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03-18-2019 Agenda Packet BOCPERSON COUNTY BOARD OF COUNTY COMMISSIONERS MEETING AGENDA 304 South Morgan Street, Room 215 Roxboro, NC 27573-5245 336-597-1720 Fax 336-599-1609 March 18, 2019 (Meeting to be held in the County Office Building Auditorium) 8.30am CALL TO ORDER………………………………………………….. Chairman Newell ITEM #1 Appointment to Economic Development Commission following Informal Interviews with Applicants ………………………………. Chairman Newell Recess meeting (if prior to 9:00am) until regular scheduled meeting at 9:00am ****************** 9:00am CALL TO ORDER………………………………………………….. Chairman Newell INVOCATION PLEDGE OF ALLEGIANCE DISCUSSION/ADJUSTMENT/APPROVAL OF AGENDA RECOGNITION OF LOCAL GOVERNMENT DAY ….. Welcome & Introductions ITEM #2 RECOGNITION Resolution of Appreciation ………………………………………… Chairman Newell Person County Retiree, Garrey Martin 1 INFORMAL COMMENTS The Person County Board of Commissioners established a 10-minute segment which is open for informal comments and/or questions from citizens of this county on issues, other than those issues for which a public hearing has been scheduled. The time will be divided equally among those wishing to comment. It is requested that any person who wishes to address the Board, register with the Clerk to the Board prior to the meeting. ITEM #3 DISCUSSION/ADJUSTMENT/APPROVAL OF CONSENT AGENDA A. Approval of Minutes of February 19, 2019, B. Budget Amendment #15, C. Resolution for Temporary Removal of Original Deed Book 36, D. Approve Person Area Transportation System Transportation Advisory Board By-Laws, E. Update Person Area Transportation System Policies as required by the FTA and NCDOT: a. Charter Services Policy, b. Grants & Financial Management Policy, c. Procurement Policy, d. Continuity of Operations Plan, e. Soliciting Public Comment Policy, f. Record Control and Retention Policy F. Tax Adjustments for March 2019 a. Tax Releases b. NC Vehicle Tax System pending refunds NEW BUSINESS: ITEM #4 FY18 Mental Health Refund ……………………………………………….. Sybil Tate ITEM #5 Approve the Person Area Transportation System Vehicle Advertising Agreement and Policy ………………………………………. Glen LaBar ITEM #6 Mobile Device Policy for Person County Government Employees ……… Heidi York ITEM #7 Consideration to change the location of the April 15, 2019 regular-scheduled Board meeting ……………………….. Heidi York ITEM #8 EV Charging Station ………………………………………………………… Sybil Tate 2 ITEM #9 Strategic Plan Worksession 1 ………………………………………………. Sybil Tate CHAIRMAN’S REPORT MANAGER’S REPORT COMMISSIONER REPORTS/COMMENTS RECESS the March 18, 2019 meeting until 6:00pm on April 1, 2019 for the purpose of holding its Strategic Plan Worksession #2 prior to the 7:00pm regular scheduled Board meeting. Note: All Items on the Agenda are for Discussion and Action as deemed appropriate by the Board. 3 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Appointment to Economic Development Commission following Informal Interviews with Applicants Summary of Information: Conduct the informal interviews with the interested citizen applicants for the one-seat for a minority representative on the Economic Development Commission. Interested citizen applicants: 1) Zakiya James 2) Peter Baker 3) Glenn Martin 4) Keisha Davis 5) Kenneth Perry Recommended Action: Nominate and appoint as deemed appropriate for a term that is effective immediately and will expire on June 30, 2022. Submitted By: Brenda B. Reaves, Clerk to the Board 4 5 6 7 8 9 RESOLUTION OF APPRECIATION WHEREAS, Garrey Martin has served the people of Person County during his tenure working for Person County Emergency Medical Services as an Emergency Medical Paramedic; and WHEREAS, Garrey Martin has served the citizens of Person County with honor, integrity, sincerity and dedication, providing accurate, concise services for nineteen years, April 2000 – February 2019; and WHEREAS, Garrey Martin has earned the respect and admiration of all who have known him and worked with him throughout his career; and WHEREAS, the County of Person recognizes the many contributions Garrey Martin has made to the County and offers him sincere best wishes for his retirement. NOW, THEREFORE, I, David Newell, Sr., Chairman of the Person County Board of Commissioners, do hereby extend this Resolution of Appreciation to Garrey Martin for continually striving to make Roxboro and Person County a better place to live and work. Adopted this, the 18th day of March 2019. ____________________________________ David Newell, Sr., Chairman Person County Board of Commissioners Attest: ____________________________________ Brenda B. Reaves, MMC, NCCCC Clerk to the Board 10 February 19, 2019 1 PERSON COUNTY BOARD OF COMMISSIONERS FEBRUARY 19, 2019 MEMBERS PRESENT OTHERS PRESENT David B. Newell, Sr. Heidi York, County Manager Gordon Powell C. Ronald Aycock, County Attorney Jimmy B. Clayton Brenda B. Reaves, Clerk to the Board Kyle W. Puryear B. Ray Jeffers - ABSENT The Board of Commissioners for the County of Person, North Carolina, met in regular session on Tuesday, February 19, 2019 at 9:00am in the Commissioners’ meeting room in the Person County Office Building. Chairman Newell called the meeting to order. Commissioner Clayton offered an invocation and Commissioner Puryear led the group in the Pledge of Allegiance. Vice Chairman Jeffers was absent due to medical reasons. DISCUSSION/ADJUSTMENT/APPROVAL OF AGENDA: Commissioner Clayton requested the item on the agenda for an Appointment to the Economic Development Commission be postponed to the next meeting so that Vice Chairman Jeffers could participate in the discussion. Commissioner Puryear requested that the applicants be notified for an informal interview. It was the consensus to conduct brief, informal interviews with the applicants seeking appointment on the Economic Development Commission at 8:30am on March 18, 2019, prior to the Board’s regular scheduled meeting at 9:00am. A motion was made by Chairman Newell and carried 4-0 to approve the agenda, as adjusted, by moving the item for Appointment to Economic Development Commission to the March 18, 2019 agenda. INFORMAL COMMENTS: There were no comments from the public. 11 February 19, 2019 2 DISCUSSION/ADJUSTMENT/APPROVAL OF CONSENT AGENDA: A motion was made by Commissioner Puryear and carried 4-0 to approve the Consent Agenda with the following items: A. Approval of Minutes of January 7, 2019, B. Approval of Minutes of January 22, 2019, C. Approval of Minutes of February 4, 2019, D. Budget Amendment #14 E. Tax Adjustments for February 2019 a. Tax Releases b. NC Vehicle Tax System pending refunds NEW BUSINESS: RESOLUTION SUPPORTING LOCAL CONTROL OF SCHOOL CALENDARS: Dr. Rodney Peterson, Person County Schools Superintendent requested the Board of Commissioners to adopt a Resolution Supporting Local Control of School Calendars. He said the Board of Education adopted the same resolution a week earlier and noted that Representative Yarborough would support filing a bill for local control of school calendars. A motion was made by Commissioner Clayton and carried 4-0 to adopt a Resolution Supporting Local Control of School Calendars. 12 February 19, 2019 3 13 February 19, 2019 4 14 February 19, 2019 5 NEW LAND USE TOOLS AND SERVICES FOR CITIZENS: Planning Director, Lori Oakley stated the Planning Department worked with GIS, Cooperative Extension, Soil and Water, and Economic Development over the past year to create three Development Suitability Maps that will be beneficial to citizens. These departments also teamed up to implement the NC Wildlife Resources grant that the County received in 2017. Development Suitability Maps - The County adopted the Person County Farmland Preservation Plan in June 2016. One of the recommendations of the plan was to produce a farmland and land development suitability map to help residents and officials to identify lands for development, preservation, and agricultural uses. Staff utilized a ranking system to identify potential zones for agriculture, conservation and development in the County. The GIS Department staff was then able to compile all of the data on three separate interactive maps for each of the areas of study. These maps will be available to the public through the GIS website for citizens to use for land use research. NC Wildlife Resources Commission grant – Person County received a grant in the spring of 2017 from the North Carolina Wildlife Resource Commission’s Partner for Green Growth in order to study the natural habitat along a corridor extending from downtown Roxboro south to Durham County. Ten residents in the corridor volunteered to have their parcels (covering 1,060 acres) surveyed to identify different types of wildlife and vegetation. The Person County GIS Department then used the data to create an interactive web map detailing the findings. As part of the grant requirement, four public information and input sessions were hosted and 129 interested residents, business owners, county staff and conservation professionals attended. The recommendations from the document include adopting new conservation easements, developing a new Comprehensive Conservation Plan and amending the Planning Ordinance and Subdivision Regulation’s to better protect the county’s natural resources. Ms. Oakley guided the discussion with the following presentation: 15 February 19, 2019 6 16 February 19, 2019 7 17 February 19, 2019 8 18 February 19, 2019 9 19 February 19, 2019 10 Mr. Paul Westfall, Cooperative Extension Director, Ms. Nancy McCormick with Soil and Water and Ms. Sherry Wilborn represented Economic Development as each of the suitability maps were illustrated on the screen. 20 February 19, 2019 11 Ms. Oakley continued her presentation highlighting the Green Grown Toolbox. 21 February 19, 2019 12 22 February 19, 2019 13 Ms. Sallie Vaughn, GIS Manager used the survey work data to create an interactive web map detailing the findings and illustrated the tools available on the screen. The Board stated the new web maps were information and an excellent tool for education. 23 February 19, 2019 14 CONSIDERATION OF CONTRACT FOR 2021 REAPPRAISAL SERVICES: Tax Administrator, Russell Jones stated North Carolina General Statutes require counties to conduct a county-wide reappraisal at least every 8 years. Since Person County’s last reappraisal was conducted for 2013, the next scheduled reappraisal will be 2021. Mr. Jones said this is a project that normally takes just under 2 years, and therefore his office would need to start on this project soon. Mr. Jones noted in order to best negotiate a contract for this service, Mr. Phillip Christy, Tax Appraiser issued an RFP (Request for Proposal) for the 2021 Reappraisal. The RFP was mailed to all 16 approved reappraisal vendors, as certified by the North Carolina Department of Revenue. This mailing generated 6 proposals. The RFP criteria that was considered by the Tax Administrator, Tax Appraisal and the Field Appraiser during the selection process was: 1. Clarity of Proposal. 2. Firm’s understanding of the project objectives. 3. Firm’s recommended approach to the project, including Firm’s demonstrated ability to conduct reappraisal program services within North Carolina. 4. Qualifications of principal(s) to perform the work and the level of involvement in the project. 5. Qualifications of project manager, supervisor, and key personnel assigned to the project. 6. Firm’s knowledge and demonstrated experience specifically with reappraisal programs within North Carolina. 7. Firm’s familiarity with North Carolina statutes and other laws relating to reappraisal programs. 8. Firm’s ability to perform the project based on the successful completion of similarly sized projects with similar project scope. 9. Proof of like projects that were completed on time and at or under budget. After careful examination of the RFPs received, and using the criteria above, staff unanimously selected Pearson's Appraisal Service Incorporated. After selection, Mr. Jones stated they proceeded to negotiate the a service contract for the Board’s consideration. He asked the Board to authorize approve the contract as presented with Pearson's Appraisal Service Incorporated, if appropriate. Commissioner Puryear requested that the Board of Commissioners be involved with the reappraisal process as the schedule of values was being developed as this is the tool to appraise every parcel at market value; his request was for a better understanding especially as some of the commissioners act as the board of equalization and review. 24 February 19, 2019 15 Mr. Jones stated the schedule of values, as being developed, would change numerous times before it is officially presented to the Board of Commissioners for approval and that would follow a public inspection period of 30 days. Commissioner Powell asked why the reappraisal process was not recommended before the 8 year threshold to which Mr. Jones said it is a costly process; he added that he watches the market noting currently the property values are under market by six percent. Mr. Jones further noted that should the property values be over/under the market by 10% or greater that he would suggest a reappraisal earlier than the 8 year mark. Mr. Jones stated the contract with Pearson’s Appraisal Service Incorporated had been reviewed by the County Attorney; the funding for the contract had been set aside noting the cost was $467,500. A motion was made by Commissioner Clayton and carried 4-0 to approve the contract as presented with Pearson’s Appraisal Service Incorporated. 25 February 19, 2019 16 26 February 19, 2019 17 27 February 19, 2019 18 28 February 19, 2019 19 29 February 19, 2019 20 POLICY UPDATES FOR PERSON COUNTY GOVERNMENT EMPLOYEES: County Manager, Heidi York said in an effort to improve our organization and better support County employees, she presented three policies for the Board’s feedback and review. Ms. York recalled in the summer of 2018, staff surveyed our workforce regarding leadership, morale, and overall support of employees within county departments. The policy changes before the Board are a result of the employee responses to this survey. 1. Volunteer Leave Policy: This is a brand new policy, modeled after similar policies found in place with local governments. Under this policy, employees will be granted a new bank of leave, up to 24 hours annually to be used for volunteer time to support nonprofits and educational institutions. At the discretion of the supervisor and department director, requests for leave must be submitted via the Volunteer Leave Request Form for approval. Ms. York stated there is to be no additional financial impact for the department granting this request. Hours worked can be verified by the county with the recipient organization and abuse of leave is subject to disciplinary action. The volunteer leave does not accrue and does not pay-out upon separation from employment. This policy becomes effective July 1, 2019. 2. Alternative Work Schedule Policy: This policy seeks to formalize the process and options for employee work schedules. At the discretion of supervisors and department directors, employees may be able to utilize either a compressed work schedule or a flexible work schedule if conducive to the operations of their department. There are no financial impacts with this policy and an Alternative Work Schedule Agreement Form must be completed for any consistent adjustments to employees’ standard working schedule. This policy is not for a temporary schedule but a consistent alternative work schedule, as approved by the supervisors and departmental directors. New County employees that are on probationary status are not eligible for the Alternative Work Schedule. This policy becomes effective March 1, 2019. 3. Parental Leave: Parental Leave is new language to be included in the County Personnel Policy allowing regular, full-time employees who are new parents through either birth or adoption who intend to return to full-time employment status with the County, 30 days of paid parental leave. This leave will run concurrent with Family Medical Leave and will begin on the first day out. A doctor’s note is required to utilize this leave. There is a financial impact to this change, based on the number of employees taking FMLA for birth or adoption and using an average salary, we estimate an annual impact of approximately $50,000. This addition to the Personnel Policy becomes effective July 1, 2019. Additionally, Ms. York noted that the Board would receive information at its next meeting related to the transition from a cell phone stipend to county-owned cell phones for employees which will have a financial impact in the upcoming budget. 30 February 19, 2019 21 CHAIRMAN’S REPORT: Chairman Newell had no report. MANAGER’S REPORT: County Manager, Heidi York had no report. COMMISSIONER REPORT/COMMENTS: Commissioner Clayton commented he read an article whereby Vance County is implementing payment to fire department personnel. In addition, Commissioner Clayton reported Ms. Pat Hill, a resident near the landfill was not able to receive a signal from the LightLeap equipment on the tower due to the amount of landfill garbage is so high and blocking the signal. Commissioner Clayton advocated that Republic provide some remedy for this issue. There was no report from Commissioners Puryear and Powell. 31 February 19, 2019 22 RECESS: A motion was made by Vice Chairman Powell and carried 4-0 to recess the meeting at 10:14am until 8:30am on March 18, 2019 for the purpose of conducting informal interview with the applicants seeking appointment on the Economic Development Commission. _____________________________ ______________________________ Brenda B. Reaves David B. Newell, Sr. Clerk to the Board Chairman (Draft Board minutes are subject to Board approval). 32 3/18/2019 Dept./Acct No.Department Name Amount Incr / (Decr) EXPENDITURES General Fund General Government (12,771) Public Safety 5,473 Human Services 89,996 Culture and Recreation 3,525 Transfers to Other Funds 54,186 REVENUES General Fund Intergovernmental 84,996 Other Revenues 16,790 Fund Balance Appropriation 38,623 EXPENDITURES Person Industries Community Rehab Prog Services 45,712 Material Recovery Facility 30,474 REVENUES Person Industries Transfer from Other Funds 54,186 Fund Balance Appropriation 22,000 Explanation: BUDGET AMENDMENT Receipt of contribution from Senior Center for repairing Wellness Gym equipment ($7,792); receipt of insurance claims for vehicle damage in the Sheriff's department ($5,473); receipt of donation to Mayo Park ($1,000); receipt of donation to Recreation ($1,500); receipt of donation to Kirby Theater ($1,025); receipt of Maternal Health Grant in Health department ($20,757); appropriate DSS fund balance for Crisis Intervention services ($5,000); receipt of LIEP intergovernmental revenues for DSS ($64,239); appropriate fund balance in Fleet Fund ($33,623) and transfer along with remaining capital outlay vehicle funds ($20,563) to Person Industries for purchase of new truck; appropriate fund balance in Person Industries ($22,000) and increase transfer from General Fund ($54,186) for new truck purchase. BA-1533 NORTH CAROLINA PERSON COUNTY RESOLUTION FOR TEMPORARY REMOVAL OF ORIGINAL DEED BOOK FOR INCLUSION IN THE MINUTES OF THE PERSON COUNTY BOARD OF COUNTY COMMISSIONERS MEETING OF MARCH 18, 2019. BE IT RESOLVED that, Tonya R. Wilson, Person County Register of Deeds, has, under Chapter 132.7 of the North Carolina General Statues, contracted with Kofile Technologies for the restoration of Volume 36 of the original Deed records of Person County; AND WHREAS, the only way for this historic record to be restored is the removal of the book from the public records of Person County and shipped to Kofile Technologies, insured, and with the understanding that Volume 36 will be restored by encapsulating the said pages of Volume 36 into archive accepted overlay; AND WHEREAS, the cost of said deacidification and encapsulation will run approximately $3,920.00 and will be borne by monies presently allotted in the budget of the office of the Register of Deeds; NOW, THEREFORE, it is the request of the Register of Deeds Tonya R. Wilson that this Volume be mailed to Kofile Technologies for presentation and, upon completion of the preservation of the volume, that Kofile Technologies will return said volume to the Person County Register of Deeds. This the 18th day of March, 2019. Tonya R. Wilson, Person County Register of Deeds David B. Newell, Sr., Chairman, Person County Board of County Commissioners 34 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Approve Person Area Transportation System Transportation Advisory Board By-Laws Summary of Information: Since the Person County Board of Commissioners is the Governing Board for Person Area Transportation System and the Transportation Advisory Board (TAB) only serves in an advisory capacity, it is required by NCDOT for the Board of Commissioners to approve the TAB By-laws. These were last updated in 2010. The TAB approved these By-laws at its March 6th, 2019 meeting and the TAB chairperson will sign following approval by the Commissioners. Recommended Action: Adopt the updated TAB By-Laws, as presented. Submitted By: Glen LaBar Jr. Public Transportation Director 35 Person Area Transportation System Transportation Advisory Board By-Laws Article I: Name The name of this board shall be the Person Area Transportation System Transportation Advisory Board (TAB). Article II: Powers and Responsibilities The TAB serves in an advisory capacity only. The board shall perform the following duties or be responsible for the following functions: 1.Serve as a liaison between the residents of Person County and the county government concerning transportation issues. 2.Serve as the advisory body to Person Area Transportation System in operations of transportation services for Person County. 3.Make policy recommendations to the Person Area Transportation System and Person County Board of Commissioners on the transportation needs of Person County citizens regarding all public transportation matters including proposed routes, service changes, ridership policies, fare structures, funding and budgets. 4.Reviews public transportation services, projects and funding to ensure that they are being fairly and equitably distributed to residents of the community served. 5.Work to stimulate and promote needed transportation services and programs for Person County residents. 6.Assist public, private and voluntary agencies in providing transportation services for their clients. 7.Assist in the development and update of the Person Area Transportation System future plans for transportation services. 8.Disseminates information and holds forums to solicit public input. 9.Promotes support for and utilization of transit services in the community. 10. Perform other functions and responsibilities as requested or prescribed by the Person County Board of Commissioners. 36 Article III: Composition 1) Number and Qualifications The Person Area Transportation System Transportation Advisory Board is composed of a total of 13 representatives from different human services agencies and other related community members who represent various consumer groups. Below is the list of representatives and agencies that the board is composed of: Person County Commissioner Person County Social Services Person Industries Person County Senior Center Person County Health Department Person County Economic Development School System (PCS or PCC) Medical Related Service (Hospital, dialysis center, doctor’s office or clinic) Private Industry within Person County Citizen (2) EOC Manager (permanent) RPO Director or designee (permanent) The Public Transportation Director shall serve as the staff liaison on the Transportation Advisory Board. 2) Terms and Replacements At-large members of the Person Area Transportation System Transportation Advisory Board shall serve a three-year term, with no maximum term limit. Agency representatives may reapply to continue to serve on the board in the agency’s capacity at the end of their term. Person Area Transportation System encourages the rotation of representatives from various agencies, but does not discourage the continuous participation of representatives, if adequate alternatives are not identified. When the County Commissioner appointed to the board ceases to be a County Commissioner for any reason, his or her appointment as a member of the board shall also cease and the Board of Commissioners, during its next meeting shall appoint another Commissioner to the transportation advisory board. 37 3) Vacancies The Person County Board of Commissioners shall fill vacancies on the Person Area Transportation System Transportation Advisory Board. The person appointed shall serve for the unexpired portion of the term. 4) Attendance a) Any member of the Board who accumulates more than three consecutive unapproved absences in a 12-month period shall lose his/her status as a member of the board and shall be replaced by the Person County Board of Commissioners. Absences due to illness, death of an immediate family member or previously scheduled event shall be considered approved absences if notified 24 hours before the scheduled meeting. Following the second consecutive absence, the member will be notified in writing of the attendance policy by the staff liaison. b) The County’s Authorizing Official or designee must attend a minimum of one meeting per year. 5) Orientation New Board Members shall receive orientation and a TAB member manual to educate them regarding the nature and purpose of the Transportation Advisory Board, the role of the transportation system and their roles and responsibilities as Board Members. 6) Compensation Transportation Advisory Board members will serve without compensation. 38 Article IV: Regular Meetings 1) Dates and Locations a) Regular meetings of the Person Area Transportation System Transportation Advisory Board will be held quarterly. Regular meetings are held at the Person Area Transportation System offices on the first Wednesday of the last month in each quarter at 4:00pm. The board will determine the dates for the following calendar year at the last meeting of the previous calendar year. b) The Chairperson or Public Transportation Director may call special meetings of the Person Area Transportation System Transportation Advisory Board as deemed necessary to carry out of the duties of the board. c) Board agenda package will be provided to the board members a minimum of five working days in advance of the meeting date. d) Public notice of all meetings will be provided in compliance with NC G.S. 14-318.12. 2) Quorum A majority of the board then in office shall constitute a quorum for the transaction of business for any meeting of the board. Article V: Officers 1) Number and Title The principle officers of the Person Area Transportation System Transportation Advisory Board shall be a chairperson, vice-chairperson and secretary. 2) Election a) The board shall elect the chairperson and vice-chairperson for a term of one year at its first meeting in the Person County fiscal year. Consecutive terms may be served. 39 b) The Public Transportation Director will serve as the secretary for the board. 3) Chairperson The chairperson shall preside at all meetings of the board and shall represent the board in approved activities on its behalf. The chairperson will also be responsible for scheduling and submitting notices of all meeting to the membership of the board. 4) Vice-Chairperson The vice-chairperson shall perform the duties of the chairperson in his/her absence. 5) Secretary a) The secretary shall record and keep file of the minutes of all board meeting. b) The secretary will also be responsible for posting public notices of the scheduled meeting dates in the newspaper, website and social media outlets. c) The secretary will also be responsible for posting the official minutes on the county website. Article VI: Committees The Person Area Transportation System Advisory Board may designate committees, as it shall determine. Minutes must be taken at each committee meeting and will be filed with the official board minutes. Committee minutes must be turned into the secretary by the following scheduled board meeting. Reports from each committee shall be given to the full membership of the board. 40 Article VII: Rules of Order At all meeting of the board and of such committees as may be established, the latest edition of Robert’s Rules of Order shall govern procedure and as modified by rules of the board. Article VIII. Conflict of Interest Members of the Transportation Advisory Board shall not advise or recommend to staff of the transportation system/authority or its governing body, any actions that would result in personal or financial gain for the member or his/her family or relatives, or in which the member’s interest conflict or could be construed to conflict with those of the transportation system/authority. Each member must sign a Conflict of Interest form annually. Article VIII: Board of Commissioners The Person County Board of Commissioners may direct the Transportation Advisory Board regarding matters relating to it and may over-rule or re- direct actions of the Transportation Advisory Board. Article IX: Amendments These by-laws may be adopted, altered, or appealed by the affirmative votes of a majority of the Board of Commissioners in office at any regular or special meeting of the board, but only if the notice of such meeting contained a copy or an accurate summary and explanation of the proposed by-laws amendment, alteration, or repeal as the case may be. 41 Adopted on the 18th day of March 2019. __________________________________ David B. Newell, Sr., Chairman Person County Board of Commissioners Attest: __________________________________ Brenda B. Reaves, NCCCC, MMC Clerk of Board __________________________________ Melinda Hudson, Chairperson PATS Transportation Advisory Board 42 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Update Person Area Transportation System Policies as required by the FTA & NCDOT Summary of Information: Per FTA & NCDOT requirements, the following policies below are required for transit systems. These policies were last updated in September 2010 by the board. These policies have been updated to reflect the current standards and the current procedures of PATS. Below is a list of policies: a) Charter Services Policy b) Grants & Financial Management Policy c) Procurement Policy d) Continuity of Operations Plan e) Soliciting Public Comment Policy f) Record Control and Retention Policy Recommended Action: Adopt the required policies. Submitted By: Glen LaBar Jr. Public Transportation Director 43 County of Person ‐ Person Area Transportation System  Department Policy and Procedures  Section: PATS‐200‐04  Title: Charter Services   Effective Date: 3/18/2019 /Revised: Rescinds: Charter Policy (2010)  Review Date:    Director:  Purpose: The purpose of this policy is to be in compliance with the FTA Charter Service Policy.   Policy/Procedure:   I.Person Area Transportation System follows the policies and procedures defined within 49 CFR Part 604‐ Charter Services as defined by the attached charter service regulation policy created by the NCDOT/PTD by 12/22/2008. II.Definition of Charter Service a.Transportation provided at the request of a third part of exclusive use of a transit vehicle for a negotiated price. Possible indicators are: i.A third party pays a negotiated price for the group; ii.Any fares to individual members  of the group charged are collected by a third party; iii.The service is not part of the transit system’s regularly scheduled service; or is  offered only for a limited time; or iv.A third party determines the origin and destination of the trip as well as the scheduling. b.Transportation provided for events or functions that occur on an irregular basis or for limited duration if: i.The fare charged is more than the usual or customary fixed‐route fare; or a third party pays for any part of the cost. III.Person Area Transportation System will not provide any services that meet the definition of charter service under the regulations (see below) unless such services can be provided under one the following exemptions or the exception. The Person Area Transportation System will refer all requests for other charter services to private operators. a.Exemptions‐ Under the federal section 5310, 5311, 5316 and 5317 programs, contract services for “program purposes” are exempt from the charter bus regulations. Since the only federal transit funds received by the Person Area Transportation System are under these program(s) the transit system will provide contract services in support of “program purposes” as allowed. Services for “program purposes” mean transportation that serves the needs of either human service agencies or targeted populations (elderly, individuals with disabilities, and/or low income individuals). Services for “program purposes” do not include exclusive service for groups formed for purposes unrelated to the special needs of the targeted populations. b.Other services that the Person Area Transportation System may provide under an exemption from the charter bus regulations include transporting transit employees and government 44 representatives within the service area for monitoring purposes; emergency response and  preparedness planning and operations; and as a recipient in a non‐urban area, transporting  employees for training to destinations outside the service area.     c. Exception‐ The only exception under which the Person Area Transportation System will provide  charter service will be to transport government officials for official governmental business  within the transit system service area. No revenue will be generated from these services and  services will not exceed 80 hours annually. If such services are provided, they will be report to  the NCDOT on the charter reporting form. Any request for services under this exception must  be made in writing to the County Manager and Public Transportation Director at least 15 days  prior to the event.     IV. Consultation with NCDOT: If there is a question as to whether a service request would meet the  charter definition or qualify under an exemption or exception, the Person Area Transportation  System will consult NCDOT/PTD.      V. Rates   a. Below are the current rates for charter services provided by Person Area Transportation System  as defined above.   b. Within Person County: Charter services will be provided at the respective zone rate and the  service must be a round trip.   c. Outside Person County: Charter services will be provided at both a flat passenger rate and set  mileage rate. Each passenger will be charged a rate fee of $5.00. The mileage rate is  determined by the previous fiscal years OpStat document.     VI. Billing  a. Charter services under the exemption for “program purposes” and exception will be  documented in the current dispatching software.   b. Charter services under the exemption for transporting transit employees and government  employees as defined in the exemption section will be documented and stored electronically.   c. Charter services provided for “program purposes” will be invoiced to the sponsoring agency on  a monthly basis per the contract signed by both PATS and the sponsoring agency.     This policy is hereby adopted by the Person County Board of Commissioners on the 18th day of March, 2019.     _______________________________________  David B. Newell, Sr., Chairman  Person County Board of Commissioners  Attest:     ____________________________________________  Brenda B. Reaves, Clerk to the Board   45 1 County of Person ‐ Person Area Transportation System  Department Policy and Procedures  Section: PATS‐600‐02  Title: Grants & Financial Management Policy   Effective Date: 3/18/2019 /Revised: Rescinds: Grants & Financial Management Policy                (2010)  Review Date:  Director:  I.Purpose a.The purpose of the grant and financial management policy is to establish clear procedures and Person Area Transportation System’s position regarding grant and financial management and administration  of  Federal  Transit  Administration  (FTA)  and  North  Carolina  Department  of Transportation (NCDOT) grants when Person Area Transportation System is the subrecipient. b.FTA and NCDOT grant programs have requirements with which the Person Area Transportation System must comply so as to continue to be eligible for grant funding.   As a subrecipient, the Person  Area  Transportation  System  must  demonstrate  to  NCDOT  the  legal,  technical,  and financial capacity to manage and administer grants.  Financial ability includes the ability to match  and  manage  NCDOT/FTA  grant  funds,  cover  cost  and  operating  deficits,  financially maintain and operate NCDOT/FTA funded facilities and equipment, and conduct and respond to applicable audits. c.The policies contained herein outline Person Area Transportation System procedures regarding application, acceptance, budgeting, accounting and administration of NCDOT /FTA grants, as well as in regards to compliance with FTA/U.S. Department of Labor requirements related to Section 5333(b) labor protections. II.Organizational Management a.Legal Authority i.Authorizing Resolution 1.To be eligible for NCDOT/FTA funding, Person Area Transportation System is authorized by its Governing Board, the Person County Board of Commissioners, to apply for and receive funding.  This was affirmed when the appropriately authorized person signed the authorizing resolution form included in the NCDOT grant application package.  This form is submitted annually to NCDOT Public Transit Division (PTD) as required and is also maintained in the Person Area Transportation System files. ii.Annual Certifications/Signature Procedures 1.Federal and State grant awards require applicants and grantees to certify that they are in compliance with or will comply with a variety of laws and regulations.  As a subrecipient of federal and state transit funds Person Area Transportation System signs and submits certifications and assurances on an annual basis with its grant application to NCDOT.  The Public Transportation Director is responsible for updating the Person Area Transportation System annual Certifications and Assurances (C&As) and securing the proper 46     2 signatures/approvals including both the approval of the County Manager and  the Opinion of Counsel. The annual C&As are filed according to the following  procedure:   a. The  Public  Transportation  Director  reviews  the  list  of  C&As  received  from FTA and compares ‐them with the C&As from the previous year.  b. If there are changes in the C&A from the previous year, the Public  Transportation Director forwards the C&As to the Attorney for review.  c. If there are reports to be filed in conjunction with the C&As, the Public  Transportation Director completes the applicable reports for submission  to NCDOT.  d. Upon concurrence from the Attorney (and a signed Opinion of Counsel),  the Public Transportation Director secures approval and signature on the  C&As from the person authorized to act on behalf of the transit agency,  the County Manager.  e. The  Public  Transportation  Director  compiles  the  approved  C&As  and  applicable reports for submittal to NCDOT.  f. The Public Transportation Director officially submits the C&As to NCDOT  with the application.  g. The Public Transportation Director is responsible for maintaining a file  with all of Person Area Transportation System’s past and present C&As.  b. Governance   i. The Governing Board for Person Area Transportation System, the Person County Board  of Commissioners, has the legal and fiduciary responsibility of the organization.  The  transit agency’s Governing Board is representative of the community and be able to  provide transit personnel with community based advice and also be able to bring  management and other organizational skills and expertise from which transit  management can draw.  The Board meets regularly, is “actively engaged” and conducts  business in an open and transparent manner.     ii. Organizational Structure     1. Governing Board for the County   a. The Governing Board for the Person Area Transportation System is the  Person County Board of Commissioners. The Governing Board is  governed by the County Code and NC State Statutes.   2. Governing Board Bylaws and/or Policy Manual  a. The Governing Board Policy Manual governs the internal administration  and regulation of the affairs of the Person County Board of  Commissioners, the system Governing Board. As the Governing Board for  the transit system, the Board of County Commissioners is responsible for  overall policy decisions, financial management and operations of the  department. The Governing Board delegates authority to both the  County Manager for overall management of county operations and to  the Public Transportation Director for overall management of transit  operations. Regular meetings of the Board are held twice per month.   3. Transportation Advisory Board   a. The Person Area Transportation System also has a Transportation  Advisory Board (TAB). The TAB is typically made up of stakeholders from  the service area and is representative of the various target audiences in  47     3 the service area. An actively engaged TAB is expected to discuss unmet  needs in the service area, service design, scheduling, billing rates and  fares and monitor patterns of complaints about the transportation  service. The TAB is not involved in financial, procurement, or hiring  decisions, although as a good‐business practice, TAB members sign  conflict of interest statements as required by federal regulations.  b. The TAB consists of 11 to 17 members.  The TAB should be  representative of the community in order to provide the service area  community with a mechanism to advise and bring to management the  mobility concerns and needs of the entire service community.  The PATS  administrative staff shall recommend potential TAB members from  agencies, organizations, and other community representatives that  utilize transportation services in Person County.  One County  Commissioner should also serve as a TAB member.  The Governing Board  shall select and approve TAB members at regularly scheduled meetings  as needed.   c. The bylaws for the Person Area Transportation TAB have been approved  by both the TAB and Governing Board.   iii. Business Continuity Plan   1. The Person Area Transportation System has a Business Continuity of Operations  Plan (COOP) that establishes policy and guidance to ensure the execution of the  essential functions in the event that an emergency at the agency or in its service  area  threatens  or  incapacitates  operations  and/or  requires  the relocation  of  selected personnel and functions.    iv. Control Environment   1. Assignment of Authority—NCDOT Grants  a. The County Manager and the Public Transportation Director are  authorized to execute agreements and contracts with NCDOT.   b. These individuals are designated to submit to the following, as indicated  on the Delegation of Authority form submitted to NCDOT:  i. Reimbursement Requests  ii. Budget Revisions  iii. Budget Amendments  iv. Period of Performance Extensions   2. Signature Policy   a. The following individuals are authorized to sign checks for Person Area  Transportation System:  i. County Finance Director  ii. Chairman of the Board of Commissioners   b. The following individuals are authorized to sign contracts that financially  obligate Person Area Transportation System:  i. County Manager  ii. Chairman of the Board of Commissioners  c. The following individuals are authorized to sign contracts for  transportation services for non‐county departments:  i. County Manager  48     4 d. The following individuals are authorized to sign contracts for  transportation services for county departments:   i. Public Transportation Director   3. Division of Duties   a. The following is a list of personnel who have responsibilities within the  financial functions of the organization:  i. Governing Board  1. Reviews annual financial reports   2. Reviews and approves annual budget  3. Reviews and approves grant application   4. Reviews and approves multi‐year financial plans  ii. Transportation Advisory Board (TAB)  1. Review annual financial reports  2. Reviews annual budget  3. Make recommendations for grant applications  4. Review multi‐year financial plans  iii. Public Transportation Director  1. Approves all vouchers, invoices and checks  2. Develops an annual budget  3. Reviews and approves all financial reports  4. Develops the annual budget and get Governing Board  approval  5. Reviews and approves all financial reports   6. Reviews all vouchers and invoices for those payment  requests which require his or her signatures  7. Requests any needed inter fund transfers  8. Makes deposit for cash and checks on a daily basis.  Deposits must be made if the amount exceeds $250. If  needed amounts under $250 will be locked in a secured  location.  9. Reviews the payroll summary for the correct payee and  hours worked.   10. Approves all reimbursements.  11. Prepare and execute all contracts with pre‐audit from the  Finance Director and signature by the County Manager.  12. Accountability to approved departmental budgets in  purchasing decisions and in preparing check request  vouchers with the proper account code.   13. Performs cash duties in the absence of other  administrative staff members.   iv. County Finance Department  1. Processes all receipts and disbursements.  2. Processes the payroll, including payroll tax returns.  3. Submits requests to the County Manager for approval of  inter fund transfers.  4. Maintains and reconciles the general ledger monthly.  5. Assists with the development of departmental budgets.  49     5 6. Prepares all financial reports, including requests for  reimbursements.   7. Manages the petty cash fund.  8. Reconciles the bank accounts.  9. Reconciles the procurement card statements.  10. Double checks all reimbursement requests against  receipts provided.  v. Administrative Assistant  1. Receives and open all incoming mail.  2. Prepares cash receipts log and invoice log.  3. Assist the Director with preparing payment requests and  attaches invoice/backup to be sent to the Finance Officer  for payment.   4. Accepts payments and writes receipts.  5. Logs fare payments.   6. Receives cash from drivers.  7. Counts cash from drivers and prepares deposit form.   8. Complete deposit breakdown for finance.  vi. Clerk/Dispatcher  1. Accepts payments and write receipts.   2. Logs fare payments.  3. Receives cash from drivers.  4. Assists Administrative Assistant or in their absence with  counting cash from drivers and preparing deposit form.  5. Assists Administrative Assistant or in their absence  complete deposit breakdown for finance.   vii. Transit Operators   1. Monitor vehicle and farebox security during his or her  shift.   2. Thoroughly complete accurate manifest reports,  documenting receipt and amount numbers.  3. Writes receipts for cash payments.  4. Turns in cash and receipts daily.   4. Background and Reference Checks  a. Every candidate for employment at Person Area Person Area  Transportation System is subject to a basic background check, as a  condition of employment. This investigation includes a review of motor  vehicle records and contacting references provided by the candidate.   b. The Criminal Record Check (CRC) includes a 10 year history. Candidates  who have any of the following will not be considered for employment:  i. Murder,  ii. Rape or aggravated sexual abuse,  iii. Kidnapping or hostage taking,  iv. Assault inflicting serious bodily injury,  v. A federal crime of terrorism,  vi. Unlawful possession, us, sale, distribution, or manufacture of an  explosive device,  50     6 vii. Unlawful possession, use, sale, distribution, or manufacture of a  weapon,    viii. Elder abuse/exploitation,  ix. Child abuse/neglect,  x. Illegal sale or possession of a Schedule I or II controlled  substance,   xi. Conspiracy to commit any of the above      5. Conflict of Interest Policy/Code of Conduct  a. In accordance with Board policy and related legislation, no employee,  officer, agent, immediate family member, or Board member of the  agency shall participate in the selection, award, or administration of a  contract supported by Federal and/or State funds if a conflict of interest,  real or apparent, would be involved.  Such a conflict would arise when  any of the following has a financial or other interest in the firm selected  for award:     The employee, officer, agent, or Board member,   Any member of his/her immediate family,   His or her partner, or   An organization that employs, or is about to employ, any of  the above.  b. The agency’s officers, employees, agents, or Board members will neither  solicit nor accept gifts, gratuities, favors, or anything of monetary value  from contractors, potential contractors, or parties to subagreements.   c. All employees, officers, agents, and Board members of the Person Area  Transportation System will sign a statement at the start of their  employment or term of service, in which they acknowledge, understand,  and agree to abide by this policy.     6. Ethics Policy   a. Purpose ‐ Because it is imperative that officials and employees of Person  Area Transportation System maintain the highest possible standards of  ethical conduct in their transaction of public business, such standards  must be clearly defined and published.  The following Code of Ethical  Standards includes standards of the Federal Transit Administration.    b. Relationships ‐ In all procurement matters relating to Person Area  Transportation System, no transit employee, official, or agent, including  any member of an evaluation committee for a Person Area  Transportation System project, shall participate in the selection, award,  or administration of a contract between Person Area Transportation  System and a private business if a conflict of interest, real or apparent,  would be involved.  Such a conflict would exist when an employee,  officer, or agent of Person Area Transportation System; any member of  his/her immediate family; his or her partner; or an organization which  employs, or is about to employ, any of the above; has a material financial  or other interest in a firm selected for award of a contract.    c. Gifts and Gratuities ‐ It is Person Area Transportation System policy that  no official or employee of Person Area Transportation System shall seek  51     7 or accept, directly or indirectly, any gift, service, favor, employment,  engagement, compensation or economic opportunity from a contractor,  potential contractor, or subcontractor which would tend improperly to  influence a reasonable person in his or her position to depart from the  faithful and impartial discharge of his or her public duties.  No Person  Area Transportation System official or employee may use his or her  position to secure or grant unwarranted privilege, preferences,  exemptions, or advantages for himself or herself, any member of his or  her immediate household, any business entity in which he or she has a  financial interest, or any other person.  d. Violations ‐ Violation of Person Area Transportation System's ethics  policy by any employee shall subject the individual to disciplinary action  up to and including discharge as determined by the Board of Person Area  Transportation System.   Violation of this policy by contractors or their  agents may be considered a breach of contract and shall subject such  contractor or agent to action up to and including cancellation of contract  and suspension and debarment from contracting with Person Area  Transportation System.  Violation of this policy by bidders or potential  contractors may be considered to make such bidder ineligible to bid or  render a bid or proposal non‐responsive.  e. Organizational Conflict of Interest ‐ It is Person Area Transportation  System policy in soliciting and contracting for goods and services to  prevent any real or apparent organizational conflicts of interest which  could arise when the nature of work to be performed under a proposed  contract would result in an unfair competitive advantage to the  contractor in the award of future work.  It shall not be a bid or proposal  requirement that a prospective vendor or contractor have prior  contracts with Person Area Transportation System.  This shall not be  construed, however, to prevent or limit the use of two‐step sealed  bidding.  7. Computer Use Policy   a. Any  usage  of  Person  Area  Transportation  System  equipment  and/or  services unrelated to direct business activities of the County is expressly  prohibited.    Person  Area  Transportation  System  forbids  use  of  its  equipment  or  Internet  connection  to  promote  personal  political or  religious  beliefs,  solicit  or  advertise,  engage  in  personal  business  interest, participate in harassment or discrimination of any kind, violate  or infringe on the rights of others, be involved in deliberate propagation  of harmful computer code, violate copyright or licensing laws, or be part  of any illegal activity.  b. The equipment provided and all contents thereof are the property of  Person  Area  Transportation  System.    Users  understand  that  all  information transferred to and from this equipment is the property of  Person Area  Transportation  System  and  should  be  considered  as  available for public review. The user has no expectation that Internet  usage history is private. Person Area Transportation System retains the  52     8 right to monitor activity on its equipment and to review incoming and  outgoing  communications  for  appropriateness  without  prior  notice  or  warning.  c. Employees may not install, download, store, print, view, or redistribute  files  on  Person  Area  Transportation  System  equipment  that  are  not  directly related to their job or the Person Area Transportation System  business activities. An automatic exception will be made for storing and  displaying the photographs used as "wallpaper" to provide an individual  touch to the computer, provided the photograph is in compliance with  all other sections of this policy. Employees are not to modify Person Area  Transportation System hardware or software in an attempt to foil any  security or monitoring measure that the agency puts in place.  d. Employees  understand  that  these  means  of  productivity  and  communication are a privilege exclusively for professional activities  during work hours. The Transit Director may allow employees to utilize  Person Area Transportation System equipment or to access the Internet  for personal improvement or non‐business needs outside of established  business hours, provided that usage is consistent with the standards of  employee conduct for the department during business times.  e. Violations  of  any  of  these  stipulations  may  result  in  reduction,  limitations,  or  termination  of  Computer  and  Internet  and/or  E‐mail  privileges  without  notice.  If  so  warranted,  infractions  may  involve  disciplinary  action,  suspension,  termination,  or  even  legal  redress.  All  disciplinary action shall be pursuant to the Person Area Transportation  System Personnel Policy.  8. Travel Policy  a. Person  Area  Transportation  System  follows  the  Person  County  Government  Travel  Policy  and  the  NCDOT  rules  and  regulations  regarding reimbursement procedures.   v. Labor Protections   1. Person Area Transportation System receives federal assistance under  the  Federal Transit statute and agreed to comply with the terms and conditions of  the protective labor arrangements in 49 CFR Section 5333(b).  Section 5333(b) of  Title  49  of  the  U.S.  Code  (Federal  Transit  Law)  requires  that  employee  protections,  commonly  referred  to  as  “protective  arrangements”  or  “Section  13(c)  arrangements”  be  certified  by  the  Department  of  Labor  and  in  place,  before Federal transit funds can be released to a transit provider.  Person Area  Transportation System protects employee in the following ways: the  preservation  of  rights,  privileges,  and  benefits  (including  continuation  of  pension rights and benefits) under existing collective bargaining agreements or  otherwise,  the  continuation  of  collective  bargaining  rights,  the  protection  of  individual  employees  against  a  worsening  of  their  positions  related  to  employment,  assurances  of  employment  to  employees  of  acquired  mass  53     9 transportation systems, assurance of priority of re‐employment of employees  whose employment is ended or who are laid off, and paid training or retraining  programs.      Section 5333(b) Labor Warranty (S.5311)    As part of its application for Rural and Small Urban Program funding, Person  Area Transportation System has signed the 14‐page NCDOT PTD Section 5333(b)  Labor Warranty.  In signing this warranty, Person Area Transportation System  agrees to preserve the collective bargaining rights of employees, including the  right to arbitrate labor disputes and to maintain union security and check‐off  arrangements.  Person Area Transportation System also agrees to provide  allowances for dismissed and displaced employees under the terms set forth in  the agreement (based on years of service).   Further, in signing the warranty,  Person Area Transportation System agrees that it will post notice of its  compliance with Section 5333(b) in conspicuous place and maintain records to  document compliance.  This form is signed annually by the official authorized to  sign the grant application. 2. Labor Complaint Resolution Procedures  a. Person Area Transportation System follows the policies and procedures  of Person County Government to provide adequate and fair hearing of  employee  grievances.  Person  Area  Transportation  System  and  Person  County Human Resources Department also maintains records that track  compliant  investigations  including  the  date  files,  allegations, actions  taken and resolution.     vi. Document Control and Retention   1. Person Area Transportation System retains all personnel, time, payroll, audit,  tax, vendor, client and accounting records for a period no less than five years or  three  years  beyond  the  close‐out  of  any  grant  that  finances  each  expense,  whichever is longer.   All tax records are maintained for a seven‐year period.   All  records, both digital as well as hard, are stored in a manner which allows them  to be both secure as well as easily accessible.    2. Public Access   a. Person  Area  Transportation  System  complies  with  North  Carolina  regulations  regarding  access  to  public  records  and  follows  the  procedures  set  forth  in  Records  Retention  and  Disposition  Schedule  Public Transportation Systems and Authorities issued by North Carolina  Department of Cultural Resources in April 2006.  North Carolina General Statute §132.1 states:    (a)  "Public  record"  or  "public  records"  shall  mean  all  documents,  papers,  letters,  maps,  books,  photographs,  films,  sound  recordings,  magnetic  or  other  tapes,  electronic  data‐processing  records,  artifacts,  or other  documentary material, regardless of physical form or characteristics, made  54     10 or received pursuant to law or ordinance in connection with the transaction  of  public  business  by  any  agency  of  North  Carolina  government  or  its  subdivisions. Agency of North Carolina government or its subdivisions shall  mean and include every public office, public officer or official (State or local,  elected  or  appointed),  institution,  board,  commission,  bureau, council,  department, authority or other unit of government of the State or of any  county, unit, special district or other political subdivision of government.     (b) The public records and public information compiled by the agencies of  North Carolina government or its subdivisions are the property of the people.  Therefore, it is the policy of this State that the people may obtain copies of  their public records and public information free or at minimal cost unless  otherwise specifically provided by law. As used herein, "minimal cost" shall  mean the actual cost of reproducing the public record or public information.  (1935, c. 265, s. 1; 1975, c. 787, s. 1; 1995, c. 388, s. 1.)     b. The default guideline that is be followed by Person Area Transportation  System is if the agency generates, stores, or maintains a document, that  document is a public record and shall be made available to the public  upon request.  There are exceptions to what the statutes designate as  public records, including the following sensitive information:      • Personnel records, including drug and alcohol program records  • Social  security  numbers  (of  employees,  applicants,  and  customers)  • Medical and mental health information about specific customers    c. Unless otherwise specified, all personnel and financial records will be  kept in a locked, fireproof file cabinet in an office to be specified by the  [Transit  Director]  with  the  key  provided  to  a  limited  number  of  authorized individuals.  If stored electronically, all sensitive materials will  be password protected, with the password provided to a limited number  of authorized individuals.    d. The  following  criteria apply  to  all  Person  Area  Transportation System  employees, Board Members and volunteers:  i. Employees  and  all  persons  associated  with  Person  Area  Transportation  System  must  maintain  the  confidentiality  of  privileged  information  concerning  staff  and  participants  in  accordance  with  North  Carolina confidentiality  statutes  and  regulations.  ii. No identifying information will be released to an outside agency  or  person  without  the  informed  consent  of  the  person.  Such  55     11 consent must be granted in writing and the release to inform will  expire one year from the date it is signed.  iii. The following will have access to locked files:   Employees,  students,  volunteers  and  others  who  must  access  information  in  order  to  perform  required  job  functions.   Federal, State, local or other monitoring agencies.   Court order.    e. After documents’ holding period has been completed, documents are  destroyed  using  safety  sensitive  measures  such  as  shredding,  in  accordance with the Records Retention and Disposition Schedule Public  Transportation  Systems  and  Authorities  issued  by  North  Carolina  Department of Cultural Resources.  3. Electronic Documents   a. All  electronic  documents  are  backed  up  daily  to  ensure  all  data is  maintained in the event of local computer failure.  b. Prior  to  an  employee  being  terminated  that  employee’s  access  to  computer files is terminated.   4. Financial Records   a. All financial records associated with NCDOT/FTA grants are retained for a  minimum of five years or three years beyond grant close‐out, whichever  is longer.  This includes all personnel, time, payroll, audit, tax, vendor,  client and accounting records.   b. All financial records associated with the procurement of vehicles and  equipment  purchased  with  NCDOT/FTA  grants  will  be  retained  for a  minimum of five years of three years beyond the end of NCDOT’s title  lien  on  the  vehicle/equipment,  whichever  is longer.    This  includes  all  vehicle maintenance and repairs records.  c. All  financial  records  associated  with  the  development  of  a  facility  financed with NCDOT/FTA grants will be retained for a minimum of five  years or three years beyond final NCDOT/FTA payment for construction,  whichever is longer.  vii. Guidelines Governing the Acceptance of Advertisements for Revenue   a. Person  Area  Transportation  System  accepts  advertisements  on  its  vehicles  and/or  facilities  in  exchange  for  revenue.    The  system has  Board‐approved guidelines for the acceptance of such advertisements,  which can be found in a separate policy.   b. The  policy  will  require  the  approval  of  the  Person  County  Board of  Commissioners.     III. Grants Administration   a. Grant Application   56     12 i. The NCDOT generally issues annual fiscal year calendar which dictates upcoming grant  release and document due dates.   ii. Preceding the release of each application, the Person Area Transportation System  determines which projects and services will be included in that year’s application,  based on area’s Community Transportation Services Plan – CTSP (particularly the  implementation plan, vehicle replacement plan, and financial plan).  iii. Grant application packages are received electronically from NCDOT PTD.  Included in  each is a timetable for the processing and completion of the application along with  specific instructions on how to complete each section.  1. Receive Application Package and Organize ‐ Upon receipt of each application  package, the Transit Director reviews the entire package for general application  requirements and determines the best approach to delegate development of  portions of the application and develop a timeline for preparation, public notice,  and submission to the Person County Board of Commissioners for review and  approval before submission to NCDOT.  2. Prepare Application ‐ Tasks involved in preparing the grant application include:  a. Compile narrative, statistical and financial information to justify a grant  award  b. Determine the amount of matching funds that is needed for the grant  application and identity potential sources of matching funds  c. Secure a commitment of matching funds from each source  d. Secure approval of the grant project from the MPO (if in an urbanized  area)  e. Consult with the agency’s Attorney regarding specific certifications and  assurances that will have to be signed as part of the application.  f. Finalize budget with the County Finance Department.  3. Secure  Public  Input  and  Board  Approval  ‐  Once  the  grant  application  is  completed, the following procedures are followed:  a. Forward  the  complete  grant  application  package  to  the  staff  at the  Governing Board with a request to be scheduled on the agenda for an  upcoming  Board  meeting.  Depending  on  the  complexity  and  commitment  of  the  grant,  the  Board  is  provided  a  minimum  of  two  weeks to review the grant.  Grant applications must be approved by the  Person  County  Board  of  Commissioners  before  the  application  is  submitted to NCDOT.    b. Schedule  a  public  hearing  regarding  the  proposed  grant  application  before the Person County Board of Commissioners.  The public hearing  notice must be advertised at minimum of seven (7) calendar days’ and a  maximum  of  fourteen  (14)  calendar  days’  before  the  actual  public  hearing date.    c. The date and time of the public hearing for the grant application, along  with a summary of the application and the availability of the application  for review upon request, is advertised in English and Spanish versions by  postings  in  the  local  newspaper,  and  announcements  are  posted  in  English and Spanish versions in various places throughout the County on  public bulletin boards.  Electronic postings in English are sent to various  57     13 local  media  vendors,  TV,  radio  and  newspapers  by  the  Public  Transportation Director.   d. The public is encouraged to ask questions and/or make comments.  The  Person  Area  Transportation  System  considers  all  public  comments  before finalizing the grant application.  A public hearing is held and all  comments received are addressed before the application is submitted to  NCDOT.  e. A  copy  of  the  initial  grant  application  package  is  made  available  for  public review upon request, and, if revised, the final grant application  also is made available to the public.     b. Grant Award and Agreement Execution  i. NCDOT  sends  official  notification  by  mail,  and  usually  contacts the Public  Transportation Director and/or the County Manager in advance of receiving a formal  notification in the mail.  It is the responsibility Public Transportation Director to process  the grant agreement immediately upon receipt.  The Public Transportation Director is  aware of target dates for grant approval by NCDOT and anticipates the receipt of grant  awards and agreements in advance of their arrival.  ii. The Public Transportation Director reviews the grant award and agreement to insure  that it is accurate and to determine if the award differs substantially from the grant  application.  The grant award package normally contains a letter of award, a grant  project  budget,  a  blank  Request  for  Reimbursement  form  and  an  unsigned  Grant  Agreement.    It  is  the  responsibility  of  the  Public  Transportation  Director  to  secure  required  signatures  and  attestations  and  return  grant  agreement  to  NCDOT  by  the  deadline.      iii. If  applicable,  the  Public  Transportation  Director  notifies  the Staff  Attorney  of  any  special award conditions and receives his or her concurrence that they are acceptable.  iv. The  Person  County  Board  of  Commissioners  is  informed  of  all  grant  awards  and  agreements received by the Public Transportation Director or the County Manager.  If a  grant award or agreement requires concurrence from the governing board prior to  execution, the Public Transportation Director coordinates the placement of the grant  award on the Board agenda to the meeting immediately after the award is received to  formally request execution of the grant agreement.    v. If the Board has adopted a previous resolution authorizing the County Manager to  execute the grant award, then the County Manager signs the grant agreements.  vi. The Public Transportation Director makes a copy of the signed grant agreements and  returns  the  appropriate  number  of  signed  agreements  NCDOT  or  the  appropriate  funding agency.  vii. NCDOT signs the grant agreement and returns at least one full executed agreement  Person Area Transportation System.   viii. The Public Transportation Director makes copies of the fully executed grant agreements  for the Person Area Transportation System grants file as well as his/her own working  file, and provides copies of relevant excerpts to all applicable staff members.  c. Grant Reporting   i. NCDOT requires the submission of quarterly progress reports for grants using a  designated Quarterly Progress Report Form.  The report due dates vary depending on  the type of grant and exact due dates can be referenced on the NCDOT fiscal year  calendar.   58     14 ii. The Public Transportation Director is responsible for ensuring that all grant funds are  expended in accordance with specific grant regulations and is responsible to ensure  that any fiscal and programmatic reporting requirements are adhered to.    iii. These reports are compiled by the Public Transportation Director using financial, asset  and operating data from the following sources:   Financial Data – The Public Transportation Director manages financial data,  including  grants  related  documentation,  revenues,  and  expenses, with  assistance from the Administrative Assistant(s) in data collection.  Electronic  copies of financial records are made whenever possible and stored on the  County server.  The files are backed up daily by the County’s IT staff, and the  Public Transportation Director maintains electronic copies of key financial  data on a flash drive, which is stored in a fireproof box in the PATS office.   Hard copies of most financial records are also maintained in a filing system in  the PATS office.  Authorized PATS staff may access the electronic or paper  records of the financial data.    Operating  Data  ‐  The  Public  Transportation  Director  with  assistance  from  other administrative staff collect daily data on operating statistics (including  trips, miles, hours, fares collected, no‐shows) from driver/scheduler reports;  while  the  Director  tracks  vehicle  inventory,  accidents  and  incidents,  and  manages personnel.  The Director is responsible for reviewing and submitting  operating statistics to NCDOT PTD to meet grant reporting requirements.   Asset Inventory – The Public Transportation Director maintains an electronic  record  of  the  vehicle,  equipment,  and  facility  inventory  on  his or her  computer in the PATS office, which is backed upon the County server daily.   The  Administrative  Assistant  is  also  responsible  for  reporting this  asset  inventory to NCDOT PTD through the Asset Works system. The Director will  complete and submit the Vehicle Utilization Data (VUD) analysis biannually.   Some paper copies of these files are also stored in the PATS office.    iv. All NCDOT reports are reviewed and submitted by the Public Transportation Director.    d. Grant Recordkeeping and Auditing   i. The Transit System maintains the reports for review by auditors and NCDOT.  ii. All financial data should be submitted to and reviewed by the Public Transportation  Director  to  ensure  timely  reconciliation  of  the  grant  reported expenditures  and  revenues to the County’s general ledger.  iii. Financial reports should be maintained on file until all audits have been accepted by the  grantor or for five fiscal years, whichever is longer.  The Public Transportation Director  consults the records retention schedule when planning to destroy grant records.  iv. All Person Area Transportation System grants are subject to periodic review by the  County Finance Department and annual audit by independent auditors.  The Person  Area Transportation System makes grant files and supporting information available for  annual audit review.  Any audit findings and/or questioned costs resulting from the  audit require a written response to the Person Area Transportation System within the  designated response period.  v. All state and federal grant funds will be included in Person County’s annual single audit  report prepared by independent professional accountants.  vi. Any auditors or officials representing the grantor agencies that request access to grant  59     15 records should be directed to the County Manager to determine authorization.  All  audits are performed by independent professional accountants.  However, the grantor  agency  may  elect  to  monitor  the  grant  program  to  possibly  include  sending  a  representative to discuss the program and review records which would be allowable.  vii. Annual audit reports are submitted to NCDOT PTD within nine months after the close of  the fiscal year.   e. Period of Performance   i. The Period of Performance for NCDOT PTD grants is defined as the period of time  during which the Grantee/Contractor is expected to complete the grant activities  outlined in their proposal and grant agreement. The Period of Performance also  establishes the timeframe of execution of project activities and period when expenses  may be incurred and reimbursed.  ii. The Period of Performance for NCDOT PTD grants begins on the date that the grant is  approved by the North Carolina Board of Transportation (BOT) and ends on the last day  of the performance period unless otherwise stated in the grant agreement. Depending  on the type of grant the end date may be 12 months – 36 months (with potential  exceptions for facilities and New Starts projects). The Period of Performance is stated in  the grantee cover letter.  iii. Period of Performance Extensions   1. If the grant funds cannot be expended during the Period of Performance, a  Period of Performance Extension may be requested.   Extensions are intended  to provide additional time for projects that have made reasonable progress to  expend funds, invoice and seek reimbursement. By extending a Period of  Performance it allows the project to remain in compliance with the terms of the  grant agreement.   2. If, during monthly reviews of budget status, grant expenditures within two  months of the end of the Period of Performance are found to be behind the  year‐to‐date budget, the Transit Director submits a request for a Period of  Performance extension to NCDOT.  The request is prepared by the Public  Transportation Director in writing and on agency letterhead, with pertinent  documentation.   3. If the extension is granted, in accordance with NCDOT PTD policy, an NCDOT  PTD Requests for Budget Revisions and/or Requests for Budget Amendments  form are submitted.  f. Grant Termination   i. The  Person  Area  Transportation  System  maintains  close  communication  with  the  NCDOT PTD to ensure that everyone is aware when grants expire and that the transit  system does not incur expenditures with no funding source.  When grant funds are  subgranted  (pass‐through)  to  other  agencies,  the  contract  agency  should  include  a  statement that “payment for services is contingent upon receipt of grant funds.”  ii. NCDOT/FTA grants are closed out following the Period of Performance for which funds  were awarded (non‐capital grants), following purchase of the vehicle or equipment for  which the funds were awarded (non‐facility capital grants), or following the completion  of the facility or the expenditures of the grant funding, whichever comes first (facility  capital grants).  Except in the case of facility development, NCDOT/FTA grant funds are  to be expended and grant close‐out initiated within three years of the initial grant  60     16 award.    Initiating  grant  close‐out  is  the  responsibility  of  the  Public  Transportation  Director, following a review each grant’s status at the end of each quarter.       IV. Financial Management   a. The fiscal year for Person Area Transportation System is from July 1 to June 30.   b. Multi‐Year Financial Plan  i. The Person Area Transportation System develops a five year financial plan as part of its  Community Transportation Service Plan, which is required for funding under NCDOT.   This financial plan is based on planned service changes and identified funding sources,  and is used as a basis for the annual grant application to NCDOT as well as for the  development of Person Area Transportation System’s annual budget.    ii. Updating the multi‐year financial plan is the responsibility of the Public Transportation  Director in consultation with the County Finance Department.    c. Budget Development   i. Under the Local Government Finance Act, each local government and public authority  in North Carolina is required to adopt an annual balanced budget ordinance, and is  prohibited from expend any moneys, regardless of their source (including moneys  derived from bond proceeds, federal, state, or private grants or loans, or special  assessments), except in accordance with a budget ordinance or project ordinance  adopted under N.C. § 159‑8 or through an intragovernmental service fund or trust and  agency fund properly excluded from the budget ordinance.  ii. The legal adoption of annual/fiscal year budgets does not preclude the approval of  grant budgets throughout the year, if the funding year is different from the fiscal year.   Grant budgets should not be delayed until the next local budget cycle, if the delay  would result in loss of grant.   iii. The Person Area Transportation System also prepares an annual budget that updates  the CTSP financial plan, based on CTSP service implementation milestones and changes  in available funding. The annual budget is prepared at the beginning of the fiscal year/in  preparation for the annual grant application to NCDOT/in preparation for the annual  budget.  iv. The process for developing the annual budget includes:  1. The Budget Manager or County Manager sends out notification when it is time  to begin the process to develop next year's budget and provides updated  instructions and the process timeline.  2. The Public Transportation Director reviews the organization’s goals and  objectives and CTSP/Strategic Plan for implementation activities scheduled in  the upcoming year (as well as any which were deferred in the previous year).  3. The Public Transportation Director reviews the status of open grants from  FTA/NCDOT for current funding and reviews most recent grant application  package to anticipate timeline for next grant application cycle (to coordinate  budget development when feasible).  4. The Public Transportation Director determines program‐specific budget needs  for the upcoming year.  61     17 5. The Public Transportation Director prepares prior‐year actual, current budget  and year‐to‐date actual, and projections for next year payroll needs at current  service levels.  6. The Public Transportation Director, assisted by the County Finance Department  Director,   a. reviews the previous year budget to determine needed adjustments to  each line item, including overhead costs and costs attributable to specific  programs  b. estimates revenues and sources for upcoming year  c. makes  adjustments  accordingly  to  expenditures  and  revenues  for the  projected fiscal year’s budget  d. projects  capital  budget  needs  according  to  replacement  schedule  guidance of both State DOT  e. documents  assumptions  used  in  preparing  the  budget  (for  example,  assumes available funding, increases in fuel prices, increased insurance  expenses, more operator overtime, etc. )  7. The Public Transportation Director presents the budget to the Transportation  Advisory Board for review and input.  8. The Public Transportation Director prepares the budget request for submission  to the County Manager for the fiscal year recommended budget preparation.   d. Grant Budgeting and Accounting  i. Each federal and state grant is assigned individual account codes to record all fiscal  transactions.  ii. The  agency  enters  the  necessary  budget  accounts  upon  Person  County  Board  of  Commissioners approval.  iii. All expenditures are supported by adequate documentation as required by the grantor  agency, the Single Audit Act, Federal OMB Circular A‐133, and the State Single Audit  Implementation Act.  iv. The Person Area Transportation System charges all expenditures directly to assigned  grant account line items instead of charging grant related costs toward an indirect rate  and subsequently transferring to grants periodically by journal entry.  v. The  Person  Area  Transportation  System  is  responsible  to  maintain  accurate  grant  budgets and ensure all grant expenditures and revenue transactions are coded to the  appropriate accounts.  e. Mutli‐Year Grant Budgeting and Accounting   i. Grants that continue into the following fiscal year(s) are often accepted by the Person  Area Transportation System.  For those grants that continue into the next fiscal year,  once the actual grant budget balances are determined after the end of the fiscal year, a  budget amendment is prepared if the amount appropriated in the new budget year  needs adjusting.  ii. The Person Area Transportation System establishes a grant’s project ordinance when  major multi‐year grant programs are accepted.  These ordinance budget and record  grant revenues and expenditures for the entire grant period and alleviates the need for  the  Person  Area  Transportation  System  to  compute  and  re‐budget the  grant  each  subsequent fiscal year.  When major multi‐year grants are received, the Person Area  Transportation System determines if a grant project ordinance is appropriate.  62     18 f. Budget Revisions and Amendments   i. A  mid‐year  budget  revision  or  amendment  may  necessary  when  the revenues  unexpectedly increase or decrease, or expenditures are accruing at a faster rate than  budgeted for. Grants are often amended to shift allocated funds from one cost category  to another, increase or decrease the grant budget, change the grant period or to alter  the programmatic requirements.  ii. Any information involving an amendment that alters the total grant revenues should be  given  to  the  Finance  Director  by  the  Transit  Director  for  preparation  of  a  budget  amendment.  This budget amendment requires Person County Board of Commissioners  approval.  iii. The budget cannot be legally amended after the end of the fiscal year to incorporate  previous amendments approved by the grantor.  Therefore, Person Area Transportation  System uses caution to ensure no grant funds are expended prior to approval and  appropriation by the Person County Board of Commissioners.  iv. General budget procedures include:  1. The Public Transportation Director reviews the budget status on a monthly basis  and compares actual expenditures to budgeted amounts by line item.  2. If revenues unexpectedly increase or decrease, or expenditures are accruing at a  faster  rate  than  budgeted  for,  the  Public  Transportation  Director  identifies  where  adjustments  are  required  and  where  corresponding  adjustments  are  needed to balance the budget.   3. If  needed,  a  budget  revision/amendment  request  is  prepared  by  the  Public  Transportation Director and submitted to the Finance Director to present to the  Person County Board of Commissioners for review and approval.  4. If needed, a NCDOT grant budget revision/amendment request is prepared by  the Public Transportation Director and submitted per NCDOT instructions.  v. Required approval of local budget amendments is as follows:  1. The following budget amendments can be initiated solely by the authority of the  Transit Director:    Salary  position  title  changes,  no  change  to  salary.  (County  Manager  approval)   Updates to salary grades. (County Manager approval)    Move  current  salary  filled  positions  to  minimum,  not  re‐evaluations.  (County Manager approval)    Carryovers with continuing line items within division.   Transfer of general fund within same division.   New accounts for existing grants (with permission).   Technical corrections, miscoding of account numbers.   Reclassifications of revenues, no change to total.   Addition of a line item (includes line items with zero balances).   Carryovers with new line items.   Line item transfers (excluding salary savings) to other line items   Move vacant salary positions to midpoint. (County Manager approval)   Transfer of Salary Savings to other line items.   New and recurring expenses  63     19 2. The following budget amendments will require approval by the Person County  Board of Commissioners:     New positions.   New Commitments (contracts & maintenance agreements).   Transfer of general fund to another division.   Carryovers with continuing items and in different department/division.    Transfer of savings of up to $50,000 to meet emergency program needs  and/or critical services.   Salary increases (unbudgeted).   Re‐evaluation of currently filled salary positions.   Revenue increases/decreases for established programs.   New programs.   New grants that require general fund money.   Requests from endowment/reserve.   Use of fund balance.   New grants with no general fund money.  g. Structure of Accounts (UPTAS)   i. As  recommended  by  NCDOT  PTD,  the  Person  Area  Transportation  System  uses  the  Uniform Public Transportation Accounting System (UPTAS).   h. Governmental Generally Accepted Accounting Principles   i. It is a policy of Person Area Transportation System to adhere to  any  restrictions  imposed  by  its  funders,  both  governmental  and  private.    Therefore,  Person  Area  Transportation  System  employees  are  expected  to  bring  to  the  attention  of  management any instances of non‐compliance.  ii. When Person Area Transportation System is expending federal and state funds, prior  written approval from the funder agency is required for the purchase of:   Capital expenditures for land or buildings   Insurance and indemnification expenses   Pre‐award costs   Public information service costs   Publication and printing costs   Rearrangement and alteration costs    iii. In accordance with federal regulations, Person Area Transportation System does not  request federal funds to pay for the following costs:   Bad debt expense   Contingencies   Contributions or donations to others   Entertainment expenses   Fines and penalties   Interest, fundraising and other financial costs  iv. Federal funds received in advance are deposited into a separate federally insured bank  account.  Any interest earned from those monies are submitted to the funder agency.   i. Direct/Indirect Cost Recognition and Recovery   64     20 i. All direct costs incurred to support a grant funded program are funded from the Person  Area  Transportation  System  operating  budget,  the  grant  budget, or  from  new  appropriations authorized by the Person County Board of Commissioners.  ii. Indirect  cost  expenditures  and  revenues  are  analyzed  at  the  end of each year and  reclassified  if  necessary  to  prevent  overstatement  of  revenues and  expenditures  amount funds.  Indirect costs to grants are assessed in accordance with an approved  cost allocation plan that was developed in accordance with OMB Circular A‐87 or A‐122.   If the transit agency has not been assigned a cognizant federal agency, it negotiates  with NCDOT to establish an indirect cost rate.        iii. In addition to the initial approval by the cognizant agency or NCDOT, the rate is updated  annually and the plan resubmitted for approval if the agency has made a change in its  accounting  system,  thereby  affecting  the  previously  approved  cost  allocation  plan/indirect  cost  rate  and  its  basis  of  application,  the  proposed  cost  allocation  plan/indirect  cost  rate  exceeds  the  amounts  approved  previously by more than 20  percent, or there is a changes to the cost allocation plan/indirect cost rate proposal  methodology.     j. Preparing Requests for Reimbursement from NCDOT  i. Requests for reimbursement from NCDOT are prepared on a monthly basis by the Public  Transportation Director. Procedures for submitting these requests are as follows:  1. All requests must be completed in the NC Enterprise Business Services (EBS)  system.   2. Prepare a cover letter on agency letterhead.  3. Attach  supporting  documentation  for  expenses  for  each  request  for  reimbursement, following NCDOT’s Supporting Documentation Guidelines for  Administrative Expenses.   4. Maintain all copies within department files.   k. Advance Payment Requests  i. Person Area Transportation System requests advance payment for federal and state  shares of eligible costs for certain items prior to issuing payment to the vendor.  This is  will be limited to high‐cost capital items such as vehicles and computer systems.   Person Area Transportation System deposits the advanced payment into its bank  account upon receipt and issue payment to the vendor within three (3) business days.  ii. It will be the responsibility of the Public Transportation Director to facilitate and  complete all necessary requirements associated with requesting advance payment from  NCDOT.  Physical copies of all supporting documentation and checks will be kept in files  in the PATS office, while electronic copies are stored and backed up on the County  server.  iii. The advance payment request is submitted after receipt of the vendor invoice.  The  following is submitted to NCDOT when requesting an advance payment:   Cover letter on agency letterhead   Completed  reimbursement  request  (usual  capital  invoice  submitted  to  NCDOT)   Copy of vendor invoice   Executed "Advance Payment Certification" form with original signature   65     21  Copy of order form sent to vendor   Copy of vehicle title application (MVR‐1)  iv. NCDOT reviews the documentation for completeness and holds the request until they  are notified that the vehicle has been received and accepted.  Once Person Area  Transportation System receives the Capital/Expense requested the following procedure  is followed in order to complete the advance payment process.  1. Fax the capital / vehicle inspection form to NCDOT at 919‐733‐1391.  2. Telephone Person Area Transportation System’s MDS at NCDOT to ensure the  fax transmission was received 919‐733‐4713.  3. Request an email confirmation from NCDOT when the Capital Check is cut or  bank transfer has been sent.  4. It is the responsibility of the Public Transportation Director to deposit the  advance payment from NCDOT and to issue payment to the vendor within three  (3) business days of receipt of the vendor's invoice.  l. Grant Revenue Receipt and Recording  i. The Public Transportation Director System is responsible for preparing financial reports  to be sent to the grantor to obtain reimbursement of grant funds expended.  These  reports should be submitted timely to replace agency funds expended during the  reporting period.  ii. NCDOT sends all funds via bank transfer.     iii. For any grant revenues received, the revenues are always be deposited daily and  credited to a grant revenue account code. Grant reimbursements are never credited to  an expenditures account.  iv. The Public Transportation Director reviews grant revenues periodically to ensure  proper recognition.  At the end of each fiscal year, they review each grant program to  accrue the earned revenue to be received after the end of the fiscal year from the  grantor.  m. Invoicing for Purchase‐of‐Service Arrangements  i. Preparing  invoices  for  organizations  that  purchase  service  from  Person  Area  Transportation System is the responsibility of the Director & Clerk/Dispatcher.   ii. Invoice preparation is initiated during the first week of the next month and bills must  be mailed or delivered by the 15th of the following month.    iii. Invoices/billing  statements  are  created  based  on  the  reports  generated  in  the  dispatching software.   iv. Invoices are also created based on the reports generated in the dispatching software  for each grant. A check request is completed to be cashed and moved into the revenue  account.   n. No‐Show Fee   i. Passengers who are a no‐show will be charged a no‐show fee which is equivalent to the  full  price  of  a  one  way  trip  in  the  respective  zone.  Administration has an excel  spreadsheet that tracks the no shows and payment.   ii. If a no show occurs, a staff member places the passenger’s name, date and amount  owed in the spreadsheet. Passengers are called and told they owe a no show fee and  that it must be paid in the office or to the driver upon their next pick‐up. Passengers  who refuse to pay the no‐show fee will be refused service.  iii. Passengers will three or more consecutive non‐paid no show fees will be suspended  until the account is paid in full at our office.   66     22 iv. No  show  fee  revenue  is  placed  in the daily deposit and into the  general  revenue  account.  o. Fare Collection and Storage   i. Cash and farebox revenues are maintained in a secure location, such as a locked filing  cabinet.   ii. It is the intent of Person Area Transportation System not to put any of its employees in  a position that might cause injury to them or to put them in a situation that might cause  suspicion of their handling of farebox collections.  Locked fareboxes are installed on  each transit vehicle to minimize the need for cash handling and the risk of theft.  iii. Fares may be paid by cash, check, or prepaid ticket. All passengers must pay exact fare  amount upon boarding.   iv. To qualify to certain grants, passengers must complete an application and attached any  required documentation.   v. Cash fare must be paid with exact change only.  Drivers are not to make change for  passengers.  It  is  the  responsibility  of  the  passenger  to  have  correct  change  and  passengers are notified in writing of this policy as part of the fare policy.  vi. Passengers hand the driver the correct fare amount. Drivers inspect each fare in order  to verify that the correct fare has been paid. Drivers keep all money in an envelope with  their  name  on  it.  The  shuttle  currently  uses  a  farebox.  Only  the  Director  and  Administrative Assistant have keys to the farebox.   vii. Drivers write a receipt for all fare money collected.   viii. It  is  the  responsibility  of  the  drivers  to  ensure  that  money  collected  matches  the  amount listed on the receipts.   ix. Drivers  must  turn  in  all  money  and  receipts  by  the  following  business  day  of  the  collection of the money. Drivers who are going on vacation or other leave must ensure  money is turned in prior to them going on leave.   x. Each  driver’s  envelope  is  emptied  and  counted  separately  from  the other driver’s  envelope. The Administrative Assistant is the primary collector and counter of money.  Once the money is counted and money matches the receipts, a receipt will be written  for the driver in the total amount of the money received and given back to the driver as  proof that they handed in all of their money and receipts.   xi. The  Administrative  Assistant  reconciles  the  total  with  the  daily  driver  reports  and  completely an overall daily deposit report for finance.   xii. If there is a discrepancy between fares counted and driver reports, the driver is notified  of  the  discrepancy.  If  a  resolution  is  not  obtainable,  meaning the  money  is  no  accounted for, the driver will be responsible for the amount on the receipt that is  unaccounted for. If discrepancies continue with any driver, disciplinary action is taken.    xiii. All monies and prepaid tickets are documented on a spreadsheet to be compared to  the manifest to ensure all riders payments are accounted for.   xiv. Deposits are  done  daily,  but  most  be  completed  if  the  total  fare  monies  collected  amount to $250. The Administrative Assistant will complete the deposit slip.   xv. In general, the Public Transportation Director will be responsible for making the daily  deposit.   xvi. The receipts, deposit receipt, pink copy of the deposit slip and the report will be turned  into the Finance department.  xvii. The Public Transportation Director will keep the yellow copy of the deposit slip and  enter the deposit into a spreadsheet to track the daily deposits.  67     23 xviii. Due  to  the  size  of  the  department  and  staff  having  multiple  job  duties,  all  administrative  staff  may  participate  in  the  duties  of  fare  collection  and  storage  as  needed. All efforts will be kept to having the minimum amount of staff handling money  as possible.   p. Prepaid Tickets  i. Person  Area  Transportation  System  does  not  allow  passengers  to prepay  for  transportation services.  ii. Passengers  who  want  to  prepay  for  transportation  services  may  purchase  prepaid  tickets to be used for future transportation.   iii. Prepaid tickets are printed on medical grade paper to avoid counterfeiting and take the  place of cash.   iv. Prepaid tickets may be purchased at our office or by completing the mail in order form.  v. Person Area Transportation System tracks all prepaid ticket purchases and the usage of  prepaid tickets.  vi. Passengers are told to write their name and the date of the back of the ticket before  handing the tickets to the driver.  vii. Person Area Transportation System will continuously look at other locations within the  community to sell prepaid tickets in the future.   q. Checks  i. Checks received from contracted agencies follow the same deposit procedures as the  fare collection process.  ii. Staff will made copies of received checks to be placed in the appropriate month’s billing  folder with the attached invoice.  iii. The Public Transportation Director keeps track of all incoming checks on a spreadsheet  to ensure balances are paid in full and within the timeframe listed in the contract.   r. Funds Received by Wire Transfer  i. All  NCDOT  and  Medicaid  funds  are  received  by  wire  transfer.  Once  the  Public  Transportation Director is aware of a wire transfer, the Director will notify the Finance  Office of the incoming funds and the account to place the funds.   s. Inter‐Fund Transfers  i. The Person Area Transportation System department’s funds are recorded in a separate  departmental fund within the General Fund along with other departments.  1. All funds received are to be deposited into the county’s checking account.   2. The  Public  Transportation  Director  monitors  the  balance  of  funds  for  the  department  and  determines  if  there  are  adequate  funds  to  pay  the  daily  expenses.  3. When it is necessary to transfer funds from one account line item to another,  the Public Transportation Director makes the request on MUNIS. Once approved  the Public Transportation Director is notified via email.       t. Procurement Cards    i. Procurement  cards  (also  known  as  purchasing  cards)  enable  a  unit  to  make  small  purchases more quickly and efficiently by minimizing paperwork and processing time.  Similar  to  VISA  and  MasterCard  formats,  procurement  cards  can  be  processed  by  vendors just like personal charge cards. Rather than making multiple small payments to  many vendors, the organization writes one check to the card provider. Vendors receive  68     24 payment within a few days of the transaction without extra paperwork.  Posting  information and transaction detail can be entered by the cardholder when monthly  statements are reviewed prior to payment, thereby significantly reducing data entry  tasks in accounts payable. Inventories can be reduced or eliminated, since items are  now purchased when needed. As with any type of purchasing procedure, adequate  controls must be established to ensure that public funds are expended properly. These  include built‐in transactional limits for any one card, cardholder education, pre‐audit  certification, and supervisory review procedures.  Purchases can be limited by amount  per transaction, total per time period, number of purchases per time period, Merchant  Category Codes, etc. Each card can be encoded with specific controls unique to the  cardholder’s job responsibilities.   These controls also can  be enacted on individual,  divisional, or departmental lines.  Cardholder education includes informing card users  of all procedures, regulations, etc. and the consequences of improper use. It is strongly  recommended  that  cardholders  sign  acknowledgements  that  they  have  read  and  understand these rules prior to receipt of a card. Cardholders should also be trained to  verify  and  code  monthly  statements  to  facilitate  uploading  of  information  into  the  accounting system. Sales tax for refund purposes can also be coded at this point. The  purchases  made  via  procurement  cards  are  subject  to  the  pre‐audit  certification  requirements. Open purchase orders can be prepared to cover estimated procurement  card expenditures over a specific period of time. Typically, a set  amount  will  be  encumbered to cover purchases through procurement cards during the period. After  cardholders  have  verified  and  coded  their  monthly  statements,  supervisors  should  review the transactions and costed receipts. After departmental approval, procurement  card  details  can  be  uploaded  into  the  accounting  system  and  the payment can be  processed. Transaction data can be analyzed to determine trends and exceptions, and  used for expenditure and budgeting projections.  u. Fuel Cards   i. It is the policy of Person Area Transportation System to allow the use of fuel cards by  the employees for fuel expenses as outlined below  ii. Authorization   1. The Public Transportation Director or designated Card Manager is responsible  for the monitoring and management of the use of fuel cards.    2. The Public Transportation Director determines which employees to authorize  for use of the fuel cards.  Each employee authorized to fuel a County vehicle is  issued a (4) digit Personal Identification Number (PIN) to be used with an  assigned vehicle County Fleet Card.    3. Once a PIN is issued to the employee by the Finance Office and used for the first  time, it will be active until the designated Department Card Manager terminates  the user’s authority with the fleet card company.      4. These cards authorize employees to fuel County vehicles only at specific fuel  sites with fuel only and are not to be used for personal vehicles or non‐business  purposes.  Using the Fleet Cards for any purpose other than official business use  is against County policy and will be considered theft of County property.  iii. Process  69     25 1. Each time employees use the card, they are required to completely fill the  vehicle’s fuel tank and enter an accurate odometer reading, along with their PIN  number.  This will allow the County to monitor fuel usage and track required  maintenance intervals.    2. The cards are to be kept with the vehicle due to the fact that in many cases,  there are multiple users on the same card.    3. With the issue of these cards, a reimbursement to an employee is not allowed  for filling a County vehicle with cash or personal card, unless authorized by the  Director for emergencies or other related issues.   4. If a card is lost or stolen, the designated Card Manager is responsible for  blocking use of that card and ordering a replacement.  iv. Control   1. The Public Transportation Director is responsible to make sure that any charges  are authorized expenditures and that adequate monies are available within the  agency’s approved budget.  2. A reconciliation of the billing is also the responsibility of the Public  Transportation Director to determine any discrepancies and whether all user  policies have been abided by.    3. The Finance Director is responsible to make sure that any charges by the  department’s use of the fuel card are authorized expenditures and that  adequate monies are available within the agency’s approved budget.      4. Personal  use  is  prohibited  and  employees  will  be  required  to  sign a user  agreement before the card is issued.  If it is determined that the employee is in  violation of the user agreement, appropriate disciplinary actions will be taken.    v. Petty Cash  i. Person Area Transportation System does not have a petty cash fund.   w. Bill Payment  i. Mail is received daily.  ii. Check request is either performed using a check request form or through MUNIS. The  original  vendor  invoice  and  other  supporting  documentation  must  be  attached  or  uploaded.   iii. The MUNIS software tracks all check requests and payments for future reference.   x. Payroll Preparation and Timekeeping  i. All employees  worked  time  and  time  off  is  recorded  and  submitted  in  MUNIS.  All  employees have unique logins and passwords to entire their time. The County Finance  office distributes a biweekly payroll timesheet schedule for the calendar year in the  winter of the previous year.   ii. Supervisors will be responsible for reviewing time and ensuring it is accurate. Once  reviewed, supervisors will approve all time in MUNIS.   iii. Personnel Action Forms (PAFs) are used for any pay rate or employment changes and  must  be  submitted  to  the  County  Human  Resources  department  as  stated  on  the  biweekly payroll timesheet schedule for the calendar year.   iv. All county  employees are paid through direct deposit with the exception of a new  employee’s  first  paycheck.  Employees  may  access  their  pay  stub, W2 and W4  information in MUNIS.    70     26 y. Reconciliations of Other General Ledger Accounts   i. Since the County has one bank account for multiple departments, these balance sheet  accounts do not segregate Person Area Transportation System transactions in a way  that is reportable, such as a separate fund would do. The county accounts for Person  Area Transportation system revenues and expenditures separately, but not assets and  liabilities since they encompass many departments. County assets and liabilities are  segregated is in the annual audit.   ii. Income/Revenues‐  These  accounts  are  described  as  income  from  grants,  fares,  purchase‐of‐service contracts, contributions, in‐kind contributions, etc.   1. Income‐ The amount charged to the various cash accounts should be reconciled  with funding requests, funders reports, draw down schedules, etc.  2. Expenses‐ These accounts are described as expense line items.  3. Gross  Salary  Accounts‐  The  balances  in  the  gross  salary  accounts  should  be  added together and reconciled with the amounts reported on quarterly payroll  returns.   z. Financial Reporting   i. Financial statements are prepared and maintained to assist in monitoring revenue  and expenditures. Financial statements are presented to programs administered by  the Person Area Transportation System on a monthly basis.   ii. Month‐End  1. The month‐end process is as follows:   a. After  the  General  Ledgers  are  updated,  the  Public  Transportation  Director will review the revenue and expenditures in MUNIS.  b. If an errors/discrepancies are noted, the Director notifies the Finance  Office for correction. If errors are detected, the Director must notify  the Finance Office by the 10th business day of the following month.   c. The County Finance Director or designee also reviews the revenue  and  expenditure  statements  to  verify  that  they  are  complete  and  accurate.   d. Once errors/discrepancies are realized, the Finance Office posts the  necessary journal entries and then notifies the department head of  the correction.   iii. Year‐End   1. The year‐end process for Person Area Transportation System includes review  of their revenue and expenditure reports, which can be reviewed at any time  throughout the year and for prior and current fiscal years in MUNIS.  Person  County accrues prior year revenues and expenditures through August, so the  prior fiscal year reports are constantly updating until these accruals stop. At  that point, the auditors come in and audit the prior fiscal year, and the audit  report  is  typically  completed  and  available  online  around  December.  No  separate  year‐end  reports  are  transmitted  between  the  Person  Area  Transportation  System  and  the  Finance  Office  since  this  information  is  available at all times on the accounting system.   71     27 2. Audit Adjustments   a. During the audit process, the procedures for audit adjustments are as  follows:   b. Auditors  prepare  journal  entries  and  present  them  to  the  Finance  Director. A copy is submitted to the department.  c. The Public Transportation Director reviews the journal entries.  3. Financial Statements   a. The  procedures  for  preparing  and  maintaining  final  financial  statements are as follows:   b. After the final General Ledgers are posted for the year, the Public  Transportation  Director  reviews  the  revenues  and  expenditure  statement and balance sheet for each program. The Director files a  copy for reporting purposes.   aa. Audit   i. The  Person  Area  Transportation  System  undergoes  an  annual  audit through the  county.  The  purpose  of  the  audit  is  to  attest  to  the  fairness  of  management’s  assertions  in  the  financial  statements  or  to  evaluate  whether  management  has  efficiently and effectively carried out its responsibilities.   ii. The Finance Director is responsible for initiating the annual audit process but an  outside firm conducts audit. The audit is completed by December 31st of each year  and submitted to NCDOT within nine months after the end of the fiscal year.   iii. The basic requirements for the financial reporting model include the presentation of  certain basic financial statements as well as a management’s discussion and analysis  and certain other required supplementary information.   iv. The basic financial statements include:  1. Government‐wide financial statements;  2. Fund financial statements; and   3. Notes to the financial statements  v. A management’s discussion and analysis is also required, and should include the  following:   1. Discuss: The government’s current year results in comparison with the prior  year’s results with emphasis being placed on the current year, with the focus  being placed on the primary government.   2. Discuss: The financial managers should report the most relevant information  and avoid “boilerplate” discussion.  3. Include: A brief description of the basic financial statements, including the  relationships of the statements to each other, and the significant differences  in the information they provide. It should also include an analysis to assist  readers in understanding why measurements and results reported in fund  financial  statements  either  reinforce  information  in  government‐wide  statements or provide additional information.   72     28 4. Include:  Condensed  financial  information  derived  from  government‐wide  financial  statements  comparing  the  current  year  to  the  prior  year.  The  elements included in the analysis are below:   Total assets, distinguishing between capital and other;   Total liabilities, distinguishing between long‐term and other;   Total net assets, distinguishing between types;   Program revenues, by major source;   General revenues, by major source;   Total revenues;   Program expenses, at a minimum by function;   Total expenses;   Excess (deficiency) before contributions to term and permanent  endowments  or  permanent  fund  principal,  special  and  extraordinary items, and transfers;   Contributions;    Special and extraordinary items;   Transfers;   Change in net assets;   Ending net assets.  5. Include: An analysis of the government’s overall financial position and results  of  operations  to  assist  users  in  assessing  whether  financial  position  has  improved or deteriorated as a result of the year’s operations.  6. Include: An analysis of balances and transactions of individual funds.  7. An  analysis  of  significant  variations  between  original  and  final  budget  amounts and between final budget amounts and actual budget results for  the general fund (or its equivalent).   8. A description of significant capital assets and long‐term debt activity during  the  year,  including  a  discussion  of  commitments  made  for  capital  expenditures, changes in credit rating, and debt limitations that may affect  the financing of planned facilities or services.  9. A discussion by governments that use the modified approach to report some  or all of its infrastructure assets.  10. A  description  of  currently  known  facts,  decisions,  or  conditions  that  are  expected  to  have  a  significant  effect  on  financial  position  (net  assets)  or  results of operations (revenues, expenses, or other changes in net assets).  vi. Following  the  completion  of  the  countywide  audit,  the  Public  Transportation  Director  will  meet  with  the  County  Manager  or  designee  to  discuss  any  audit  findings and develop a plan and timeline for rectifying any identified problems. It is  the responsibility of the Public Transportation Director to ensure that the problems  are addressed prior to the next audit.         73     29 This policy is hereby adopted by the Person County Board of Commissioners on the 18th day of March, 2019.     _______________________________________  David B. Newell, Sr., Chairman  Person County Board of Commissioners  Attest:     ____________________________________________  Brenda B. Reaves, Clerk to the Board         74 1  County of Person ‐ Person Area Transportation System  Department Policy and Procedures  Section: PATS‐600‐03  Title: Procurement Policy   Effective Date: 3/18/2019 /Revised: Rescinds: Procurement Policy (2010)   Review Date:    Director:  Purpose: The purpose of this policy is to establish procurement guidelines to remain in compliance with  federal and state law.   I.Responsibility and Authority a.The Director has the authority for the Person Area Transportation System to enter into grant agreements with the North Carolina Department of Transportation (NCDOT) and to purchase property and services and to enter into third‐party contracts on behalf of PATS. Grant applications submitted to the NCDOT must include an authorizing resolution adopted by the Person County Board of Commissioners, which identifies the County Manager as the authorized official for PATS. The County Manager has delegated authority to the Public Transportation Director in regards to approval of grant reimbursement requests, grant budget revision/amendment requests or grant project period of performance extension requests. Per the county personnel policy, the responsibility for preparation of internal policies and procedures consistent with the provision of this manual remains the duty of the Public Transportation Director. b.Exceptions to Delegated Authorities a.Delegated authority is subject to the condition that certain of these transactions be submitted to the County Manager and if applicable the Board of Commissioners for review and approval. Transactions that require prior approval are as follows: 1.Any transaction which exceeds $3,000; 2.Any transaction which exceeds $3,000 and is awarded without the taking of competitive bids (sole source). This condition does not apply to the sole brand acquisitions which are acquired under competitive procedures nor to contracts pursuant to a planned purchasing program or master agreement previously reviewed and approved by the Board of Commissioners. II.Fundamental Policy a.Written Procurement Procedures a.Written procurement procedures are a requirement of 49 CFR 18 and FTA C 4220.1F. These procedures have been written to reflect applicable Federal, State and local laws and regulations and the requirements and standards identified in FTA C 4220.1F. NCDOT requires  its  grantees  to  use  FTA  procurement  standards  for  purchases  funded  with Federal and/or State funds. When using Federal and State funds, the more restrictive requirements will be used, whether they are Federal, State, or local. When using State funds only, the Federal certifications and mandatory Federal contract clauses are not required. After adoption by the Board, these procedures will be reviewed annually by the Public Transportation Director and updated as required. 75 2    b. Responsibility for Settlement of Contract Issues/Disputes   a. The Person Area Transportation System alone, without recourse to the Federal‐/State‐ funding  funding  agency,  will  be  responsible  in  accordance  with good  administrative  practice  and  sound  business  judgment  for  the  settlement  of  all contractual  and  administrative issues arising out of its procurements.  These issues include, but are not  limited to, source evaluation, protests of awards, disputes, and claims or other matters  of a contractual nature. The Federal/State government will not substitute its judgment  for  that  of  this  Agency,  unless  the  matter  is  primarily  a  Federal/State  concern.   Violations of the law will be referred to the local, State, or Federal authority having  proper jurisdiction.  c. Written Protest Procedures   a. The  Agency  shall  have  written  protest  procedures  to  handle  and resolve  disputes  relating to its procurements and shall in all instances disclose information regarding  protests to the appropriate State‐funding agency (i.e., NCDOT). All protest decisions  must  be  in  writing.    A  protester  must  exhaust  all  administrative  remedies  with  the  Agency before pursuing a protest with the State and/or Federal government.    b. Reviews of protests by the State‐funding agency will be limited to:   1. The Agency’s failure to have or follow its protest procedures, or its failure to  review a complaint or protest;   2. Violations of Federal/State law or regulation  c. An appeal to the State must be received by the State‐funding agency within three (3)  working days of the date the protester learned or should have learned of an adverse  decision by the grantee or other basis of appeal to the State. An appeal to FTA must be  received by the cognizant FTA regional or Headquarters Office within five (5) working  days of the date the protester learned or should have learned of an adverse decision by  the grantee or other basis of appeal to FTA. Violations of Federal law or regulation will  be handled by the complaint process stated within that law or regulation. Violations of  State  or  local  law  or  regulations  will  be  under  the  jurisdiction  of  State  or  local  authorities.  The Agency will abide by the following procedures.   d. Authority. PATS has final authority to resolve protests, disputes, and complaints arising  from the solicitation, award, or performance of a contract.  In all instances where a legal  representative  of  the  bidder,  vendor,  or  contractor  has  initiated  correspondence  or  formal action, the Director shall contact State‐awarding agency (i.e., NCDOT or other  agency, as applicable) prior to taking any action. Solicitation documents must contain  provisions for the resolution of protests and disputes.  e. Protest  of  Requirements  Prior  to  Award.  The  solicitation  document  shall  provide  potential  bidders  with  the  opportunity  to  take  exception  to  specifications  and/or  requirements.  Protests  of  requirements  received  after  the  time identified  in  the  solicitation document shall be considered untimely and shall be rejected.  f. Protest of Award. If, prior to award of contract, a protest is received in writing and filed  on  the  grounds  that  the  award  is  not  in  conformance  with  the  provisions  of  the  solicitation document, the contract or award shall not be awarded until the protest has  been withdrawn or a decision has been reached by the Agency.  Complaints lodged by a  bidder prior to award  may be resolved informally.  However, in the event that the  matter is not resolved, bidders shall be advised of the timeframe for submitting a full  and complete formal statement of the grounds for the protest within the timeframes  specified in the solicitation document.  76 3    g. Decisions. The Director shall review the merits and timeliness of the protest and ensure  that a decision in writing is submitted within a reasonable period of time following  receipt of the protest. The Agency shall issue a decision in writing or otherwise furnish  to the bidder the decision in such a manner as to ensure receipt. The decision of the  Agency is final.  h. Disputes Subsequent to Award. Disputes subsequent to award may include, but not be  limited  to,  contention  over  terms,  pricing,  payment,  scope  and/or deliverables. A  dispute  resolution  and  escalation  clause,  describing  resolution  procedures  and  the  appropriate  parties  to  which  the  matter  may  be  escalated,  shall  be  included  in  solicitation documents and contracts, as applicable.  The following are sample clauses  for inclusion in solicitation documents and contracts:   Disputes.  Disputes arising in the performance of this Contract which are not  resolved  by  agreement  of  the  parties  shall  be  decided  in  writing  by  the  Director of PATS.   This decision shall be final and conclusive unless within ten  (10) days from the date of receipt of its copy, the Contractor mails  or  otherwise furnishes a written appeal to the authorized representative of the  Agency.  In connection with any such appeal, the Contractor shall be afforded  an opportunity to be heard and to offer evidence in support of its position.   The decision of the authorized representative of the Agency shall be binding  upon the Contractor and the Contractor shall abide by the decision.   Performance  During  Dispute.    Unless  otherwise  directed  by  the  Agency,  Contractor shall continue performance under this Contract while matters in  dispute are being resolved.   d. Standards of Conduct  a. PATS follows the County’s Uniform Guidance Conflict of Interest and Gifts policy for governing  the performance of their employees engaged in the award and administration of contracts.  All  employees, officers, and board members will review this policy annually and the agency will  document the review thereof.  These standards will be relayed to all members in writing and the  agency will obtain each member’s signature to acknowledge his/her review, understanding, and  acceptance of the policy.    e. Competition   a. All  procurement  transactions  shall  be  conducted  in  a  manner  to provide,  to  the  maximum extent practical, open and free competition.  b. Unreasonable requirements will not be placed on firms in order for them to qualify to  do business.  c. The Agency will be alert to organizational conflicts of interest. An organizational conflict  of  interest  means  that  because  of  other  activities,  relationships,  or  contracts,  a  contractor is unable, or potentially unable, to render impartial assistance or advice to  the grantee; a contractor's objectivity in performing the contract work is or might be  otherwise impaired; or a contractor has an unfair competitive advantage.  d. The Agency will be alert to noncompetitive practices, such as noncompetitive pricing  practices, among contractors that may restrict or eliminate competition.  77 4    e. Unnecessary  experience  and  excessive  bonding  requirements  will not  be  placed  on  firms.  f. Contractors  that  develop  or  draft  specifications,  requirements, statements of work,  invitations for bids and/or requests for proposals or those on retainer contracts will be  excluded from competing for such procurements.  g. Except in cases where a product of a specified brand name is the only product that can  properly meet the needs of a requester, the drafting or application of specifications or  bid  requirements  that  directly  or  indirectly  limit  the  bidding to  a  single  brand  is  prohibited.  A “brand name or equal” is a competitive process that allows bidders to  propose equivalent items.  The Agency will not specify only a “brand name” product  instead  of  allowing  “an  equal”  product  to  be  offered  without  listing  its  salient  characteristics. Refer to FTA C 4220.1F, 8a(6) for examples of possible ways to list salient  characteristics when using a “brand name or equal” specification.  h. The agency shall conduct procurements in a manner that prohibits the use of statutorily  or administratively imposed in‐State or local geographical preferences in the evaluation  of bids or proposals, except in those cases where applicable Federal statutes expressly  mandate or encourage geographic preference. This does not preempt State licensing  laws.  However, geographic location may be a selection criterion in procurements for  architectural  and  engineering  (A&E)  services  provided  its  application  presents  an  appropriate  number  of  qualified  firms,  given  the  nature  and  size of the project, to  compete for the contract.  i. All lists of pre‐qualified persons, firms, or products that are used in acquiring goods and  services are current and include enough qualified sources to ensure maximum full and  open competition.  Also, the Agency will not preclude potential bidders from qualifying  during the solicitation period, which is from the issuance of the solicitation to its closing  date.  Additionally, to the maximum extent possible, every effort shall be made to use  NCDOT‐certified  Disadvantaged  Business  Enterprises  and  Minority‐/Women‐Owned  Businesses in acquiring goods and services.    j. Revenue  contracts  will  be  awarded  utilizing  competitive  selection  procedures  and  principles. Revenue contracts are those third party contracts whose primary purpose is  to either generate revenues in connection with a transit related activity, or to create  business opportunities utilizing an asset funded with public transportation funds. The  Agency will be responsible for determining what level of competition is appropriate for  a particular contract. A competitive selection process would normally only be needed  where there are several potential competitors for a limited opportunity—a competitive  process would be required to allow all interested parties an equal chance.    f. The Agency will ensure that:   a. A review of proposed procurements is accomplished in order to avoid the purchase of  unnecessary  or  duplicative  items.  Consideration  will  be  given  to  consolidating  or  breaking  out  procurements  to  obtain  a  more  economical  purchase.  However,  procurements will not be divided in an effort to evade competition.  b. Available  state  and  local  intergovernmental  agreements  for  procurement  or  use  of  common  goods  and  services  are  utilized  whenever  possible,  as  applicable.    When  obtaining goods or services in this manner, all federal requirements, required clauses,  and  certifications  (including  Buy  America)  must  be  properly  followed  and  included,  whether  in  the  master  intergovernmental  contract  or  in  the  grantee's  purchase  78 5    document.  The vehicle contracts awarded by PTD for the purchase of transit vehicles  already include all federal requirements.  c. Efforts are made to jointly procure goods and services with other grantees, whenever  feasible and practical.  When obtaining goods or services in this manner, all federal  requirements,  required  clauses,  and  certifications  must  be  properly  followed  and  included in the resulting joint solicitation and contract documents.  d. Piggybacking is defined as an assignment of existing contract rights to purchase supplies  and equipment. At this time, the piggybacking option is only available when state funds  are used to purchase the item.  The FTA piggybacking option is currently under review  by PTD and FTA.       e. In  lieu  of  purchasing  new  equipment  and  property,  the  utilization  of  Federal/State  excess  and  surplus  property  will  be  considered,  whenever  such  use  is  feasible  and  reduces project costs.  f. Value  engineering  clauses  are  included  in  contracts  for  construction  projects,  as  appropriate.   g. Analysis is made of lease versus purchase alternatives and/or any other appropriate  analysis to determine the most economical and practical procurement.  h. The type of procurement instruments used (e.g. fixed price contracts, cost reimbursable  contracts,  purchase  orders,  and  incentive  contracts)  shall  be  appropriate for the  particular procurement.  i. Prior to utilizing any electronic (E‐Commerce) methods for soliciting offers, ordering  products, or transferring funds, the Agency must have written procedures and must  ensure the requirements for full and open competition are met. E‐Commerce activity is  best defined as the processing of business transactions over the Web. This includes use  of an electronic procurement system (such as the state uses) and a broad range of other  options  such  as  ordering  supplies  over  the  Internet,  using  the Internet  to  publicize  requests for bids and accept bids online, and using electronic banking.  j. Contracts are made only with responsible contractors who possess potential ability to  perform successfully under terms and conditions of the contract. Consideration will be  given to such matters as contractor integrity, compliance with public policy, record of  past performance, and financial and technical resources. Contracts will not be awarded  to parties that are debarred, suspended, or otherwise excluded from or ineligible for  participation in Federal assistance programs or activities in accordance with the Federal  debarment and suspension rule, 49 CFR 29. This now applies to procurements over  $25,000.  Grantees are required to comply, and assure the compliance of each third  party contractor and subrecipient at any tier, with the debarment and suspension rule.   FTA and NCDOT recommend that grantees use a certification form for projects over  $25,000, which are funded in part with Federal funds. Grantees can obtain a sample  certification form from PTD.  Grantees must also check a potential  contractor’s  debarment/suspension status at the following Web site: http://epls.arnet.gov/.  k. Some form of cost or price analysis is made and documented in the procurement files in  connection  with  every  procurement  action,  including  contract  modifications.  The  method and degree of analysis is dependent on the facts surrounding the particular  procurement  situation,  but  as  a  starting  point,  the  Agency  must  make  independent  estimates before receiving bids or proposals.   1. Cost Analysis. A cost analysis must be performed when the offeror is required to  submit the elements (i.e., labor hours, overhead, materials, etc.)  of  the  79 6    estimated  cost,  (e.g.,  under  professional,  consulting,  and  architectural  and  engineering services contracts, etc.).  2. A cost analysis will be necessary when adequate price competition is lacking and  for sole source procurements, including contract modifications or change orders,  unless  price  reasonableness  can  be  established  on  the  basis  of  a  catalog  or  market  price  of  a  commercial  product  sold  in  substantial  quantities  to  the  general public or on the basis of prices set by law or regulation.  3. Price Analysis. A price analysis may be used in all other instances to determine  the reasonableness of the proposed contract price.  4. Profit. The Agency will negotiate profit as a separate element of the price for  each contract in which there is no price competition and in all cases where cost  analysis is performed.  To establish a fair and reasonable profit, consideration  will be given to the complexity of the work to be performed, the risk borne by  the contractor, the contractor’s investment, the amount of subcontracting, the  quality  of  its  record  of  past  performance,  and  industry  profit rates  in  the  surrounding geographical area for similar work.  5. Federal Cost Principles. Costs or prices based on estimated costs for contracts  under grants will be allowable only to the extent that costs incurred or cost  estimates  included  in  negotiated  prices  are  consistent  with  Federal  cost  principles. This applies to State‐funded projects as well.   6. Cost Plus Percentage of Cost Prohibited. The cost plus a percentage of cost and  percentage of construction cost methods of contracting will not be used.  l. Records are maintained that detail the history of each procurement. At a minimum,  these records must include:   The rationale for the method of procurement;   Selection of contract type;   Reasons for contractor selection or rejection; and   The basis for the contract price.  m. The section on Methods of Procurement includes the documentation requirements for  each threshold funding level.  n. Procurement documents and records are retained for a 5‐year holding period or three  years beyond the close‐out of any grant, whichever is longer and are available to Federal  and State awarding agencies, on request.   o. A system for contract administration is maintained to ensure contractor conformance with the  terms, conditions and specifications of contracts or purchase orders and to ensure adequate and  timely follow‐up of all purchases. Consideration will be given to the type of contract and the  specific  requirements  of  each.  As  a  general  guide,  the  following  will  be  monitored  and  documented:  (1) Contractor conformance with the contract price.  (2) Contractor conformance with the delivery and/or completion dates.  (3) Compliance with the specifications of product or construction requirements.  (4) Payment of any required security or performance deposits by the contractor.  (5) Compliance with rules and regulations for contracts of the funding source.  (6) Document whether contractors have met the terms, conditions and specifications of the  contract.  80 7    p. Solicitations for goods and services provide for all of the following:  (1) Clear and accurate description of the technical requirements of the item/service  being procured.   Description must not contain features that unduly restrict competition.   Description, whenever practicable, will be in the form of technical requirements in  terms of functions to be performed or performance required, including the range of  acceptable characteristics or minimum acceptable standards.   Detailed product specifications should be avoided if at all possible.   A “brand name or equal” description may be used as a means to define  the  performance or other salient characteristics of a procurement.  (2) Requirements that bidders must fulfill and all other factors to be used in evaluating bids  or proposals.  (3) Acceptance  of  products  and  services  dimensioned  in  the  metric  system  of  measurement, to the extent practicable.  (4) Preference for products and services that conserve natural resources and protect the  environment and are energy efficient.  (5) Positive efforts are made to utilize Disadvantaged Business Enterprise (DBE) firms.     When only state funds are used, the solicitation must include Historically  Underutilized Businesses (HUB).    HUB project specific goals may be set for some procurements.    If the project is funded in part with federal funds, Disadvantaged Business  Enterprise (DBE) firms must be solicited.    Ensure DBEs, particularly those certified by NCDOT, are used to the fullest  extent  practicable.    Specifically,  PATS  will  search  the  NCDOT  Directory  of  Transportation  Firms  for  DBEs  certified  by  NCDOT:   https://apps.dot.state.nc.us/vendor/directory/.   Make  information  on  forthcoming  opportunities  available  to  encourage  and  facilitate participation by DBEs.   Consider in contract process whether firms competing for larger contracts intend to  subcontract with DBEs.   Encourage  contracting  with  consortiums  of  DBEs  when  contract  is  too  large  for  individual DBE.   Use services/assistance of such organizations as Small Business Administration, local  chamber of commerce, etc., in solicitation and utilization of DBEs.   Document efforts and actions taken to solicit DBE participation and utilize DBEs, and  maintain records for at least five years after the procurement.  q. Time and material type contracts are used only:  1. After a determination that no other type of contract is suitable; and  2. If the contract specifies a ceiling price that the contractor shall not exceed except  at its own risk.  III. Methods of Procurement  a. In general, Person Area Transportation System follows the Person County Uniform Guidance  Procurement Policy for all general procurements.   b. For Items $3,000 to $29,999, PTD must review new/adapted specification prior to solicitation of new‐ type rolling stock.   a. This requirement does not apply to the following: Minivans, Conversion and Lift Vans, Center  Aisle Vans and Standard Vans on PTD contracts.   b. If federal funds are used, applicable federal requirements must be included in the solicitation.   81 8    c. PTD requires pre‐award approval of the following. Submit Procurement Checklist, Procurement  History Form, and all other documentation to PTD prior to the purchase/award of:  1. Any brand name product or sole course purchase ≥ $2,500  2. Any contract to other than apparent lowest bidder ≥ $2,500   3. Minimum documentation required   a. Document quotes received (minimum of 2 quotes)  b. Minority firms must be solicited and documented  c. Document which vendor was selected, if vendor with lowest price is not  selected, include basis/reason for selection  d. Document approved by authorized person before purchase  e. Procurement History Form may be used to document  f. Complete Procurement Checklist and submit to PTD with reimbursement  request  c. For Items $30,000 to $89,999 (Informal Bids), PTD must review new/adapted specification prior to  solicitation of equipment, supplies, apparatuses or new‐type rolling stock. This requirement does not  apply to the following:  a. Minivans, Conversion and Lifts Vans, Center Aisle Vans and Standard Vans, and Light Transit  Vehicles (Cutaway‐type Bus) on PTD contracts.   b. PTD must review drawings, designs, and/or description of work required prior to solicitation of  construction, renovation, or facility improvement projects. This includes the purchase or  construction of bus shelters.   c. Solicit written quotes from at least 3 bidders or suppliers  d. Applicable federal requirements and certificates must be included with solicitation (if funded in  part with federal funds)  e. PTD requires pre‐award approval of the following. Submit Procurement Checklist, Procurement  History Form, and all other documentation to PTD prior to purchase/award of:   1. Any construction project ≥ $30,000  2. Any brand name product or sole course purchase ≥ $2,500  3. Any contract to other than apparent lowest bidder ≥ $2,500  4. Minimum documentation required  a. MBE good faith efforts must be documented  b. Document quotes solicited and quotes received (minimum of 2 quotes)  c. Document which vendor was selected, if vendor with lowest price is not  selected, include basis/reason for selection  d. Document approved by authorized person before purchase  e. Procurement History Form may be used to document  f. Complete Procurement Checklist and submit to PTD with reimbursement  request              82 9    IV. Formal (Sealed) Bids   a. A formal (sealed) bidding process must be used when:       Funding source is:  & Procurement is for: & Projected Cost is:     State/Local Funds ONLY:     Equipment, Supplies, or Services       > $  90,000      Construction       > $300,000           Federal AND State/Local Funds:    Equipment, Supplies, or Services      > $  90,000      Construction       > $100,000    b. PTD must review new/adapted specifications prior to solicitation of equipment, supplies, apparatuses  and new‐type rolling stock.1 This requirement does not apply to the following:  a. Minivans,  Conversion  and  Lift  Vans,  Center  Aisle  Vans  and  Standard  Vans  and  Light  Transit  Vehicles (Cutaway‐type Bus)  c. PTD  must  review  drawings,  designs,  and/or  description  of  work  required  prior  to  solicitation  of  construction, renovation, or facility improvement projects.2  This includes the purchase or construction  of bus shelters.  d. Publish advertisement (electronic ad may be used) for the bid, at least once, 7 days prior to opening  e. All bids must be sealed and opened at stated time & place  f. At least 3 suppliers/contractors must be solicited (in addition to ad, at least 3 must be notified)  g. Applicable Federal requirements and certifications must be included with solicitation (if funded in part  with Federal funds)  h.    Additional requirements for construction procurements:  a. Minimum  of  3  sealed  bids  must  be  received.  If  less  than  3  bids are received, agency  must  advertise for bids again; and if as a result of such second advertisement, less than 3 competitive  bids are received from reputable and qualified contractors, the agency may let contract to the  lowest responsible bidder, even if only one bid is received.   b. Bid guarantee bond (5% of bid price)   c. Performance and payment bonds (100% of contract price)                                                               1 This applies to all Section 5311 projects and all State funded projects. 2 This applies to all Section 5311 projects and all State funded projects. 83 10    d. MBE/WBE/DBE participation (project specific goal assigned).    i. Required steps must be taken to satisfy MBE requirements in accordance with (G.S. 143‐128.2(f)).  j. Document  advertisement  for  bids  and  document  the  number  of  bids solicited and number of bids  received by completing Procurement History Form and Procurement Checklist for Formal Bids.   k. Purchases  must  be  approved  by  the  Director.  The  approval  authority (see Section 1) must ensure  required procurement procedures were followed, funds are available, and that the procurement history  file has been properly documented.  l. PTD requires pre‐award approval for ALL formal bid items. Submit Procurement Checklist, Procurement  History Form, and all other documentation to PTD prior to the purchase/ award of contract.3   a. Award shall be made to the lowest responsive and responsible bidder(s). If recommendation is  other  than  low  bid,  justification  must  be  submitted  along  with above  checklist  and  related  documentation   b. PTD must also pre‐approve any contract modification that would change the scope of a contract  or increase the contract amount up to or over the formal (sealed) bid threshold of $90,0004  m. Any or all bids may be rejected if there is a sound documented business reason  n. Contract award will be made in writing to the lowest responsive and responsible bidder  a. If a grantee announces contract awards with respect to any procurement for goods and services  (including construction services) having an aggregate value of $500,000 or more (in federal  funds), the grantee shall::  1. Specify the amount of Federal funds that will be used to finance the acquisition; and  2. Express the said amount as a percentage of the total costs of the planned acquisition.  o. Bid  responsiveness  involves  the  question  of  whether  the  bid,  as  submitted,  represents  an  unequivocal offer to do exactly what the Agency has specified, so that acceptance of the bid  will bind the contractor to meet the Agency's requirements in all material aspects.  Any and all  bids judged to be non‐responsive must be rejected. Examples of bids typically considered non‐ responsive include:    ‐ The bid fails to conform to material requirements;  ‐ The bid does not conform to applicable specifications (unless the invitation allowed  alternates);   ‐ The bid fails to conform to delivery schedule or permissible alternates;   ‐ The bid imposes conditions that would modify the requirements of the invitation or  limit the bidder's liability to the entity;  ‐ There is a condition of the bid which affects the substance of the bid (i.e., affects  price, quantity, quality, or delivery of the items offered) or works an injustice on  other bidders;  ‐ The bid contains prices for line items that are materially unbalanced, i.e., figures in  the bid conflict with the total bid price;   ‐ date;  ‐ The bidder fails to furnish a bid guaranty in accordance with the requirements of the  invitation; or  ‐ Failure to submit Buy America Certification (if required) or Transit  Vehicle  Manufacturer Certification with all rolling stock procurements.  ‐ When there are lower bids than the bid being accepted for award,  the  award  decision document must give the reasons for rejecting the lower bids.  When there  are equal low bids, the documentation must describe how the tie was broken.                                                               3 This applies to all Section 5311 projects and all State funded projects. 4 This applies to all Section 5311 projects and all State funded projects. 84 11    p. When specified in bidding documents, factors such as discounts, transportation costs, and life  cycle costs will be considered in determining which bid is lowest  q. Payment discounts will only be used to determine the low bid when prior experience indicates  that such discounts are usually taken  r. Minimum documentation required:  a. Written documentation to support that each requirement was met  b. Minority‐owned Business good faith efforts must be recorded  c. Solicit minority participation in contracts for the erection, construction, alteration or  repair of any building   d. A project specific goal for minority‐owned businesses may be assigned   e. Documented efforts must be reported to State Construction  f. Document approval from PTD (if applicable)  g. Document approval by authorized person before purchase/award  V. Competitive Proposal/Request for Proposal (RFP)  a. The competitive proposal/request for proposal method of procurement is normally conducted  with more than one source submitting an offer, i.e., proposal.  Either a fixed price or cost  reimbursement type contract is awarded.  This method of procurement is generally used when  conditions are not appropriate for the use of sealed bids.  Note that certain restrictions apply  under North Carolina law for use of the RFP method and these restrictions and exceptions are  discussed in sections 3.5.1 and 3.5.2 below.  b. A request for proposals (RFP) typically includes all of the elements of an invitation for bids (IFB).   The  required  feature  that  principally  distinguishes  the  RFP  from an IFB is the listing of  evaluation factors.  These evaluation factors typically include:   Responsibility factors such as financial, human, and physical capacity to perform; and   Technical  factors  such  as  the  degree  to  which  the  proposer  is  expected  (based  on  information submitted and available) to achieve the performance objectives, to provide  the quality expected, and on the relative qualifications of the proposer's personnel.    c. Many  RFPs  go  beyond  listing  these  factors  in  order  of  importance,  and  also  describe  the  evaluation process in detail—listing weights for each factor, illustrating the scoring method, and  specifying the procedure for weighing price into the selection.   d. The purposes for disclosing of the evaluation process are so that:    Offerors  can  more  accurately  respond  to  your  needs  rather  than solely  rely  on  the  technical specifications alone;    Proposers will be able to clearly present the information you need to conduct your  evaluation; and    The appearance of favoritism or unethical practice in offeror selection  will  be  diminished.   e. The competitive proposal process involves a subjective evaluation process and discussions that  are typically confidential.  RFPs are typically publicized in newspapers and/or trade journals,  and are issued to qualified mailing lists maintained in a manner similar to IFB lists.  f. Competitive Proposal/Request for Proposal (RFP) Method may not be used in lieu of an IFB for:   Construction/repair work; or   Purchase  of  apparatus,  supplies,  materials  or  equipment.    (See 3.5.2  regarding  information technology goods as services)  g. Competitive  Proposal/Request  for  Proposal  (RFP)  Method  of  solicitation  may  be  used  (in  addition  to  or  instead  of  any  other  procedure  available  under  North Carolina law) for the  85 12    procurement  of  information  technology goods and services [as defined  in  N.C.G.S.  147‐ 33.81(2)].  This applies to electronic data processing goods and services, telecommunications  goods  and  services,  security  goods  and  services,  microprocessors,  software,  information  processing,  office  systems,  any  services  related  to  the  foregoing,  and  consulting  or  other  services for design or redesign of information technology supporting business processes.  The  following minimum requirements [G.S. 143‐129.8] apply:   Notice  of  the  request  for  proposals  shall  be  given  in  accordance  with  G.S.  143‐129(b).    Contracts shall be awarded to the person or entity that submits the best overall  proposal as determined by the awarding authority.  Factors to be considered in  awarding contracts shall be identified in the request for proposals.   The awarding authority may use procurement methods set forth in G.S. 143‐135.9 in  developing and evaluating requests for proposals.    The awarding authority may negotiate with any proposer in order to obtain a final  contract that best meets the needs of the awarding authority.    Any  negotiations  shall  not  alter  the  contract  beyond  the  scope of the original  request for proposals in a manner that:   ‐ Deprives the proposers or potential proposers of a fair opportunity to compete for  the contract; and   ‐ Would have resulted in the award of the contract to a different person or entity if  the alterations had been included in the request for proposals.   Proposals  submitted  shall  not  be  subject  to  public  inspection  until a contract is  awarded.   The award must be approved by the Director. The approval authority (see Section 1)  must ensure required procurement procedures were followed, funds are available,  and that the procurement history file has been properly documented.  h. Competitive Proposal/Request for Proposal (RFP) Method, in accordance with FTA C 4220.1F,  under  the  guidelines  of FTA  Best  Practices  Procurement  Manual,  should  be  used  for  procurements of professional services, such as consultants for planning activities and for transit  system operations/management.    i. When the RFP method is used for procurement of professional services, the following minimum  requirements apply:   Normally conducted with more than one source submitting an offer (proposal);   Either fixed price or cost reimbursement type contract will be used;   Generally used when conditions are not appropriate for use of sealed bids;   Requests for proposals will be publicized;   All evaluation factors will be identified along with their relative importance;    Proposals  will  be  solicited  from  an  adequate  number  (3  is  recommended)  of  qualified sources;    A standard method must be in place for conducting technical evaluations of the  proposals received and for selecting awardees;   Awards will be made to the responsible firm whose proposal is most advantageous  to the grantee's program with price and other factors considered;    In determining which proposal is most advantageous, grantees may award to the  proposer  whose  proposal  offers  the  greatest  business  value  (best  value)  to  the  agency.  “Best value” is based on determination of which proposal offers the best  86 13    tradeoff between price and performance, where quality is considered an integral  performance factor;   Awards must be approved by the Director. The approval authority (see Section 1)  must ensure required procurement procedures were followed, funds are available,  and that the procurement history file has been properly documented.  VI. Procurement of Design‐Bid‐Build  a. Design‐Bid‐Build Method of construction is where there are separate  contracts  and  procurement processes for the design and construction.  Typically the designer coordinates the  numerous prime contractors that are involved in the construction process.    The  selected  designer  prepares  plans,  specifications  and  bid  documents  in  accordance with state requirements.   The owner lets the construction bid with the assistance of the designer.  Depending  on the estimated cost, this may be formally bid or informally bid.  - Separate or prime bids may be requested if formally bid.     Award to the lowest, responsive, responsible bidder or bidders.   Designer has oversight responsibilities throughout construction.  VII. Procurement of Design‐Build   a. Design‐Build Method of construction is where a single contractor is given responsibility for  both design and construction, thus eliminating an intermediate procurement step with possible  time saving, and more effective coordination and opportunities for cost savings.  b. Currently, this procurement method is not an allowable method of procurement by the State of  North Carolina.  c. It may be requested as an “alternate” method.  Submission of justification must be presented  to the State Building Commission for a 2/3 majority vote of approval.  d. One of the drawbacks of design‐build is that the owner does not have an independent source  (the  A/E  in  traditional  construction)  overseeing  design  implementation  and  verifying  conformance with the drawings and specifications.  VIII. Procurement by Noncompetitive Proposal (Sole Source)   a. The noncompetitive proposal method is defined as:   Solicitation of a proposal from only one source; or   After solicitation of a number of sources, competition is determined inadequate; or   A contract change outside the scope of original contract is also considered a sole  source procurement.  b. Procurement by noncompetitive proposal may be used under the following circumstances:   If the award of a contract is infeasible under competitive procedures;   Item is only available from a single source;   Emergency situation will not permit a delay in the purchase of item;   Solicitation provides only one bid, and competition is determined to be inadequate;   Item  is  an  associated  capital  maintenance  item  and  is  purchased  directly  from  original manufacturer:   ‐ The manufacture or supplier is the only source for item  ‐ The price is no higher than usual price paid   A cost analysis is required   Establish a fair and reasonable profit margin   If federal funds are used, applicable Federal requirements and certifications must be  submitted to the vendor    Sole source requires local governing board approval  87 14     PTD must pre‐approve all sole source procurements >  $2,5005   Written  documentation  must  be  maintained  to  support  each  step  of  the  procurement process  IX. Contract Options  a. Options may be included in contracts.  An option is a unilateral right in a contract by which, for  a  specified  time,  the  purchaser  may  elect  to  purchase  additional  equipment,  supplies,  or  services called for by the contract, or may elect to extend the term of the contract. If the choice  is made to include options, the following requirements apply:  a. Evaluation of Options – option quantities or periods contained in the contractor's bid or  offer must be evaluated in order to determine contract award.  When options have not  been evaluated as part of the award, the exercise of such options will be considered sole  source procurement.   b. Exercise  of  Options  –  the  Agency  must  ensure  that  the  exercise of  an  option  is  in  accordance with the terms and conditions of the option stated in the initial contract  awarded. An option may not be exercised unless it is determined that the option price is  better than prices available in the market or that the option is the more advantageous  offer at the time the option is exercised.  X. Contract Provisions  a. All contracts shall include provisions to define a sound and complete agreement.  b. In addition, contracts and subcontracts shall contain contractual provisions or conditions that  allow for the following:   a. Administrative, Contractual, or Legal Remedies  1. In  instances  where  contractors  violate  or  breach  contract  terms,  including  sanctions  and  penalties  as  may  be  appropriate.  (All  contracts  in  excess  of  $2,500).   b. Termination for Cause and for Convenience  1. By the grantee including the manner by which it will be effected and the basis for  settlement (All contracts in excess of $10,000).  c. Statutory and Regulatory Requirements   1. A current but not all‐inclusive and comprehensive list of statutory and regulatory  requirements  applicable  to  grantee  procurements  (such  as  Davis‐Bacon  Act,  Disadvantaged Business Enterprise, Clean Air, and Buy America) is contained in  the FTA Master Agreement (available on the FTA Web site).  The Agency  is  responsible for evaluating these requirements for relevance and applicability to  each procurement.  For example, procurements involving the purchase of iron,  steel and manufactured goods will be subject to the “Buy America” requirements  in  49  C.F.R.  Part  661.    Further  guidance  concerning  these  requirements  and  suggested wording for contract clauses may be found in FTA's Best Practices  Procurement Manual.  d. Payment Provisions in Third‐Party Contracts  1. Advance Payments  a. FTA  does  not  authorize  and  will  not  participate  in  funding  payments  to  a  contractor prior to the incurrence of costs by the contractor unless prior written  concurrence is obtained from FTA.  There is no prohibition on a grant recipient’s  use of local match funds for advance payments.  However, advance payments                                                               5 This applies to all Section 5311 projects and all State funded projects. 88 15    made with local funds before a grant has been awarded, or before the issuance  of a letter of no prejudice or other pre‐award authority, are ineligible  for  reimbursement.   2. Progress Payments   a. Grantees may progress payments provided the following requirements  are followed:   i. Progress payments are only made to the contractor for costs  incurred in the performance of the contract.  ii. The  grantee  must  obtain  adequate  security  for  progress  payments.  Adequate  security  may  include  taking  title,  letter  of  credit or equivalent means to protect the grantee’s interest in the  progress payment.   e. Liquidated Damages Provisions  1. A  grantee may  use  liquidated  damages  if  it may  reasonably  expect  to  suffer  damages  and  the  extent  or  amount  of  such  damages  would  be  difficult  or  impossible to determine.  2. The assessment for damages shall be at a specific rate per day for each day of  overrun  in  contract  time;  and  the  rate  must  be  specified  in  the third party  contract.  Any  liquidated  damages  recovered  shall  be  credited  to the project  account involved unless the FTA permits otherwise.  f. Contract Term Limitation  1. Recipients of Federal and State public transportation funds are not allowed to  enter into any contract for rolling stock or replacement parts with a period of  performance exceeding five (5) years inclusive of options.  All other types of  contracts  (supply,  service,  leases  of  real  property,  revenue  and  construction,  etc.)  should  be  based  on  sound  business  judgment.    The  establishment  of  contract  terms  and  the  extension  of  contract  terms  will  be  based  on  the  minimum time necessary to accomplish the purpose of the contract. Additional  factors  to  be  considered  include  competition,  pricing,  fairness  and  public  perception.  Once a contract has been awarded, an extension of the contract  term length that amounts to an out of scope change will require a sole source  justification.  g. Tag‐ons  1. “Tag‐ons” is a term describing the adding on to the contracted quantities (base  and option) as originally advertised, competed, and awarded, whether for the  use of the buyer or for others and then treating the add‐on portion as though it  met the requirements of competition. Tag‐ons are not permitted.  h. Piggybacking   1. Piggybacking is defined as an assignment of existing contract rights to purchase  supplies and equipment.  Note: At this time, piggybacking is only available when  state/local funds are used to purchase the item.  The FTA piggybacking option is  currently under review by PTD and FTA.  XI. NCDOT Public Transportation Division Oversight Policy   a. As the State’s designated agency for administering and disbursing Federal and State public  transportation  funds,  PTD  must  ensure  that  its  grantees  comply with  Federal  and  State  89 16    procurement  requirements.  PTD  notifies  its  grantees  of  Federal and  State  regulatory  and  statutory  requirements,  standards,  policies,  and  procedures.  Grant  agreements  between  NCDOT and its grantees outline these basic requirements. Additionally, PTD provides technical  assistance,  written  guidance  and  other  resources  to  assist  grantees  in  developing  local  procedures to comply with these requirements.   b. Grantee Self Certification   a. Direct  recipients  of  FTA  funding  assistance  must  “self‐certify”  their  compliance  with  Federal  procurement  requirements as part of the Annual Certification/Assurance  Process. FTA monitors compliance with FTA C 4220.1F as part of its routine oversight  responsibilities.   b. Community Transportation Program (Federal Section 5311) applicants (sub‐recipients of  FTA  funds),  in  the  annual  certification  and  assurances,  must  certify  that  their  procurements and procurement systems will comply with all applicable requirements  imposed by Federal laws, executive orders, or regulations and the requirements of FTA  C 4220.1F, and other implementing requirements FTA may issue.  c. PTD Oversight   a. Although FTA monitors compliance of direct recipients of FTA funding assistance, PTD  has  oversight  responsibilities  for  Federal  Section  5311  sub‐recipients,  regardless  of  whether the sub‐recipient is also a direct recipient of FTA funding.  Additionally, PTD  must monitor grantees’ compliance for all projects funded with State funds only.  The  requirements  for  PTD  review  and  pre‐award  approval  identified  throughout  this  publication apply to all Federal Section 5311 projects and to all projects funded with  State funds only, regardless of whether the grantee is also a direct recipient of FTA  funding.         b. Review of Third‐Party Contracts   1. In  accordance  with  the  grant  agreement  with  NCDOT,  unless  otherwise  authorized in writing by the Department, the grantee is prohibited  from  obligating itself in any manner with any third party with respect to its rights and  responsibilities under the grant agreement without prior written concurrence of  the Department. The  grantee may not assign any portion  of the  work to be  performed under the grant agreement without prior written concurrence of the  Department.  PTD  requires  its  grantees  to  obtain  approval  from  PTD  prior  to  entering into contracts with third party contractors for the operation,  administration, or management of a local public transportation program funded  by PTD and prior to entering into lease agreements for the lease  of  public  transportation funded assets. PTD will review other third party contracts at the  request  of  the  grantee  and  the  grantee  must  make  their  procurement  documents available for FTA and/or NCDOT review and require the same of their  third‐party contractors.      c. Review and Pre‐award Approval   1. As  part  of  its  oversight  responsibilities,  PTD  has  established the  following  requirements:  a. PTD  must  review  new/adapted  specifications  prior  to  solicitation  of  equipment,  supplies,  apparatuses  or  new‐type  rolling  stock.  This  requirement does not apply to the following:   Equipment, supplies, or apparatuses < $30,000  90 17     Minivans    Conversion and Lift Vans   Center Aisle Vans and Standard Vans   Light Transit Vehicles (Cutaway‐type Bus)  2. PTD must review drawings, designs, and/or description of work required prior to  solicitation  of  construction,  renovation,  facility  improvement projects,  or  bus  shelters.   3. PTD requires pre‐award approval of the following:   All new‐type rolling stock (see exceptions above).   All construction projects > $. $30,000   Any “brand name” product or sole source purchase > $ $2,500.   Any contract to other than apparent lowest bidder > $ $2,500.   Any procurement > $90,000 (formal bids).   Any  contract  modification  that  would  change  the  scope  of  a  contract or increase the contract amount up to or over the formal  (sealed) bid threshold of $90,000.  d. Procurement System Reviews   1. PTD  will  review  grantees’  compliance  with  Federal  and  State  requirements  during its Triennial Financial Management Review process and may recommend  “best  practices”  in  order  to  assist  grantees  in  improving  their  procurement  practices. Deficiencies will be documented, corrective actions will be monitored,  and  technical  assistance  will  be  provided  to  assist  grantees  in becoming  compliant with all Federal and State requirements. Additionally, PTD provides  procurement  training  and  technical  assistance  at  public  transportation  conferences, workshops, and during site visits.   e. Remedies for Noncompliance   1. Failure to comply with Federal/State procurement requirements, whether stated  in  a  Federal/State  statute  or  regulation,  an  assurance,  in  a  State  plan,  or  elsewhere, may result in PTD (or other State‐funding agency) taking one or more  of the following actions:   Temporarily  withhold  payments  pending  correction  of  the  deficiency;   Disallow all or part of the cost of the activity not in compliance;   Wholly or partly suspend or terminate the current award;   Withhold further awards for the program; or   Take other remedies that may be legally available.  XII. The Purchasing System   a. The  purchasing  process  is  designed  to  provide  a  proper  system  of  internal  control  over  purchasing, to ensure that the proper authorizations are obtained before items are purchased,  and to ensure that statutory requirements for purchasing are followed. A number of forms are  generated as part of the purchasing process to document the validity of the purchases.  This  process and the documents used by this Agency are described in this section.  b. Purchase Order System  a. All purchase orders are generated within the MUNIS system.  b. The Director is responsible for preparation of the requisition for a purchase order.   c. On receipt of the approval of the purchase order, the Director will then process the  payment utilizing the purchase order number generated.   91 18    c. Open‐Ended Purchase Orders   a. Open‐ended  purchase  orders  may  be  used  for  many  repetitive  purchase  from  one  vendor for various amounts.   b. The Director is responsible for preparation of the requisition for a purchase order.  c. The Director is also responsible for maintaining the open‐ended purchase order.   d. Procurement Cards and Agency/Credit/Debit Cards  a. Procurement  cards  (also  known  as  purchasing  cards)  enable  a  unit  to  make  small  purchases more quickly and efficiently by minimizing paperwork and processing time.  Similar  to  VISA  and  MasterCard  formats,  procurement  cards  can  be  processed  by  vendors just like personal charge cards. Rather than making multiple small payments to  many vendors, the organization writes one check to the card provider. Vendors receive  payment within a few days of the transaction without extra paperwork.  Posting  information and transaction detail can be entered by the cardholder when monthly  statements are reviewed prior to payment, thereby significantly reducing data entry  tasks in accounts payable. Inventories can be reduced or eliminated, since items are  now  purchased  when  needed.  As  with  any  type  of  purchasing  procedure,  adequate  controls must be established to ensure that public funds are expended properly. These  include built‐in transactional limits for any one card, cardholder education, pre‐audit  certification, and supervisory review procedures.  Purchases can be limited by amount  per transaction, total per time period, number of purchases per time period, Merchant  Category Codes, etc. Each card can be encoded with specific controls unique to the  cardholder’s  job  responsibilities.    These  controls  also  can  be enacted  on  individual,  divisional, or departmental lines.  Cardholder education includes informing card users of  all procedures, regulations, etc. and the consequences of improper use. It is strongly  recommended  that  cardholders  sign  acknowledgements  that  they  have  read  and  understand these rules prior to receipt of a card. Cardholders should also be trained to  verify  and  code  monthly  statements  to  facilitate  uploading  of  information  into  the  accounting system. Sales tax for refund purposes can also be coded at this point. The  purchases  made  via  procurement  cards  are  subject  to  the  pre‐audit  certification  requirements. Open purchase orders can be prepared to cover estimated procurement  card expenditures over a specific period of time. Typically, a set  amount  will  be  encumbered to cover purchases through procurement cards during the period. After  cardholders  have  verified  and  coded  their  monthly  statements,  supervisors  should  review the transactions and costed receipts. After departmental approval, procurement  card  details  can  be  uploaded  into  the  accounting  system  and  the payment can be  processed. Transaction data can be analyzed to determine trends and exceptions, and  used for expenditure and budgeting projections.  e. Fuel Cards   a. It is the policy of Person Area Transportation System to allow the use of fuel cards by  the employees for fuel expenses as outlined below  b. Authorization   1. The Public Transportation Director or designated Card Manager is responsible for  the monitoring and management of the use of fuel cards.    92 19    2. The Public Transportation Director determines which employees to authorize for  use of the fuel cards.  Each employee authorized to fuel a County vehicle is  issued a (4) digit Personal Identification Number (PIN) to be used with an  assigned vehicle County Fleet Card.    3. Once a PIN is issued to the employee by the Finance Office and used for the first  time, it will be active until the designated Department Card Manager terminates  the user’s authority with the fleet card company.      4. These cards authorize employees to fuel County vehicles only at specific fuel  sites with fuel only and are not to be used for personal vehicles or non‐business  purposes.  Using the Fleet Cards for any purpose other than official business use  is against County policy and will be considered theft of County property.  c. Process  1. Each time employees use the card, they are required to completely fill the  vehicle’s fuel tank and enter an accurate odometer reading, along with their PIN  number.  This will allow the County to monitor fuel usage and track required  maintenance intervals.    2. The cards are to be kept with the vehicle due to the fact that in many cases,  there are multiple users on the same card.    3. With the issue of these cards, a reimbursement to an employee is not allowed  for filling a County vehicle with cash or personal card, unless authorized by the  Director for emergencies or other related issues.   4. If a card is lost or stolen, the designated Card Manager is responsible for blocking  use of that card and ordering a replacement.  d. Control   1. The Public Transportation Director is responsible to make sure that any charges  are authorized expenditures and that adequate monies are available within the  agency’s approved budget.  2. A reconciliation of the billing is also the responsibility of the Public  Transportation Director to determine any discrepancies and whether all user  policies have been abided by.    3. The Finance Director is responsible to make sure that any charges by the  department’s use of the fuel card are authorized expenditures and that  adequate monies are available within the agency’s approved budget.      4. Personal  use  is  prohibited  and  employees  will  be  required  to  sign a user  agreement before the card is issued.  If it is determined that the employee is in  violation of the user agreement, appropriate disciplinary actions will be taken.    f. Records   a. The purchasing records should show materials/services that have been ordered but not  delivered or paid for (open purchase  orders).  They  also  should furnish  supporting  information for the payment of claims. Purchasing records are invaluable in making  future  purchases  because  they  show  prices,  quantities,  and  vendor performance on  previous orders. Also, they aid in budgeting because they contain a record of quantities  of each kind of purchase required during the preceding year. The accounting records, in  turn, should show amounts encumbered and amounts expended, by accounting period,  for purchased items. All units are encouraged to use encumbrances and purchase orders  as part of their internal control system. Sometimes a common database is used for both  93 20    the  purchasing  and  accounting  records,  particularly  in  automated  systems.  In  automated  systems,  the  purchasing  records  are  integrated  with  the  general  ledger  accounting system.  g. Receiving   a. The receipt of all goods and services by the Agency should be reported to the Director  for processing.  The receiving report, receiving copy of the purchase order, the delivery  ticket, or some other written verification, should be sent to the Finance Department.  For  construction  projects,  the  Architect,  Professional  Engineer,  or  Construction  Management  Consultant  overseeing  the  project  will  issue  a  report  certifying  that  construction has been completed and approved. The Finance Department should ensure  that  sufficient  data  are  provided  to  ascertain  the  date,  quantity,  description,  and  condition of items received. The Agency should not approve interim billings without  monitoring the progress of construction projects. Also, with regards to services, the  Agency should verify that the services are being performed before approving interim  invoices.  h. Payment of Vendor’s Invoices   a. The Director will process all payment of vendor’s invoices either using a check request  form or through MUNIS. A copy of the invoice will be included with the check request or  uploaded into MUNIS.   i. Exhibits  a. Procurement History Form  This policy is hereby adopted by the Person County Board of Commissioners on the 18th day of March, 2019.     _______________________________________  David B. Newell, Sr., Chairman  Person County Board of Commissioners  Attest:     ____________________________________________  Brenda B. Reaves, Clerk to the Board     94 21   PROCUREMENT HISTORY FORM Project No.: Project Period of Perform. ends: Budget Object Code: Item Name: Approved in Budget: $ If cost <$3,000 indicate below how price was determined to be fair and reasonable: If cost > $3,000 & < $30,000 solicit at least 3 quotes (phone quotes acceptable) & document below: Compared to catalog or online price sold to the general public Number of Quotes Solicited: Number of Quotes Received: Compared to competitive price (quotes) of same or similar item within past year Note: If cost > $30,000 written quotes and other requirements apply—See Informal Bid Process Compared to the pricing history of the same item from previous purchases If cost > $90,000 sealed bids and other requirements apply—See Formal (Sealed) Bid Process Name of Employee Vendor #1 Vendor #2 Vendor #3 Conducting Procurement: Employee’s Job Title: Quoted By: Quoted By: Quoted By: Date: Qty Unit Description (and/or attach specifications) Unit Price Extension Unit Price Extension Unit Price Extension Total Amount of Quotation: $ $ $ $ $ $ Payment Terms: (Net 30; Net 20; Net 10): Delivery Terms: (Vendor Pays Freight/Agency Pays Freight): Delivery Date: Awarded to: (note purchase order number, if applicable, under awarded vendor) Check here if selection not based on lowest price and indicate other basis/reason for selection: Delivery Charges Delivery Date Quality Warranty/Service Other (explain): Note: The RFQ (request for quotes) should state the selection criteria, i.e.: Qualified quotes will be evaluated & acceptance may be made of the lowest and best quote most advantageous to [Agency Name] as determined upon consideration of such factors as: prices offered; quality of items offered; general reputation & performance capabilities of offerors; substantial conformity with specifications/ other conditions set forth in quote; suitability of articles for the intended use; related services needed; date of delivery & performance; and such other factors deemed by [Agency Name] to be pertinent. Other Comments: Attach specifications, written vendor quotes/brochures, purchase requisition/order, as applicable, and forward to approval official prior to purchase. If required, submit to NCDOT/PTD along with completed Procurement Checklist for pre-award approval. After purchase is complete, retain this form and all documentation for file. Approval Official (printed name and position title): I hereby certify that this procurement was conducted following all applicable state, federal and local procedures and requirements. Documentation regarding this procurement is on file and will be retained up to five (5) years from the date of project closeout. Funds are available for this purchase and I am authorized to certify at this procurement level. Signature: Date Signed: Approval Date submitted to NCDOT/PTD for approval (if required): Date approved by NCDOT/PTD (if required): Date Goods/Services Received: Accepted By: Satisfactory Condition/Quality: Yes No Contractor failed to meet contract terms (explain): Receipt Would you use/recommend this contractor again? Yes No Check here if additional contract administration documentation is attached: 95 1 County of Person ‐ Person Area Transportation System  Department Policy and Procedures  Section: PATS‐600‐05  Title: Continuity of Operations Plan (COOP)  Effective Date: 3/18/2019  /Revised: Rescinds: COOP (Aug 2010)  Review Date:    Director:  I.Introduction a.Person Area Transportation System (PATS) has operations that must be performed, or rapidly and efficiently resumed, in an emergency. While the impact of an emergency cannot be predicted, planning for operations under such conditions can mitigate the impact of the emergency on our people, our facilities and our mission. To that end, PATS has prepared a Continuity of Operations Plan (COOP). b.This COOP plan establishes policy and guidance to ensure the execution of the essential functions for PATS in the event that an emergency at the agency or in its service area threatens or incapacitates operations and/or requires the relocation of selected personnel and functions. c.COOP planning is a good business practice and is part of the fundamental mission of all transportation agencies as responsible and reliable public agencies. The changing threat environment and recent emergencies have shifted awareness to the need for COOP capabilities that enable transportation agencies to continue their essential functions across a broad spectrum of emergencies. Also, the potential for terrorist use of weapons of mass destruction (WMD) has emphasized the need to provide a capability that ensures the continuity of essential management and technical functions within the transportation organization. II.Purpose a.The capability to prepare for, respond to and recover from emergencies affecting PATS’ operations is dependent upon the proficiency and well‐being of its employees and the clarity of its leadership. To ensure the capability to support employees and contractors, system users, emergency responders, local and regional emergency management agencies, and the general public during emergencies, PATS has adopted this COOP plan. b.This COOP plan describes how PATS will sustain the capability to perform essential functions during and after a disruption in internal operations whether caused by severe weather, other natural or man‐made disasters, or malevolent attack. This COOP plan ensures that PATS: i.Has the capability to implement the COOP plan both with and without warning; ii.Is able to perform essential functions no later than 12 hours after activation of the COOP plan; iii.Is able to maintain essential functions for up to 30 days; iv.Includes regularly scheduled testing, training, and exercising of agency personnel, equipment, systems, processes, and procedures used to support the agency during a COOP event; v.Provides for a regular risk analysis of current alternative operating facility(ies); vi.Supports the location of alternative facility(ies) in areas where the ability to initiate, maintain, and terminate continuity operations is maximized; 96  2 vii. Supports the identification and documentation of temporary operating procedures  which enable the performance of essential functions; and  viii. Promotes the development, maintenance, and annual review of agency COOP  capabilities.  c. This COOP plan supports the performance of essential functions from alternative locations (due  to the primary facility becoming unusable, for long or short periods of time) and also provides  for continuity of management and decision‐making at the transportation agency, in the event  that senior management or technical personnel are unavailable, inaccessible or lost to the  organization.     III. Authorities and References   a. PATS is a department within the Person County Government. PATS will follow the guidance of  the County Manager and the Person County Board of Commissioners in any emergency  situation.  b. The COOP plan has the full endorsement of the Public Transportation Director. The COOP plan  complies with the state requirements, and addresses requirements identified in the FEMA  Continuity of Operations Federal Preparedness Circular.      IV. Scope and Applicability   a. The COOP plan is applicable to all PATS personnel and contractors. This COOP plan describes  the actions that will be taken to activate a viable COOP capability within 12 hours of an  emergency event, and to sustain that capability for up to 30 days. The COOP can be activated  during duty and non‐duty hours, both with and without warning.   b. The COOP plan covers all facilities, systems, vehicles, and buildings operated or maintained by  PATS. The COOP plan addresses immediate operational situations to include the performance  of essential functions from alternate locations (due to primary facility becoming unusable, for  long or short periods of time) and also provides for continuity of management and decision‐ making at the transportation agency, in the event that senior management or technical  personnel are unavailable.   c. The COOP plan will be reviewed with all employees of PATS. Training will be provided to PATS  personnel with identified responsibilities. The COOP plan has been shared with the Person  County Emergency Services Director and other interested parties.     V. Policy   a. It is the policy of PATS to quickly respond at all levels in the event of an emergency or threat, to  include human, natural, technological, and other emergencies or threats, in order to continue  essential internal operations and to provide support to our customers, emergency management  and response agencies, and other agencies or services that may be affected by the emergency.   b. A viable COOP capability identifies essential functions and consists of plans and procedures,  alternative facilities, and alternative interoperable communications and data support systems,  reinforced by comprehensive training, orientation and exercise programs. COOP capabilities  must be maintained at a high level of readiness, be capable of being activated both with and  without warning, achieve operational status no later than 12 hours after activation, and  maintain sustained operations for up to 30 days or until termination.   97  3   VI. Objectives   a. The objectives of this plan are as follows:  i. Maintain command, control and direction during emergencies;  ii. Reduce disruptions to operations   iii. Protect essential facilities, equipment, records, and other assets;   iv. Assess and minimize damage and losses;   v. Provide organizational and operational stability;   vi. Facilitate decision‐making during an emergency;   vii. Achieve an orderly recovery from emergency operations;   viii. Assist affected employees and their families;  ix. Provide for the line of succession to critical management and technical positions;  x. Provide resources and capabilities to develop plans for restoring or reconstituting  regular activities, depending upon the scope, severity, and nature of the incident; and   xi. Fulfill the agency’s responsibilities in local, regional and state emergency operations  plans and agreements with local emergency response and management agencies.     VII. Essential Functions  a. In the transportation environment, emergencies may occur both with and without warning  which result in the:  i. Denial of use of facilities or vehicles;  ii. Loss of power;   iii. Loss of telecommunications;  iv. Suddenly unavailable senior management or technical personnel; and/or  v. Inaccessible information technology systems.  b. When confronting events which disrupt its normal operations, PATS is committed to providing  essential functions, which must be continued even under the most challenging emergency  circumstances. PATS has identified as essential functions only those most critical activities  which ensure the safety and security of system users, employees, contractors, emergency  responders and the general public; support the restoration of internal operations; and facilitate  emergency response operations.   c. During activation of this COOP plan, all other activities will be suspended, to enable the agency  to concentrate on providing the essential functions and building the internal capabilities  necessary to increase and eventually restore operations. Appropriate communications with  regular or expected users of services provided by those suspended services will be a priority.   d. PATS has identified its essential functions and prioritized them by whether they should be  implemented in the first day (FD) or first week (FW) after the emergency event.   e. The key personnel and critical services and equipment necessary to support these essential  functions include drivers, operable vehicles, fuel, service supervisor (dispatcher), cell phones or  two‐way radios, maintenance and repair services, and scheduling software.     VIII. Concept of Operations (CONOPS)  a. To implement the COOP plan, the transportation agency has developed a CONOPS, which  describes its approach to implementing the COOP plan, and how each COOP plan element will  98  4 be addressed. In particular, this CONOPS focuses on establishing emergency decision‐making  authority and defining a decision process for determining appropriate actions in implementing  COOP plans and procedures. This CONOPS also clarifies the transportation’s agency  assumptions regarding its activities to activate and sustain a viable COOP capability. Finally, the  CONOPS identifies how the transportation agency will address issues associated with  notification and alert, and direction and control.     IX. Planning Scenarios   a. The COOP plan has been developed around a set of scenarios which reflect the PATS’s  assessment regarding the types of events which may result in COOP plan activation. For each  type of scenario, activities have been identified to ensure the activation of the COOP plan and  the continuous capability of PATS to make decisions and take action.   i. Activation of the COOP plan may involve:   1. The deliberate and pre‐planned movement of selected key staff and technical  personnel to an alternative operating facility;   2. The implementation of temporary work procedures;   3. The delegation of emergency authorities to successors of senior management  and technical personnel who are unavailable during the emergency; and/or  4. The assignment of COOP teams to perform specific activities necessary to ensure  essential functions.   b. The following six types of scenarios have been identified by PATS as the most likely to trigger  COOP plan activation:   i. Planning Scenario 1: Operations and Administrative Facility Alone Affected. Under  this type of scenario, the main operations and administrative facility is closed for  normal business activities, but the cause of the disruption has not affected  surrounding facilities, utilities, or the transportation network. The most likely cause of  such disruption are fire; system/mechanical failure; loss of utilities such as electricity,  telephone, or water; or explosion (regardless of cause) that produces no significant  damage to any other facilities or systems used by the transportation agency. This type  of event could significantly impact PATS’ communications, transportation monitoring,  and information technology capabilities. Vehicles and maintenance facilities, located  at or adjacent to the operations and administration facility, may be damaged or  destroyed. Senior management, technical and supporting personnel working at the  facility may be lost, injured, or not accounted for.   ii. Planning Scenario 2: Operations and Administrative Facility and Surrounding Area  Affected. Under this scenario, the Operations and Administrative Facility as well as  supporting facilities are closed for normal business activities as a result of widespread  utility failure; massive explosion (whether or not originating in the operations and  administrative facility); severe earthquake; civil disturbance; or credible threats of  action that would preclude access or use of the Operations and Administrative Facility  and surrounding areas. Under this scenario there could be uncertainty regarding  whether additional events (such as secondary explosions, aftershocks, or cascading  utility failures) could occur. During this type of event, the PATS’ primary facilities and  the immediate areas surrounding them are inaccessible.   99  5 iii. Planning Scenario 3: Supporting Facilities Affected. Under this scenario, the  operations and administration facility is left unharmed, but one or more support  facilities is inoperable. These may include vehicle storage facilities, maintenance  facilities, stations, or other systems used by the transportation agency. This type of  event could be the result of a natural disaster, workplace violence, cyber‐attack or  other event.  iv. Planning Scenario 4: Local/Regional Area Affected. Under this scenario, the  transportation agency’s service area would be inaccessible for normal business  activities as a result of a major disaster (hurricane, earthquake) or an actual or  threatened use of a weapon of mass destruction such as a chemical, biological,  radiological, or nuclear agent (whether or not directed at the operations and  administrative facility). PATS’ facilities are functional, but cannot be used because of  the nature of the emergency.   v. Planning Scenario 5: Vehicle Availability Affected. Under this scenario, the vehicle  availability is affected due to mechanical issues. During this type of event, PATS would  assess the availability of vehicles and provide essential services only.  vi. Planning Scenario 6: Shortage of Natural Resources. Under this scenario, the shortage  of natural resources is affected by environmental, national or state issues. During this  type of event, PATS would ensure that vehicles are maintained with as much fuel as  possible. The transportation system would conserve fuel by providing only essential  services.     X. Planning Assumptions  a. Assumptions used to support the PATS’ planning for each of these scenarios include the  following elements.   i. Emergencies or threatened emergencies can adversely impact the transportation  agency’s ability to continue to support essential functions and provide support to the  operations of clients and external agencies.   ii. When a COOP event is declared, the transportation agency will implement a  predetermined plan using training and equipped personnel.  iii. Transportation agency and non‐agency personnel and resources located outside the  area affected by the emergency or threat will be available as necessary to continue  essential functions.  iv. The transportation agency will provide operational capability within 12 hours of the  event and be able to continue essential operations for 30 days or until termination of  the event, whichever is earlier.  v. Recovery for anything less than complete destruction will be achievable by using the  COOP plan.   vi. Normally available staff members may be rendered unavailable by a disaster or its  aftermath, or may be otherwise unable to participate in the recovery.   vii. Procedures are sufficiently detailed so someone other than the person primarily  responsible for the work can follow them.   viii. Recovery of a critical subset the agency’s functions and application systems will occur  to allow the agency to continue essential functions adequately.   100  6 ix. A disaster may require transportation users, clients and local agencies to function with  limited automated support and some degradation of service, until full recovery is  made.     XI. COOP Execution  a. The Public Transportation Director, or his or her designated successor, may implement this  COOP plan. The COOP plan implemented based on known or anticipated threats and  emergencies that may occur with or without warning. PATS will use a time‐phased approach for  implementation whereby critical resources are deployed early and other resources will follow  as needed.  i. Known threated and emergencies (with warning): There are some threats to  operations that may afford advance warning that will permit the orderly alert,  notification, evacuation, and if necessary, the relocation of employees. Situations that  might provide such warning include shortage of natural resources, a hurricane, a  transportation accident resulting in a threat of a release of hazardous material or a  threat of a terrorist incident.   ii. Unanticipated threats and emergencies (no warning) during non‐duty hours:  Incidents may not be preceded by warning (ex: critical vehicle mechanical or  availability issues, earthquakes, arson, HAZMAT, or terrorist incidents, and may occur  while the majority of on‐site staff are not at work. In these circumstances, while  operations from the primary facilities may be impossible, the majority of our  employees will still be able to respond to instructions, including the requirement to  relocate following proper notification.  iii. Unanticipated threats and emergencies (no warning) during duty hours: Incidents  may also occur with no warning during normal office hours. In these circumstances,  execution of the COOP, if indicated by the circumstances of the event, would begin by  contacting the Person County Emergency Services Director to determine the next  steps, including notification, evacuation and situation assessment.   b. In each of these circumstances, the transportation agency has developed an executive decision  process that allows for a review the emergency situation and determination of the best course  of action for response and recovery. This process uses the decision matrix for implementing the  COOP plan. Careful review of this matrix should avoid premature or inappropriate activation of  the agency COOP plan.   c. The decision matrix is presented below. Potential disruptions resulting from emergency events  are classified in Emergency Levels 1 thorough 5. Using these emergency levels, the Public  Transportation Director, or a duly designated successor will activate or partially activate the  COOP plan.  d. The decision matrix (Table 1) focuses on the way in which the emergency event may impact the  capabilities of the transportation agency to provide its essential functions. To remain flexible to  the variety of situations that could trigger activation or partial activation of the COOP plan, this  matrix provides guidance, and recommended impacts and decisions may be modified based on  the actual events.       101  7 Table 1: Executive Leadership COOP Plan Activation Decision Matrix  Level of Emergency Impact on Agency and COOP Decision  1 Impact: Disruption of up to 12 hours, with little effect on services or impact to  essential functions or critical system.  Example: Major accident on highway or transit system.  Decision: No COOP activation required.   2 Impact: Disruptions of 12 to 72 hours, with minor impact of essential  functions.  Example: Computer virus, small fire or moderate flooding.  Decision: Limited COOP activation, depending on agency requirements   3 Impact: Disruption to one or two essential functions or to a vital system for no  more than three days.  Example: Power outage, heightened Homeland Security Advisory System  Threat Level  Decision: May require partial COOP activation to move certain personnel to an  alternative facility or location in the primary facility for less than a week.   4 Impact: Disruption to one or two essential functions or to the entire agency  with potential of lasting for more than three days but less than two weeks.  Example: Snow/ice storm, hurricane, workplace violence, major  telecommunications failure or major power outage.  Decision: May require partial COOP plan activation. For example, orders of  succession for some key personnel may be required; in addition, movement of  some personnel may be required; in addition, movement of some personnel to  an alternative work site or location in the primary facility for more than a week  may be necessary. Personnel not supporting essential functions may be  instructed not to report to work, or be re‐assigned to other activities.   5 Impact: Disruption to the entire agency with a potential for lasting at least two  weeks.  Example: Explosion in/contamination of primary facility, major fire or flooding,  earthquake.  Decision: COOP plan activation. May require activation of order of succession  for some key personnel. May require movement of many, if not all, essential  personnel to an alternative work site for more than two weeks. Personnel not  supporting essential functions may be instructed not to report to work, or be  re‐assigned to other activities.     XII. COOP Team  a. In the event of activation or partial activation of the COOP plan, the PATS staff would contact  the County Manager’s office.  b. With guidance from Person County management, the designated PATS staff and their  responsibilities in implement the COOP include:  i. Public Transportation Director  1. Activate or partially activate COOP plan activities   2. Communicate and coordinate with other county departments and contracted  agencies  3. Notify necessary employees regarding COOP plan activation  102  8 4. Prepare critical processes, systems, resources, and records necessary to support  essential functions  5. Ensure safety and security of system users, personnel, contractors, and others  who have come into contact with the system  6. Initiate essential functions from alternative facility or other location  7. Perform situation assessments and determine status of the transportation  system  8. Coordinate necessary activities to manage emergency and administration  functions  9. Coordinate inspections, damage assessments, and emergency repairs   ii. Administrative Assistant  1. Assist the Director with all their related duties  2. Take over Director responsibilities in implementing the COOP in their absence  3. Assist the Clerk/Dispatcher with all their related duties   iii. Clerk/Dispatcher    1. Maintain a list of all employee’ current contact information, including home, cell  phone numbers and emergency contacts  2. Inform the public of COOP plan activities when service is impacted, via  notification on social media, calls to customers with scheduled trips, etc.   iv. Drivers  1. Transport system users, personnel and other county staff to safe and secure  location, as needed   c. Table 2 includes the personnel that have been trained in their roles for implementation of the  COOP plan, along with the date of the training.     Table 2: Employee Training  Employee Name  Title  Type of Training  Trainer  Date of Training                                                                    XIII. Alternative Facilities and Worksites  a. PATS recognizes that normal operations may be disrupted and that there may be a need to  perform essential functions at alternative facilities or worksites. PATS COOP team will  103  9 coordinate with the County Manager’s office to determine a suitable alternative facility or work  site to support essential functions.     XIV. Time‐Phased Implementation  a. The transportation agency will use a three‐phased approach to the activation, management,  and eventual de‐escalation of the COOP plan as shown in Table 3.   b. A brief description of PATS’ approach to each phase of activation is provided below.  c. Phase 1: Activation and Relocation  i. Alert and Notification. Depending on the severity of the emergency, the Public  Transportation Director will determine if additional personnel are needed to  implement the COOP plan. The Director will contact the Clerk/Dispatcher, who will  then call the drivers for assistance, as needed.  ii. Initial Actions. The Public Transportation Director contact County Manager and other  personnel, as needed; secure current office, and move to alternate facility, if  necessary; stage vehicles; notify contracted agencies and non‐agency scheduled riders  of pending changes or interruptions to transportation services.   iii. Activation Procedures Duty Hours. PATS will follow the County Manager’s direction  regarding relocation to an alternative facility.   iv. Activation Procedures Non‐Duty Hours. The Public Transportation Director will notify  the Clerk/Dispatcher who will notify the drivers, of COOP plan activation and  implementation as their roles are required.   v. Deployment and Departure Procedures (Time‐Phased Operations). The Public  Transportation Director will determine if the emergency situation requires partial pre‐ deployment of any essential functions that are critical to operations; all staff will assist  with implementation as needed.   vi. Transition to Alternative Operations. At a minimum, the Public Transportation Director  will send an email or call all employees to notify them of the emergency situation and  next steps; he or she will also record a message for anyone calling into the office,  apprising callers of the situation. For extended emergency situations, the  Clerk/Dispatcher should be available to field calls to the office.   vii. Site‐Support Responsibilities. The Public Transportation Director will transport  essential documents on a flash drive or with the assistance of Person County IT  Department be able to access files at alternative locations. Drivers will move vehicles  to alternate facilities, and the Clerk/Dispatcher will manage trip scheduling and  communications with contracted agencies and riders.   d. Phase 2: Alternative Operations   i. Execution of Essential Functions. The transportation agency will perform any essential  functions determined to be critical to operations from the alternate facility. These  essential functions include transporting scheduled riders for critical medical purpose;  local government staff or contractors to perform emergency management services;  and local government staff and county residents for emergency evacuations.   ii. Establishment of Communications. The transportation agency will reestablish normal  lines of communication with the agency, to external agencies, and to the public. The  Public Transportation Director will communicate with the County Manager’s office,  104  10 other county departments, and the media as needed. The Clerk/Dispatcher, with  assistance from the Administrative Assistant, will contact contracted agencies and  scheduled riders, as needed, and man the PATS phone lines.  iii. Support and Contingency Team Responsibilities. The Public Transportation Director  and Administrative Assistant are responsible for performing essential functions and  implementing the COOP plan.   iv. Augmentation of Staff. As the situation comes under control, drivers and other county  department staff will be activated to provide other services and functions, as  necessary.   v. Amplification of Guidance to Support and Contingency Teams. The Public  Transportation Director will coordinate with the County Manager to provide additional  guidance to all PATS personnel in regards to duration of alternative operations and  include pertinent information on payroll, time and attendance, duty assignments, etc.   vi. Development of Plans and Schedules for Reconstitution and Termination. As soon as  feasible, PATS Administrative staff will begin preparation of communication, vital  records and databases, and other activities to transfer operations back to primary  facility. The Public Transportation Director will work with the County Manager to  determine if circumstances warrant a new primary facility; if so, the Public  Transportation Director will then conduct the search and follow county procedures to  move into the new facility as soon as possible.   e. Phase 3: Reconstitution  i. Reconstitution Process. PATS will end alternate operations and returning to a non‐ emergency status at the designated primary facility, when the Public Transportation  Director and County Manager have conferred and determined that the emergency  status is over.   ii. Reconstitution Procedures. PATS staff will ensure a timely and efficient transition of  communications, direction and control, and transfer of vital records and databases to  the primary facility. The Public Transportation Director will oversee movement of  data, equipment, and personnel to the designated primary facility. The  Clerk/Dispatcher will notify contracted agencies and riders of the reconstitution  process and its impact on transportation services provided.   iii. After‐Action Review and Remedial Actions Plans. After operations have returned to the  designated primary facility, the PATS Administrative staff, with input from the County  Manager and drivers, will assess all phases and elements of the alternate operations  and provide specific solutions to correct any areas of concern.                      105  11 Table 3: COOP Activation Phasing    Phase  Time Frame  Activity  Phase I‐ Activation and Relocation   0‐12 Hours  Contact the County Manager’s  office; discuss relocation  requirements, if needed    Coordinate with other county  departments    Notify employees and  contractors regarding  activation of COOP plan and  their status   Assemble  documents/equipment  required for essential functions  at alternative facility   Order needed  equipment/supplies   Transport documents and  designated communications   Secure original facility   Continue essential functions at  regular facility, if available,  until alternate facility is ready   Phase II‐ Alternative Facility/Work  Site Operations  12 Hours to Termination of  Emergency   Provide guidance to transit  staff and information to the  public   Identify replacements for  missing personnel (delegation  of authority and order of  succession)   Commence full execution of  operations supporting essential  functions at the alternative  facility  Phase III‐ Reconstitution Termination of Emergency   Inform all personnel that the  threat no longer exists   Supervise return to normal  operating facility   Conduct a review of COOP plan  execution and effectiveness             106  12 XV. Operational Hours   a. During activation of the COOP plan, PATS will determine operation hours after assessing the  severity of the emergency status. If PATS must operate fewer than normal operating hours, due  to lack of facility, utilities, etc., the Public Transportation Director will notify affected employees  and the Clerk/Dispatcher will notify riders and contracted agencies. As essential functions are  provided and additional services come one line, these hours will be extended.     XVI. Vital Records and Databases   a. A successful COOP plan provides for the protection, accessibility, and recovery of the agency’s  vital records, systems, and equipment. These are the records, systems, and equipment that if  irretrievable, lost, or damaged will materially impair the agency’s ability to conduct business  and carry out essential functions.   b. PATS will maintain back‐up copies of emergency operating records and legal and financial  records, which must be available to support performance of essential functions. The back‐up  copies will be stored electronically on the Person County IT Department’s server. PATS will work  with County IT staff as needed to restore vital records, systems, and/or processes.     XVII. Communications   a. Communications is a critical component of a successful transportation COOP capability.  Communications systems must support connectivity to internal organizations, other agencies,  critical customers, and the public. To ensure communications during COOP events, PATS has  identified the primary mode of communications as telephone and alternative modes of  communication include email, two‐way radios, in‐person visits, and announcements in local  newspapers, television and radio broadcasting.     XVIII. COOP Plan Maintenance   a. PATS has developed an approach to maintaining a viable COOP capability. This approach ensure  the review and update of the COOP plans and its supporting documents; the orientation of  training of both existing and newly hired/appointed personnel; and the testing of the COOP  capability through internal, local, regional, and state exercises (Table 4).                               107  13 Table 4: COOP Plan Maintenance   Activity Tasks Frequency  Plan update and certification  Review entire plan for accuracy   Incorporate lessons learned  and changes into policy   Manage distribution of plan  updates      Annually  Maintain and update Orders of  Succession   Obtain names of current  incumbents and designated  successors    Update Delegation of  Authorities   As needed   Update roster of all employees  Confirm/update contact  information of all employees   Quarterly  Appoint new member of the COOP  team   Qualifications determined by  the Director   Issue appointment letter and  schedule member of  orientation  As needed  Maintain alternative work site  readiness   Ensure back‐up of current, vital  records on flash drive   Maintain inventory of  necessary supplies and  equipment to take to  alternative work site  Quarterly   Train new employees in their role  for COOP plan implementation    Provide an orientation and  training class   Schedule participation in all  training and exercise events  Within 30 days of hire  Plan and conduct exercises   Conduct internal exercises   Conduct joint exercises with  local, regional, and/or state  agencies    Support and participates in  interagency exercises  Annually or as needed                      108  14 XIX. Glossary of Terms     Activation. When a COOP plan has been implemented whether in whole or in part  Agency Head. The highest‐ranking official of the transportation agency or a successor or designee selected  by the official.  Alternate facility. A location, other than the normal facility, used to carry out essential functions in a COOP  situation.   Automated Data Processing (ADP) equipment. Equipment that performs data processing largely by  automatic means.   Collateral damage. Injury to personnel or damage to facilities that are not the primary target of attack.  Consumable office supplies. General supplies that are consumed in office use.   COOP Event. Any events that causes the transportation agency to invoke its COOP plans and procedures to  assure continuance of its essential functions.  Critical Infrastructure Protection (CIP). Risk management actions intended to prevent a threat from  attempting to, or succeeding at, destroying or incapacitating the transportation agency’s critical  infrastructures.   Delegation of Authority. Specifies who is authorized to act on behalf of the agency head or other senior  management and technical personnel for specific purposes.     Devolution. The capability to transfer statutory authority and responsibility for essential functions from an  agency’s primary operating staff and facilities to other employees and facilities, and to sustain that  operational capability for an extended period.     Emergency operating records. Records that support the execution of an agency’s essential functions.     Essential functions. Functions that enable the transportation agency to:     Provide vital services;    Maintain the safety and well being of employees, contractors, customers, and the general  public; and    Sustain the economic base in an emergency.      Executive agent. A term used to indicate a delegation of authority by a superior to a subordinate to act on  behalf of the superior. An executive agent may be limited to providing only administration and support or  coordinating common functions or he/she may be delegated authority, direction, and control over  specified resources for specified purposes.     Interagency agreements. A written agreement entered into between agencies that require specific goods  or services to be furnished or tasks to be accomplished by one agency in support of the other.     109  15 Interoperability. The ability of systems, personnel, or agencies to provide services to and accept services  from other systems, personnel, or agencies and to use the services so exchanged to enable them to  operate effectively together.     Interoperable communications. Alternative communications that provide the capability to perform  essential functions, in conjunction with other agencies, until normal operations can be resumed.     Legal and financial records. Records that are need to protect the legal and financial rights of the  transportation agency and the persons affected by its actions.     Mission critical data. Information essential to supporting the execution of an agency’s essential functions.     Mission critical systems. ADP equipment essential to supporting the execution of an agency’s essential  functions.     Orders of succession. Provisions for the assumption of senior agency offices during an emergency in the  event that any of those officials are unavailable to execute their legal duties.     Originating facility. The site of normal, day‐to‐day operations; the location where the employee usually  goes to work.     Reconstitution. The process by which the affected transportation agency resumes normal operations from  the original or replacement primary operating facility.     Risk analysis. The identification and assessment of hazards.     Telecommuting locations. Those locations set up with computers and telephones that enable employees to  work at a location closer to their house than their main office    Test, Training and Exercises (TT&E).  Measures to ensure that agency’s COOP program is capable of  supporting the continued execution of its essential functions throughout the duration of a COOP situation.     Virtual offices. A location or environment where an employee performs work through the use of portable  information technology and communication packages.     Vital databases. Information systems needed to support essential functions during a COOP situation.     Vital records. Electronic and hardcopy documents, references, and records needed to support essential  functions during a COOP situation. The two basic categories of vital records are emergency operating  records and legal and financial records.     Weapons of Mass Destruction (WMD). Weapons capable of high order of destruction and/or of being used  in such a manner as to destroy large number of people. Weapons of mass destruction can be high  explosive or nuclear, biological, chemical, and radiological weapons.   110  16 Worksheet: Prioritized Listing of Essential Functions     Essential Functions  Priority (First Day [FD] or First Week [FW] after  disruption  Contact drivers to operate vehicles FD  Access operable vehicles and fuel FD  Maintain communication with drivers on the road FD  Communicate and coordinate with other emergency  services  FD  Notify riders and contracted agencies of emergency  situation and interruptions to transportation  services  FD  Provide maintenance and repairs to keep vehicles in  service  FD  Maintain electronic copies of vital records of transit  agency  FW  Update riders, contracted agencies and the general  public regarding COOP activities and timeline of  restoring normal service  FW                                                      111  17 Worksheet: Vital Records Inventory  Below is a list of vital records, regardless of media, essential to the continued functioning or reconstitution of  an organization. It should include consideration of securing as many records as possible off‐site with regular  backup or provision at alternative facility, or making data portable. Maintenance frequency refers to the  schedule to timetable for checking and/or updating this vital record.     Vital File,  Record or  Database  Forms of Record  (electronic, hard  copy, etc.)   Accessible at  Alternate  Facility  Available from  Original or  Alternative  Source  Stored in  Original Facility  at?  Maintenance  Frequency   Example: Lease  of main facility  Hard copy & pdf  file  No  Central office  has copy on file  Finance, 3rd  floor bottom  left drawer of  file cabinet  Annual                                                                                                                    112  18 This policy is hereby adopted by the Person County Board of Commissioners on the 18th day of March, 2019.       ____________________________________________  David B. Newell, Sr., Chairman  Person County Board of Commissioners.     Attest:     ____________________________________________  Brenda B. Reaves, Clerk to the Board     113 County of Person ‐ Person Area Transportation System  Department Policy and Procedures  Section: PATS‐600‐06 Title: Soliciting Public Comment Policy  Effective Date: 3/18/2019 /Revised: Rescinds: Soliciting Public Comment Policy (2010)  Review Date:    Director:  Purpose: The purpose of this policy to establish guidelines for soliciting and considering public comment prior  to a fare increase or major service reduction.   Policy/Procedure:   I.Fare increases a.Consideration for fare increases occur annually during the budget process. The fare increases will be turned in to the Assistant County Manager by the requested deadline. b.Fare increases will be discussed with the Transportation Advisory Board and the Director will take into account all expressed concerns that the advisory board has before proposing any fare increases. All fare increases must be approved by the Person County Board of Commissioners. c.Discussion with the Transportation Advisory Board may be done via email or at a quarterly meeting, depending on the timing of the request and the scheduled meeting dates. d.The Person County Board of Commissioners will evaluate the fare increase during their normal budget approval process. e.Person Area Transportation will make a good faith effort to notify the general public of the fare increase by word of mouth, social media posting, local newspaper advertisement and memo to be handed out by the drivers and posted in al l revenue vehicles.  A public hearing notice must be advertised at minimum of seven (7) calendar days’ and a maximum of fourteen (14) calendar days’ before the actual public hearing date. f.The public will be given the opportunity to voice any concerns or support of the changes at the recommended budget public hearing that is held at the first meeting in June by the Person County Board of Commissioners. g.If the fare increase is approved with the budget process, the new fare rate will go into effect at the start of the fiscal year (July 1). II.Major service reduction a.If either the Person County Government or Person Area Transportation System decide to have a reduction in major services, a public hearing will be required prior to a decision being made to reduce services. b.The public hearing will provide an opportunity for the public to make comments on the proposed changes before the Person County Board of Commissioners make a decision on the changes. The public hearing notice must be advertised at minimum of seven (7) calendar days’ and a maximum of fourteen (14) calendar days’ before the actual public hearing date. c.Major service reduction is defined as an elimination of any service areas (zones) or specific routes (ex: shuttle, out of town medical), which would cause a burden to residents or visitors of Person County. 114 d. The public hearing will be scheduled at the next available Person County Board of  Commissioner meeting, taking the 30 days requirement into account, unless a special meeting  is scheduled for the public hearing.   e. Person Area Transportation will make a good faith effort to notify the general public of the fare  increase by word of mouth, social media posting, local newspaper advertisement and memo to  be handed out by the drivers and posted in al l revenue vehicles.     This policy is hereby adopted by the Person County Board of Commissioners on the 18th  day of March, 2019.       ____________________________________________  David B. Newell, Sr., Chairman  Person County Board of Commissioners.     Attest:     ____________________________________________  Brenda B. Reaves, Clerk to the Board     115 County of Person ‐ Person Area Transportation System  Department Policy and Procedures  Section: PATS‐600‐08  Title: Record Control and Retention Policy    Effective Date: 3/18/2019 /Revised: Rescinds: Record Control and Retention Policy       (2010)  Review Date:  Director:  Purpose: The purpose of this policy is to establish procedures for record control and retention.   Policy/Procedure:   1)All records, both digital as well as hard copy, will be stored in a manner which allows them to be both secure and easily accessible. All sensitive materials will either be locked in filing cabinets or password‐ protected. Administrative staff have keys to all locked filing cabinets within their respective offices and those areas are locked when not occupied. 2)All electronic documented are backed up daily to ensure all data is maintained in the event of local computer failure. All files are backed up on the county server nightly. Many pertinent files are stored on the PATS Share drive daily. 3)No document will be destroyed before a 5‐year holding period or 3 years beyond the close‐out of any grant, whichever is longer. All tax records will be maintained for a 5‐year period. 4)Prior to an employee being terminated, all employee access to computer files will be terminated. This policy is hereby adopted by the Person County Board of Commissioners on the 18th day of March, 2019.  _______________________________________  David B. Newell, Sr., Chairman  Person County Board of Commissioners  Attest:   ____________________________________________  Brenda B. Reaves, Clerk to the Board   116 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Tax Adjustments for March 2019 Summary of Information: Attached please find the tax releases and motor vehicle pending refunds: 1.March 2019 tax releases. 2.March 2019 North Carolina Vehicle Tax System (NCVTS) pending refunds. Recommended Action: Motion to accept reports and authorize refunds. Submitted By: Russell Jones, Tax Administrator 117 NAME BILL NUMBER OPER DATE/TIME DISTRICT VALUE AMOUNT 39785301 2018-28461 DY: PERSONAL PROPERTY MP 2/14/2019 4:33:57 PM ROYSTER MAURICE DOUBLE CHARGED C ADVLTAX 35,910.00 251.37 DOUBLE CHARGED C PEN FEE 35,910.00 25.14 DOUBLE CHARGED CI50ADVLTAX 35,910.00 240.60 DOUBLE CHARGED CI50PEN FEE 35,910.00 24.06 DUPLICATE TOTAL RELEASES:541.17 27801102 2018-200269 DY:18 PERSONAL PROPERTY RH 2/20/2019 3:47:48 PM STRUTDAYYS'S COMPLETE CAR CARE LLC LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 207,236.00 1,450.65 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 207,236.00 145.07 LISTING ADJUSTED PERSONAL PROPERTY CI50ADVLTAX 207,236.00 1,388.48 LISTING ADJUSTED PERSONAL PROPERTY CI50PEN FEE 207,236.00 138.85 PER AUDIT ADJ VALUE TOTAL RELEASES:3,123.05 27801102 2018-200270 DY:17 PERSONAL PROPERTY RH 2/20/2019 3:50:28 PM STRUTDADDY'S COMPLETE CAR CARE LLC LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 301,000.00 2,107.00 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 301,000.00 421.40 LISTING ADJUSTED PERSONAL PROPERTY CI50ADVLTAX 301,000.00 2,016.70 RELEASE BILL PER AUDIT TOTAL RELEASES:4,545.10 59431801 2018-70060 DY: PERSONAL PROPERTY SRJ 2/22/2019 10:16:06 AM KING BEE IV DOUBLE CHARGED C BEOFFEE 0.00 5.00 DOUBLE CHARGED C WIOFFEE 0.00 25.00 ALSO CHARGED AS FAST STOP TOTAL RELEASES:30.00 21390201 2018-36495 DY: PERSONAL PROPERTY SRJ 2/27/2019 8:56:58 AM POWELL RONALD G JR LIEN FEE ADJUSTMENT C GARNFEE 0.00 30.00 PAID BY CREDIT CARD BEFORE UPDATE TOTAL RELEASES:30.00 46057101 2018-6142 DY:0RP:A65 47 SRJ 2/27/2019 8:58:03 AM THE TOWER REAL ESTATE & DEV LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BY CREDIT CARD BEFORE UPDATE TOTAL RELEASES:3.00 21322302 2018-14762 DY:0RP:34 50 TP 2/27/2019 10:37:10 AM JOHNSON WILLIAM DOUGLAS LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 danny long paid before paper TOTAL RELEASES:3.00 43694301 2018-3329 DY:0RP:A6 13 BSG 2/27/2019 10:44:52 AM HOLT BRYANT D LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE LIEN ADDED TOTAL RELEASES:3.00 66424102 2018-8804 DY:0RP:14 21 SRJ 2/27/2019 10:56:21 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 RUN DATE: 3/11/2019 10:02 AM RELEASES REPORT Person County 118 NAME BILL NUMBER OPER DATE/TIME DISTRICT VALUE AMOUNT 66424105 2018-9917 DY:0RP:33 37 SRJ 2/27/2019 10:57:02 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424103 2018-9989 DY:0RP:33 39 SRJ 2/27/2019 10:57:31 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424104 2018-10704 DY:0RP:6 20 SRJ 2/27/2019 10:58:02 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424106 2018-10708 DY:0RP:69 58 SRJ 2/27/2019 10:58:35 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424108 2018-12238 DY:0RP:15 29 SRJ 2/27/2019 11:00:52 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424107 2018-12382 DY:0RP:33 38 SRJ 2/27/2019 11:01:21 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424112 2018-12510 DY:0RP:34 11 SRJ 2/27/2019 11:01:50 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424109 2018-13069 DY:0RP:123 3 SRJ 2/27/2019 11:02:20 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424101 2018-13652 DY: RP:14 29 SRJ 2/27/2019 11:02:55 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424110 2018-14764 DY: RP:34 9 SRJ 2/27/2019 11:03:24 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 66424111 2018-14838 DY:0RP:72 13 SRJ 2/27/2019 11:03:50 AM JTJ HOLDINGS LLC LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 PAID BEFORE NEWSPAPER AD PRINTED TOTAL RELEASES:3.00 201850044800 2018-500448 DY:17 PERSONAL PROPERTY BSG 3/4/2019 9:26:29 AM DAUGHTON GWENDALYN APRIL C GARNFEE 0.00 30.00 STILL IN CH 13 TOTAL RELEASES:30.00 RUN DATE: 3/11/2019 10:02 AM RELEASES REPORT Person County 119 NAME BILL NUMBER OPER DATE/TIME DISTRICT VALUE AMOUNT 67622201 2018-38196 DY: PERSONAL PROPERTY RH 3/4/2019 3:33:43 PM GRAVES STEPHANIE LISTING ADJUSTED PERSONAL PROPERTY C GARNFEE 2,000.00 30.00 LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 2,000.00 14.00 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 2,000.00 1.40 LISTING ADJUSTED PERSONAL PROPERTY CI50ADVLTAX 2,000.00 13.40 LISTING ADJUSTED PERSONAL PROPERTY CI50PEN FEE 2,000.00 1.34 DELETE SW BILLED ON CHP TOTAL RELEASES:60.14 201850166700 2018-501667 DY:18 PERSONAL PROPERTY SRJ 3/5/2019 8:57:05 AM THORNBURG REGINA JONES DOUBLE CHARGED C GARNFEE 800.00 30.00 DOUBLE CHARGED C ADVLTAX 800.00 23.35 LISTED AS PERSONAL AND GAP BILLED IN ERROR TOTAL RELEASES:53.35 30125301 2018-11761 DY:0RP:43 9 BSG 3/5/2019 9:02:55 AM MIZE LINDSAY L C GARNFEE 0.00 16.98 C ADVTFEE 0.00 1.69 C ADVLTAX 0.00 5.78 CI50ADVLTAX 0.00 5.55 PAID BEFORE FEE ADDED TOTAL RELEASES:30.00 201850029900 2018-500299 DY:17 PERSONAL PROPERTY MP 3/5/2019 10:43:24 AM CARR CAROL WEAVER DOUBLE CHARGED C ADVLTAX 2,440.00 12.81 DOUBLE CHARGED C GARNFEE 2,440.00 30.00 NO GAP - PLATE TRANSFERRED TOTAL RELEASES:42.81 32513101 2017-33065 DY: PERSONAL PROPERTY RH 3/5/2019 3:33:57 PM 3M AUTO SALES LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 1,100.00 7.70 LISTING ADJUSTED PERSONAL PROPERTY CI50ADVLTAX 1,100.00 7.37 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 1,100.00 0.77 LISTING ADJUSTED PERSONAL PROPERTY CI50PEN FEE 1,100.00 0.74 BUSINESS CLOSED TOTAL RELEASES:16.58 32513101 2018-33065 DY: PERSONAL PROPERTY RH 3/5/2019 3:34:39 PM 3M AUTO SALES LISTING ADJUSTED PERSONAL PROPERTY C GARNFEE 1,100.00 30.00 LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 1,100.00 7.70 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 1,100.00 0.77 LISTING ADJUSTED PERSONAL PROPERTY CI50ADVLTAX 1,100.00 7.37 LISTING ADJUSTED PERSONAL PROPERTY CI50PEN FEE 1,100.00 0.74 BUSINESS CLOSED TOTAL RELEASES:46.58 65062201 2018-40224 DY: PERSONAL PROPERTY RH 3/6/2019 12:12:41 PM SMITH ANTONIO DERVELL LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 11,140.00 77.98 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 11,140.00 7.80 LISTING ADJUSTED PERSONAL PROPERTY FIREADVLTAX 11,140.00 1.11 LISTING ADJUSTED PERSONAL PROPERTY FIREPEN FEE 11,140.00 0.11 LISTING ADJUSTED PERSONAL PROPERTY C GARNFEE 11,140.00 30.00 SOLD TRAILER IN 2017 TOTAL RELEASES:117.00 RUN DATE: 3/11/2019 10:02 AM RELEASES REPORT Person County 120 NAME BILL NUMBER OPER DATE/TIME DISTRICT VALUE AMOUNT 46037301 2018-7431 DY: RP:A42 319 SRJ 3/6/2019 1:33:26 PM WHEELER DON STEWART LIEN FEE ADJUSTMENT C GARNFEE 0.00 30.00 CERTIFIED TO INCORRECT PARENT TRACT/SEE A42 1 TOTAL RELEASES:30.00 64734301 2018-200329 DY:17 PERSONAL PROPERTY RH 3/6/2019 1:56:01 PM LIGGINS SHAUN B LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 12,370.00 86.59 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 12,370.00 17.32 BOATS BILLED IN GUILFORD COUNTY TOTAL RELEASES:103.91 64734301 2018-200330 DY:18 PERSONAL PROPERTY RH 3/6/2019 2:09:50 PM LIGGINS SHAUN B LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 44,430.00 311.01 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 44,430.00 31.10 LISTING ADJUSTED PERSONAL PROPERTY FIREADVLTAX 44,430.00 4.44 LISTING ADJUSTED PERSONAL PROPERTY FIREPEN FEE 44,430.00 0.44 BOATS BILLED IN GUILFORD COUNTY TOTAL RELEASES:346.99 64734301 2018-200330 DY:18 PERSONAL PROPERTY SRJ 3/6/2019 2:51:09 PM LIGGINS SHAUN B LIEN FEE ADJUSTMENT C GARNFEE 0.00 30.00 TOTAL RELEASES:30.00 201850136700 2018-501367 DY:18 PERSONAL PROPERTY SRJ 3/8/2019 9:42:11 AM STGEORGE THERESA ANN LIEN FEE ADJUSTMENT C GARNFEE 0.00 30.00 TOTAL RELEASES:30.00 41810310 2018-5527 DY:0RP:A50 22 SRJ 3/8/2019 11:19:59 AM HESTER CRAIG LIEN FEE ADJUSTMENT C ADVTFEE 0.00 3.00 TOTAL RELEASES:3.00 67694101 2018-41068 DY: PERSONAL PROPERTY RH 3/8/2019 1:05:29 PM QUALITY GRILL LISTING ADJUSTED PERSONAL PROPERTY C GARNFEE 6,340.00 30.00 LISTING ADJUSTED PERSONAL PROPERTY C ADVLTAX 6,340.00 44.38 LISTING ADJUSTED PERSONAL PROPERTY C PEN FEE 6,340.00 4.44 LISTING ADJUSTED PERSONAL PROPERTY CI50ADVLTAX 6,340.00 42.48 LISTING ADJUSTED PERSONAL PROPERTY CI50PEN FEE 6,340.00 4.25 BUSINESS SOLD NEW OWNER F18 TOTAL RELEASES:125.55 4500304 2018-3830 DY:0RP:A16 41 SRJ 3/8/2019 4:06:02 PM OAKLEY CINDY WILLIFORD LIEN FEE ADJUSTMENT C GARNFEE 0.00 30.00 TOTAL RELEASES:30.00 4500302 2018-14003 DY:0RP:97 7 SRJ 3/8/2019 4:08:48 PM OAKLEY CINDY W LIEN FEE ADJUSTMENT C GARNFEE 0.00 30.00 TOTAL RELEASES:30.00 NET RELEASES PRINTED:9,440.23 TOTAL TAXES RELEASED 9,440.23 RUN DATE: 3/11/2019 10:02 AM RELEASES REPORT Person County 121 C ADVLTAX - County Tax TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2017 2017 0 1,100 1,100 0.00 7.70 0 0.00 1,100 7.70 2018 2017 0 315,810 315,810 0.00 2,206.40 0 0.00 315,810 2,206.40 2018 2018 0 308,956 308,956 5.78 2,180.44 0 0.00 308,956 2,186.22 DIST TOTAL 0 625,866 625,866 5.78 4,394.54 0 0.00 625,866 4,400.32 C ADVTFEE - ADVERTISING FEE TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2018 2018 0 0 0 49.69 0.00 0 0.00 0 49.69 DIST TOTAL 0 0 0 49.69 0.00 0 0.00 0 49.69 C BEOFFEE - BEER OFF PREMISES TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2018 2018 0 0 0 0.00 5.00 0 0.00 0 5.00 DIST TOTAL 0 0 0 0.00 5.00 0 0.00 0 5.00 C GARNFEE - GARNISHMENT FEE TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2018 2017 0 2,440 2,440 0.00 60.00 0 0.00 2,440 60.00 2018 2018 0 21,380 21,380 106.98 240.00 0 0.00 21,380 346.98 DIST TOTAL 0 23,820 23,820 106.98 300.00 0 0.00 23,820 406.98 C PEN FEE - County Late List TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2017 2017 0 1,100 1,100 0.00 0.77 0 0.00 1,100 0.77 2018 2017 0 313,370 313,370 0.00 438.72 0 0.00 313,370 438.72 2018 2018 0 308,156 308,156 0.00 215.72 0 0.00 308,156 215.72 DIST TOTAL 0 622,626 622,626 0.00 655.21 0 0.00 622,626 655.21 C WIOFFEE - WINE OFF PREMISES TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2018 2018 0 0 0 0.00 25.00 0 0.00 0 25.00 DIST TOTAL 0 0 0 0.00 25.00 0 0.00 0 25.00 CI50ADVLTAX - City of Roxboro TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2017 2017 0 1,100 1,100 0.00 7.37 0 0.00 1,100 7.37 2018 2017 0 301,000 301,000 0.00 2,016.70 0 0.00 301,000 2,016.70 2018 2018 0 252,586 252,586 5.55 1,692.33 0 0.00 252,586 1,697.88 DIST TOTAL 0 554,686 554,686 5.55 3,716.40 0 0.00 554,686 3,721.95 CI50PEN FEE - CI50PEN FEE TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2017 2017 0 1,100 1,100 0.00 0.74 0 0.00 1,100 0.74 2018 2018 0 252,586 252,586 0.00 169.24 0 0.00 252,586 169.24 DIST TOTAL 0 253,686 253,686 0.00 169.98 0 0.00 253,686 169.98 RUN DATE: 3/11/2019 10:02 AM RELEASES REPORT Person County 122 FIREADVLTAX - Fire District Tax TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2018 2018 0 55,570 55,570 0.00 5.55 0 0.00 55,570 5.55 DIST TOTAL 0 55,570 55,570 0.00 5.55 0 0.00 55,570 5.55 FIREPEN FEE - Fire LateList TAX YEAR RATE YEAR REAL VALUE RELEASED PERS VALUE RELEASED TOTAL VALUE RELEASED REAL TAX RELEASED PERS TAX RELEASED MV VALUE RELEASED MV TAXES RELEASED TOTAL VALUE RELEASED TOTAL TAXES RELEASED 2018 2018 0 55,570 55,570 0.00 0.55 0 0.00 55,570 0.55 DIST TOTAL 0 55,570 55,570 0.00 0.55 0 0.00 55,570 0.55 GRAND TOTALS:0 2,191,824 2,191,824 168.00 9,272.23 0 0.00 2,191,824 9,440.23 RUN DATE: 3/11/2019 10:02 AM RELEASES REPORT Person County 123 Payee NameAddress 3 Refund Type Refund Reason Create Date Tax JurisdictionLevy TypeTotal Change01 Tax ($53.62)50 Tax ($51.32)50 Vehicle Fee$0.00$104.9401 Tax ($17.50)50 Tax ($16.75)50 Vehicle Fee($20.00)$54.2501 Tax ($46.26)$46.2601 Tax ($26.60)$26.6001 Tax ($141.74)50 Tax ($135.67)$277.4101 Tax ($10.50)$10.5001 Tax ($13.65)$13.6501 Tax ($5.25)50 Tax ($5.03)50 Vehicle Fee$0.00$10.2801 Tax ($9.50)$9.5001 Tax ($38.09)$38.0901 Tax ($8.68)50 Tax ($8.31)50 Vehicle Fee($20.00)$36.9901 Tax ($18.86)$18.86HUTCHINSON, DANIEL ROSS ROXBORO, NC 27574Proration Vehicle Sold 03/08/2019HOWARD, NEVRA KAY ROXBORO, NC 27573Proration Vehicle Sold 03/08/2019HORNER, BRIAN CURTIS YOUNG ROXBORO, NC 27574Proration Vehicle Sold 02/15/2019HICKS, CHARLES GILLIAN ROXBORO, NC 27574Proration Vehicle Sold 02/15/2019HENDERSON, TYLER JOHANNAS ROXBORO, NC 27573Adjustment < $100 Damage 03/05/2019HARRIS, DUSTIN GRAY TIMBERLAKE, NC 27583Proration Vehicle Sold 02/27/2019GENTRY, TONY JEFFREY ROUGEMONT, NC 27572Proration Vehicle Sold 03/01/2019FRIEDL, PETER THOMAS WAKE FOREST, NC 27587Proration Reg . Out of state 02/20/2019FIRST CHOICE LEASING DURHAM, NC 27717 ProrationVehicle Sold 02/26/2019FIRST CHOICE LEASING DURHAM, NC 27717 ProrationVehicle Sold 02/26/2019DUNN, BOBBY WAYNE ROXBORO, NC 27573ProrationVehicle Sold 02/13/2019BURTON, TAMEKIA CANDISS ROXBORO, NC 27573ProrationVehicle Sold 03/01/2019124 Payee NameAddress 3 Refund Type Refund Reason Create Date Tax JurisdictionLevy TypeTotal Change01 Tax ($5.69)50 Tax ($5.45)50 Vehicle Fee$0.00$11.1401 Tax ($55.14)50 Tax ($52.78)50 Vehicle Fee$0.00$107.9201 Tax ($73.92)50 Tax ($70.75)50 Vehicle Fee($20.00)$164.6701 Tax ($53.26)50 Tax ($50.98)50 Vehicle Fee$0.00$104.2401 Tax $0.0150 Tax ($160.86)50 Vehicle Fee($20.00)60 Tax $2.40$178.4501 Tax ($117.77)60 Tax ($1.68)$119.4501 Tax ($28.23)60 Tax ($0.41)$28.6401 Tax ($15.63)60 Tax ($0.22)$15.85WILBORN, CHARLES JASON ROXBORO, NC 27574Proration Vehicle Sold 02/22/2019WAUGH KOC, MARGARET CORWIN ROUGEMONT, NC 27572Proration Vehicle Totalled 02/26/2019TURLEY, DIANNE LEE ROUGEMONT, NC 27572Proration Vehicle Totalled 02/22/2019MOONEY, SHELIA ALBERT ROXBORO, NC 27573Adjustment >= $100 Situs error 02/13/2019MCNEIL, SHARON CLIFTON ROXBORO, NC 27573Proration Vehicle Sold 03/05/2019JOYNER, STEVEN GLENN ROXBORO, NC 27573Proration Reg . Out of state 03/05/2019JOYNER, STEVEN GLENN ROXBORO, NC 27573Proration Reg . Out of state 03/05/2019JACOBS, FAYE BOWES ROXBORO, NC 27573Proration Vehicle Sold 03/04/2019125 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: FY18 Mental Health refund Background information: Cardinal Innovations refunded unspent funds from FY18. Summary of Information: All funds will be managed by the Health Department. Staff has gathered input from mental health providers and generated the following list: Organization Project title Project Description/Justification Cost Person County Group Homes Independent Living Program As requested by David Forsythe $10,000 Freedom House Recovery Center Community and jail peer support- 3 month pilot (April- June) and 1 surplus vehicle Staff is recommending a full-time position to continue providing mental health services in the jail AND offer similar services to mental health patients in the community. Funding to continue this program in FY20 will be included in the FY20 budget. This position will focus on individuals in the community who have recently been discharged from the hospital or who contact 911 and the Sheriff repeatedly. The goal of this position is to reduce calls and return visits to the hospital. One surplus vehicle will be transferred to Freedom House for this position. $7,908+ $3,500 vehicle Person Industries Shredder and Shredding Storage Replacement of old shredder and bins for storing confidential shred. $3,822 TOTAL $25,230 Recommended Action: Provide staff with feedback about funding recommendation and approve funding, if desired. Submitted By: Assistant County Manager, Sybil Tate 126 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Approve the PATS Vehicle Advertising Agreement & Policy Summary of Information: Over the past couple months, PATS has received inquiries regarding the possibility of local businesses and organizations to advertise on our vehicles. The FTA and NCDOT both allow for PATS to have these advertisements as long as it does not interfere with the required lettering of our name on the vehicle. PATS has identified various locations on the larger buses, known as light transit vehicles (LTVs) for these advertisements. Attached is the vehicle advertising agreement with terms and conditions, PATS advertisement policy and pictures of the locations. Currently PATS has 7 vehicles that could have advertisements with the possibility of 2 additional in future years with vehicle upgrades. The TAB board approved these documents and made a recommendation on the pricing at their March 6th, 2019 meeting. The minutes from that meeting are attached. Recommended Action: Review and adopt the vehicles advertising agreement and policy as written. If approved, PATS will offer this service starting in fiscal year 2020. Submitted By: Glen LaBar Jr. Public Transportation Director 127 Person Area Transportation System  Vehicle Advertising Agreement  _________________________ (agency) hereby contracts with Person Area Transportation  System (PATS)          (Business/Organization)   for the production and display of the outdoor advertising media on PATS buses advertising space controlled by  PATS upon the terms and conditions set forth here.  The term is for _________________ (months), running from ______________ (date of installation) until    _________________ (date of end of month of defined term). Below terms, location and vehicle options with  the pricing located of the adjacent page. Based on the rates at the end of this contract, please check and initial  the appropriate term, location choice and bus number(s). All pricing includes installation and removal upon  the end of the defined term.   Term: ________ (initial) 6 months ________ (initial) 12 months Location(s): ________ (initial) Back # 1 ________ (initial) Back # 2 ________ (initial) Driver Side #1  ________ (initial) Driver Side #2  ________ (initial) Street Side #1  Number of Vehicles:  1 vehicle    ________ (initial) 4 vehicles  ________ (initial) 7+ vehicles  ________ (initial)    2 vehicles  ________ (initial) 5 vehicles  ________ (initial)  3 vehicles  ________ (initial) 6 vehicles  ________ (initial)  Vehicle Numbers: _________________________________________________________ (initial) ________  If multiple locations, terms and vehicle numbers are needed, please write your contracted requests below.  __________________________________________________________________________________________  __________________________________________________________________________________________  __________________________________________________________________________________________  __________________________________________________________________________________________  __________________________________________________________________________________________  128 Based on the checked term, locations(s) and number of vehicles chosen above, the contracted amount due is:     _____________________.     By signing below, the agency agrees to the checked term, location and vehicles and the terms and conditions  set forth within this contract and the Transit System’s Advertising Statement Purpose of Purpose.      Agency Contact Information  Name and Title of Authorized Signer      Address      Phone      Email          X __________________________________________    Date: _________________          Agency Authorized Signature      X __________________________________________    Date: _________________  County Manager‐ Person County                                         129 Non‐profit 501(c)(3) rates:  1 to 2 vehicles  Back #1 or #2  (32x22)  $500 each for 6 months   $700 each for 12 months   Driver Side #1 or #2 (42x17)  $550 each for 6 months  $750 each for 12 months   Street Side #1  (42x17)  $600 each for 6 months  $800 each for 12 months     3 to 5 vehicles   Back #1 or #2  (32x22)  $450 each for 6 months   $650 each for 12 months  Driver Side #1 or #2 (42x17) $500 each for 6 months   $700 each for 12 months  Street Side #1  (42x17)  $550 each for 6 months   $750 each for 12 months    6 to 7 vehicles   Back #1 or #2 (32x22)   $350 each for 6 months   $550 each for 12 months  Driver Side #1 or #2 (42x17) $400 each for 6 months   $600 each for 12 months  Street Side #1 (42x17)   $450 each for 6 months   $650 each for 12 months      For profit rates:   1 to 2 vehicles  Back #1 or #2  (32x22)  $1000 each for 6 months   $1400 each for 12 months   Driver Side #1 or #2 (42x17) $1100 each for 6 months  $1500 each for 12 months   Street Side #1  (42x17)  $1200 each for 6 months  $1600 each for 12 months     3 to 5 vehicles   Back #1 or #2  (32x22)  $900 each for 6 months   $1300 each for 12 months  Driver Side #1 or #2 (42x17) $1000 each for 6 months   $1400 each for 12 months  Street Side #1  (42x17)  $1100 each for 6 months   $1500 each for 12 months    6 to 7 vehicles   Back #1 or #2 (32x22)   $700 each for 6 months   $1100 each for 12 months  Driver Side #1 or #2 (42x17) $800 each for 6 months   $1200 each for 12 months  Street Side #1 (42x17)   $900 each for 6 months   $1300 each for 12 months    *Rates are for each vehicle based on location                   130 Advertising Terms and Conditions    1) Person Area Transportation System (PATS) has a total of 14 vehicles within its fleet. Out of the 14  vehicles, 7 are considered to be light transit vehicles or buses. Due to space constraints, only buses will  be utilized for advertising purposes. On an average day, 4 of the 14 vehicles are spares and are not  operating. PATS cannot guarantee that all advertised vehicles will be utilized on a daily basis as vehicles  are rotated monthly.   2) The agency serves the right to choose the vehicle(s), by number they wish to advertise on.   3) PATS reserves the right to reject any artwork or copy, pictorial or otherwise, for any reason as  determined by PATS and may terminate this contract at any time by submitting a written notice of  termination to the agency. This contract is subject to the PATS Advertising Statement of Purpose,  which is incorporated here by reference.   4) Advertisements are in selected locations and cannot cover any portion of PATS’s logo or branding area.  Advertisements will be in defined sizes as determined by PATS.  5) Advertisements are not reusable once removed from the vehicle and will be discarded at the time of  removal.   6) Payment must be made in advance and will be due within 30 days of invoice. Once payment is  received, the advertisement will be designed and placed on the vehicle. The advertisement will run  until the end of the month of the given term no matter the start date within the installation month. If  the agency chooses, the agency may sign another agreement prior to the end of the previously defined  agreement to have the advertisement remain on the vehicle for the next determined term. All  advertisements will be removed immediately after the end of the defined term.  7) Any failure or delay by PATS to perform the duties and/or provide advertising exposure hereunder by  reason of labor disputes, construction delays, printing delays, vandalism, governmental action or order,  including the enforcement of any law, regulation, ordinance, or act of God, including weather  conditions, vehicle retirement, or vehicle accident/malfunction or other similar causes shall not  constitute a breach of this contract. PATS’s options under such condition shall include (a) extension of  the term of this contract for a sufficient period to provide service equivalent in value to the value of  lost service, or (b) termination of this contract and refund all amounts paid to PATS for services not  provided pursuant to this condition. All complaints regarding services must be made in writing within  seven (7) calendar days from the time of observance of the condition or event to which the complaint  refers.   8) The agency, jointly and severally, agree to indemnify and hold harmless PATS, its officers, employees  and agents from and against any and all loss, claims, liability, demands, expenses and costs (including  attorney’s fees) arising out of any advertising pursuant to this contract.   9) Advertisements must be in the submitted to PATS in the form of an Ai file or PDF file. Files sent in the  form of any other file type will be charged an artwork fee of $50.00.   10) PATS reserves the right to photograph the bus advertisement and utilize any such photographs for its  own advertising and promotional purposes.   11) This contract and all documents incorporated by reference set forth the full agreement of the parties  and there are no other understandings or agreements not set forth herein. This contract may be  amended only in writing signed by the parties.   131 Advertising Policy     Not a public form:  PATS is selling space upon its buses for the display of commercial advertising. The purpose is to raise revenues,  supplementary to fares and tax proceeds, to be used to finance its operations. The display of advertising is  solely for this purpose. It is not intended to provide a public forum for purposes of communication or  expression of viewpoint, but rather to make use of PATS property held in proprietary capacity in order to  generate revenue, enhance the peace and comfort of its passengers and avoid interference with or disruption  to its transportation function.    Restricted Advertising:   To further this purpose, PATS will only accept commercial advertising and will not accept advertising content  that:   1. Discriminates against a person or section of the community on account of race, sex, age, sexual  preference, religion, disability, sexual orientation or political belief.   2. Contains false, misleading, deceptive or obscene language.   3. Promotes or opposes tobacco or alcohol products and controlled substances with the exception of  festivals and restaurants that have bars and/or serve alcoholic drinks but are advertised in such a way  as to not highlight the use or sale of alcoholic beverages.   4. Promotes the sale or distribution of firearms.   5. Promotes or opposes “adult entertainment” strip clubs and/or the sale of pornographic materials.   6. Portrays public transport in a negative manner.   7. Promotes or opposes a political candidate, office holder, political idea, party or ballot question.   8. Promotes or rejects any religious or atheistic idea, belief or organization. This includes all forms of  churches and any other religious or anti‐religious meeting places, organizations, or websites.   9. Contravenes any applicable law.   10. Contains sexual or reproductive material, scantily clad models, or is otherwise not suitable for viewing  by children.   11. Promotes or opposes any form of family planning or abortion.   12. Promotes criminal or violent behavior.    13. Promotes businesses owned by employees of the transit   14. Infringes upon any trademark, copyright or any other right of a third party    This advertisement contract, terms and conditions and policy are hereby adopted and approved by the Person  County Board of Commissioners and the Person Area Transportation System Transportation Advisory Board on  the 18th day of March, 2019.             _____________________________________          David B. Newell, Sr., Chairman         Person County Board of Commissioners                     _____________________________________         Melinda Hudson  Transportation Advisory Board Chairperson         132 Person Area Transportation System 341 S. Madison Blvd Roxboro NC 27573 (336) 597-1771 Fax (336) 330-2311 Transportation Advisory Board (TAB) Minutes March 6th, 2019 Members Present: Pam Cook Gregg Foushee Maynell Harper Charles Derrick Sims David Newell Melinda Hudson Kim Morgan Jason Torian Jerri Swann Bridget Goodwin Kelly Oswald Douglas Young Glen LaBar Jr. Special Guest: Sandra Stanfield DSS Supervisor & Sybil Tate Assistant County Manager (Authorizing Official designee) Meeting was called to order at 3:58pm by Chairperson Melinda Hudson. Due to the large amount of newly appointed members, everyone introduced themselves. Minutes: The previous meeting (December 2018) minutes were approved. Maynell made a motion to approve the minutes and it was seconded by Kim. All members approved. Announcements: Glen announced the start of the new Roxboro Shuttle route (formerly the Uptown Roxboro Shuttle) on Monday March 4th. Melinda asked about ridership. Glen said it was about the same 133 but that PATS has received a large amount of calls asking about it. Melinda expressed concern about the 11:30 to 12:30 break. Glen said that the plan was to do a test run with the new schedule and if needed changes will be made on the needs. Maynell discussed how the Senior Center purchased prepaid tickets for the shuttle on a donation and that many seniors are excited to utilize the service. Glen also announced that PATS will be providing services for dialysis patients on selected holidays and program trips for seniors. Old Business: Glen advised that the board currently has 13 members with one vacant permanent spot. The permanent spot is the RPO for Person County, which is the Director of the Kerr Tar Regional Council of Government. We are currently waiting for her application. Since Melinda stayed on the board and the new by-laws state a Chair and Vice-Chair will be elected every July, Melinda will remain as the Chair until July. Nominations were open for the vacant Vice-Chair position. Maynell nominated herself and the nomination was seconded by Kelly. All members approved. New Business: Item 1: Title VI Acknowledgement Form -Since the Title VI policy was updated reflecting the new Title VI Coordinator, all members were asked to sign the Title VI Acknowledgment Form. All members were emailed a copy of the policy. Item 2: Passenger Policy -Passenger Policy was updated by Glen and he brought it before the board to ask input from the Board. Glen advised that the policy was updated to discuss many items that have been brought up with passengers recently and have not been formally written. Glen advised the no-show wait time is recommended to stay at 5 minutes. There was a request for PI to make it 10 minutes but after some discussion with the Director, there was an agreeance of 5 minutes. Jerri said 5 minutes was reasonable, especially when a bus is full of passengers that need to get to their destination. She recalled one time where the driver waited 10 minutes and believes that it’s too long. Glen discussed proposed changes to fares, inclement weather and the food/drink portion. Kelly recommended reaching out to ABC 11 to have any delays or closing put on there. Melinda brought up a concern that in the past a wheelchair passenger had to have an attendant. Glen advised there was no policy on that and will address that issue with the staff. Kelly made a motion to approve the passenger policy as defined and the motion was seconded by Maynell. All members approved. 134 Item 3: TAB Member Manual & By-Laws -Glen advised it is a requirement that all new TAB members have an orientation session and a new member manual. All new members have gone through our new orientation process and all members have been emailed a TAB member manual. As part of the manual, the board must approve by-laws. The by-laws were sent out for members to review via email. Maynell asked if there were any changes since the email and Glen advised no. Glen advised that he was hoping to have the by-laws approved today to go before the Board of Commissioners at their March 18th meeting. Pam made a motion to approve the by-laws and was seconded by Kelly. All members approved. Item 4: Vehicle Advertisements -Glen told the Board that he had been approach by a number of businesses asking about advertising on the buses. Glen said he reached out to a number of other transit agencies and got some information. Glen handed out a proposed contract which had the pricing, locations and terms/conditions on it. Glen said he wanted input from the Board on the pricing and language. Glen did disclose that he had not put this before the County Attorney as he wanted to get the Board’s approval before hand. Kim and Maynell both asked about the possibility of having two sets of pricing, one for non-profit 501(c)(3) and one for profit organizations or businesses. Doug stated that he thought the pricing was low for profit organizations and businesses and that he has paid double to triple for advertising in the past. Glen advised he was looking at reasonable pricing for the area but enough to be able to cover the costs of application/removal and to bring in some additional revenue. Kelly made a motion to keep the current pricing for non-profits and to double the pricing for profit organizations/businesses. Maynell made a second of Kelly’s motion. All members approved. Glen advised he will adjust the pricing and forward on the contract to the County Attorney for review. Glen advised this would start July 1, 2019. Item 5: Rider Satisfaction Surveys -Glen advised about the results of the surveys that were collected in Jan. He said 20 surveys were collected with a variety of questions asked including recommending our services, customer service rating, prepaid ticket info and asking about other services we can provide. Overall the surveys were positive. Glen stated there were a few main recommendations on services including the ability to email in rides, operate 7 days a week, courtesy calls, exceptions for emergency transport needs and operate on Saturdays. Glen advised that passengers can email in there rides like DSS does to the pats@personcountync.gov email, we have been providing exceptions for emergency purposes at the Director’s approval and have given a lot of thought to operating on Saturdays. Glen advised he sent out a survey to the community today asking similar questions about operating on Saturdays and other opportunities. 135 Item 6: FY20 Budget -Glen provided a quick overview of the proposed FY20 budget. He advised the biggest change was a new software system request at a one-time cost of around $35000 and a monthly cost of around $700. Glen provided a quick overview of this system and how it will make PATS more efficient and allow PATS to possibly increase the cutoff time for transportation and eventually even provide same day service. Item 7: Marketing Ideas -Glen provided a quick overview of the marketing that has taken place over the past couple months and asked for ideas for future marketing. Melinda said that the door to door service at Cavel Village was awesome and it was appreciated. Glen told the Board to provide any input via email or phone as they thought of it. The meeting was adjourned at 5pm by a motion from Maynell. Pam seconded the motion and all members approved. Minutes taken and submitted by Glen LaBar Jr. 136 137 138 139 140 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Mobile Device Policy for Person County Government Employees Summary of Information: As technology continues to play an integral role in the delivery of government services, a new policy to address the best practices for managing mobile devices is needed. This policy seeks to safeguard county resources, while meeting regulations governing public information, IRS requirements, and Fair Labor Standards for employees. This policy will assist in preserving public information while protecting individual’s privacy. Currently county employees who require the use of a mobile device in conducting day-to-day business receive a stipend for use of their personal phones. This new policy will have a county-owned phone assigned to a particular position if required for the function of the job. The phone is assigned to a position and remains the property of Person County. If an employee then receives a request for public information related to cell phone use, it is easy to separate business use. In addition, if an employee terminates in a position with the County, it is easy to discontinue access to County resources with a County-owned device. Most other local governments have transitioned from stipend based cell phones to government- owned cell phones. The process of analyzing the use and need of mobile devices within our organization has allowed us to comply with regulations for usage. All employees are required to submit a request through their department head which is then reviewed by Human Resources and the County Manager. In a continuous effort to improve our organization and better support County employees, this Policy is proposed for review by the Board of Commissioners. The projected financial impact is $144,276 annually, with nearly 200 users including elected officials. This impact is an increase of $22,590 annually and includes an additional 25 users. Recommended Action: Receive the information and provide direction to the Manager. Submitted By: Heidi York, County Manager 141 Person County Government – Mobile Device Policy Page 1 Person County Government STANDARD PROCEDURE SUBJECT: Mobile Device Policy Effective Date: 7/1/2019 Department: Information Technology Policy No.: Prepared by: Chris Puryear, IT Director Revised: Approved by: # of Pages: 4 PURPOSE: Mobile devices are a critical and significant communications resource in conducting Person County Government business. As such, it is imperative to safeguard and maintain their operational effectiveness and appropriate use. This policy establishes criteria governing the authorized use of County-owned smartphones, tablets, and other (mobile) devices. DEFINITIONS: Mobile Device: A portable, wireless, computing device easily carried on one’s person. Examples include but are not limited to: laptop computers, smartphones, and tablets. Standard Phone: A cell phone with the standard features to allow voice calling. Smartphone: A mobile phone offering advanced capabilities beyond a typical cell phone, often with PC-like functionality. These advanced capabilities usually include email and Internet functionality. Personal call: A call made by a County employee that is personal in nature and not related to County business. The term personal call also includes personal text messages. Emergency personal call: An infrequent personal call that is of an urgent nature where using a County owned cell phone is the best option available. Encryption: Use of encoding electronic data to a secure form to protect it so it is unreadable to unauthorized persons. 142 Person County Government – Mobile Device Policy Page 2 OVERVIEW: Cell Phones:  County-owned cell phones, just like desktop computers, are the property of Person County Government. As such, there should be no expectation of privacy.  Text messages will be archived as required by North Carolina Public Record Laws and are subject to review by administration at any time.  Personal calls are discouraged. An exception is made for emergency personal calls.  All business-related tasks which involve the use of a cell phone (calling, texting, etc.) should be completed on a County-owned device whenever possible to ensure compliance with North Carolina Public Record Laws.  Shall be encrypted and managed by Person County’s mobile device management platform for security and application deployment purposes. Tablets and other Mobile Devices:  Devices running Microsoft Windows must be encrypted and joined to and managed by Microsoft Active Directory as setup by Person County IT.  All other devices shall be encrypted and managed by Person County’s mobile device management platform for security and application deployment purposes. ELIGIBILITY FOR COUNTY-OWNED DEVICES:  Cell phones are linked to positions, not employees. The Human Resources department will maintain a list of positions that are eligible for either a standard phone or smartphone. The Human Resources department and the County Manager will determine if the position meets the requirements based on the information provided by completing the Request for County-Owned Cell Phone form. Below are the criteria used to determine if a position qualifies for a County- owned phone: Standard Phone Criteria Smartphone Criteria 30% or more of work hours are out of the office 30% or more of work hours are out of the office and email and calendaring are needed On call 7.5 hours/month or more Frequent need of email and calendaring on nights and weekends Must be available 24/7 for public safety reasons Need email and internet for public safety purposes Grant Funded Cellular data service needed to perform required job functions Grant Funded  Tablets and other mobile devices are approved for use by County staff in the performance of their job duties. All provisions of this policy must be met in order for mobile devices to gain access to County resources. 143 Person County Government – Mobile Device Policy Page 3 PURCHASING: All mobile devices as defined in this policy must be approved by and purchased through the Person County IT Department. Any mobile device not purchased through the IT Department will not be given access to secured County resources. At the request of a Department Head or Supervisor, Person County IT will quote the appropriate equipment through an approved vendor and forward that information to the necessary purchasing authority. Upon approval, the PO shall be forwarded to Person County IT for purchasing, setup, and delivery of the device(s). USER RESPONSIBILITIES (include but are not limited to):  Ensure adequate physical security of the device. This includes the physical safeguarding of the device and the use of encryption and a security passcode to access County data.  Prevent the loss or compromise of County data. Do not copy or transfer County information from County applications, media, or devices to non-County applications, media, or devices.  Keep County data and personal data separated.  Report a lost, stolen, or compromised device immediately to the Person County IT Department so that appropriate security measures may be taken. DEPARTMENTAL RESPONSIBILITIES:  Request cellular device eligibility through the Human Resources department.  Request purchases through the Person County IT department.  Notify both Human Resources and Person County IT of any impending terminations as quickly as possible and maintain possession of the mobile device.  Make monthly payments to the service provider for cellular service as necessary.  Review monthly statements from the service provider to ensure appropriate use.  Request applications to be pushed to mobile devices (purchased by the requesting department) TERMINATION OF SERVICE: The department shall immediately suspend or terminate the monthly service on County- owned cell phones if any of the following conditions exist: 1. When an employee is out of work for more than 30 days their cell phone privileges must be suspended. Human Resources will notify the responsible parties when these situations arise. 2. When the requirement and business need by the employee ceases to exist, as determined by the County Manager and HR Department. 3. When the employee is transferred from the position or terminates employment with the County. 144 Person County Government – Mobile Device Policy Page 4 All employees who wish to receive mobile device privileges from Person County Government under this policy must agree to abide by all of the provisions of this policy. Any employee found to be out of compliance with the provisions of this policy may have their mobile device privileges revoked and be subject to other disciplinary measures. --------------------------------------------------------------------------------------------------------------------- By signing on the line below, I ___________________________________(please print) acknowledge that I have read, understand, and accept the terms of the Person County Mobile Device Policy as outlined on the previous pages. I also understand that by signing this policy, I am in no way being guaranteed a mobile device or access to County resources. Signed by: ________________________________________________________ Employee Signature Printed Name: _____________________________________________________ 145 AGENDA ABSTRACT Meeting Date: March 18, 2019 Agenda Title: Consideration to change the location of the April 15, 2019 regular- scheduled Board meeting to the County Office Building Auditorium Summary of Information: Due to the elevator being out of order for modernization, staff recommends changing the Board’s April 15, 2019 meeting location to the auditorium to ensure the public has access to attending the Board meeting. Recommended Action: A motion to change the Board’s April 15, 2019 location to the County Office Building Auditorium. The start time of the meeting remains unchanged at 9:00am. Submitted By: Heidi York, County Manager 146 AGENDA ABSTRACT Meeting Date: Mar. 18, 2019 Agenda Title: EV charging station Summary of Information: Person County is one of 24 counties in NC that is eligible for the Clean Fuel Advanced Technology (CFAT) grant due to our air quality. The CFAT grant funds 80% of projects and requires that the applying organization provide a 20% match. The Person County Museum of History board discussed the possibility of having an EV charging station at the museum, which is located on Person County’s property, at their last board meeting. The Museum Board would like to request permission to allow an EV charging station to be installed on the county’s property. The museum would be responsible for paying the “connection” fee, which is $60/year. The county would be responsible for the electric bill, which it currently pays through the General Services budget. Recommended Action: Approve staff to pursue the grant Submitted By: Assistant County Manager, Sybil Tate 147 AGENDA ABSTRACT Meeting Date: March. 18, 2019 Agenda Title: Strategic Plan: Worksession 1 Background: At the FY20 Budget Retreat, the BOC asked staff to engage in a strategic planning process. The Board directed staff to help create a plan that was focused on Person County Commissioners’ goals for the next 5 years. Summary of Information: Staff will provide an overview of strategic plans and facilitate discussion amongst commissioners about their priorities for the next 5 years. Recommended Action: n/a Submitted By: Assistant County Manager, Sybil Tate 148 3/18/2019 1 MARCH 18, 2019 Person County Strategic Plan Schedule Work Session 1: March 18th Staff will present an overview of other counties’ strategic plans. Discuss individual list of 10 objectives Work Session 2: April 1st- 6pm, before regular meeting Staff will present potential strategic plan goals based Staff will gather feedback from commissioners about additional objectives Staff will gather feedback from commissioners about performance measures Work Session 3: April 15th - after your regular meeting Staff will provide a final draft of the 5 year strategic plan Staff will recommend internal implementation teams to work on each Goal Work Session 4: May 6 th- 6pm, before your regular meeting Staff will present final strategic plan, including costs to be adopted in FY20’sbudget Board will decide whether or not to adopt the strategic plan 149 3/18/2019 2 Common Elements of Strategic Plans GOALS- usually 5-6 (Government Efficiency) OBJECTIVES – breakdown the goals into categories (Improve bond rating from AA- to AA by 2022) ACTIONS/STRATEGIES- specific programs or projects that help achieve an objective (present debt model to bond rating agencies in FY2021) MEASURES -chosen to track progress (ie. bond rating) Discussion What are your objectives for the next 5 years? 150