flight checks include a navigation problem conducted to ensure competence at the private pilot practical test standard level. (c)An initial night checkout and instrument standardization flight will also be accomplished prior to exercising those privileges. (d)Initial flight checks may be combined, E.g. aircraft, night, and instrument. (e)Flight check results will be input into the client's file. 3-2 Flight Reviews (a)All pilots will complete an annual flight review with the chief pilot or approved instructors. All instructors will complete an annual flight review with the chief pilot. (b)The FAA mandated biannual (24 calendar month) flight review may be combined with the EFTS annual flight review. (c)The date of the successful completion of the biannual flight review is entered in the client's file. 3-3 Flight Currency Requirements To continue to fly EFTS aircraft solo, members must maintain their proficiency. (a)Licensed pilots with less than 200 logged hours will accomplish at least one hour of flight time and three takeoffs and landings every 60 days in the most complex aircraft in which they are qualified to operate with EFTS. (b)Licensed pilots with more than 200 logged hours will accomplish at least one hour of flight time and three takeoffs and landings every 90 days in the most complex aircraft in which they are qualified to operate with EFTS. (c)Night currency requires three takeoffs and landings to a full stop within the time periods prescribed in (a) and (b) above (d)Night currency is maintained in accordance with FAR part 61. (e)Pilots Who are not current, as described above, will require a tlight check with an authorized EFTS flight instructor. Instructors who are not current, as described above, will require a flight check with the EFTS Chief Pilot. (f)Student pilots will undergo dual instruction at least once every 30 days. (g)The above are minimum requirements. All pilots are encouraged to fly sufficient hours to remain skillful. 3-4 Pilot's Information File The pilot's information file is a compilation of notices of special importance regarding safety, operations, and administrative matters. Additions to the PIF are made by the Chief Pilot, Director of Training, Director of Charter Ops, or submitted by EFTS instructors. PIFs which remain in effect are noted in the messages section of the Take Off website. 061521a HCBOC Page168 PART4 INSTRUCTORS, TRAINING and STUDENT PILOTS 4-1 Chief Pilot The chief pilot has primary responsibility for planning, conducting, and managing all EFTS flight operations, and for supervising the performance of the directors of the training operations and charter operations departments. 4-2 Application for Instruction Contract When EFTS requires additional flight instructors to fill the needs of its students, the organization may announce an available contract and requirements through any means. Certified Flight Instructors who meet the requirements and fill the need may apply to fill the contract. Upon acceptance of the application the chief pilot will determine the suitability of the CFI for the contract. (a)Upon successful completion of the applicant's initial flight check and tests recommendations are submitted to the board of directors. (b)If approved by the Chief Pilot, a contract is awarded by the Board of Directors to the CFI who signs the contract prior to beginning instruction. (c)All competing contract applicants will cover the costs of the initial flight check, to include aircraft rental, fuel, and instructor time. (d)CF ls awarded an instruction contract will be reimbursed for their flight check expenses upon completion of their probationary performance period. (e)All CFls whether employees or contractors are subject to the provisions of this operations manual. 4-3 Instructors' Duties 4-3.1 Instructors' duties regarding new students (a)Provide an orientation to all EFTS equipment and facilities. Instructors may make recommendations to the student regarding equipment and facilities that might best meet the goals of the student, however, it is up to the student to decide which facilities they wish to train at, or equipment they prefer to utilize. (b)Explaining course curriculum, Take Off scheduling system, dispatch logs, information files, folders, policies, procedures, and this operations manual (c)Explaining scheduling and dispatching procedures. (d)Endorsing the student pilot's logbook with the certification of U.S. Citizenship required by the TSA 4-3.2 Duties Regarding Training (a)Acting as a clear authority (b)Maintain training records, make appropriate logbook entries at the conclusion of each session, and maintain student training folders in the appropriate filing cabinet. (c)Assist students with refueling and tie-down. (Customer Service) (d)Keep students informed on their progress and deficiencies, and notify the chief pilot or unusual student training problems. (e)Report hazardous or potentially hazardous flight training situations to the chief pilot. (f)Verify U.S. citizenship or nationality of student pilots and certificated pilots who are training to add an additional rating or aircraft to their certificate. Make appropriate logbook endorsements and maintain instructor records of endorsements for at least five years after the 061521a HCBOC Page169 last training is given to that student. Ensure that a copy of the TSA required documentation is in the client's folder prior to training. 4-3.3 Duties Regarding Flight Checks (a)Ensuring that clients have a copy of their current medical certificate, pilot's license, and ID in the personnel folder, prior to flight. (b)Reviewing critical Aeronautical knowledge and regulatory issues. 4-4 Instructors' Flight Checks and Currency Requirements (a)Instructors are subject to the same initial flight checks, annual flight checks, and currency requirements of all clients and contract pilots. (b)Instructors accomplish an annual flight check with the chief pilot (c)Instructors complete the annual TSA-required instructor security awareness training, and provide a copy of the required documentation of that training to the Director of Training. (d)All contracted instructors conduct flight checks at cost (top tier dry rate) of aircraft and fuel. No rental fees or fuel surcharges are assessed. 4-5 Training (a)All FAR 61 training is conducted utilizing the approved EFTS syllabus (Gleim Pilot Training Syllabus). Standardized syllabi for private pilot airplane, instrument airplane, commercial, and CFI are provided for each student. (b)Standard operating procedures for training with EFTS is detailed in annex E of this operations manual. (c)The Members wishing to undergo IFR training in Garmin GNS or GTN equipped aircraft must have an aircraft equipment checkout for the system. Requirements are detailed in annex F. (d)Foreign nationals may be trained as initial students or for additional ratings, in EFTS aircraft only by an EFTS instructor who is authorized by the TSA to train foreign nationals. Approval by the EFTS board of directors is required prior to the student's application to the TSA to train with that instructor. 4-6 Student Pilot Solo Requirements (a)Student Pilots must complete the pre-solo exam (Annex E) with a minimum score of 85%, correctable to 100% prior to solo. (b)Solo flights will be cleared by an instructor who is familiar with the student's capabilities (c)Students will have dual instruction every 30 days to maintain solo currency 4-7 Primary student pilot restrictions (a)Student solo flight is not conducted when ceilings are below 3,000 AGL and/or visibility is less than 5 SM (2,000 AGL for pattern work under the observation of an instructor) (b)Student solo flight is not permitted when surface winds exceed 10 knots crosswind component or 15 knots headwind component or when winds are gusting to 18 knots or higher. (c)Cross country flights may not be flown to airports that have not been previously used. (d)Solo cross-country flights are limited to a radius of lO0NM from the departure home airport. Solo cross-country flights over water may not be more than 5 miles or gliding distance (whichever is less) from a shoreline. (e)Student pilots may not carry passengers (f)Student pilots may not serve as pilots for maintenance ferry flights. 061521a HCBOC Page170 PARTS MAINTENANCE 5-1 To be used in the future The Maintenance Officer has responsibility for ensuring that all aircraft are maintained within proper specifications in accordance with manufacturer's recommendations and applicable regulations to include airworthiness directives. The maintenance officer will sign off on all work completed by mechanics and verify that all work conducted by mechanics is appropriate. 5-2 Aircraft Inspections Inspections are carried out on EFTS aircraft at scheduled intervals to comply with all applicable regulations and to ensure safety. The primary recurring checks are the 100 hour, and annual inspections. In addition, certain systems require a check every two years. During these inspections, the aircraft are out of service for varying lengths of time. (a)The 100-hour inspection: 1.Is performed 100 hours from the last 100 hour or annual inspection as indicated on the aircraft tachometer 2.Is conducted by EFTS maintenance (or other approved certified Al) 3.Includes oil change, cleaning of spark plugs, airframe inspection, and engine compression check and any other requirements as indicated by the aircraft manufacturer's maintenance guidelines. 4.Requires about 1-2 days excluding any necessary ferry time. (b)The annual inspection: 1.Is performed no more than 12 calendar months from the preceding annual inspection. 2.Must be carried out by a certified aircraft inspector. 3.Entails the same checks and maintenance performed during the 100-hour inspection, as well as the application of an anticorrosive agent and any other requirements as indicated by the aircraft manufacturer's maintenance guidelines. 4.Requires about 1-2 days excluding any necessary ferry time. (c)Items requiring inspections every two years are the pitot-static system, transponder, and ELT. The time required for each of these items is about 2-4 hours excluding any necessary ferry time. (d)Before any EFTS aircraft may be flown under VFR conditions, the annual, 100-hour, and transponder inspections will be current. 5-3 Engine Checks At regularly scheduled intervals (Time Before Overhauls/TBO), the engine of each aircraft will be inspected to determine the necessity of overhaul or replacement. 5-4 Grounded Aircraft When any EFTS pilot grounds an aircraft the following measures are taken: (a)A certified mechanic evaluates the nature and extent of the problem. (b)The necessary actions are taken to unground the aircraft, including (but not limited to) scheduling any necessary repairs. (c)Once the maintenance work has been performed, the proper documentation is annotated in the appropriate logbooks, the aircraft is returned to service, and Take Off is updated accordingly. 5-5 Authorization for Maintenance and Repairs 061521a HCBOC Page171 Only the Chief of Operati ons may authorize maintenance and repairs for EFTS aircraft. The procedures to be followed if an aircraft requires maintenance away from KTTA is described in PART 2. 061521a HCBOC Page172 PART6 SAFETY 6-1 To be used later 6-2 Safety responsibilities Responsibility for avoiding injury to people and damage to property rests with every representative and client of EFTS. (a)The board of directors regularly review EFTS activities to identify and mitigate potential hazards and to alert clients and instructors through Take Off communications and E-mail notices. (b)Flight instructors foster safe operations by providing conscientious flight training and evaluation and by setting the proper example and tone for their students. They also reinforce safe piloting habits with clients undergoing annual flight checks. (c)Clients strive to constantly develop and practice skill, judgement, and prudence in flying. They follow all rules and regulations and know their own limitations. (d)Unsafe equipment or practices, and pilots operating EFTS aircraft in a reckless or negligent manner, are reported immediately. 6-3 Flight Safety (a)The goal of the EFTS safety program is to have zero incidents (b)The vast majority of aircraft incidents are preventable if pilots use proper procedures. These are emphasized to clients, pilots, and instructors through flight training, check rides, newsletters, meetings, and currency practices. (c)Clients are reminded that pilots develop their skills at different rates and that individuals need to set their own personal safety minimums for flight. This means that they fly when conditions are not only legal but are within their individual range of competence. (d)Pilots do not fly when they are on medication which induces drowsiness, are intoxicated, under the influence of chemicals/drugs, or too tired to concentrate. (e)Smoking is always prohibited on board or near all EFTS aircraft and facilities. 6-4 Accidents and Incidents 6-4.1 General The dispatch log, carried on every flight, contains a form (Annex G) for recording accident and incident information, and a list of EFTS personnel to be notified in the event of any incident. Any death, or injury to persons, or damage to aircraft qualifies as an incident. 6-4.2 Notifications In the event of an incident, information will be disseminated to the applicable parties as soon as possible. (a)The PIC notifies EFTS (b)EFTS notifies the insurance underwriter, NTSB, and the aircraft owner 6-4.3 Investigation (a)EFTS conducts its own internal investigation in addition to assisting any external government entity as requested. (b)Pilot records are made available to any investigating government body. Records are not made available to any private investigating body without a court order with the exception of the insurance underwriter for EFTS aircraft involved in the incident. 061521a HCBOC Page173 This manual is approved for all operations of Executive Flight Training and Services LLC this day of ___ , two thousand and by the board of directors. ---------------------- -- President Secretary Board Member Annexes A.Purchase Request Form B.Retail Sales Tax Schedule C.Facilities Hours of Operations D.Aircraft Grounding Form E.Standard Operating Procedures for Training F.GPS Checkout Procedures G.Accident Report Form H.To Be Used later I.To Be Used later J.To Be Used later 061521a HCBOC Page174