Monday, March 07, 2016

Transcription

COUNTY OF DARE
PO Box 1000, Manteo, NC 27954
DARE COUNTY BOARD OF COMMISSIONERS
Dare County Administration Building
954 Marshall C. Collins Dr., Manteo, NC
Monday, March 07, 2016
“HOW WILL THESE DECISIONS IMPACT OUR CHILDREN AND FAMILIES?”
AGENDA
9:00 AM
CONVENE, PRAYER, PLEDGE OF ALLEGIANCE
ITEM 1
Employee of the Month
ITEM 2
Opening Remarks - Chairman's Update
ITEM 3
Public Comments
ITEM 4
Report on Jennette's Pier
ITEM 5
DCDHHS Public Health Division - Update on the Zika Virus
ITEM 6
Classification and Compensation Study
ITEM 7
Award of FY2015-2016 Vehicle and Equipment Financing
ITEM 8
Resolution Approving an Installment Financing Contract with the Dare County Public
Facilities Corporation and Related Matters
ITEM 9
Public Hearing – 10:00 a.m.
Public Hearing for Series 2016A LOBs
ITEM 10
Consent Agenda
1. Approval of Minutes (02.11.16 Retreat & 02.15.16)
2. Government Education Access Channels 2016/2017 Proposed Budget
ITEM 11
Board Appointments
1. Health and Human Services Board
2. Upcoming Board Appointments for April, May, June 2016
ITEM 12
Commissioners’ Business & Manager’s/Attorney’s Business
ADJOURN UNTIL 9:00A.M. ON APRIL 4, 2016
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Employee of the Month
Description
The Employee of the Month certificate will be presented.
Board Action Requested
None
Item Presenter
To Be Determined
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Opening Remarks - Chairman's Update
Description
Dare County Chairman Robert Woodard will make opening remarks.
Informational Presentation
Item Presenter
Chairman Robert Woodard
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Public Comments
Description
The Dare County Board of Commissioners will provide time on the agenda for Public Comments.
Hear Public Comments
Item Presenter
Robert Outten, County Manager
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Report on Jennette's Pier
Description
A report on the operation of Jennette's Pier will be presented to the Dare County Board of Commissioners.
Informational Presentation
Item Presenter
Michael P. Remige, Director - Jennette's Pier at Nags Head
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JENNETTE’S PIER
ANNUAL REVIEW ‐ 2015
Mike Remige, Director – March 7, 2016
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JENNETTE’S PIER ANNUAL REVIEW
• Statistics
• Operations
• Projects & Exhibits
• Research & Ocean Observing
• Community Events & Activities
• Facility Rentals
• Education
• Conservation
• Notable Highlights
• Looking Ahead ‐ 2016
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JENNETTE’S PIER STATISTICS 2015
Pier visitation – 189,538 (1% increase over 2014)
 Fishing admissions – 32,829
 Walk‐on admissions – 125,246
Programs/Camps – 206
 Program/Camp participants – 1,962
NC school student field trips – 84
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JENNETTE’S PIER OPERATIONS – DNCR Department of Natural & Cultural Resources
The NC Aquariums, NC Zoo, State Parks and the NC Museum of Natural Sciences have joined Arts, History and NC Libraries in a brand new department.
Goals: • House all state‐owned treasures under one roof
• Collectively conserve, protect and promote NC’s natural and cultural resources
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JENNETTE’S PIER OPERATIONS ‐ STAFF Tony Wilcox
Facility Maintenance Supervisor
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JENNETTE’S PIER OPERATIONS ‐ STAFF Jim Mulford
Security
The Jim Mulford Memorial Red Drum Fishing Tournament
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JENNETTE’S PIER OPERATIONS ‐ PERFORMANCE Inspire. Appreciate. Conserve.
In support of our mission, Jennette’s Pier incorporates conservation principles into daily activities and long‐term initiatives. Our platinum LEED certified facility saves money and resources, has a positive impact on visitors and demonstrates renewable energy technology.
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JENNETTE’S PIER OPERATIONS ‐ PERFORMANCE 2015 – Wind Power
Wind Turbines generated 59,475 kWh
Facility lighting consumed 57,873 kWh
Wind Turbines have reduced carbon (CO2) emissions by 70,243 lbs.
Wind Turbines provide an invaluable educational tool
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JENNETTE’S PIER OPERATIONS ‐ PERFORMANCE 2015 – Reclaimed Water
324,311 gallons of municipal water used
2,218,300 gallons of reclaimed water used
87% of Jennette’s Pier’s water is reclaimed
Benefits of using reclaimed water:
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Reduces water bills significantly.
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Alleviates overloading septic systems. •
Unused reclaimed water is returned directly to the local aquifer.
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Encourages a connection between people and their water use by providing a unique educational opportunity for our visitors and guest.
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JENNETTE’S PIER OPERATIONS ‐ PERFORMANCE Stormwater Retention
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JENNETTE’S PIER OPERATIONS ‐ PERFORMANCE Solar ‐ Planning for the Future
Jennette’s Pier is currently researching new ways to enhance and expand our sustainability efforts by working towards introducing new technologies and expanding educational opportunities.
A site assessment conducted in October 2014 concluded that Jennette’s Pier could add a 50kW net‐metered photo‐voltaic solar system on the pier house, pump house and a newly constructed covered walkway for $250,000 more than doubling the capacity to produce renewable energy on‐site.
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JENNETTE’S PIER PROJECTS
1. Comprehensive Web Site Redesign 2. Digital Security Camera Upgrade
3. Custom Terrace Curtains Installed
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JENNETTE’S PIER EXHIBITS
Life in a Drop of Water
Interactive exhibit highlighting plankton that was developed in‐house and in partnership with: • NOAA’s Phytoplankton Monitoring Network • First Flight Phyto‐finders student research team
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JENNETTE’S PIER EXHIBITS
Ocean Observing Data Display
in partnership with UNC Coastal Studies Institute
Sample Data Sources:
• Waverider buoy (9 miles off Oregon Inlet) – offshore wave height, period, direction, sea surface temp
• Weatherflow meteorological station (JP) – wind speed and direction, air temp, barometric pressure
• Coastal Ocean RADAR (Duck & Buxton) – ocean surface current direction and speed
• Acoustic Wave & Current Profiler (JP) – local wave height, period, direction, currents, bottom temp
• Digital water thermometers (JP) – sea surface and bottom temp
• Regional surf forecast – provided by Surfline.com
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JENNETTE’S PIER RESEARCH & OCEAN OBSERVING
Research Center Upgrades
Thanks to the UNC Coastal Studies Institute
1. Installation of a cable trough
2. Installation of two digital water temperature sensors
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JENNETTE’S PIER COMMUNITY EVENTS & ACTIVITIES
We were proud to host…
•
Soundside (Surfside) Live!
•
EVP Beach Volleyball Tour
•
Surf Contests (11)
•
Run & Bike races (5)
•
Fishing Tournaments (4)
•
Surfing for Autism
•
Blood Drive and Health Forum
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JENNETTE’S PIER FACILITY RENTALS
Total Events –
93
(11,210 guests)
• Weddings –
54
(6,637 guests)
• Corporate/Business – 14
(1,882 guests)
• Government/School – 15
(1,608 guests)
• Private –
1
(60 guests)
• Service Provider –
1
(111 guests)
• Other ‐
8
(912 guests) 24
JENNETTE’S PIER EDUCATION PROGRAMS
Programs & Camps • Fishing – 154
• Science – 16
• Nature Tours – 7
• Day Camps – 37
• Week‐long Summer Camps – 13
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JENNETTE’S PIER CONSERVATION EFFORTS
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NC Aquariums’ Conservation Program
Mission ‐ Support and foster a culture of stewardship, grounded in science, to better understand and save animals in our care. Vision –
1. Thriving populations of sharks, sea turtles, amphibians exist in the wild. 2. Aquariums maintain and expand animals in their care primarily through breeding programs, animal exchanges, and minimal well‐
managed wild collection.
Call for research/conservation proposals – May 1 ‐ June 1, 2015
Received 15 proposals – Conservation Advisory Committee reviewed all proposals based on alignment to committee goals, AZA goals, and NC Aquariums’ mission
Awarded funding to 8 proposals – July 1, 2015
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NC Aquariums’ Conservation Program
Funded Projects: $166,722.00
1. Investigation of Vitamins and Trace Minerals in Bonnethead Sharks and their Relation to ‘Failure to Thrive Syndrome’ – Dr. Emily Christiansen (NC Aquariums)
2. Investigation of the Metabolome Following Different Capture Techniques of the Bonnethead Shark – Dr. Michael Stoskopf (NCSU Veterinary School)
3. Seasonal Residency Patterns, Landscape‐scale Habitat Use, and Movement Ecology of Bonnethead Sharks in NC Estuaries – Dr. Joel Fodrie (UNC‐CH Institute of Marine Sciences)
4. Genetic Diversity, Population Structure and Movements of the Bonnethead Shark in North Carolina Waters – Emily Peele (NC Aquarium at Fort Fisher)
5. Trial Treatment Investigation for Gyrodactylid spp Found on Locally Collected Pipefish – Christian Legner and Saiward Turnbaugh (NC Aquarium on Roanoke Island)
6. Ketoprofen pharmacokinetics in loggerhead sea turtles – Dr. Craig Harms (NCSU Veterinary School)
7. ATV Sea Turtle Monitoring – Karen Gregory (Network for Endangered Sea Turtles) 8. Fish Propagation Programs at the North Carolina Aquariums – David Cerino (Carteret Community College)
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Responsible Pier Initiative
Jennette’s Pier is the first pier in NC to join this first‐of‐its‐kind program designed by the Loggerhead Marinelife Center to provide first‐responders on fishing piers with the necessary resources to respond effectively to sea turtle injuries and strandings on or around fishing piers. 29
JENNETTE’S PIER CONSERVATION ACTIONS
Pollution Prevention
•
•
Proper trash, recycling and cigarette receptacles
Mono‐filament recycling on the pier and in the pier house
Educational Signage
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JENNETTE’S PIER CONSERVATION ACTIONS
Underwater Clean‐up
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JENNETTE’S PIER NOTABLE HIGHLIGHTS
UNC‐TV’s premier outdoor series, the Carolina Outdoor Journal, filmed an episode at Jennette’s Pier on May 14, 2015
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Uncommon Catches
Striped Cusk Eel
Gag Grouper
Angel Shark
Smooth Puffer
Octopus
Ladyfish
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Ribbonfish
Staff Awards
Award of Excellence – Tony Chirico
Sea Star Award – Ken Partlow & Rick Probst
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JENNETTE’S PIER ‐ 2016
New Aquarium – LIFE ON THE LEDGE
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Proposed Changes – FEES
Topic
2015
2016
1. Pin‐rig fishing fee (basic)
$3/day
$8/day
Choice of:
2. Pin‐rig fishing fee (annual pass holders)
$0/day
1. $8/day
2. $125/season (May 15 – Sept. 30)
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Underwater Clean‐up –
OLD PILING REMOVAL
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The Aquariums & Pier will be up for their accreditation inspection next year.
Accreditation is good for 5 years.
There are 218 accredited institutions world‐wide.
Application covers the following areas:
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General Information
Animal Care, Welfare & Management
Veterinary Care
Conservation
Education & Interpretation
Research
Governing Authority
Staff
Support Organization
Finance
Physical Facilities
Safety & Security
Guest Services
Other Programs
Miscellaneous
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Fishing, Family, Fun
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DCDHHS
Public Health Division
Update on the Zika Virus
Description
Sheila Davies, director of the Public Health Division will provide the Board with information regarding the Zika
Virus.
No Action
Item Presenter
Sheila F. Davies, PhD
40
Description
To review and discuss the proposals received regarding the Dare County Classification and Compensation Study
To approve one of the received Classification and Compensation Study proposals.
Item Presenter
Robert Outten, County Manager
Elizabeth Reilly, HR Director
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A Proposal to Conduct a
CLASSIFICATIONANDCOMPENSATIONSTUDY
for the
DARECOUNTY,NORTHCAROLINA
March 1, 2016
Primary contact for this proposal:
Chip King, Regional Director
115 Lanella Parkway
Conyers, Georgia
(770) 860-0192; Fax: (803) 366-1082
[email protected]
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DARNCOUNTY•CLASSIFICATIONANDCOMPENSATIONSTUDY
TABLEOFCONTENTS
A.EXECUTIVESUMMARY
B.PROJECTPLAN
PROJECT&RELATIONSHIPMANAGEMENT
METHODOLOGY
PROJECTTASKS
PROJECTSCHEDULE
C.FIRMBACKGROUND&QUALIFICATIONS
ABOUTOURCOMPANY
ABOUTOURPROFESSIONALS
ABOUTOURSYSTEMS
CLASSIFICATION&COMPENSATIONEXPERIENCE
PROJECTTEAM
D.CLIENTREFERENCES
E.PROJECTFEES
© The Archer Company, 2013
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Section A
Proposal Summary
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SECTIONA.EXEUCITVESUMMARY
STATEMENTOFUNDERSTANDING:
Dare County, North Carolina (the County), desires to hire a qualified personnel management consultant to
conduct a classification and compensation study. The study will include approximately 870 full time and part
time employees assigned to approximately 280 classifications. The County currently has two salary
schedules consisting of forty-five pay grades. The County has conducted several focused classification and
compensation studies since 2000. The County wishes to conduct a comprehensive classification and
compensation study in order to recruit and retain talented employees and to provide quality services to Dare
County.
The study should be done in accordance with generally accepted compensation methods and applicable
federal and state laws, utilizing accepted practices in the management and design of compensation systems.
The County desires the consultant to develop a sound classification and an equitable pay system and provide
tools to help the County sustain the system over time. It is important to both Human Resources and County
Management that any system developed during this process must be perceived as fair and balanced by the
employees represented in the plan. A well designed pay plan will achieve a careful balance between internal
equity (fairness) and external equity (competitiveness).
GOALS&OBJECTIVES:
The overall goals of the study are: (1) revise the existing classification and compensation system to ensure
that the County’s pay plan reflects the compensation philosophy; (2) recommend changes to improve or
update the compensation system based on job evaluation and market analysis; and (3) assist the County with
implementation and communication of the results. As part of this process, the Archer Company will work
with the County, the Project Team to design a classification and pay structure (number of classifications,
number of pay grades, width of salary ranges, etc.) to ensure that they support the County’s objectives and
compensation philosophy.
The County has specifically identified the following objectives for the pay plan:
x
Attract and retain qualified workers who will be paid equitable salaries
x
Provide fair salaries for all workers of the County
x
Provide the County with a salary structure that enables the County to maintain a competitive position
with other counties and companies within the same geographic area.
PROPOSALOVERVIEW
We are pleased to submit this proposal to conduct a Classification and Compensation Study for the County.
The project steps will include job analysis, classification and evaluation; job documentation, market analysis;
the development of a recommended pay plan (new or revised) and reports detailing our findings and
recommendations. The study will include recommendations for implementing the proposed
recommendations and ongoing communication with County management and Human Resources staff.
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In keeping with this understanding, the Archer Company will conduct the tasks outlined below. All tasks will
be performed in coordination and cooperation with management, with significant input and participation
from the County’s management team and employees as appropriate. The Archer Company will:
(1) Conduct a thorough analysis of the County’s positions in order to identify and redefine job
classifications as necessary to reflect current operations and work assignments within the County
(this may include the consolidation of existing job titles as appropriate);
(2) Implement a new job evaluation system in order to provide the County with tools to sustain sound
classification system and an equitable pay system;
(3) Evaluate all classifications using our innovative point factor job evaluation matrix in order to
establish a job worth hierarchy that ranks classifications properly ranked internally (re-establish
internal equity);
(4) Develop class descriptions for the revised classification structure;
(5) Conduct a salary survey and analysis to assess the competitiveness of the County’s salaries in the
market and to align the new pay plan with the competitive market;
(6) Develop a pay plan that will accommodate our findings and balance internal equity with market
considerations;
(7) Develop a plan for implementing the results of the study, to include cost analysis and projections for
implementation costs;
(8) Prepare reports detailing our findings; and
(9) Train Human Resources staff in the use of the systems and methodology needed to maintain the pay
plan internally.
This project will be organized as a strategic partnership between the Archer Company and the County’s
Management and Human Resources staff. The Archer Company expects to work closely with management,
the Compensation Task Force and employee group in order to ensure the success and long-term viability of
the pay plan and to facilitate the implementation of our recommendations. We will draw from our extensive
experience working with local governments in order to provide management with an objective, unbiased
assessment of the County’s competitiveness in the market.
The Archer Company understands that this project is of significant importance to the County. All
recommendations made during the study must be supported by objective analysis (data driven rationale) and
valid methodologies in order to promote the credibility of the findings to both management and employees.
While the Archer System will utilize a system and methodology proven to provide reliable and objective
findings to develop recommendations, our methods and report formats may be customized to meet the
County’s specific needs. We also understand that communication, perception and buy-in will play a key role
in whether the plan will meet with success in this project. We recognize that any recommendations developed
during this process must be perceived as fair and balanced by the employees represented in the plan.
STUDYREQUIREMENTS
The consultant will analyze the County’s pay plan and update or design a system to achieve the goals and
objectives outlined. The following list outlines specific requirements.
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The County has identified the following steps to be undertaken during this
study:
1. Review the County's existing compensation classification system
2. Gather necessary information through the use of questionnaires, job audits,
personal interviews or other accepted methods.
3. Work with the County's management staff to identify a market position for
the County.
4. Develop a comprehensive labor market salary survey for an appropriate
region that includes other Counties, governments and private industry.
5. Analyze existing internal hierarchy based on job relationships, identify
problem areas within the internal hierarch system, and propose
implementation methods to correct identified problems.
6. Prepare class descriptions.
7. Develop a pay plan identifying specific parameters (i.e., percent spreads
between ranges and within ranges).
8. Review and assign all positions to an appropriate pay grade.
9. Recommend implementation strategies including calculating the cost of
implementing the study.
10. Provide staff training to maintain and revise system as needed.
11. Provide system documentation and computer formats as approved by the
County.
12. Prepare cost analysis for positions that fall below the proposed minimum
salaries following reclassification.
13. Develop a comprehensive classification/compensation plan for County
employees based upon an objective analysis and evaluation of job content.
Such compensation plan must provide internal equity and yet be
competitive in the marketplace in attracting and retaining qualified
employees.
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Section B
Project Plan
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SECTIONB.PROJECTPLAN
A.PROJECT&RELATIONSHIPMANAGEMENT
Relationship Management: While the Archer Company utilizes a team approach in our work, every
client is assigned a senior manager who will manage the project and serve as the primary project liaison to
the client. The project manager is expected to devote a significant amount of time to the project and will
be hands-on in the development of all recommendations. The workload of all of our consultants is
balanced to ensure that they give their full attention to each task at hand and complete deliverables in a
timely manner. The team approach ensures that all work receives the scrutiny of a second and usually
third set of eyes—even the work of our most experienced consultants is subject to review by the team to
ensure the highest quality of service.
Back-up Procedures: The Archer Company is committed to exceptional customer service, which means
that our clients should have open communication with and reasonable access to their assigned project
manager. Our principals use the latest technology to maintain contact with our clients while in or out of
the office—this allows us to communicate and respond to inquiries via cell phone, email, or text messages
when traveling. Phones from the local offices will be forwarded to the corporate office as a backup
measure. Should the project manager be out of contact for an extended period of time, members of the
project team will be available to answer questions and address issues as needed. In extreme cases, a
temporary or replacement manager will be assigned subject to the client’s approval. If at any time the
client is unsatisfied with the level of service they receive, they may contact the President of the company
directly for resolution of the problem.
Client Communication and Coordination: The Archer Company is committed to active communication
and coordination with the County’s project team and County management. It is expected that regular
communication between management and the Archer Company will help to keep the project on track and
ensure a successful outcome.
x
Involvement from the County’s Human Resources staff and project team: We have developed a
turn-key approach that will limit the burden on County staff. The Archer Company expects to conduct
all analyses independently, soliciting input and feedback from Human Resources on design and
structure at critical points in the development of the pay plan. We will ask Human Resources to assist
with scheduling and coordination of meetings and to approve all formats, pay plan elements,
recommendations, and draft reports. In this way, we can use the County’s time wisely and maximize
the utilization of County resources.
x
Project Meetings: The Archer Company will meet with the Project Team as appropriate during
strategic points of the study in order to seek their input and facilitate their review of key components
and deliverables of the study. County Management will be asked to participate in the decision-making
and review process; we also understand that the County may review the project status and progress as
needed.
x
Progress Reports: The Archer Company will submit periodic progress reports to management
throughout the study to apprise management of any issues that arise during the course of the study.
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Reports will detail specific accomplishments during the reporting period; account for the completion
of tasks pursuant to the provisions of the contract; and provide projected completion dates for
remaining project tasks. The progress reports will refer back to the project plan and timeline as agreed to in the
initial project planning.
C.METHODOLOGY/APPROACH
Based on our understanding of the County’s compensation needs, the Archer Company is pleased to offer the
following project plan to accomplish these objectives. The methodology utilized by the Archer Company is
consistent with the methodology employed successfully in all of our engagements of this nature nationally,
and is supported by our proprietary job evaluation system. This project is conceived as a multi-task effort—
while it is necessary to conduct the phases in the general order presented, there may be overlap in the time
frame for each task. As requested, we have also prepared a proposed timeline to accomplish the objectives.
All project tasks and deliverables will be scheduled so as to allow for timely completion.
PROJECTTASKS
The following is intended to be an outline of the project plan and progression of the proposed work; a more detailed
discussion of our methodologies is presented immediately after the scope of work.
Orientation Meetings
The Archer Company will conduct an orientation meeting with County management and the Project Team
to discuss any areas of concern related to the County’s current and future classification system and pay
plan and their expectations for the study. At that time we will also outline and explain our philosophies
associated with conducting the proposed classification and compensation study to assure a common
understanding regarding the basis for the study’s recommendations.
The Archer Company will ask the County to compile the following information:
x
x
x
x
x
x
Employee database containing pertinent information (identified by the Archer Company);
Copy of your current pay plans showing job titles, grades, and salary ranges (if available);
Current job descriptions;
Organizational charts for all departments included in the study;
List of department directors and key managers with phone numbers and email addresses; and
Copy of the current budget document.
CLASSIFICATION PLAN AND PAY PLAN DEVELOPMENT
Job Analysis
The Archer Company will establish internal equity for all job classifications first by conducting job
analyses and by reviewing current job classifications. We will analyze each job in the study to obtain a
thorough understanding of the scope of responsibility and the major job functions. Our job analysis
process is a three-pronged approach that begins with the administration of the Comprehensive Position
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Questionnaire (CPQ). The CPQ has proven very effective as a tool to gather in-depth data about each job
without placing too high an administrative burden on the employees.
x
To further our understanding of each job, the Archer Company will conduct department
director interviews and selected individual interviews. The interviews may be combined with
onsite observations. This proposal includes six days of interviews.
x
The Archer Company will review the County’s existing organization structure, job
documentation, and administrative procedures related to job classification and compensation.
x
Based on the CPQ’s and the employee interviews input we will develop a set of
recommendations regarding changes to the County’s classification structure by applying our
Job Evaluation Methodology to meet the County’s philosophy of broader classifications.
Job Evaluation
The County’s classifications will be carefully reviewed and analyzed against the information captured in
the job analyses phase. The Archer Company will make recommendations to add, delete, consolidate or
revise classifications as appropriate to ensure that they reflect current operations, new classification
expectations and position assignments throughout the County.
We will use the Archer Matrix-Point-Factor Job Evaluation System to determine the relative worth of
each job within the study (internal equity) to establish and to maintain a valid and reliable, long-term pay
plan. Job evaluations based on the job-related criteria yield a quantitative score for each job. Internal
equity is established by grouping jobs of similar complexity and importance (i.e., jobs with similar
quantitative scores) into the same pay grade. We will revise the “size” of the pay grades will be tailored to
the specific needs of the County.
The Archer Matrix-Point-Factor Job Evaluation System covers the following areas:
Job Function Requirements
Aptitude Requirements
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Data Utilization
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Language Requirements
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Human Interaction
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Mathematical Requirements
x
Equipment, Tools and Materials
Utilization
x
Functional Reasoning Requirements
x
Situational Reasoning Requirements
x
Manual Dexterity Requirements
Responsibility Requirements
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x
Managerial Span of Control
x
Physical Requirements
x
Time Span of Decisions and
Planning
x
Sensory Requirements
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Budgetary /Fiscal Accountability
x
Experience Related Requirements
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Educationally Related Requirements
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Environmental Adaptability
Requirements
The County will be asked to review a preliminary list of job evaluation rankings to provide our team with
input regarding the face validity of the outcomes. We will respond to management input regarding the job
evaluation results. The job evaluation process includes analysis of FLSA recommendations.
Salary Survey
The Archer Company will collect and compile salary data for the County and analyze the results in order to
assess the impact of the County’s competitive market on the pay plan. To the extent possible, we will also
solicit information regarding general compensation plan administration practices to aide our analysis. The
Archer Company will ask the County to approve the list of benchmarks and targeted survey participants prior
to survey development. Data collected in the surveys will be supplemented by data from published sources.
The data collected will be compiled and submitted to The County in a comprehensive, easy to read report.
1. Planning: The following tasks are expected to take place as part of the kick-off process:
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The Archer Company will work with the Project Team to define the competitive market. This
will include recommendations for the list of targeted survey participants that make up the
geographical area studied. The final list of organizations to be surveyed will be submitted to
the County for input and approval. Jurisdictions with the following characteristics are typically
surveyed: (1) organizations with which the County competes for employees; (2) organizations
which are recognized as important, or influential, in the local market place; (3) organizations
which are within proximity to the County’s competitive market (i.e. the same geographic
region); and/or (4) organizations with similar population, demographics, scope of services and
other quantitative filtering criteria.
x
The Archer Company will work with the Project Team to identify the list of benchmark jobs
that will be included in the salary survey. The final list of benchmark jobs will be submitted to
the County for input and approval. Benchmark jobs are generally selected to represent the
continuum of the County’s classifications, focusing on: (1) positions which are widely
recognized as possessing similar job content in most organizations; (2) positions for which the
County may have had difficulty recruiting and retaining a qualified work force; (3) positions
which represent a substantial number of employees as well as the various job families; and/or
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(4) positions which represent the full array spectrum of salary grades and ranges in the pay
plan.
2. Survey Construction: The Archer Company will construct a customized survey designed to
collect the data requested by the County. The Archer Company utilizes a specific format for salary
and benefits surveys that has proven to optimize the collection of the data while minimizing the
burden to participating organizations; however this format can be customized to meet the specific
needs and objectives of the County. Our surveys typically include sections regarding base and
supplemental pay, pay practices, and any supplemental questions the Archer Company or the
client feels would add to the value of the survey.
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Our standard salary survey solicits information regarding the pay ranges, average actual
salaries, number of employees covered, an indicator of the degree-of-match, and the
respondents’ title for each benchmark; we also ask for general information about the structure
of the pay plan and practices (colas, merit pay, adjustments, etc.).
x
In all of our engagements, the Archer Company prefers to utilize customized salary surveys to
help ensure validity, rather than relying on a database clearing house to compile the
information. However, we use data collected from credible published sources where necessary
and appropriate to supplement survey responses.
x
A draft of the survey document will be submitted to the County for review, and appropriate
revisions will be made before the survey is initiated.
x
The survey will be developed as an electronic form to facilitate completion by the targeted
organizations; participants can complete the form electronically or in hard copy.
3. Conducting the Survey: The Archer Company will conduct a customized salary survey for the
County and analyze the results in order to determine the competitive job market for the County.
x
The Archer Company will identify and compile the contact information for the targeted
organizations. Each organization will be contacted by phone to invite their participation in the
survey.
x
The Archer Company will distribute the electronic survey tool to all participants; paper
versions will be made available to participants if requested.
x
The Archer Company will contact each participant after the surveys have been distributed and
provide any follow-up assistance participants may need to complete the survey.
x
The Archer Company will make every reasonable effort to solicit and encourage the
participation of the targeted agencies; however, we may ask County personnel to follow-up on
any personal contacts that may help obtain participation.
4. Survey / Market Analysis: Salary data gathered is carefully analyzed to ensure a high level of
validity in our findings. The Archer Company will carefully analyze the results in order to assess
the County’s position relative to the competitive job market within which it competes.
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x
All data collected will be compiled, tabulated, and edited as appropriate, to facilitate the
comparative analysis and to ensure the accuracy and consistency of match with the County’s
benchmark jobs.
x
The Archer Company will contact participants directly to clarify their responses and to solicit
additional information as necessary to ensure that appropriate comparisons were made.
Significant differences between the job functions for similarly titled positions will be
identified and factored into our analysis.
x
The survey analysis will account for cost of living differentials, the size and scope of
participating organizations, and differences in job responsibilities as appropriate.
5. Design & Development of the Pay Plan: The Archer Company will incorporate our findings
from the review of internal equity with the data collected in the market analysis in order to provide
recommendations for the County’s pay plan.
x
The Archer Company utilizes mathematical regression analysis to integrate the relative worth
of classifications (job evaluation points) with the competitive worth of each classification in
the competitive labor market (market rates).
x
The regression analysis produces a pay schedule (a list of pay grades and their respective
salary ranges) that can be structured and customized to reflect the organization’s compensation
philosophy. Thus, the new or revised pay plan will be designed to meet both internal equity
and competitive needs. The recommended pay plan will reflect the cooperative result of
organizational discretion paired with the professional guidance and facilitation of the
consultant.
x
Job analysis and evaluation is used to establish the appropriate internal relationship between
benchmark classifications and the remaining classifications in order to tie non-benchmark
classifications to the plan.
x
The universal design of our system provides for optimal equity across departments and job
families.
6. Implementation and Administration: The Archer Company will work with the Project Team
Compensation Task Force to recommend strategies for implementing the updated pay plan (i.e.
transitioning employees to the new pay plan), to include calculation of costs associated with the
update if appropriate.
x
The Archer Company will assist the County in the calculation of implementation costs for the
recommended pay plan (i.e. placing employees into their new salary ranges based on their
proposed classification and pay grade) if appropriate. Implementation costs can be calculated
using standard methodologies or customized to meet specific needs of the County and can be
calculated to spread the costs over multiple years if necessary. Emphasis is placed on resolving
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existing pay issues in the most fair and equitable manner, taking into consideration financial
constraints and the County’s compensation philosophy.
x
Variables considered when calculating costs are open for discussion and buy-in; however they
are expected to include longevity, employee movement through the ranges, and a measure of
employee performance.
Final Report and Implementation
The Archer Company will provide a final narrative report containing the study methodology, data used,
findings and recommendations based on the feedback from the County.
We will train the Human Resources staff on the new classification and compensation plan so that the pay
plan can be maintained internally.
PROJECT TASKS
Following are specific tasks necessary to complete the classification and compensation study.
TASK 1:
Conduct Orientation Meetings
1.1
We will meet with the Project Team as the key contacts for the study to discuss
expectations with respect to the development and implementation of the study and
explain the CPQ. Project time frames will be finalized.
1.2
We will develop employee communication materials to outline the project and
assist with completing the CPQ’s.
TASK 2:
Employees Complete the Comprehensive Position Questionnaires
2.1
Selected employees will complete and return completed Comprehensive Position
Questionnaires (CPQs) for each job title to their immediate supervisors for review
and approval.
2.2
Supervisors will review and forward the completed questionnaires to the
appropriate department head.
2.3
Department directors will review and return the completed questionnaires to the
Human Resources who will review them for completeness and send them to the
Archer Company.
TASK 3:
Conduct Job Analysis
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3.1
The Archer Company will carefully review each completed CPQ and any employee
comments.
3.2
We will interview department directors and employees to discuss classification and
compensation issues. We anticipate conducting six consulting days of employee interviews
and observations.
3.3
We will develop recommendations for changes to the County’s classification structure and
specifications that we think are appropriate to accurately describe the work being
performed.
TASK 4:
Conduct Job Evaluation
4.1
The Archer Company will evaluate the data provided in the CPQs and obtained from the
employee interviews using the Archer Matrix-Point-Factor Job Evaluation System.
4.2
We will submit an initial job evaluation listing to the County for review.
4.3
We will respond to any concerns of the County regarding the job evaluation results.
4.4
We will develop class descriptions that will include a classification function, essential
functions, minimum qualifications, FLSA recommendation and knowledge, skills and
abilities.
TASK 5:
Conduct Salary Survey
5.1
The Archer Company and the County will define the target labor market and benchmark
jobs for the pay and benefits survey.
5.2
We will develop a salary survey instrument. The survey will request information about,
organization size, compensation practices, pay ranges and pay structure. We will submit
the survey instrument to the County for review.
5.3
We will identify and compile the contact information for the targeted organizations
and distribute the electronic survey instrument to participating organizations. We
will determine with the County which, if any, published surveys should be
considered.
5.4
We will analyze the pay survey data to calculate the mean market rates paid for the
benchmark jobs along with other compensation practices.
5.5
We will submit the analysis of the salary survey data to the County for review and
comment.
TASK 6:
Develop the Pay Plan
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6.1
We will integrate internal equity (job evaluation data) and external competitiveness (mean
labor market rates) for the benchmark jobs via linear regression analysis to determine pay
range midpoints once the “size” of the pay grades is determined. We will also make
recommendations based on pure market competitiveness.
6.2
We will work with the County to develop the number of pay grades and the pay range
structure.
6.3
We will assign the appropriate pay grade and pay range to each classification.
TASK 7:
Recommend Implementation Plan and Pay Plan Policies
7.1
The Archer Company will work with the County to develop the most appropriate
strategy for implementing the recommended pay plan.
7.2
The Archer Company will provide a pay plan implementation costing scenario.
TASK 8:
Present Draft Report and Recommendations
8.1
We will submit a recommended pay plan draft report to the County. The draft report will
include the new pay table, alphabetical listing of jobs, grade order listing of jobs, and an
installation schedule with implementation costs by department and employee.
8.2
The County will review and comment on the draft report.
TASK 9:
9.1
TASK 10:
Present Final Report and Recommendations
We will present our final report and recommendations and all other supporting data to the
County.
Provide Training
10.1
We will install the updated classification plan with the County’s Human Resource
Department. We will provide two days of onsite training.
10.2
We will provide one year of pay plan maintenance at no cost to the County.
D.PROPOSEDPROJECTSCHEDULE
The project timeline will be finalized during the initial meetings with management, and individual tasks
will be scheduled as appropriate to complete the study within the agreed upon timeframe. The Archer
Company can typically begin work within two weeks of notification that we have been awarded a
contract.
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The Archer Company has designed the following projected timeline for the project. Factors that generally
impact completion time frames include the time organizations take to return requested information and the
time the County requires to review our pay plan recommendations. Work progress for each major task
will be reviewed with the County’s project team at appropriate intervals in order to allow for review,
feedback, and validation of our findings. The projected time frame for the completion of the study is
described below based on weekly increments:
Project Task
Task #
Month / Week
1.0
Planning & Kickoff
Week 1
Planning Meetings*
Employees complete questionnaires
Weeks 1-3
County reviews questionnaires and submits them to Archer
Week 4-6
2.0
Complete Job Analysis
Review questionnaires and conduct job analysis
Weeks 6-8
Conduct employee interviews*
Weeks 9
Integrate Interview data with Analysis
Week 10
2.0
Evaluate classifications
Establish job worth hierarchy
Weeks 11-12
Confirm pay grade structure with County
Week 12
Submit internal equity to the County*
Week 12
County reviews & responds to internal equity
Week 12
Archer Company revises internal equity
Week 13
Develop class descriptions
Weeks 14-18
3.0
Market Analysis
Identify & approve benchmark positions
Week 3
Define & approve targeted labor market
Week 3-4
Construct customized salary survey*
Weeks 5
Conduct salary survey
Weeks 6-9
Analyze salary data
Weeks 10-12
Week 12
Submit initial market data & analysis*
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Project Task
Task #
Month / Week
Week 13
County reviews & responds to salary survey data
4.0
Develop the Pay Plan
Design pay plan structure
Weeks 14
Integrate internal & external equity (regression analysis)
Weeks 14
Submit draft pay plan to the County*
Week 16
Determine pay plan implementation scenarios
5.0
Weeks 17
Submit draft reports to the County
6.0
Week 18
7.0
Week 20
County reviews draft reports
Submit final reports (12 copies)
Archer presents findings to Commissioners
Week 20
9.0
Training for Human Resources
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(TBD)
Section C
Firm Background
& Qualifications
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SECTIONC.FIRMBACKGROUND&QUALIFICATIONS
About Our Company: The Archer Company, LLC is the flagship of a long established consulting
practice that began on the east coast, over thirty years ago and became nationwide through the marketing
and distribution efforts of Archer Consulting, Inc., David M. Griffith and Associates (DMG), Ltd. and
MAXIMUS, Inc. The Archer Company was established in 1978 for the sole purpose of providing Federal,
State and Local Governments with award-winning, valid and reliable human resource management
systems. For thirteen years, the human resource management systems created and copyrighted by the
Archer Company were marketed by the Human Resources Management Practice of MAXIMUS, Inc. In
July 2004, these practices were once again consolidated under the Archer Company. The Archer
Company has been a profitable company in all the years of its existence, which is a testament to the high
quality of services we provide and repeat client loyalty.
Today, the Archer Company is a leading human resources consulting firm specializing in the development
and implementation of compensation and classification systems for local government and public sector
organizations. We have extensive experience and expertise in the areas of job analysis and evaluation,
development of classification structures, salary and benefits surveys, market analysis, and job documentation.
The Archer Company also specializes in performance management, pay-for-performance programs, skillsbased / competency-based pay, career ladders, personnel policies and procedures, and other elements of total
compensation. Finally, the Archer Company has considerable experience in management studies,
organizational reviews, analysis of operations and staffing, process improvement, training and development,
and employee surveys and communication. We are proud of our successes, which have led to a long list of
satisfied clients.
The Archer Company is a limited liability company wholly owned (100%) by its principals. With
headquarters in Rock Hill, South Carolina (a suburb of Charlotte, NC), we staff offices in Atlanta
(Georgia), Chicago (Illinois), and Columbus (Ohio), with additional staff in California, Colorado, and
Virginia.
The County’s study will be managed from our Columbus office.
About Our Professionals: It takes experience to maintain the high level of service and to provide the results
offered by the Archer Company. We bring to bear industry best practices in organization design, provided by
client service professionals who have actually worked as local government managers and who, as a result of
their experience, understand the practical implications of organizational change. We understand the public
sector environment, its issues and concerns, the requirements of government leaders, and how to develop an
equitable, defensible classification and compensation plan. Our professionals have the ability to communicate
and interact with employees at all levels of the organization, including Elected Officials, management,
professionals, technicians, laborers, and public safety personnel. Team members have extensive knowledge
and understanding of the various areas of local government. Thus, we are uniquely qualified and staffed to
complete all of the tasks associated with a public sector engagement. This means only minimal time and
involvement is required from our government clients.
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About Our Systems: The Archer Company utilizes a number of proprietary products in its classification and
compensation work. They include the Archer Comprehensive Position Questionnaire, the Archer MatrixPoint-Factor Job Evaluation System, the Archer Multi-Dimensional Performance Appraisal System, and the
Archer Quality of Work Life Survey. These products are the result of 27 years of research; and all have won
an outstanding practitioner award given by the American Society for Personnel Administration (now the
Society for Human Resource Management). They were developed and copyrighted by Ernest R. Archer,
Ph.D., the President of the Archer Company. Even though they are based upon the complex mathematical
relationships required for valid and defendable systems, all of our systems are easily administered and
maintained. Because these systems also facilitate change, clients who adopted our systems years ago have
been able to maintain sound, reliable human resource programs through their organizations' growth and the
many recent changes in computerization capabilities and government service obligations.
Classification & Compensation Experience: Since our inception, the Archer Company has developed
classification and compensation studies for more than one thousand union and non-union cities, counties,
utilities, airports, school districts, housing authorities, colleges, other public agencies, and private
organizations throughout the United States. Our clients range in size from five to over 15,000 employees.
Our clients utilize our expertise to review and audit their systems, design and development classification
and compensation systems (pay plans, performance management, etc.), and/or obtain guidance when
navigating unique compensation issues. These clients have contracted for the Archer Company to address
innovative, yet practical, compensation methodologies and to develop systems and policies that overcome
the problems, or limitations, of traditional compensation systems.
Areas of Expertise
x
x
x
x
Compensation and Classification Systems: total compensation analysis; pay equity and comparable
worth; Point-Factor Evaluation Systems; career ladders; and pay plan design
Performance Management Systems: performance appraisal systems; performance-based salary
administration; Skills-based Pay; alternative rewards programs; individual & group recognition
programs; and management/executive compensation.
Policies and Procedures: personnel ordinances and policy manuals; recruiting and hiring guidelines;
disciplinary procedures; and employee handbooks.
Management Studies: Operational reviews; staffing analysis; employee satisfaction surveys. Our
clients have utilized our expertise in local government and public sector management to help them
analyze operations and organizational structures, assess efficiency and effectiveness of service
delivery, and determine appropriate staffing levels; these engagements have resulted in enhanced
services and improved operations for our public sector clients.
Approximately 98% of our clients are local governments and public sector organizations.
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Services Provided: The following is a list of all of
the services provided by the Archer Company and
the approximate percentage revenue during the last
three years:
x
x
x
x
x
Selected Areas of Expertise
¾ Compensation and Classification Systems
Market Analysis (Salaries and Benefits)
Pay Equity and Comparable Worth
Point-Factor Evaluation Systems
Salary and Pay Practices
Career Ladders and Lattices
Management/Executive Compensation
Class & Compensation Studies (75%)
On-going Pay Plan Maintenance (15%)
Performance Appraisal Systems (6%)
Management / Staffing Studies (2%)
Quality of Work Life Studies & Other (2%)
Conclusion: The Archer Company presents a unique
combination of experience and expertise unmatched
by our competitors. We have worked with a wide
variety of public sector organizations in both union
and non-union environments in the development of
classification and compensation systems. Our clients
appreciate our commitment to thoroughness,
objectivity and accuracy. We stay with the project and
assist with the implementation of the study
recommendations by providing the necessary
presentations and training to accomplish total
understanding and support. We are ideally suited to
work and communicate with the individuals or groups
that might be affected by our recommendations, to
ensure their understanding of the opportunities
presented, and to gain their support. Although all
systems are designed with the primary focus of equity,
competitiveness and ease of administration, each
system is developed and tailored to incorporate the
specific needs, concerns and philosophies of the client
organization.
¾
Performance Management Systems
Performance Appraisal Systems
Performance-Based Salary Administration
Alternative Rewards Programs
Skills / Competency Based Pay
Self-Managed Teams
¾ Policies and Procedures
Personnel Ordinances and Policy Manuals
Disciplinary Procedures
Employee Handbooks
¾ Management Studies & Staffing
PROJECTTEAM
The majority of the work on this project will be performed by our staff in Atlanta and Columbus, with
support from personnel in Chicago. We always utilize a team approach in our work to ensure overall
consistency for our clients, and we have assembled a team of experienced professionals that we believe
will best provide the professional analysis and support needed for this project. Brief biographies of our
key project consultants are provided below (Analysts will be assigned to support these consultants in
accordance with need and availability).
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Project Manager: Mr. King serves as our Regional Director for the Southeast and will serve as the
Project Manager.
Contact information for Mr. King is as follows:
Chip King, Regional Director, Archer Company (Atlanta)
115 Lanella Parkway, Conyers Georgia 30013
770-860-8614; [email protected]
Proposed Project Staffing
Earnest Archer,
President
Quality Control & Project Oversight: Dr. Archer will have ultimate
responsibility for the project and quality assurance to our clients; Dr.
Archer will provide technical guidance and oversight to all staff.
Chip King,
Regional Director
Project Manager & Client Liaison: Mr. King will serve as the
Project Manager and coordinate workflow and project deliverables;
the project manager oversees the construction of the pay plan
recommendations (job analysis, classification, and evaluation and
market analysis) and the work of the project team.
Jim Battigaglia
Regional Director
Mr. Battigaglia will be active in the project and play a significant role
in the technical components of the work; Mr. Battigaglia will directly
with Mr. King to assist with the development of recommendations.
Mr. Battigaglia will serve as a backup to project management and
assist with the oversight of project professionals as needed; as part of
our quality control and internal review process, Mr. Battigaglia will
review recommendations for this project with the project manager.
Jim Hughes, Senior
Consultant
Amy Lee, Analyst
Laurie Sherrin, Analyst
Project Team: Team members will be assigned to the project as
needed based on skill-set and availability; consultants and analysts
play significant roles in the technical components of the work,
including market analysis, job analysis and evaluation, employee
interviews, documentation; and operational support.
KEYPERSONNEL
Earnest Archer, Ph.D., P.E., S.P.H.R. x Dr. Archer is the President and Chief Executive Officer of the
Archer Company. He has over 35 years of experience in developing classification and compensation
systems and other human resource systems, in both the public and the private sectors. Dr. Archer has
designed award-winning compensation systems that have received national recognition. He is a member
of the Society of Human Resource Management, the American Statistical Association, the American
Psychological Society, the American Society for Quality Control, the National Society of Professional
Engineers, the Institute of Industrial Engineers, the International Personnel Management Association, and
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other professional associations. Dr. Archer will provide managerial oversight, quality control and
technical assistance in all operations and aspects of the study.
Dr. Archer has served as a project director or technical advisor for the development and implementation
of compensation systems in over 550 cities and counties across the United States.
Dr. Archer holds a Bachelor of Science degree cum laude from North Georgia (Military) College and
State University, a Masters of Business Administration degree from the University of Georgia, and a
Ph.D. in Management Science and Managerial Economics from the University of Georgia. He is a
registered professional engineer, a behavioral theorist, and a senior professional in human resources
management. Dr. Archer has taught at the University of Georgia and is a professor emeritus at Winthrop
University, where he taught compensation theory, business policy, statistics, and organizational theory
and behavior at the senior and graduate level. He has over 40 publications to his credit. His book entitled
Influence and Motivation: A Managerial Perspective published by Wesley, Cabot, and Keith, is
currently being prepared for a second edition printing. His new book, The Archer System: An Advanced
Approach to Pay and Compensation is being prepared for publication.
Chip King, M.P.A x Regional Director & Project Manager: Mr. King is a Regional Director in our
Atlanta office. With sixteen years of management and consulting experience for local government, Mr. King
specializes in human resources management, management studies, and general consulting services to local
government clients. His extensive experience in public personnel administration, operational analysis, and
budgeting and financial management has been utilized in all aspects of project work for the Archer Company,
with specialization in the development and implementation of classification and compensation systems,
performance management and appraisal systems, and other human resource engagements.
Human Resources Consulting: Mr. King has successfully managed numerous human resources
management consulting engagements for public sector and non-profit organizations. Highlights include:

Classification & Compensation Studies: Mr. King has managed numerous classification and
compensation studies nationwide, resulting in the development of pay plans and compensation
strategies for client organizations. Work in this arena includes job/position analysis, job evaluation,
salary and benefits surveys, market analysis, job documentation, and development of classification
structures and pay plans. The Archer Company retains a large percentage of our clients in the
continued maintenance and upkeep of their classification and compensation plans.
Mr. King serves as the principal manager for all projects and client relationships for our local
government clients in Georgia and the Southeast. He currently is serving as Project Manager for our
classification and compensation studies at Fulton County, Dekalb County and Cobb County (GA).
These three metro-Atlanta county projects include more than 20,000 employees. His other recent
projects include City of Christiansburg (VA), City of Newport News (VA), City of Manassas (VA),
Denver Housing Authority (CO), City of Charlotte (NC), City of Albany (GA), Albany Water, Gas, &
Light (GA), Chatham County (GA), Bibb County (GA), Walton County (GA), City of Hapeville
(GA), City of Myrtle Beach (SC), Lee County Airport Authority (FL), and the Truckee Tahoe Airport
District (CA).
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Strategic Planning & Development of a Total Compensation Philosophy and Pay Plan: Mr. King
was the project manager for a strategic planning effort facilitated on behalf of the executive
management team for a large metropolitan County government. The study developed a philosophy
and framework for integrating the County’s classification plan with total compensation considerations
including comprehensive performance management, career development, and competencies- and
skills-based pay.

Design & Development of Strategic Classification Strategies: Mr. King has developed
classification strategies in use by our clients Archer Company that are geared toward balancing
maximum managerial flexibility and equity in classification for many of the more dynamic and hardto-classify series, including engineering classifications (Professional Engineers, Engineering
Technicians, and construction management positions in Public Works, Utilities, Transportation,
Natural Resources, Community Development, and related departments); construction and
maintenance (unskilled and semi-skilled trades workers, equipment operators, and crew supervision);
and information systems/technologies.

Development of Implementation Strategies: Mr. King has developed numerous implementation
options that have been successful in addressing critical needs of the organizations while working
within our clients' constraints. He has assisted numerous clients with problem resolution pertaining to
policies and procedures and other organizational considerations. Other areas of proficiency include
performance appraisal and pay-for-performance implementation, development and facilitation of
training programs for client systems, and application of computer skills and software tools to meet
special client needs.
Other Management & Local Government Experience: Mr. King served in County administration as the
Executive Assistant to the Chairman and the Board of Commissioners, responsible for managing the daily
operations of a rapidly growing Town government. Duties included preparation, adoption, and
implementation of a $30 million general fund budget; supervision of departments falling under the authority
of the Board of Commissioners; coordination of service delivery and inter/intra-governmental relationships
with constitutional officers and neighboring governments; management of the administrative functions of the
Chairman's office; and coordination and implementation of inter-governmental and special projects.
Mr. King has a Master’s Degree in Public Administration and a Bachelor’s of Science in Psychology from
Louisiana State University in Baton Rouge, Louisiana.
James V. Battigaglia, CCP x Regional Director: Mr. Battigaglia is a Regional Director and is based in
Columbus, Ohio. Mr. Battigaglia specializes in developing classification and compensation systems,
developing pay plan implementation alternatives, performance appraisal systems and other human
resource engagements. A sample of Mr. Battigaglia's experience is summarized below:
x
Served as project manager developing classification and compensation systems at the Cuyahoga,
Clark, Franklin, Geauga, Lucas, Mahoning, Richland, and Wood Counties Ohio; Franklin County
County of Common Pleas; Franklin County Municipal Court; Cuyahoga County Board of Health;
Central Ohio Transit Authority; Regional Income Tax Agency; Solid Waste Authority of Central
Ohio; Franklin County ADAMH Board; Franklin County Children Services Board; Cleveland
Metroparks and Zoo; Summit County Board of DD; The Metropolitan District Commission (CT); City
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of Carmel, Indiana; City of O’Fallon, Missouri; City of Hazelwood, Missouri; Williams-Gateway
Airport Authority, Arizona; Rickenbacker Airport Authority; Columbus Metropolitan Housing
Authority; Massachusetts Board of Higher Education; First Judicial District of Pennsylvania;
Jefferson County, Colorado; Beaver, Cumberland, Mifflin, Monroe and Union Counties in
Pennsylvania; Battery Park City Authority (NY); Milwaukee Public Schools, Wisconsin; and Huron
County, Michigan.
x
Consolidated multiple individual elected official offices into a metropolitan government’s centralized
classification plan.
x
Implemented performance appraisal systems at Cuyahoga County, Montgomery County Auditor's
Office, Ohio and the Butler Metropolitan Housing Authority.
x
Participated in developing classification and compensation systems at Newport News, Virgina;
Manassas, Virginia; Fulton County, Georgia; Jackson Georgia; Irvine, California; Roswell, Georgia;
and McHenry County State’s Attorney, Illinois.
x
Provides pay plan maintenance services to numerous organizations including clients in Ohio,
Pennsylvania, Michigan, Wisconsin, Minnesota, Tennessee, and Massachusetts.
The majority of the pay plans included job analysis, market analysis, classification structure design, job
documentation, pay plan implementation design and pay plan implementation costing analysis.
Prior to the Archer Company, Mr. Battigaglia served as the Director of the MAXIMUS Human Resources
and Organizational Development practice. Prior to that, Mr. Battigaglia served as a government
consultant for KPMG and as the Director of Accounting for Montgomery County, Ohio.
Mr. Battigaglia received a Bachelor of Business Administration from Ohio University. He is a member of
World at Work (formerly American Compensation Association) and holds the World at Work’s Certified
Compensation Professional certification.
James A. Hughes, Jr. x Senior Consultant: Mr. Hughes is a Manager for the Archer Company and is
based in Northbrook, Illinois. Mr. Hughes possesses over 35 years of technical experience in human
resource consulting with heavy emphasis on compensation plan development. Much of Mr. Hughes’s
work in developing compensation plans has also dealt with incentive systems and with performance
appraisal methods. As a result, Mr. Hughes has a well-developed expertise in compensation practice and
an informed approach to recruitment, retention, and pay for performance issues. Mr. Hughes’s career
includes work for Towers-Perrin and for Hayes/Hill as a principal compensation consultant. He provided
compensation consulting services to over 200 companies, hospitals, not-for-profit organizations, colleges,
and universities. A representation of his experience includes:
Franklin County, Ohio
Cuyahoga County, Ohio
City of Hazelwood, Missouri
City of Elmhurst, Illinois
City of O’Fallon, Missouri
City of Irvine, California
Milwaukee Public Schools, Wisconsin
Solano County, California
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Village of Lombard, Illinois
Sangamon County, Illinois
Village of Downers Grove, Illinois
Madison Metropolitan School District
Geauga County, Ohio
Battery Park City Authority
Community District 200, Illinois
Mr. Hughes received a Master of Business Administration degree from the University of Chicago. He
received a Bachelor of Arts degree, Summa Cum Laude, for Kenyon College in Gambier, Ohio. Mr.
Hughes is a Certified Management Consultant (CMC) and a member of both the World at Work and the
Chicago Compensation Association.
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Section D
Client References
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SECTIOND.CLIENTREFERENCES
The Archer Company has developed classification and compensation systems for over
cities, counties, utilities, school districts, colleges, other public agencies, and private
throughout the United States. These clients utilized our services to address innovative,
compensation methodologies and to develop systems and policies that overcome the
limitations, of traditional compensation systems.
one thousand
organizations
yet practical,
problems, or
The Archer Company has an extensive list of public sector clients which includes numerous long-term
relationships with maintenance clients. The organizational references listed below are a representative
sample of projects in Georgia and/or comparable municipal clients outside of Georgia. These references
represent studies that have been recently completed and/or clients with whom we actively work to
maintain their pay plan (using the same methodologies proposed for this study). All clients listed are still
using the pay plans developed and maintained by the Archer Company.
Fulton County
Contact: Stacey Jones, Compensation Manager x (404) 612-0898; [email protected]
141 Pryor Street SW, Suite 300, Atlanta, Georgia 30303
The Archer Company successfully completed a classification and compensation study for Fulton County
covering 6,300 positions and over 800 classifications. A primary goal of this study is to replace the
existing Decision Band Method (DBM) used for job evaluation and to rebuild the classification structure.
The County implemented the plan in January and the Archer Company is assisting them with employee
appeals. Mr. King was the project manager
DeKalb County
Contact: Benita Ransom, Human Resources Director x (404) 687-3888-; [email protected]
The Archer Company is nearing the successful completion of a classification and compensation study for
Fulton County covering 7,000 positions and over 900 classifications. We are currently moving from the
draft to final pay plan; while we have not yet presented our final findings and recommendations to
DeKalb, Ms. Ransom can speak to our project plan, methodology, communication with key stakeholders,
evaluation system, and general project management. Mr. King manages client relations for the County.
.
Cuyahoga County, Ohio
Contact: Mr. Albert Bouchahine, Human Resources Manager x (216) 443-5619
1219 Ontario Street, 4th floor, Cleveland, OH 44113
The Archer Company maintains the County’s classification plan. Since 1992, we have conducted
classification plans for most all elected officials with the County government. To date, we have
conducted classification studies that include approximately 12,000 employees. In 2008, we conducted a
classification studies for the Coroner’s Office, Public Defender’s Office and Soil and Water Conservation
District. In 2010, we conducted studies for the Data Center, Planning Commission and Sheriff’s Office.
We consolidated more than 750 employees within the prior Auditor, Clerk of Courts, Engineer, Recorder
and Treasurer as a result of the County implementing charter form of government. In addition, we
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recently completed classification studies for the Prosecutor’s Office, Public Defender’s Office and
Medical Examiner’s Office.
Franklin County, Ohio
Contact: Mr. Don L. Brown, County Administrator x (614) 525-5539
373 South High Street, 26th floor, Columbus, OH, 43215
The Archer Company maintains the County’s classification plan. Since 1996, we have conducted
classification plans for most all elected officials with the County government. The Archer Company
recently completed a classification and compensation plan update for the Board of Commissioners, the
County of Common Pleas and the Data Center. This project included job evaluation, salary survey
development and analysis, pay plan development, pay plan implementation and job documentation. The
recent project included approximately 1,800 employees. In 2010, we conducted a classification plan
update for the Coroner’s Office. We just completed a classification plan for the Franklin County Probate
County. We are in the final stages on a classification study of the Municipal County. In addition, we
currently are conducting classification studies for the Prosecutor’s Office and Public Defender’s Office.
Chatham County, Georgia
Contact: Mr. Michael Kaigler, Assistant County Manager x (912) 652-7930
124 Bull Street, Suite 310, Savannah, GA, 31401
The Archer Company recently conducted a classification and compensation plan for the County. The
study consisted of 450 job classifications covering 1,200 employees. The project included job evaluation,
salary survey development and analysis, pay plan development, pay plan implementation and job
documentation. Mr. King manages client relations for the County.
City of Newport News, Virginia
Contact: Libby Gooden, Assistant Director of Human Resources x (757) 926-1828; [email protected]
City of Charlotte, North Carolina
Contact: DeLane Huneycutt, Compensation Manager x (704) 366-5700 [email protected]
City of Raymore, Missouri
Jim Feuerborn, Assistant City Manager (816) 892-3026; [email protected]
City of Myrtle Beach, South Carolina
Connie Rutledge, Human Resources Administrator x (843) 918-1129
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Section E
Project Fees
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86
SECTIONE.PROJECTFEES
The following fixed fee proposal is prepared for the County based on the proposed Scope of Work. Fees
provide a breakdown by component and include all travel, per diem and other incidental expenses. Costs
assume the inclusion of approximately 280 job classifications (covering 870 employees).
We welcome the opportunity to discuss ways to split this project into phases in to order to better meet the
County’s needs if necessary.
Fees
Planning & Kick-off
$3,600
Internal Equity • Job Analysis, Classification,
Evaluation & Descriptions
$37,000
Salary Survey & Analysis
$7,200
Development of Recommendations & Implementation
$8,000
Draft/Final Report & Presentation
$8,000
Training for Human Resources
$4,000
Classification & Compensation Study Total
$67,800
The proposed professional fees are valid for 180 days from the date of this proposal submission. We
provide general consulting services for $125 per hour. We anticipate submitting monthly invoices.
This proposal includes free maintenance support (job evaluation, position classification, and software
support) for one year after completion of the study!
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Proposal
Dare County, North Carolina
Proposal to Provide a Classification and Compensation Study 2016
March 1, 2016
88
Table of Contents
LETTER OF TRANSMITTAL
1
STATEMENT OF THE UNDERSTANDING OF THE WORK,
DESCRIPTIONS OF THE APPROACH ..................................................... 1
2
SYNOPSIS COVERING THE FEATURES OF THE PROPOSAL AND
OVERALL COSTS ............................................................................... 4
3
BREAKDOWN AND DESCRIPTION OF THE SPECIFIC STEPS,
SERVICES AND STUDY PRODUCTS ...................................................... 6
I. Project Initiation – Data Collection and Needs Assessment ................... 6
II. Classification Analysis ................................................................. 7
III. Review of Preliminary Classifications and Class Descriptions............... 8
IV. Job Evaluation and Development of Pay Plan .................................. 8
V. Implementation Strategy ............................................................ 11
VI. Draft Report, Staff Training and Appeals ....................................... 11
VII. Classification and Compensation Plan Final Report ........................ 11
4
PROPOSED IMPLEMENTATION SCHEDULE ......................................... 13
County Staff Support Needed .......................................................... 13
5
SCHEDULE AND FEES ...................................................................... 14
Out-of-Pocket Expenses ................................................................ 15
Additional Work ............................................................................ 15
6
FIRM’S ORGANIZATION AND SERVICES AND STAFF ASSIGNED ............ 16
History and Leadership .................................................................. 16
Organizational Management and Human Resources............................. 16
Qualifications............................................................................... 17
Advisory Services Offered .............................................................. 17
Project Staffing ............................................................................ 19
7
CLIENT REFERENCES....................................................................... 21
8
AGREEMENT STATEMENT................................................................. 30
SAMPLE COMPENSATION AND BENEFITS SURVEY.......................... APPENDIX I
RESUMES ......................................................................................... APPENDIX II
Mission Statement
Springsted provides high quality, independent financial
and management advisory services to public
and non-profit organizations, and works with them
in the long-term process of building their communities
on a fiscally sound and well-managed basis.
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Springsted Incorporated
9097 Atlee Station Road, Suite 100
Mechanicsville, VA 23116
Tel: 804.726.9748
Fax: 804.277.3435
www.springsted.com
LETTER OF TRANSMITTAL
March 1, 2016
Ms. Elizabeth K. Reilly, Human Resources Director
Dare County
954 Marshall C. Collins Drive
PO Box 1000
Manteo, North Carolina 27954
Re:
Request for Proposal to Provide a Classification and Compensation Study 2016
Dear Ms. Reilly:
Springsted Incorporated, as a preferred provider of services for the North Carolina Association of County
Commissioners (NCACC), is pleased to provide a response to the County’s request for proposals for a
classification, compensation and benefits study. We have a developed a general outline of our services
and cost estimate to provide a comprehensive review of the County’s classification, compensation and
benefits system; as well as a review of the County’s compensation policies. As noted throughout the
proposal, we are flexible in our work with local governments and are willing to adjust the proposal to
meet the County’s needs.
Our firm has assisted numerous jurisdictions and special purpose authorities in North Carolina and across
the United States, in addressing a wide variety of human resources issues. We have conducted
classification and compensation studies for a number of North Carolina counties and governmental
agencies and our management consulting services practice provides in-depth study and analysis on a
variety of topics. In addition, we have worked closely with numerous local governments in recent months
to develop their first or update their existing classification and compensation systems. Over the years, we
have built a significant base of knowledge as to how to work with a wide variety of staff to develop and
implement a sound system that best meets the community’s needs.
We understand that Dare County has determined that development of an updated pay and classification
system for a wide range of employee groups and a review of its current benefits program is necessary. An
updated plan will significantly improve morale among employees and enable the most effective use of
available funds. The primary purposes of the study are to:
•
•
•
•
•
Evaluate competitiveness of the salary, benefits and additional pay compared to external market value;
Develop a compensation strategy and salary structure that is fair internally and externally;
Review current compensation practices and policies in Dare County;
Evaluate the internal ranking of current positions, based on job responsibilities and salaries; and
Develop sound recommendations for implementation which result in the ability of Dare County to
retain existing employees and recruit high quality employees when necessary.
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Dare County, North Carolina
March 1, 2016
Page 2
As indicated above and throughout our response to your request for information and a realistic work
plan, Springsted has developed specialized expertise in performing the services requested by the County.
An advantage to Dare County is that, by pooling our technical and human resources specialties,
Springsted will bring to your study unparalleled expertise in the areas of local government human
resources administration.
As noted above, we are “Preferred Providers” of services for the North Carolina Association of County
Commissioners (NCACC), which assures the County that our work will meet not only your expectations,
but the expectations of the NCACC as well. In accordance with our agreement with the NCACC, we will
provide a copy of a contract that ensures the County is afforded the benefits of this relationship if you
choose to move forward.
Our proposal outlines how we would approach the Scope of Work outlined in your request and includes
specific information on our approach to the work, references, estimated cost, timeline and our firm’s
history and experience.
We look forward to working with Dare County and its staff on this important project.
Respectfully submitted,
John A. Anzivino, Senior Vice President
Client Representative
kmd
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Statement of the Understanding of the Work, Descriptions of the Approach
1
1. Statement of the Understanding of the Work, Descriptions of the Approach
It is our understanding that the County has identified a need to review its
current classification, compensation and benefits system as it relates to
recruitment and retention of the County’s seven hundred thirty (730)
full-time and one hundred forty (140) part-time employees who are
allocated to two hundred forty two (242) classification descriptions
across both General Government and State Personnel Act classifications.
Major concerns of the County include: the length of time since the last
comprehensive study, recruitment of employees at all levels; retention of
employees at all levels; and the competitiveness of the County’s total
compensation plan as it relates to other public and private sector
employees in the area
The County has conducted three studies over the past thirteen years
which have addressed various public safety and general government
functions. However, the County believes a comprehensive study is now
warranted to evaluate all positions and their competitiveness in the labor
market. The County is working to rectify this through a thorough
analysis of its classification and compensation system, as well as its
compensation policies and benefits to ensure that Dare County is able to
compete in the market, recruit qualified candidates and maintain its
levels of service delivery to its current and future citizens and visitors.
The study process outlined in the following pages will involve an
interactive process with County staff beginning with an initial meeting
with the County Manager, Human Resources Director, department heads
and other designated officials to secure a clear and complete
understanding of the management philosophy of the County, to review
organizational structure, staffing, mission, goals and objectives as well as
to establish working relationships and secure information and desired
policies for the updated system. Subsequent meetings will be held with
County officials to present and discuss our strategy for completing the
analysis of jobs within the County, review our methodology for
completing the study and review our scope of work and completion
schedule for the project.
Additionally, because we believe deeply in employees being well informed
and a part of the process, a series of employee briefing sessions (we would
suggest approximately twenty (20) at various County locations) be held to
discuss and explain the project’s objectives and procedures and to answer
any questions they may have relating to the project. The briefing sessions
will include PowerPoint presentations and handouts for employees that will
outline the steps in the process.
Dare County, North Carolina. Proposal to Provide a Classification and Compensation Study 2016
92
2
During the process, the County will receive weekly progress reports which
may be made available to employees for their information concerning the
project’s progress. Each employee will complete a comprehensive position
analysis questionnaire (PAQ) to provide the information necessary to
determine specific duties, responsibilities and job requirements and to
prepare updated or new class descriptions and ensure proper classification.
If the County desires, these forms may be made available online for
employee completion. This written data will be augmented by personal
interviews with at least ten percent (10%) of study participants and, where
necessary, with department directors or supervisors.
Springsted will use our Systematic Analysis and Factor Evaluation
(SAFE®) system to evaluate each job in the workforce to determine its
relative worth within the organization. Use of the SAFE® system ensures
compensation and classification of the County’s employees will be
conducted in a fashion which is blind to gender, color, religion, national
origin, age, disability or any other status protected by state or federal law
or regulation. The SAFE® system, as discussed later in this proposal,
was developed to ensure that internal equity is maintained and only bona
fide job factors are considered in making decisions relative to
classification of jobs in relation to compensation. American with
Disabilities Act (ADA) physical requirements and Fair Labor Standards
Act (FLSA) status for each position will also be determined and all class
descriptions shall be consistent with EEO criteria.
We will also develop and distribute a comprehensive salary and fringe
benefits survey to the targeted benchmarks identified by the County so
that a reasonable and accurate comparison and analysis of salary, wages
and benefits for like or similar jobs can be developed.
Methods of transition and costs of implementation will be developed and
study data will be presented to County officials orally, in a written report
and electronically, where appropriate. The implementation programs
proposed will take into consideration phasing of the recommendations
should the economic impact upon the County be significant. Phasing
options for implementation, if necessary, will consider the need for wage
adjustments, with the most critical positions being addressed first and the
fiscal impacts of each step of the plan being clearly identified for staff
and the County Board’s consideration. If phasing of implementation
recommendations is not necessary, clear cut alternatives will be provided
covering minimum levels of implementation and others based upon
availability of funds.
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3
Finally, policies will be reviewed and recommendations for adoption or
updates to current compensation policies will be provided to the County.
Policy recommendations will provide the County with a snapshot of
creative policies which are now in place both within the public and
private sector with recommendations for implementation after close
consultation with County staff.
At the conclusion of the process, Springsted will meet with the County
Manager, Human Resources Director, department heads and the
County’s Board of Commissioners to present our findings and
methodology, answer questions and to discuss in detail with interested
employees their job ranking and our methodology and rationale for
assignment of positions to grades.
Springsted is confident it can meet the County’s completion date of
September 1, 2016 if information is provided in a timely basis. Our
estimated cost for completion of the work is $60,280, plus $2,500 for out
of pocket expenses.
Details of these processes, Springsted’s qualifications timelines and
estimated costs to conduct this study are presented in the following pages.
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Synopsis Covering the Features of the Proposal and Overall Costs
4
2. Synopsis Covering the Features of the Proposal and Overall Costs
The study process outlined in the following pages involves an interactive
process with County staff beginning with an initial meeting with the
County Manager, Human Resources Director, department heads and
other designated officials to secure a clear and complete understanding
of the management philosophy of the County, to review organizational
structure, staffing, mission, goals and objectives as well as to establish
working relationships and secure information and desired policies for the
updated system. Subsequent meetings will be held with County officials
to present and discuss our strategy for completing the analysis of jobs
within the County, review our methodology for completing the study and
review our scope of work and completion schedule for the project.
Additionally, because we believe deeply in employees being well informed
and a part of the process, a series of employee briefing sessions (we would
suggest approximately twenty (20) at various County locations) be held to
discuss and explain the project’s objectives and procedures and to answer
any questions they may have relating to the project. The briefing sessions
will include PowerPoint presentations and handouts for employees that will
outline the steps in the process. During the process, the County will receive
weekly progress reports which may be made available to employees for their
information concerning the project’s progress. Each employee will complete
a comprehensive position analysis questionnaire (PAQ) to provide the
information necessary to determine specific duties, responsibilities and job
requirements and to prepare updated or new class descriptions and ensure
proper classification. If the County desires, these forms may be made
available online for employee completion. This written data will be
augmented by personal interviews with at least fifteen percent (15%) of study
participants and, where necessary, with department directors or supervisors.
Springsted will use our Systematic Analysis and Factor Evaluation
(SAFE®) system to evaluate each job in the workforce to determine its
relative worth within the organization. Use of the SAFE® system ensures
compensation and classification of the County’s employees will be
conducted in a fashion which is blind to gender, color, religion, national
origin, age, disability or any other status protected by state or federal law
or regulation. The SAFE® system, as discussed later in this proposal,
was developed to ensure that internal equity is maintained and only bona
fide job factors are considered in making decisions relative to
classification of jobs in relation to compensation. American with
Disabilities Act (ADA) physical requirements and Fair Labor Standards
Act (FLSA) status for each position will also be determined and all class
descriptions shall be consistent with EEO criteria.
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Synopsis Covering the Features of the Proposal and Overall Costs
5
We will also develop and distribute a comprehensive salary and fringe
benefits survey to the targeted benchmarks identified by the County so
that a reasonable and accurate comparison and analysis of salary, wages
and benefits for like or similar jobs can be developed.
Methods of transition and costs of implementation will be developed and
study data will be presented to County officials orally, in a written report
and electronically, where appropriate. The implementation programs
proposed will take into consideration phasing of the recommendations
should the economic impact upon the County be significant. Phasing
options for implementation, if necessary, will consider the need for wage
adjustments, with the most critical positions being addressed first and the
fiscal impacts of each step of the plan being clearly identified for staff
and the County Board’s consideration. If phasing of implementation
recommendations is not necessary, clear cut alternatives will be provided
covering minimum levels of implementation and others based upon
availability of funds.
Finally, policies will be reviewed and recommendations for adoption or
updates to current compensation policies will be provided to the County.
Policy recommendations will provide the County with a snapshot of
creative policies which are now in place both within the public and
private sector with recommendations for implementation after close
consultation with County staff.
At the conclusion of the process, Springsted will meet with the County
Manager, Human Resources Director, department heads and the
County’s Board of Commissioners to present our findings and
methodology, answer questions and to discuss in detail with interested
employees their job ranking and our methodology and rationale for
assignment of positions to grades.
Details of these processes and Springsted’s qualifications to conduct this
study are presented in the following pages.
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Breakdown and Description of the Specific Steps, Services and Study Products
6
3. Breakdown and Description of the Specific Steps, Services and Study Products
Springsted Incorporated will perform all the services delineated on the
following pages for Dare County. Included is the proposed project
approach and study methodology, the scope of services, tasks and
staffing necessary to complete this project successfully. The project
assumes that the County will involve all of its approximately 730
full- and 140 part-time employees who are distributed over a number of
departments with 240 job classes covered by general County
requirements and the State Personnel Act.
The project approach was developed to include significant employee
involvement and is subject to adjustment if it is determined that more
employee involvement is necessary or desirable.
I.
Project Initiation – Data Collection and Needs Assessment
The Springsted Project Director will meet with the County Manager
and Director of Human Resources and other appropriate officials to
establish working relationships and to finalize a comprehensive work
plan and timetable. All current classification and compensation data
will be assembled and evaluated to determine the status of existing
human resource management programs and to identify apparent
issues and opportunities. The purposes of the meeting are to:
•
Introduce the Project Director;
•
Discuss the background and experience of Springsted and the
consulting team;
•
Discuss, in detail, the methodology to be used in conducting
the study, the role of the consultant and the employees, the job
audit and appeals processes and the amount and type of
employee participation;
•
Ascertain the major issues that the County wants the study to address;
•
Review the project schedule and determine significant milestones;
•
Determine the frequency and content of status reports; and
•
Discuss methods of communicating the status of the study to employees.
After meeting with the County Manager, Human Resources Director and
designated staff, meetings will be held with department directors
involved in the study to discuss the project objectives and procedures and
to determine the positions they want analyzed. It is anticipated that
during these meetings individual issues will be discussed concerning
current classification and compensation issues as well as issues
concerning retention and recruitment of employees. In addition,
information will be sought on department operations through discussion
and review of current organizational structure for each department.
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7
During interviews with department directors involved in the study,
Springsted will also determine the duties and responsibilities of the
positions being studied and the scope, nature and complexity of each job
studied will be evaluated to determine the appropriate classification.
Springsted is sensitive to the human relations aspects of studies of
this type. In accordance with this sensitivity, the consulting team
proposes that they conduct a series of orientation and information
sessions for employees included in the study. Given the number of
employees in Dare County, it is suggested that approximately twenty
(20) employee meetings be held. The sessions would be scheduled at
various times to allow employees to attend without requiring too
many to be absent from the workplace at any one time, which could
negatively affect the provision of service to the citizens of Dare
County. During these sessions, project objectives and procedures
will be discussed, questions answered and comments and suggestions
solicited. Employees will also be asked to complete Position
Analysis Questionnaires (PAQs) during these meetings. The PAQs
are the vehicle used by Springsted to gather information about
employees’ jobs and their essential functions. PAQs will be
provided to the County electronically and/or in paper form. During
employee meetings, Springsted will review the PAQ with employees
and supervisors and clarify the employees’ and supervisors’ roles in
completing and reviewing the forms for accuracy.
II. Classification Analysis
Springsted will also determine the duties and responsibilities of the
positions being studied and the scope, nature and complexity of each
job studied through discussions with employees and/or employee
groups where several individuals fall within a particular job
classification. It is anticipated that the field/desk audits will include all
job classifications and up to tenpercent (10%) of the County’s work
force and will be spread over a number of days. As requested by the
County, Springsted will review the employee PAQ’s and obtain
additional information from the supervisor from the PAQ’s. Based on
the information collected through discussions with department
directors, employees and the PAQs, a consistent program of job
classification will be developed and discussed with the Director of
Human Resources. This will include well-defined class descriptions
for each position recommended as a result of the interviews with
department directors and employees. It will include the assignment of
employees to the appropriate class with respect to duties and
responsibilities, skills and abilities and minimum education and
experience requirements.
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8
The new class descriptions will include a position title, general definition
of work, essential functions, examples of typical tasks, necessary
minimum knowledge, skills and abilities, physical requirements,
education and experience requirements and special qualifications, if any.
Special attention will be given to ensuring that bona fide occupational
qualifications, licensing, certification and special training, if dictated by
standards of practice and/or job requirements, are included as minimum
qualifications of classes.
In addition, new classification descriptions will include information
required under the American with Disabilities Act (ADA) concerning
the physical requirements for the position and will have a Fair Labor
Standard Act (FLSA) designation attached concerning its status
under the FLSA.
III. Review of Preliminary Classifications and Class Descriptions
The consulting team will prepare a preliminary list of employee
classifications, develop preliminary class descriptions for new job
classes and submit them to the Director of Human Resources, elected
officials (Sheriff, etc.) and department directors for review and
comment. The consulting team will review the comments and make
adjustments based upon the comments received.
After all suggested changes have been evaluated, final classification
decisions will be made and the new class descriptions finalized.
IV. Job Evaluation and Development of Pay Plan
In order to determine appropriate salary levels of positions in the
workforce, Springsted will conduct an extensive salary, benefits and
additional pays survey to compare Dare County with other
comparable public and private agencies in the area labor market,
other governmental units of similar size and private sector employers
in the area. The study team will consult with the County staff in
identifying the appropriate sources of survey data. Data collected
will include a wide variety of information including salary range
hiring rates, minimums, maximums, actual salaries paid, FLSA
designations, work week hours and numbers of positions and other
items noted in the County’s Scope of Services (Section IV, sub item
A. 4) to obtain accurate data and calculate weighted averages).
The Base Pay Salary Survey will include:
a. Pay plan salary range comparison to Dare County for each
position for each participant organization by hiring,
minimum, midpoint and maximum;
b. Existing employee average salary comparison to Dare
County for each position for each participant organization;
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c. Combined average pay plan salary range comparison to
Dare County for each position by hiring, minimum,
midpoint and maximum;
d. Combined existing employee average salary comparison to
Dare County for each position;
e. Comparison of Dare County’s existing employee average
salary for all benchmarks to the combined average for all
organization participants;
f.
Dare County’s market position for each benchmark
individually, and overall;
g. Analysis of pay practices and salary structure;
h. Recommended salary ranges or pay bands to include per
cent spreads between ranges/bands. Prepare a new salary
structure/schedule, based on the results of the study;
i.
Fair Labor Standards Act (FLSA) designation for each job
title/classification; and
j.
Class/position descriptions in a standardized format that
include at a minimum a classification summary; listing of
essential duties; required education, training, and
experience; and required knowledge, skills, abilities (KSAs)
for each position class.
Springsted will also conduct a thorough benefits survey, including
leave, of the same regions/organizations included in Section IV –
A. 3) of the County Request for Proposals.
It is recommended that potential survey data pertain to organizations
comparable to Dare County, relate to those organizations with whom
the County is competing for employees and represent the appropriate
labor market.
There are different labor markets for positions. Some positions are
recruited from the local area, while others are recruited regionally
and/or statewide. The consulting team will work closely with the
staff in determining the appropriate labor market for positions.
A salary survey instrument will be prepared that encompasses a
cross-section of clerical, labor and trades, technical, public safety,
paraprofessional, supervisory, managerial and professional positions.
While covering a wide range of all job classes in the County,
additional information will be sought from the Director of Human
Resources and the department directors on any specialized positions
that the County may be having difficulty in recruiting and or retaining.
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10
The survey will also include fringe benefits and data on additional
pays, recruitment incentives and all items requested in the County’s
request for proposals as noted above. The consulting team will
confer with the County staff to ensure the appropriate benefits and
additional pays are surveyed. A sample compensation and benefits
survey is included for the County’s review in Appendix I.
Based on the wage data analysis and the classification system
developed, the linear least squares method will be used to develop an
appropriate salary curve and salary schedule. The salary schedule
will contain sufficient pay grades to properly compensate employees
for the development of their abilities over time.
Springsted has developed and copyrighted a job evaluation system
known as Systematic Analysis and Factor Evaluation (SAFE®).
This system has been successfully used for several years and has
been reviewed by the United States District Court, in conjunction
with an Equal Employment Opportunity (EEO) suit, and found
acceptable to the Court.
It is important to note that the Systematic Analysis and Factor
Evaluation system is a unique method of job evaluation. The SAFE®
system was designed to measure job factors which apply specifically
to local government.
The system rates and ranks jobs based on skill levels and work
factors. The result is an equitable and consistent method of
evaluating jobs and relating classes to the compensation plan. The
system facilitates proper and equitable cross comparisons between
and among classes and minimizes the appearance of favoritism in
evaluating, rating and ranking jobs.
Each position, or group of positions, will be evaluated and assigned
to an appropriate salary grade based on the classification system and
prevailing rates paid by survey participants. The elements
considered in determining the relative value of classifications are:
•
Training and Ability
•
Experience Required
•
Level of Work
•
Human Relations Skills
•
Physical Demands
•
Working Conditions / Hazards
•
Independence of Actions
•
Impact on End Results
•
Supervision Exercised
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V. Implementation Strategy
Springsted will suggest a variety of plans to implement the study
recommendations that coincide with the needs of employees and the
financial and budgetary requirements of the County. An estimate of
the cost of the plans of implementation will be provided and, if
necessary, options for phasing implementation options will be
developed and reviewed with the County. In addition, pay policy
recommendations will be included which include pay strategies for
both implementation and maintenance of the system and overcome
any current deficiencies identified by the consultants throughout the
study period.
VI. Draft Report, Staff Training and Appeals
At the conclusion of the study, Springsted will meet with the
Director of Human Resources to present the preliminary findings and
recommendations of the study. In addition, Springsted will make
staff available to present the reports’ findings to all department
directors and will meet with them individually, if needed, to review
specific issues with their departments. Upon conclusion of those
meetings, Springsted will make adjustments to the report, where
warranted, and report them to the Director of Human Resources.
Springsted will also train members of the staff in the methodology used
to develop, maintain and update all aspects of the compensation,
classification and benefits plan. The training program will include the
development and/or revision of class descriptions, along with rating,
ranking and salary grade assignments of positions. Instruction manuals
pertaining to the job evaluation system will be prepared and presented.
The Springsted team will remain available to the staff for additional
consultation after the study has been completed.
VII. Classification and Compensation Plan Final Report
Springsted will also present the final report to the County Manager,
Assistant County Manager, Human Resources Director, designated
staff and the Board of Commissioners at a time convenient for the
County. Due to the complexity of the issue, Springsted will also be
available for additional meetings with the Board, should they be
necessary. The final report will include all items included in Section
V of the County’s request for proposals and will be a document that
contains the following:
a. A series of recommendations, including discussion of methods,
techniques and data used to develop the classification and
compensation plan;
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b. An analysis of the financial impact for various implementation
dates of the new classification and compensation plan and
define funding issues. The compensation plan will include
discussion concerning compression issues and their resolution;
c. Provision of all benefits survey results;
d. A summary report of the total compensation system including
pay, benefits, leave, etc., that compares the County and its
relation to market; and
e. Instructional information and guidelines to allow County
staff/Human Resources to conduct individual classification and
compensation audits and recommend adjustments consistent
with study methods.
Training on the SAFE® system will be provided and a manual on the
use of the SAFE® job evaluation system will be provided.
The report will be provided in both an appropriate number of hard
copies and in electronic formats.
103
Proposed Implementation Schedule
13
4. Proposed Implementation Schedule
County Staff
Support Needed
The study team would request the following staff support from
the County:
Task
Staff
Estimated Time
Initial Meeting
County Human Resources
Manager, Dare County Staff
Contact
Information Gathering and
Various Information Requests /
Contacts Throughout Study
County Designated Staff
6 – 8 Hours in
individual meetings
Orientation Meetings
Staff Involved in the Study
1 Hour per meeting
Arrange Interviews
County Designated Staff
1 – 2 Hours
Preliminary Review
County Manager, Department
Directors, Elected officials
1 – 2 Hours
Final Report Presentation
County Manager, Staff Contact,
Department Directors, Elected
Officials, County Commissioners
1 Hour
1 Hour
104
Schedule and Fees
14
5. Schedule and Fees
Springsted takes pride in meeting its time commitments. The schedule to
commence this project coincides with Springsted’s completion of other
studies. This will ensure that the proposed staff members will be
available to concentrate on this study for Dare County. Springsted is
prepared to initiate the study within ten (10) days after receiving the
official notice to proceed.
A realistic timeline for completion is approximately one hundred thirty
(130) to one hundred thirty-five (135) days, dependent upon the
availability of County staff.
There are additional factors that impact upon meeting the schedule
which are beyond the consulting team’s control. The proposed time
frame, as outlined below is contingent upon a timely decision, the receipt
of the data from the participants when requested and the timely receipt
of feedback and comments on the submitted preliminary data.
Task
April, 2016
May,
2016
June,
2016
July,
2016
August,
2016
September,
2016
Project Initiation
Classification Analysis
Review of Preliminary Class Descriptions
Prepare / Evaluate Survey Data
Develop Compensation Plan
Assign Classes to Grades
Develop Implementation Strategies /
Review Draft
Submit Final Report
Staff Training
Springsted Incorporated will perform all tasks delineated in the described
Scope of Services for a professional fee of $ 62,280. Expenses
associated with the project (travel, lodging, subsistence, courier services
and communications beyond our internal capabilities) will be billed in
addition to the professional services. Expenses are not anticipated to
exceed $2,500 for the meetings and presentations detailed in the Scope
of Services. Total costs for the project will not exceed $64,780.
105
Schedule and Fees
15
Out-of-Pocket Expenses
Out-of-pocket expenses include travel and sustenance, overnight or
messenger deliveries, conference calling beyond our internal capabilities,
photocopying and mailing.
Additional Work
Should Dare County request and authorize additional work, we would
invoice the County at an agreed upon fee or our standard hourly fees.
Additional Implementation Plans will be billed at a cost of $450/plan. In
addition, we would charge, at cost, for any related out-of-pocket
expenses.
Hourly
Rate
Title
Principal & Senior Officer
$260
Senior Professional Staff
$215
Professional Staff
$160
Associates
$75
Additional work would include work outside the scope of services as
agreed to including, but not limited to:
•
Additional position descriptions
•
Additional job audits
•
Additional on-site meetings
•
Additional reports
•
Work related to a special request
106
Firm’s Organization and Services and Staff Assigned
16
6. Firm’s Organization and Services and Staff Assigned
History and Leadership
Springsted is one of the largest and most established independent
public sector advisory firms in the United States. For nearly 60 years,
we have continually grown in the range of our client relationships, the
comprehensiveness of our services and our prominence within the
industry. Our managed growth is focused on providing clients with a
balance of national perspective and local expertise.
Springsted is a certified Women Business Enterprise (WBE) with the
City of Saint Paul, Minnesota. Three employee-owners lead
Springsted. Our headquarters are located in Saint Paul, Minnesota,
with additional offices located close to our clients throughout the
Midwest and Mid-Atlantic states.
Springsted’s work in the Mid-Atlantic states began with implementing
higher education financings in the early 1970s. Since then, our
long-term commitment to the region has grown along with the range
of services offered to local governments, independent authorities, state
agencies and non-profit organizations as they work to overcome
increasingly complex and far-ranging financial, economic
development, human resource and management issues and problems.
In 2000, Springsted solidified its commitment to the region through its
merger with a well-known and highly regarded financial advisory and
management consulting firm based in Virginia Beach, Virginia. Our
office in Richmond, Virginia serves clients throughout the East Coast
and surrounding areas.
Organizational Management
and Human Resources
Public entities are under a great amount of pressure to deliver high
quality services in a fiscally constrained environment. Traditional
methods and means do not necessarily work anymore and this scenario is
not likely to change at any time in the future. To that end, elected
officials and public administrators are under pressure to employ new and
innovative solutions that require progressive leadership, creative
partnerships, cautious risk taking and an investment in their personnel
and organizational foundation. Success in the public sector is hard to
define, but those public entities that enhance and enrich their people,
their process and their systems are more likely to deliver more value by
maximizing the use of public resources, thus achieving more success in
the marketplace of public opinion.
Springsted’s staff has been advising our clients in organizational
development for over 25 years. We have a strong staff with direct
experience in managing and leading local city and county governments.
107
17
Our team of professionals brings practical, realistic and creative
solutions to the challenges faced by public entities.
Our Human Resource focus is in the area of position classification,
compensation and performance evaluation. Our work is competitive,
current, court tested and copyrighted to deliver pragmatic outcomes.
Our Organizational Management focus ranges from executive
recruitment, group facilitation, strategic planning, budget analysis,
resource sharing and building collaborations to organizational
improvement and efficiency studies.
Qualifications
As management consultants, and because we understand the financial,
operational and administrative aspects of local governments and
non-profit organizations, Springsted plays an important role in helping
clients derive the greatest benefit from their resources while increasing
their efficiency and effectiveness. In response to the growing
requirements facing our clients, we broadened our range of advisory
services to include our Management Consulting Services Group.
Extensive knowledge and experience in the fields of municipal
management, municipal finance, personnel and local government
operations are Springsted hallmarks. Each team member has several
years of local government experience in a variety of areas of expertise.
This experience helps us recognize the unique qualities of each local
government and non-profit client, thus improving the quality and
relevance of our studies. The fact that the firm has provided a wide
range of technical and management consulting services to North
Carolina local governments recently and over the years provides us
with a good knowledge base for dealing with the current and future
issues facing Dare County.
Advisory Services Offered
Operational Finance and Fiscal Planning Group
A specialized team dedicated to helping clients plan and manage resources to achieve
maximum efficiency and effectiveness. The team provides a variety of financial
planning tools enabling the client to evaluate the interface of capital infrastructure, tax
policies, debt management, and operational finance.
•
Operational Financial Planning
•
Tax Impact Analysis
•
Capital Improvement Planning
•
Referendum Assistance
•
Integrated
•
Public/Private Partnerships
Capital/Operational Planning
•
Consolidation/Annexation Studies
•
Growth/Fiscal Impact Analysis
•
Privatization Studies
•
User Fee Studies
•
Financial Feasibility Analysis
•
Utility Cost Recovery Studies
Dare County, North Carolina. Proposal to Provide a Classification and Compensation Study, RFP # 13-0812
108
18
Public Finance Group
Organizational Management and
An extensive team of financial experts
Human Resources Group
providing comprehensive services for
An expert team of former public sector
every type of public infrastructure and
leaders devoted to helping governing
operational finance area. Specialized
bodies, senior management and HR
technology and experts devoted to
departments solve their organizational
providing independent advice covering
and staffing needs. Complete services to
all options, with associated full
provide strategic direction, organizational
regulatory compliance services.
improvements and staffing enhancements.
•
Capital Improvement Policies
•
Strategic Planning
•
Debt Planning & Policies
•
Organizational Improvement Studies
•
Debt Capacity Studies
•
Compensation & Benefit Systems
•
Capital Infrastructure Financing
•
Performance Evaluation Studies
•
Cash Flow & Pooled Financing
•
Position Classification &
•
Individual & Master Lease
Evaluation Studies
Programs
•
Executive Search
•
Debt Management
•
Personnel Policies
•
Credit Rating Strategy &
•
•
Enhancement
Investment Services Group
Arbitrage/Rebate Regulatory
A skilled team of investment
Compliance Services
professionals with experience in
Continuing Disclosure Regulatory
policy development, cash flow and
Compliance Services
portfolio analysis, fund selection
and refunding existing debt.
Housing and Economic Development
Group
An experienced team to address quality of
life through expanded economic
opportunities, housing options and private
development. Comprehensive services
extend beyond planning and policy
•
Policy Development
•
Cash Flow Forecasting & Monitoring
•
Portfolio Analysis
•
Investment of Public Funds
•
Ongoing Support and Advice
•
Debt Refunding Services
development to financing plans, project
facilitation and full compliance assistance.
•
Policy Development
•
Incentive Capacity Analysis
•
Development Strategy
•
Development Process
Management
•
Developer Review & Negotiation
•
Housing Initiatives
•
Statutory Compliance Services
Dare County, North Carolina. Proposal to Provide a Classification and Compensation Study, RFP # 13-0812
109
Project Staffing
19
Springsted will assign a consulting team with extensive experience in
classification and pay, human resources management, organizational and
productivity improvement, financial management and municipal operations.
All consulting team members have excellent academic credentials and
hands-on local government and human resources management experience.
A Senior Vice President of the firm will be on-site throughout the
engagement and actively involved in all phases of the study.
John A. Anzivino
Senior Vice President and Client Representative
Mr. John Anzivino has over 25 years of
experience in state, county and town management.
Mr. Anzivino applies this considerable insight in
assisting local governments find solutions to a
wide range of human resource, financial and
programmatic problems and challenges facing
them. He holds a master’s degree in public
administration from the University of Georgia.
Ann S. Antonsen
Vice President and Consultant
Ms. Ann Antonsen is a consultant with a strong
background in organizational management and
human resources that she uses effectively in
developing position analyses, classification and
compensation studies, performance management
and evaluation system development and staff
training and in conducting executive search efforts
for the public sector. She also specializes in performing organizational
studies, revising and developing personnel policies and manuals and in
conducting organizational management training sessions and providing
general human resources assistance.
Joel A. Davis
Vice President and Consultant
Mr. Davis joined Springsted in September 2013 and
has considerable experience in wage and benefit
administration, recruitment, hiring and retention,
employee relations, payroll, employee training and
development and regulatory compliance; as well as
preparation of job descriptions, personnel policies
and analysis of compensation levels. Additionally,
Mr. Davis has considerable experience in city and town management as
well. Prior to joining Springsted, Mr. Davis served as Human Resources
Director/Public Information Officer for the City of Winchester, Virginia
where he worked with the City Manager, City Council and department
managers on strategic planning, complex administrative projects and
110
20
assignment of staff resources to ensure productive and cost-effective
operations for a 500 employee organization. Mr. Davis has also served as
Assistant City Manager overseeing several departments including human
resources in North Myrtle Beach, South Carolina, as Town Administrator
for the Town of Harrisburg, North Carolina, as Town Manager for the
Town of Spring Lake, North Carolina and as a Recreation Director for
Caswell County, North Carolina. He has a Master’s Degree in Public
Affairs from the University of North Carolina – Greensboro and a
Bachelor’s Degree in Political Science and Public Administration from
Elon University.
Rebecca A. Dayton
Project Manager
Ms. Rebecca Dayton joined Springsted’s Management Consulting Group
in
the winter of 2011. She has a human resources generalist knowledge base,
specializing in classification and compensation studies, performance
evaluations, executive search and benefits review. Ms. Dayton has an
Associate degree in Education from Salem Community College. She also
has course work towards
a Bachelor’s degree in Business Administration from Virginia
Commonwealth University and from Strayer University online college.
Hailey W. Daniels
Assistant Project Manager
Ms. Hailey Daniels joined Springsted in January
2015 as a Human Resources Analyst with the
Organizational Management and Human
Resources Team, providing support and assistance
for executive search and organizational
management projects. Her duties include
conducting research and working with clients and
candidates throughout all phases of a project and/or executive search and
recruitment. Ms. Daniels has a Bachelor of Science in Business and
Human Resource Management from Virginia Commonwealth University
and an Associate of Science in Psychology from John Tyler Community
College.
Full Project Team Resumes can be found in Appendix II
111
Client References
7. Client References
21
City of Salisbury, North Carolina
(2009)
Mr. Zack Kyle, Director of
Human Resources
704-638-5229
[email protected]
Preparation of a classification and
compensation plan and
performance evaluation system for
the City’s employees.
compensation plan for the County’s
employees.
Town of Morehead City, North
Carolina (2013)
Mr. David S. Whitlow, City
Manager
252-726-6848 ext. 113
[email protected]
compensation plan and
performance evaluation system for
the City’s employees.
City of Jacksonville, North
Carolina (2010)
Ms. Mary Don Olds, Human
Resources Generalist
910-938-5228
[email protected]
compensation plan for the City’s
employees.
Association of County
Commissioners, Georgia (2012)
Mr. Randy Hartmann, Chief
Operating Officer
404-522-5022 x123
[email protected]
Contracted to perform classification
and compensation study for the
Association.
Robeson County, North Carolina
(2014)
Mr. Ricky Harris, County
Manager
910-671-3022
[email protected]
112
Client References
22
Town of Carrboro, North Carolina
(2011)
Mr. David Andrews, Town
Manager
919- 918-7315
[email protected]
compensation plan for the Town’s
employees.
City of New Bern, North Carolina
(2012)
Ms. Sonya Hayes, Director of
Human Resources
252-639-75700
[email protected]
employees.
Onslow County, North Carolina
(2013)
Dr. Meghan Doyle, Human
Resources Director
910-347-4717
meghan_doyle@onslowcountync
.gov
compensation plan for the County’s
employees.
North Carolina Association of County
Commissioners (Ongoing)
Ms. Elizabeth Floyd, Director
of Finance
919-715-2893
[email protected]
Contracted to perform numerous
classification and compensation
studies for counties throughout
North Carolina since 2007.
North Carolina League of
Municipalities (Ongoing)
Mr. Hartwell Wright,
Membership Services Director
919-715-3932
[email protected]
studies for municipalities throughout
Edgecombe County, North
Carolina (2009)
Mr. Lorenzo Carmon, County
Manager
252-641-7834
[email protected]
Conducted comprehensive
classification, compensation and
benefits study for the County.
Warren County, Virginia (2010)
Mr. Douglas P. Stanley,
County Administrator
540-636-4600
[email protected]
Preparation of new class
descriptions for all general
Government positions and
integration into existing
compensation plan. Springsted
also evaluated the impacts of the
County’s participation in the LEO’s
retirement program and is called on
for continuing support in revising
classification descriptions.
113
Client References
23
Duplin County, North Carolina
(2011)
Ms. Pam Brame, Human
Resources Director
910-296-2174
pamela.brame@duplincountync.
com
Lee County, North Carolina (2012)
Ms. Joyce D. Mc Gehee, Human
Resources Director
919-718-4615
[email protected]
Chowan County, North Carolina
(2011)
Carrie B. Byrum, Human
Resources Manager
252-482-8431, ext. 2
[email protected]
Warren County, Virginia
compensation and benefits study for
the County, including Constitutional
Officers. Continue to provide annual
maintenance consulting services.
Mr. Douglas P. Stanley, AICP,
County Administrator
540-636-4600
Fauquier County General
Government and Public Schools,
Virginia
compensation and benefits study for
the County, including Constitutional
Officers. Continue to provide annual
maintenance consulting services.
Ms. Janelle Downes, Director of
Human Resources
540-428-8703
North Carolina League of
Municipalities, North Carolina
studies for municipalities throughout
Mr. Hartwell Wright, Director
of Member Services
919-715-3932
City of New Bern, North Carolina
employees.
Ms. Sonya Hayes, Director of
Human Resources
252-639-75700
114
Client References
24
Chowan County, North Carolina
Camden County, North Carolina
study and performance evaluation
system for the County.
Ms. Carrie B. Byrum, Human
Resources Manager
252-482-8431 ext. 2
Mr. Michael Renshaw, County
Manager
252-333-1603
Cabarrus County, North Carolina
study for the County.
Ms. Susan Nunn, Human
Resources Analyst
704-920-2200
115
Client References
25
Springsted Incorporated continues to provide a unique combination of
professional, fiscal, personnel, administrative and related consulting
services to a growing number of city, county and town governments and
special purpose authorities.
List of Classification & Compensation Studies: 2011 – Present
Year
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2011
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
Client
Cabarrus County Schools
Carroll County, Virginia
Chowan County
Crystal
Eastern Shore Virginia 911 Commission
Eau Claire City-County Health Department
Elko New Market
Evansville Vanderburgh Public Library
Farragut
Grand Forks County
Grand Rapids
Guilford County
Housing Authority Columbus, Georgia
Independent School District No. 0001
Intermediate District No. 287
Intermediate School District No. 917
Lee County
Macon County
New Bern
New Hope
Pewaukee
Prince George County
Salisbury
Southeastern Center for MH/DD/SA Services
Story County
Triangle Transit Authority
Virginia Resources Authority
Waite Park
West Metro Fire District
Winona
Baudette
Beltrami County
Breckenridge
Clay County
Coon Rapids
Crystal
Dunn County
Eudora
State
NC
VA
NC
MN
VA
WI
MN
IN
TN
ND
MN
NC
GA
MN
MN
MN
MN
NC
NC
NC
MN
WI
VA
NC
NC
IA
NC
VA
MN
MN
MN
MN
MN
MN
NC
MN
MN
WI
KS
MN
MN
MN
Project
Salary Study
Class & Comp Study
Class & Comp Study
Job Evaluation Study
Compensation Study
Compensation Study
Class and Comp Study
Comp/Job Equity Study
Comp/Posi Description Study
Pay Equity/Compensation System
HR Personnel Study
Pay Comparable Study
Classification & Compensation Study
Job Classification
Salary Study
Job Descriptions
Compensation Study
Classification and Compensation
Position Comp Analysis
Pay for Performance
Compensation Study
Compensation Study
Class and Pay Revisions
Pay Study Update
Pay Equity and Compensation Study
Pay and Class Study
Pay and Class Study
HR Consulting
Class & Comp Study
External Compensation Study
Compensation Study
Wage and Job Study Consulting Services
Comp & Class Study
Purchase SAFE System
Salary Study
Pay and Class Study
Population
184,498
29,883
14,726
22,524
4,513
21,390
69,179
10,989
495,279
202,824
2,087
19,674
60,266
33,857
30,242
20,728
13,827
37,253
33,604
91,140
6,680
57,546
1,073
44,442
3,387
10,584
62,103
22,524
44,122
6,211
16,513
110,742
23,414
116
Client References
26
Year
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2012
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
Client
Isanti
Itasca County
Lawrence Public Library
Le Sueur County
Moorhead
Morehead City
Morrison County
Mounds View
New Brighton
New Prague
North St. Paul
Ortonville
Poquoson
Racine
Randolph County
Renville County
Richmond Behavioral Health Authority
Roseville
Shakopee
St. Anthony
St. Joseph
Wabasha County
Waseca
Waseca County
Washington County HRA
Watertown
Albemarle County Service Authority
Alcoa
Alexandria
Amherst County
Arden Hills
Association County Commissioners Georgia
Bath County
Beltrami County
Brainerd
Buchanan
Carteret County
Carver
Concord
Dinwiddie County Schools
Fosston
Franklin County
Harrisonburg
Harrisonburg-Rockingham CSB
Hawley
Hermantown
Jamestown
State
MN
MN
KS
MN
MN
NC
MN
MN
MN
MN
MN
MN
VA
WI
NC
MN
VA
MN
MN
MN
MO
MN
MN
MN
MN
WI
VA
TN
MN
VA
MN
GA
VA
MN
MN
WI
NC
MN
NC
VA
MN
NC
VA
VA
MN
MN
NC
Project
Pay and Class
Market Analysis and Contract Costing
Staffing and Compensation Study
Position Class and Comp
Job Class, Comp and Perf Eval Project
Compensation Presentation
Job Audits
Compensation Study
Golf Course Position Analysis
Compensation Study
Compensation Study
Pay and Class
Class & Comp Study
Class and Comp
Compensation Study
Class & Comp Study & Org Review Study
Pay and Class Study
Class Comp Study
Class & Comp
Class and Comp
Compensation Study
Compensation Study
Classification & Performance Evaluation
Class & Comp Study
Classification Job Evaluation Study
Compensation Plan Update
Classification & Comp Study
Compensation Study
Classification Study
Class, Compensation, Benefits Study
Class and Comp
Compensation Study
Population
5,395
45,221
90,811
27,810
39,398
9,203
33,052
12,407
21,867
7,502
11,830
1,871
12,104
81,855
142,577
15,166
214,114
34,934
39,167
8,583
77,147
21,443
9,345
19,097
246,603
23,929
103,000
8,640
11,580
32,353
9,750
10,100,000
4,616
44,442
13,487
6,894
67,632
4,147
83,506
27,904
1,508
62,260
51,395
2,070
9,603
3,617
117
Client References
27
Year
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2013
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
Client
La Crosse
Lake City
Laurinburg
Mahtomedi
Maryville
Mecklenburg County
Melrose
Menasha
Merriam
Moorhead Public Housing Agency
Mounds View
New Prague
Person County
Piqua
Stutsman County
Swift County
Todd County
Traverse County
Triangle Transit Authority
Warren County NC
Warroad
Waukesha County
Wheaton
Wilson
Big Lake
Bloomington
Cabarrus County Water and Sewer Authority
Cape Charles
Carroll County Public Schools
Chatham County
Clarke County
COMtech Business Park
County Transylvania
Delavan
Dunn County
Elkhorn
Elko New Market
Glasgow
Lake Geneva
Leland
McFarland
McFarland School District
Metropolitan Sewerage District
Middleton
State
WI
MN
NC
MN
TN
VA
MN
WI
KS
MN
MN
MN
NC
OH
ND
MN
MN
MN
NC
NC
MN
WI
IL
NC
MN
MN
NC
VA
VA
NC
VA
NC
NC
WI
WI
WI
MN
VA
MN
MN
MN
WI
NC
WI
WI
NC
WI
Project
Pay and Class Study
Compensation Study
Compensation Study
Compensation Study
Compensation and Benefits Study
Class and Compensation
Update Class & Comp Program
Comp Study & Perf Evaluation System
Classification, Pay and Benefits Study
Compensation Study
Employee Class & Comp Study
Class & Comp Study
Class & Comp
Class System and Pay Plan Dev
Administrative Support Study
Class and Comp Study and Analysis
Compensation Study
Job Evaluation Study
Class & Comp
Pay & Class Update
CAO Salary Survey
Compensation Plan Update
Compensation Study
Compensation Study
Compensation Update
Comp and Position Classification Plan
Job Description Project
Job Descriptions
Review Job Description
Compensation Study
Compensation Study
Classification and Comp Study
Comp Update
Compensation Study
Population
51,522
4,980
15,774
8,013
27,992
31,426
3,601
17,588
11,281
39,398
12,407
7,502
39,276
20,699
21,120
9,594
24,509
3,451
20,575
1,770
393,843
53,469
49,628
5,200
86,319
187,226
990
29,883
66,817
14,323
32,903
8,495
44,122
9,963
4,513
1,130
7,710
16,022
8,108
8,108
17,589
118
Client References
28
Year
2014
2014
2014
2014
2014
2014
2014
2014
2014
2014
Client
New Berlin Public Schools
Oakdale
Pewaukee
Pope County
Rib Mountain
Robeson County
Sampson County
Sanford
SW & West Central Service Cooperative
St. James
State
WI
MN
WI
MN
WI
NC
NC
NC
MN
MN
2014
2014
2014
2014
2014
2014
2014
2014
2014
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
Stacy
Stevens County
Stoughton
Verona
Virginia Association of Counties
Wayzata
West Point
Wilson County
Woodstock
Amherst
Appomattox River Water Authority
Bemidji
Bloomington
Bloomington
Chatfield
Chesapeake Bay Bridge Tunnel Dist Comm
Coweta County
Emporia
Franklin County
Kannapolis
La Crosse Public Library
Lake Worth
Lee County
Maple Lake
Midlands Auth for Conv, Sports & Tourism
Monroe
Mukwonago
Newnan
Newport
NCACC
Pine County
Plymouth
Plymouth
Rivanna Water and Sewer Authority
MN
MN
WI
WI
VA
MN
VA
NC
VA
VA
VA
MN
MN
MN
MN
VA
GA
VA
VA
MN
MN
NC
WI
FL
NC
MN
SC
NC
WI
GA
MN
NC
MN
MN
MN
VA
Project
Job Class Study-Support Staff
Compensation Study
Compensation Study
Classification and Compensation Update
Class & Comp Plan
Class, Comp and Benefits Program Study
Compensation Plan
Sal & Ben Surv and Rev the Pay Equity
Sys
Compensation Plan
Class & Comp Study
Compensation Study
Compensation Study
Class and Comp
Compensation Study
Comp Study/Work Plan
Review Personnel Policies and Pay Plan
Pay & Classification Study
Compensation Study
Market Survey
Attorney Market Survey
SAFE Database
Compensation Market Study
Salary Update Study
Compensation and Classification Study
External Compensation Study
Comp Worth
Salary Study
Class & Comp Study
External Comp Study
Classification and Compensation
Compensation Study
Compensation/Classification Study
Compensation & Classification Study
SAFE Database
Population
39,834
27,780
8,166
10,892
6,825
134,841
64,150
2,013
4,553
1,426
9,735
12,945
10,632
4,217
3,339
81,667
5,189
2,219
14,435
86,319
86,319
2,789
133,180
5,588
56,335
11,580
44,359
51,522
36,000
60,266
2,093
33,975
7,494
34,847
3,461
9,944,000
29,104
73,987
119
Client References
29
Year
2015
2015
2015
2015
2015
2015
2015
2015
2015
2015
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
In Progress
Client
Rockbridge County
Rockingham County
Scott County CDA
Sherburne County
Siler City
Southampton County
Warrenton
Washington County HRA
Whitewater
Wythe County
Buffalo
Cass Lake
Clarkfield
Farragut
Harris County
Hutchinson Utilities Commission
Lake Geneva
Le Sueur
Little Falls
Luray
New Ulm
Orange Water and Sewer Authority
Otsego
Red Lake Falls
Wabasha County
State
VA
NC
MN
MN
NC
VA
VA
NC
WI
VA
MN
MN
MN
TN
GA
MN
WI
MN
MN
VA
MN
NC
MN
MN
MN
Project
Class, Comp Plan and Perf Eval Study
Class and Comp
Class and Comp
Class & Comp Study
Market Study
Compensation Study
Market Study
Job Evaluation and Compensation System
Utility Compensation Study
Compensation Study
Compensation Study
Compensation Study
Employee Total Compensation Study
Compensation Study
Market Study Update
Population
22,307
91,898
90,158
8,169
18,128
9,862
14,732
29,344
15,825
747
832
32,663
13,871
7,710
4,041
8,232
4,860
13,210
140,352
1,410
21,443
120
Agreement Statement
30
8. Agreement Statement
In accordance with the County’s request, Springsted agrees to:
a. Deliver at least twelve (12) hard copies of the final report to the
Human Resources Director;
b. Provide the final report, tables, schedules, job descriptions, charts,
spreadsheets, procedures manual, salary surveys, benefits survey
and other materials necessary for the implementation and
maintenance of the compensation/classification system in an
electronic format (CD and/or USB thumb drive) in Microsoft
Office 2010 format; and
c. Appear at scheduled Board of County Commissioners’ meeting(s)
to discuss the recommendations and final report.
121
APPENDIX I
Sample Compensation and Benefits Survey
122
APPENDIX II
Resumes
123
John A. Anzivino
Senior Vice President
Client Representative
Mr. Anzivino joined Springsted in December 2001 as Vice President and Client
Representative. In July 2006, he was named Senior Vice President of the firm
and, in December 2006, as Director of Springsted’s Mid-Atlantic group. He
assists Mid-Atlantic cities, counties, towns and non - profit organizations in
addressing human resources, staffing, organizational management, financial,
housing and economic development challenges in a variety of innovative ways.
In addition, Mr. Anzivino oversees the bond issuance process for clients,
ensuring that debt offerings are marketed and delivered in a timely and
effective manner.
Mr. Anzivino has over 25 years of experience in state and local government. He
served as Town Manager for Warrenton, Virginia for more than 12 years. Prior
to Warrenton, he served as County Administrator for four years in Caroline
County, Virginia, and for six years in Amelia County, Virginia. Each of these
communities received state and national recognition for developing creative and
innovative approaches to resolving complex financial and programmatic issues
that they faced during his tenure. During this time, Mr. Anzivino authored
chapters in the VML Handbook for Mayors and Council Members and the
Virginia Association of Counties Handbook for County Supervisors. He has
also held positions in West Virginia with the Governor’s Office of Economic
and Community Development, specializing in resolving complex utility and
project financing issues and with a regional planning and development agency,
as its Assistant Director.
Mr. Anzivino has been an active participant in professional associations,
having served as Vice President of the Virginia Local Government
Management Association and as President of the Virginia Association of
County Administrators. He has addressed several national and regional
organizations on changes in the workforce and their relationship to hiring
patterns in the public sector.
Education
University of Georgia, Athens, Georgia
Master of Public Administration
Concord College, Athens, West Virginia
Bachelor of Arts
University of Virginia, Charlottesville, Virginia
Senior Executive Institute
Affiliations
International City Management Association (ICMA)
Virginia Local Government Management Association (VLGMA)
International Public Management Association for Human Resources (IPMA)
Virginia Local Government Management Association (VLGMA), Life
Member
North Carolina Government Finance Officers Association (NCGFOA)
124
Ann S. Antonsen
Vice President
Consultant
Ann Antonsen is an organization and management consultant, specializing in
position analyses, classification and compensation studies, performance
management and evaluation system development and staff training and in
conducting executive search efforts for the public sector. She performs
organizational assessments and studies, revisions and development of
personnel policies and manuals and conducts organizational management
training and providing general human resources assistance.
Ms. Antonsen has been with Springsted since 2005 and serves clients
nationwide. With her strong background in Organizational Management and
Human Resources, she is dedicated to using her well-honed abilities to assist
governmental agencies in developing and growing meaningful legacies.
Ms. Antonsen has extensive experience in serving government organizations;
she previously worked as a consultant with Labor Relations Associates, Inc.,
which has served the region for many years, providing management and human
resources consulting services. Ms. Antonsen has provided human resources
management services for large suburban communities and regional centers.
She brings practical experience in handling the wide variety of issues that face
public management. Additionally, she has related human resources experience
in both public associations and private corporations.
Education
University of Minnesota, Minneapolis, Minnesota
Bachelor of Arts in Psychology
Continuing Legal Education Courses
Professional
International Public Management Association in Human Resources (IPMA)
125
Joel A. Davis
Vice President
Consultant
Mr. Davis is an organizational management and human resources consultant,
specializing in position analyses, classification and compensation studies,
performance evaluation studies, assisting in the resolution of management
challenges and in conducting executive search efforts for the public sector. He
performs organizational studies, develops personnel policies and manuals and
conducts organizational management training.
Mr. Davis joined Springsted in September 2013 and has considerable experience
in wage and benefit administration, recruitment, hiring and retention, employee
relations, payroll, employee training and development and regulatory
compliance; as well as preparation of job descriptions, personnel policies and
analysis of compensation levels. Additionally, Mr. Davis has considerable
experience in city and town management as well.
Prior to joining Springsted, Mr. Davis served as Human Resources Director /
Public Information Officer for the City of Winchester, Virginia where he
worked with the City Manager, City Council and department managers on
strategic planning, complex administrative projects and assignment of staff
resources to ensure productive and cost-effective operations for a 500 employee
organization.
Mr. Davis has also has served as an Assistant City Manager overseeing several
departments including human resources in North Myrtle Beach, South Carolina,
as Town Administrator for the Town of Harrisburg, North Carolina, as Town
Manager for the Town of Spring Lake, North Carolina and as Recreation and
Parks Director for Caswell County, North Carolina.
Education
University of North Carolina – Greensboro, North Carolina
Master of Public Affairs
Elon University – Elon, North Carolina
Bachelor of Arts in Political Science and Public Administration
University of North Carolina, Institute of Government
Capital Finance and Budgeting, Municipal Administration and Personnel
Management
Affiliations
International City/County Management Association (ICMA)
International Public Management Association (IPMA)
North Carolina Association of County Commissioners (NCACC)
North Carolina City County Managers Association (NCCMA)
North Carolina League of Municipalities (NCLM)
Society for Human Resource Management (SHRM)
Virginia Association of Counties (VACo)
Virginia Municipal League (VML)
Civic Affiliations
Paul Harris Fellow in the Rotary Club; Past Chair of Rotary Club Finance
Committee
Chair of Horry County Heart Walk (2007)
126
Rebecca A. Dayton
Project Manager
Rebecca Dayton joined Springsted in November 2011, working as an Analyst
with the Management Consulting Services Team. She provides technical
support and assistance to clients through our human resources services line,
focusing on compensation studies, executive searches and organizational
management projects.
Ms. Dayton specializes in all facets of human resources, including classification
and compensation as well as benefits reviews. She has prepared offer letters,
non-disclosure and non-compete documents, classification and compensation
studies and performance review programs. Her previous experience includes
program coordinator, membership assistant/exhibition coordinator, and an
associate analyst.
Prior to employment with Springsted, Ms. Dayton supervised positions and
programs related to management consulting services. She was responsible
for overseeing clerical operations and preparing, editing and formatting
correspondence, spreadsheets, and PowerPoint presentations. She has extensive
experience creating and analyzing position profiles, creating and posting job
advertisements, and researching benchmark information and following up with
contracts.
Education
Salem Community College, Carneys Point, New Jersey
Associates degree in Education
Virginia Commonwealth University, Richmond, Virginia
Course work for Bachelors of Business Administration
Strayer University
Course work for Bachelors of Business Administration in Management
127
Hailey W. Daniels
Assistant Project Manager
Ms. Hailey Daniels joined Springsted in January 2015 as a Human Resources
Analyst with the Organizational Management and Human Resources Team,
providing support and assistance for executive search and organizational
management projects. Her duties include conducting research and working
with clients and candidates throughout all phases of a project and/or executive
search and recruitment.
Before joining the Springsted team, Ms. Daniels worked in an administrative
human resources role in the construction industry. She was responsible for
recruitment efforts and pre-employment tasks such as creating job postings,
conducting candidate screenings and scheduling interviews. In addition,
Ms. Daniels was responsible for managing the employee on-boarding process,
updating personnel policies and clerical duties such as contract management,
formatting spreadsheets and creating PowerPoint presentations.
Education
Virginia Commonwealth University, Richmond, Virginia
Bachelor of Science, Business and Human Resource Management
John Tyler Community College, Chester, Virginia
Associate of Science, Psychology
Memberships
Society of Human Resource Management (SHRM)
Richmond Society of Human Resource Management
Local SHRM Chapter
128
Award of FY2015-2016 Vehicle and Equipment Financing
Description
On February 15, 2016, Finance received proposals for financing in the amount of $1,361,569 with a 3 year
term for acquisition of county vehicles and equipment as approved in the fiscal year 2015-16 operating budget.
Responses were received from six financial institutions. The lowest total cost proposal for a 3 year financing
was submitted by US Bancorp Government Leasing & Finance at a rate of 1.235%. The bid tabulation and
financing documents are attached.
Adopt the attached Resolution to award the 3 year financing to US Bancorp GLF at a rate of 1.235% and
authorize the County Manager, Finance Director, and Clerk to execute all necessary documents.
Item Presenter
David Clawson
129
RESOLUTION AUTHORIZING THE EXECUTION AND DELIVERY OF
AN INSTALLMENT FINANCING CONTRACT IN THE AMOUNT OF
$1,361,569 WITH US BANCORP GOVERNMENT LEASING AND
FINANCE INC TO FINANCE THE ACQUISITION OF CERTAIN
EQUIPMENT FOR USE BY THE COUNTY OF DARE, NORTH
CAROLINA, AUTHORIZING THE EXECUTION AND DELIVERY OF
RELATED INSTRUMENTS, AND DETERMINING OTHER MATTERS
IN CONNECTION THEREWITH
BE IT RESOLVED by the governing body for the County of Dare, North Carolina (the
“Unit”):
Section 1. The governing body of the Unit does hereby find and determine:
a)
The County of Dare proposes the acquisition of certain equipment, which may
include fixtures as more fully described in the hereinafter mentioned Contract
(collectively, the “Equipment”);
b)
After consideration, the governing body of the Unit has determined that the most
advantageous manner of financing thereof is by an installment contract pursuant
to Section 160A-20 of the General Statutes of North Carolina, as amended;
c)
Pursuant to Section 160A-20, the Unit is authorized to finance the acquisition of
personal property, including fixtures, by installment contracts that create a
security interest in the property financed to secure repayment of the financing;
and
d)
US Bancorp Government Leasing and Finance Inc (USBGLF) has proposed that
USBGLF enter into an Installment Financing Contract with the Unit to finance the
Equipment pursuant to which USBGLF will lend the Unit the amount of
$1,361,569 (the “Contract”) and a related Escrow Agreement between the Unit
and USBGLF (the “Escrow Agreement”).
Section 2. The governing body of the Unit hereby authorizes and directs the County
Manager and Finance Director to execute, acknowledge and deliver the Contract and Escrow
Agreement on behalf of the Unit in such form and substance as the person executing and
delivering such instruments on behalf of the Unit shall find acceptable. The Clerk is hereby
authorized to affix the official seal of the County of Dare to the Contract and the Escrow
Agreement and attest the same.
Section 3. The proper officers of the Unit are authorized and directed to execute and
deliver any and all papers, instruments, opinions, certificates, affidavits and other documents and
to do or cause to be done any and all other acts and things necessary or proper for carrying out
this Resolution and the Contract and the Escrow Agreement.
Section 4. Notwithstanding any provision of the Contract or the Escrow Agreement, no
deficiency judgment may be rendered against the Unit in any action for breach of a contractual
130
obligation under the Contract or the Escrow Agreement and the taxing power of the Unit is not
and may not be pledged directly or indirectly to secure any moneys due under the Contract, the
security provided under the Contract being the sole security for USBGLF in such instance.
Section 5. The Unit covenants that, to the extent permitted by the Constitution and laws
of the State of North Carolina, it will comply with the requirements of the Internal Revenue
Code of 1986, as amended (the “Code”) as required so that interest on the Unit’s obligations
under the Contract will not be included in the gross income of USBGLF.
Section 6. The Unit hereby represents that it does not reasonably expect that it, all
subordinate entities thereof and all entities issuing obligations on behalf of the Unit, will issue in
the aggregate not more than $10,000,000 of tax-exempt obligations, including the Contract
during calendar year 2016. In addition, the Unit hereby designates the Contract and its
obligations under the Contract as a “bank qualified tax-exempt obligation” for the purposes of
the Code.
Section 7. This Resolution shall take effect immediately upon its passage.
PASSED AND ADOPTED this 7th day of March, 2016.
_____________________________________________
Chairman, Board of County Commissioners
[SEAL]
COUNTY OF DARE, NORTH CAROLINA
___________________________________
Clerk to the Board
131
DOCUMENT CHECKLIST
PLEASE EXECUTE TWO (2) ORIGINALS OF ALL DOCUMENTS
**NO FRONT AND BACK COPIES, PLEASE**
RETURN ALL ORIGINALS TO:
U.S. BANCORP GOVERNMENT LEASING AND FINANCE, INC.
LISA ALBRECHT
TH
950 17 STREET, 7TH FLOOR
DENVER, CO 80202
303-585-4077
¾
Addendum/Amendment to Master Tax-Exempt Lease Purchase Agreement – This document must be executed in the
presence of a witness/attestor. The attesting witness does not have to be a notary, just present at the time of execution.
¾
Property Schedule No. 3 - This document must be executed in the presence of a witness/attestor. The attesting witness does
not have to be a notary, just present at the time of execution.
¾
Property Description and Payment Schedule – Exhibit 1
¾
Lessee’s Counsel’s Opinion – Exhibit 2. This exhibit will need to be executed by your attorney, dated and placed on their
letterhead. Your attorney will likely want to review the agreement prior to executing this opinion.
¾
Lessee’s General and Incumbency Certificate – Exhibit 3. - Include in your return package a copy of the board minutes or
resolution for our files
¾
Payment of Proceeds Instructions – Exhibit 4. – Intentionally Omitted
¾
Acceptance Certificate – Exhibit 5. – Intentionally Omitted
¾
Bank Qualification and Arbitrage Rebate – Exhibit 6.
¾
Insurance Authorization and Verification – To be filled out by the Lessee and sent to your insurance carrier. A valid
insurance certificate, or self-insurance letter if the Lessee self-insures, is required prior to funding.
¾
Notification of Tax Treatment
¾
Form 8038-G – Blank form and instructions provided to Lessee. Please consult your CPA, local legal or bond counsel to fill
out.
¾
Vehicle Titling Memo
¾
Escrow Agreement – This document needs to be executed by the Executing Official defined in the Lessee’s Certificate –
Exhibit 3.
o
o
o
o
o
o
Investment Direction Letter – Exhibit 1. This document needs to be executed by the Executing Official.
Schedule of Fees – Exhibit 2.
Requisition Request – Exhibit 3. This document should be retained by Lessee and utilized to request
disbursements from the escrow account. Please make copies and fill out as many as are needed.
Final Acceptance Certificate - Exhibit 4. This document should be retained by Lessee and provided to Lessor
once all the proceeds have been disbursed from the escrow account.
Class Action Negative Consent Letter – Exhibit 6.
IRS Form W-9. This document should be retained by Lessee and submitted with the Requisition Request(s) for each
vendor being paid. Please make copies and fill out as many as are needed.
132
ADDENDUM (NORTH CAROLINA)
Master Tax-Exempt Lease/Purchase Agreement
THIS ADDENDUM, which is entered into as of March 15, 2016 between U.S. Bancorp Government Leasing and Finance, Inc. (“Lessor”)
and County of Dare (“Lessee”), is intended to modify and supplement Property Schedule No. 2 (the “Property Schedule”) to the Master
Tax-Exempt Lease/Purchase Agreement between Lessor and Lessee dated as of March 14, 2014 (the “Master Agreement”). Capitalized
terms not otherwise defined herein shall have the meanings set forth in the Master Agreement.
In addition to the representations, warranties and covenants set forth in the Master Agreement, Lessee represents, warrants and
covenants for the benefit of Lessor that (i) Lessee has reviewed the Property Schedule with legal counsel regarding the need to obtain
approval of the Local Government Commission, and if determined that such approval is needed, has so obtained such approval, and (ii)
if Lessee is a school district, Lessee has reviewed Section 115C-528 of the General Statutes of North Carolina with its legal counsel for
compliance with all of the terms and conditions set forth therein for lease-purchase contracts, and has complied with all said terms and
conditions with respect to the Property Schedule.
IN WITNESS WHEREOF, Lessor and Lessee have caused this Addendum to be executed in their names by their duly authorized
representatives as of the date first above written.
Lessor: U.S. Bancorp Government Leasing and
Finance, Inc.
Lessee: County of Dare
By:
By:
Name:
Name:
Robert Outten
Title:
Title:
County Manager
Attest:
By
Name:
Title:
133
Sally DeFosse
Assistant Finance Director
Property Schedule No. 3
Master Tax-Exempt Lease/Purchase Agreement
This Property Schedule No. 3 is entered into as of the Commencement Date set forth below, pursuant to that certain Master Tax-Exempt
Lease/Purchase Agreement (the “Master Agreement”), dated as of March 14, 2014, between U.S. Bancorp Government Leasing and Finance, Inc., and
County of Dare.
1.
Interpretation. The terms and conditions of the Master Agreement are incorporated herein by reference as if fully set forth herein. Reference is made to
the Master Agreement for all representations, covenants and warranties made by Lessee in the execution of this Property Schedule, unless specifically
set forth herein. In the event of a conflict between the provisions of the Master Agreement and the provisions of this Property Schedule, the provisions
of this Property Schedule shall control. All capitalized terms not otherwise defined herein shall have the meanings provided in the Master Agreement.
2.
Commencement Date. The Commencement Date for this Property Schedule is March 15, 2016.
3.
Property Description and Payment Schedule. The Property subject to this Property Schedule is described in Exhibit 1 hereto. Lessee shall not remove
such property from the locations set forth therein without giving prior written notice to Lessor. The Lease Payment Schedule for this Property Schedule
is set forth in Exhibit 1.
4.
Opinion. The Opinion of Lessee's Counsel is attached as Exhibit 2.
5.
Lessee's Certificate. The Lessee's Certificate is attached as Exhibit 3.
6.
Proceeds. Exhibit 4 has been intentionally omitted.
7.
Acceptance Certificate. Exhibit 5 has been intentionally omitted.
8.
Additional Purchase Option Provisions. In addition to the Purchase Option provisions set forth in the Master Agreement, Lease Payments payable
under this Property Schedule shall be subject to prepayment in whole at any time by payment of the applicable Termination Amount set forth in Exhibit
1 (Payment Schedule) and payment of all accrued and unpaid interest through the date of prepayment.
9.
Private Activity Issue. Lessee understands that among other things, in order to maintain the exclusion of the interest component of Lease Payments
from gross income for federal income tax purposes, it must limit and restrict the rights private businesses (including, for this purpose, the federal
government and its agencies and organizations described in the Code § 501(c)(3)) have to use the Property. Each of these requirements will be
applied beginning on the later of the Commencement Date or date each portion of the Property is placed in service and will continue to apply until
earlier of the end of the economic useful life of the Property or the date the Agreement or any tax-exempt obligation issued to refund the Property
Schedule is retired (the “Measurement Period”).
Lessee will comply with the requirements of Section 141 of the Code and the regulations thereunder which provide restrictions on special legal rights
that users other than Lessee or a state or local government or an agency or instrumentality of a state or a local government (an “Eligible User”) may
have to use the Property. For this purpose, special legal rights may arise from a management or service agreement, lease, research agreement or
other arrangement providing any entity except an Eligible User the right to use the Property. Any use of the Property by a user other than an Eligible
User is referred to herein as “Non-Qualified Use”.
Throughout the Measurement Period, all of the Property is expected to be owned by Lessee. Throughout the Measurement Period, Lessee will not
permit the Non-Qualified Use of the Property to exceed 10%.
10.
Bank Qualification and Arbitrage Rebate. Attached as Exhibit 6.
11. Expiration. Lessor, at its sole determination, may choose not to accept this Property Schedule if the fully executed, original Master Agreement
(including this Property Schedule and all ancillary documents) is not received by Lessor at its place of business by April 09, 2016.
IN WITNESS WHEREOF, Lessor and Lessee have caused this Property Schedule to be executed in their names by their duly authorized representatives as
of the Commencement Date above.
Finance, Inc.
By:
By:
Name:
Name:
Robert Outten
Title:
Title:
County Manager
Attest:
By
Name:
Title:
134
Sally DeFosse
Assistant Finance Director
EXHIBIT 1
Property Description and Payment Schedule
Re:
Property Schedule No. 3 to Master Tax-Exempt Lease/Purchase Agreement between U.S. Bancorp
Government Leasing and Finance, Inc. and County of Dare.
PROPERTY IS AS FOLLOWS: The Property as more fully described in Exhibit A incorporated herein by reference and
attached hereto.
PROPERTY LOCATION:
954 Marshall C Collins Drive
Address
Manteo, NC 27954
City, State
Zip Code
USE: Vehicles, Washers and Dryers - This use is essential to the proper, efficient and economic functioning of Lessee or
to the services that Lessee provides; and Lessee has immediate need for and expects to make immediate use of
substantially all of the Property, which need is not temporary or expected to diminish in the foreseeable future.
Lease Payment Schedule
Total Principal Amount:
Payment No.
1
2
3
4
5
6
7
8
9
10
11
12
$1,361,569.00
Due Date
15-Jun-2016
15-Sep-2016
15-Dec-2016
15-Mar-2017
15-Jun-2017
15-Sep-2017
15-Dec-2017
15-Mar-2018
15-Jun-2018
15-Sep-2018
15-Dec-2018
15-Mar-2019
TOTALS
Lease
Payment
Principal
Portion
Interest
Portion
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
115,754.03
1,389,048.36
111,550.19
111,894.60
112,240.08
112,586.62
112,934.23
113,282.91
113,632.67
113,983.51
114,335.45
114,688.45
115,042.55
115,397.74
1,361,569.00
4,203.84
3,859.43
3,513.95
3,167.41
2,819.80
2,471.12
2,121.36
1,770.52
1,418.58
1,065.58
711.48
356.29
27,479.36
Interest Rate: 1.235%
By:
Name:
Robert Outten
Title:
County Manager
135
Termination
Amount
(After Making Payment
for said Due Date)
N/A
N/A
N/A
940,696.44
824,374.18
707,692.78
590,651.13
473,248.11
355,482.61
237,353.50
118,859.68
0.00
EXHIBIT A
Property Description
(4) Pickup Trucks
(12) Patrol Vehicles
(3) Ambulances
(2) Trash Trucks
(5) Commercial Washers and Dryers
VIN#s to be determined
136
EXHIBIT 2
Lessee's Counsel's Opinion
[To be provided on letterhead of Lessee's counsel.]
March 15, 2016
U.S. Bancorp Government Leasing and Finance, Inc.
13010 SW 68th Parkway, Suite 100
Portland, OR 97223
County of Dare
954 Marshall C Collins Dr
Attention: Sally DeFosse, Assistant Finance Director
RE:
Property Schedule No. 3 to Master Tax-Exempt Lease/Purchase Agreement between U.S. Bancorp Government
Leasing and Finance, Inc. and County of Dare.
Ladies and Gentlemen:
We have acted as special counsel to County of Dare ("Lessee"), in connection with the Master Tax-Exempt
Lease/Purchase Agreement, dated as of March 14, 2014 (the "Master Agreement"), between County of Dare, as lessee, and
U.S. Bancorp Government Leasing and Finance, Inc. as lessor (“Lessor”), and the execution of Property Schedule No. 3 (the
"Property Schedule") pursuant to the Master Agreement. We have examined the law and such certified proceedings and
other papers as we deem necessary to render this opinion.
All capitalized terms not otherwise defined herein shall have the meanings provided in the Master Agreement and
Property Schedule.
As to questions of fact material to our opinion, we have relied upon the representations of Lessee in the Master
Agreement and the Property Schedule and in the certified proceedings and other certifications of public officials furnished to
us without undertaking to verify the same by independent investigation.
Based upon the foregoing, we are of the opinion that, under existing law:
1.
Lessee is a public body corporate and politic, duly organized and existing under the laws of the State, and has a
substantial amount of one or more of the following sovereign powers: (a) the power to tax, (b) the power of eminent domain,
and (c) the police power.
2.
Lessee has all requisite power and authority to enter into the Master Agreement and the Property Schedule and to
perform its obligations thereunder.
3.
The execution, delivery and performance of the Master Agreement and the Property Schedule by Lessee has been
duly authorized by all necessary action on the part of Lessee.
4.
All proceedings of Lessee and its governing body relating to the authorization and approval of the Master Agreement
and the Property Schedule, the execution thereof and the transactions contemplated thereby have been conducted in
accordance with all applicable open meeting laws and all other applicable state and federal laws.
5.
Lessee has acquired or has arranged for the acquisition of the Property subject to the Property Schedule, and has
entered into the Master Agreement and the Property Schedule, in compliance with all applicable public bidding laws.
6.
Lessee has obtained all consents and approvals of other governmental authorities or agencies which may be required
for the execution, delivery and performance by Lessee of the Master Agreement and the Property Schedule.
137
7.
The Master Agreement and the Property Schedule have been duly executed and delivered by Lessee and constitute
legal, valid and binding obligations of Lessee, enforceable against Lessee in accordance with the terms thereof, except
insofar as the enforcement thereof may be limited by any applicable bankruptcy, insolvency, moratorium, reorganization or
other laws of equitable principles of general application, or of application to municipalities or political subdivisions such as the
Lessee, affecting remedies or creditors' rights generally, and to the exercise of judicial discretion in appropriate cases.
8.
As of the date hereof, based on such inquiry and investigation as we have deemed sufficient, no litigation is pending,
(or, to our knowledge, threatened) against Lessee in any court (a) seeking to restrain or enjoin the delivery of the Master
Agreement or the Property Schedule or of other agreements similar to the Master Agreement; (b) questioning the authority of
Lessee to execute the Master Agreement or the Property Schedule, or the validity of the Master Agreement or the Property
Schedule, or the payment of principal of or interest on, the Property Schedule; (c) questioning the constitutionality of any
statute, or the validity of any proceedings, authorizing the execution of the Master Agreement and the Property Schedule; or
(d) affecting the provisions made for the payment of or security for the Master Agreement and the Property Schedule.
This opinion may be relied upon by Lessor, its successors and assigns, and any other legal counsel who provides
an opinion with respect to the Property Schedule.
Very truly yours,
By:
Dated:
138
EXHIBIT 3
Lessee's General and Incumbency Certificate
GENERAL CERTIFICATE
Re: Property Schedule No. 3 to Master Tax-Exempt Lease Purchase Agreement between U.S. Bancorp Government Leasing and
Finance, Inc. and County of Dare.
County of Dare (“Lessee”) does hereby
The undersigned, being the duly elected, qualified and acting ____________________of
County Manager
certify, as of March 15, 2016, as follows:
1. Lessee did, at a meeting of the governing body of the Lessee, by resolution or ordinance duly enacted, in accordance with
all requirements of law, approve and authorize the execution and delivery of the above-referenced Property Schedule (the
"Property Schedule") and the Master Tax-Exempt Lease Purchase Agreement (the “Master Agreement”) by the undersigned.
2. The meeting(s) of the governing body of the Lessee at which the Master Agreement and the Property Schedule were
approved and authorized to be executed was duly called, regularly convened and attended throughout by the requisite quorum
of the members thereof, and the enactment approving the Master Agreement and the Property Schedule and authorizing the
execution thereof has not been altered or rescinded. All meetings of the governing body of Lessee relating to the authorization
and delivery of Master Agreement and the Property Schedule have been: (a) held within the geographic boundaries of the
Lessee; (b) open to the public, allowing all people to attend; (c) conducted in accordance with internal procedures of the
governing body; and (d) conducted in accordance with the charter of the Lessee, if any, and the laws of the State.
3. No event or condition that constitutes, or with the giving of notice or the lapse of time or both would constitute, an Event of
Default or a Nonappropriation Event (as such terms are defined in the Master Agreement) exists at the date hereof with respect
to this Property Schedule or any other Property Schedules under the Master Agreement.
4. The acquisition of all of the Property under the Property Schedule has been duly authorized by the governing body of
Lessee.
5. Lessee has, in accordance with the requirements of law, fully budgeted and appropriated sufficient funds for the current
budget year to make the Lease Payments scheduled to come due during the current budget year under the Property Schedule
and to meet its other obligations for the current budget year and such funds have not been expended for other purposes.
6. As of the date hereof, no litigation is pending, (or, to my knowledge, threatened) against Lessee in any court (a) seeking to
restrain or enjoin the delivery of the Master Agreement or the Property Schedule or of other agreements similar to the Master
Agreement; (b) questioning the authority of Lessee to execute the Master Agreement or the Property Schedule, or the validity of
the Master Agreement or the Property Schedule, or the payment of principal of or interest on, the Property Schedule; (c)
questioning the constitutionality of any statute, or the validity of any proceedings, authorizing the execution of the Master
Agreement and the Property Schedule; or (d) affecting the provisions made for the payment of or security for the Master
Agreement and the Property Schedule.
IN WITNESS WHEREOF, the undersigned has executed this Certificate as of March 15, 2016
County of Dare
By:
Print Name:
Robert Outten
County Manager
Print Title:
SIGNER MUST BE THE AUTHORIZED
INDIVIDUAL EXECUTING THE DOCUMENTS.
139
INCUMBENCY CERTIFICATE
Re: Property Schedule No. 3 to Master Tax-Exempt Lease Purchase Agreement between U.S. Bancorp Government Leasing and
Finance, Inc. and County of Dare.
The undersigned, being the duly elected, qualified and acting Secretary or Clerk of County of Dare (“Lessee”) does hereby certify,
as of March 15, 2016, as follows:
As of the date of the meeting(s) of the governing body of the Lessee at which the above-referenced Master Agreement
and the Property Schedule were approved and authorized to be executed, and as of the date hereof, the below-named
representative of the Lessee held and holds the office set forth below, and the signature set forth below is his/her true and
correct signature.
NAME
OF EXECUTING OFFICIAL
Robert Outten
TITLE
SIGNATURE
County Manager
IN WITNESS WHEREOF, the undersigned has executed this Certificate as of March 15, 2016
County of Dare
By:
Print Name:
Gary Gross
Clerk to the Board
Print Title:
SIGNER MUST NOT BE THE SAME AS THE
EXECUTING OFFICIAL SHOWN ABOVE.
140
EXHIBIT 4
Payment of Proceeds Instructions
Intentionally Omitted
141
EXHIBIT 5
Acceptance Certificate
Intentionally Omitted
142
EXHIBIT 6
Bank Qualification And Arbitrage Rebate
13010 SW 68th Parkway, Suite 100
Portland, OR 97223
Re:
Property Schedule No. 3 to Master Tax-Exempt Lease/Purchase Agreement between U.S. Bancorp
Government Leasing and Finance, Inc. and County of Dare
Bank Qualified Tax-Exempt Obligation under Section 265
Check One:
_____ Lessee hereby designates this Property Schedule as a "qualified tax-exempt obligation" as defined in Section
265(b)(3)(B) of the Code. Lessee reasonably anticipates issuing tax-exempt obligations (excluding private activity
bonds other than qualified 501(c)(3) bonds and including all tax-exempt obligations of subordinate entities of the
Lessee) during the calendar year in which the Commencement Date of this Property Schedule falls, in an amount not
exceeding $10,000,000.
or
X Not applicable.
_____
Arbitrage Rebate
Eighteen Month Exception: Pursuant to Treasury Regulations Section 1.148-7(d), the gross proceeds of this Property
Schedule will be expended for the governmental purposes for which this Property Schedule was entered into, as follows: at
least 15% within six months after the Commencement Date, at least 60% within 12 months after the Commencement Date,
and 100% within 18 months after the Commencement Date. If Lessee is unable to comply with Section 1.148-7(d) of the
Treasury Regulations, Lessee shall compute rebatable arbitrage on this Agreement and pay rebatable arbitrage to the
United States at least once every five years, and within 60 days after payment of the final Lease Payment due under this
Agreement.
Consult tax counsel if there is any chance that the Eighteen Month Exception will not be
met.
By:
Name:
Robert Outten
Title:
County Manager
143
Language for UCC Financing Statements
Property Schedule No. 3
SECURED PARTY:
DEBTOR:
County of Dare
This financing statement covers all of Debtor's right, title and interest, whether now owned or
hereafter acquired, in and to the equipment leased to Debtor under Property Schedule No. 3 dated
March 15, 2016 to that certain Master Tax-Exempt Lease/Purchase Agreement dated as of March 14,
2014, in each case between Debtor, as Lessee, and Secured Party, as Lessor, together with all
accessions, substitutions and replacements thereto and therefore, and proceeds (cash and noncash), including, without limitation, insurance proceeds, thereof, including without limiting, all
equipment described on Exhibit A attached hereto and made a part hereof.
Debtor has no right to dispose of the equipment.
144
INSURANCE AUTHORIZATION AND VERIFICATION
Date: March 15, 2016
To: County of Dare (the “Lessee”)
Property Schedule No: 3
From: U.S. Bancorp Government Leasing and Finance, Inc. (the
“Lessor”)
1310 Madrid Street
Marshall, MN 56258
Attn: Lisa Albrecht
TO THE LESSEE:
In connection with the above-referenced Property Schedule, Lessor requires proof in the form of this
document, executed by both Lessee* and Lessee’s agent, that Lessee's insurable interest in the financed property (the “Property”)
meets Lessor’s requirements as follows, with coverage including, but not limited to, fire, extended coverage, vandalism, and theft:
LESSOR, AND ITS SUCCESSORS AND ASSIGNS, shall be covered as both ADDITIONAL INSURED and LENDER'S LOSS
PAYEE with regard to all equipment financed or leased by policy holder through or from Lessor. All such insurance shall
contain a provision to the effect that such insurance shall not be canceled or modified without first giving written notice
thereof to Lessor and Lessee at least thirty (30) days in advance of such cancellation or modification.
Lessee must carry GENERAL LIABILITY (and/or, for vehicles, Automobile Liability) in the amount of no less than
$1,000,000.00 (one million dollars).
Lessee must carry PROPERTY Insurance (or, for vehicles, Physical Damage Insurance) in an amount no less than the
'Insurable Value' $1,361,569.00, with deductibles no more than $10,000.00.
*Lessee: Please execute this form and return with your document package. Lessor will fax this form to your insurance agency for
endorsement. In lieu of agent endorsement, Lessee’s agency may submit insurance certificates demonstrating compliance with all
requirements. If fully executed form (or Lessee-executed form plus certificates) is not provided within 15 days, we have the right to
purchase such insurance at your expense. Should you have any questions, please contact Lisa Albrecht at 303-585-4077.
By signing, Lessee authorizes the Agent named below: 1) to complete and return this form as indicated; and 2) to endorse the
policy and subsequent renewals to reflect the required coverage as outlined above.
Agency/Agent:
Address:
Phone/Fax:
E-Mail
_____________________/____________________
NCACC Risk Management Pools
__________________________________________
215 N. Dawson Street
__________________________________________
Raleigh, NC 27603
_____________________/____________________
__________________________________________
866-261-5788
919-719-1170
County of Dare
By: _______________________________
Print Name:_________________________
Robert Outten
Title: ______________________________
County Manager
TO THE AGENT: In lieu of providing a certificate, please execute this form in the space below and promptly fax it to Lessor at
303-585-4732. This fully endorsed form shall serve as proof that Lessee's insurance meets the above requirements.
Agent hereby verifies that the above requirements have been met in regard to the Property listed below.
Print Name Of Agency:
X_____________________________________
By: X____________________________________
(Agent's Signature)
Print Name: X______________________________
Date: X__________________________________
Insurable Value: $1,361,569.00
ATTACHED: PROPERTY DESCRIPTION FOR PROPERTY SCHEDULE NO.: 3
145
Notification of Tax Treatment to Tax-Exempt Lease/Purchase Agreement
This Notification of Tax Treatment is pursuant to the Master Tax-Exempt Lease/Purchase Agreement dated as of
March 14, 2014 and the related Property Schedule No. 3 dated March 15, 2016, between Lessor and Lessee (the
"Agreement").
_______
Lessee agrees that this Property Schedule SHOULD be subject to sales/use taxes
_______
Lessee agrees that this Property Schedule should NOT be subject to sales/use taxes and Lessee has
included our tax-exemption certificate with this document package
_______
Lessee agrees that this Property Schedule should NOT be subject to sales/use taxes and no taxexemption certificate is issued to us by the State
_______
Lessee agrees that this Property Schedule is a taxable transaction and subject to any/all taxes
_X______
Lessee agrees that this Property Schedule is subject to sales/use taxes and will pay those taxes
directly to the State or Vendor
IN WITNESS WHEREOF, Lessee has caused this Notification of Tax Treatment to be executed by their duly authorized
representative.
By:
Name:
Robert Outten
Title:
County Manager
146
Instructions for Form
8038-G
Department of the Treasury
Internal Revenue Service
(Rev. September 2011)
Information Return for Tax-Exempt Governmental Obligations
Section references are to the Internal
Revenue Code unless otherwise noted.
indenture or other bond documents. See
Where To File next.
General Instructions
Where To File
Purpose of Form
File Form 8038-G, and any attachments,
with the Department of the Treasury,
Internal Revenue Service Center, Ogden,
UT 84201.
Form 8038-G is used by issuers of
tax-exempt governmental obligations to
provide the IRS with the information
required by section 149(e) and to monitor
the requirements of sections 141 through
150.
Who Must File
IF the issue price
THEN, for tax-exempt
(line 21, column (b)) governmental
is...
obligations issued
after December 31,
1986, issuers must
file...
$100,000 or more
A separate Form
8038-G for each issue
Less than $100,000
Form 8038-GC,
Information Return for
Small Tax-Exempt
Governmental Bond
Issues, Leases, and
Installment Sales
For all build America bonds and
recovery zone economic
CAUTION development bonds use Form
8038-B, Information Return for Build
America Bonds and Recovery Zone
Economic Development Bonds. For tax
credit bonds and specified tax credit
bonds use Form 8038-TC, Information
Return for Tax Credit Bonds and
Specified Tax Credit Bonds.
!
When To File
File Form 8038-G on or before the 15th
day of the 2nd calendar month after the
close of the calendar quarter in which the
bond is issued. Form 8038-G may not be
filed before the issue date and must be
completed based on the facts as of the
issue date.
Late filing. An issuer may be granted an
extension of time to file Form 8038-G
under Section 3 of Rev. Proc. 2002-48,
2002-37 I.R.B. 531, if it is determined that
the failure to file timely is not due to willful
neglect. Type or print at the top of the
form “Request for Relief under section 3
of Rev. Proc. 2002-48” and attach a letter
explaining why Form 8038-G was not
submitted to the IRS on time. Also
indicate whether the bond issue in
question is under examination by the IRS.
Do not submit copies of the trust
Sep 20, 2011
Private delivery services. You can use
certain private delivery services
designated by the IRS to meet the “timely
mailing as timely filing/paying” rule for tax
returns and payments. These private
delivery services include only the
following:
• DHL Express (DHL): DHL Same Day
Service.
• Federal Express (FedEx): FedEx
Priority Overnight, FedEx Standard
Overnight, FedEx 2Day, FedEx
International Priority, and FedEx
International First.
• United Parcel Service (UPS): UPS Next
Day Air, UPS Next Day Air Saver, UPS
2nd Day Air, UPS 2nd Day Air A.M., UPS
Worldwide Express Plus, and UPS
Worldwide Express.
The private delivery service can tell
you how to get written proof of the mailing
date.
Other Forms That May Be
Required
For rebating arbitrage (or paying a
penalty in lieu of arbitrage rebate) to the
Federal government, use Form 8038-T,
Arbitrage Rebate, Yield Reduction and
Penalty in Lieu of Arbitrage Rebate.
For private activity bonds, use Form
8038, Information Return for Tax-Exempt
Private Activity Bond Issues.
For build America bonds (Direct Pay),
build America bonds (Tax Credit), and
recovery zone economic development
bonds, complete Form 8038-B,
Information Return for Build America
Bonds and Recovery Zone Economic
Development Bonds.
For qualified forestry conservation
bonds, new clean renewable energy
bonds, qualified energy conservation
bonds, qualified zone academy bonds,
qualified school construction bonds, clean
renewable energy bonds, Midwestern tax
credit bonds, and all other qualified tax
credit bonds (except build America
bonds), file Form 8038-TC, Information
Return for Tax Credit Bonds and
Specified Tax Credit Bonds.
Cat. No. 63774D
147
Rounding to Whole Dollars
You may show amounts on this return as
whole dollars. To do so, drop amounts
less than 50 cents and increase amounts
from 50 cents through 99 cents to the
next higher dollar.
Questions on Filing Form
8038-G
For specific questions on how to file Form
8038-G send an email to the IRS at
[email protected]
and put “Form 8038-G Question” in the
subject line. In the email include a
description of your question, a return
email address, the name of a contact
person, and a telephone number.
Definitions
Tax-exempt obligation. This is any
obligation, including a bond, installment
purchase agreement, or financial lease,
on which the interest is excluded from
income under section 103.
Tax-exempt governmental obligation.
A tax-exempt obligation that is not a
private activity bond (see below) is a
tax-exempt governmental obligation. This
includes a bond issued by a qualified
volunteer fire department under section
150(e).
Private activity bond. This includes an
obligation issued as part of an issue in
which:
• More than 10% of the proceeds are to
be used for any private activity business
use, and
• More than 10% of the payment of
principal or interest of the issue is either
(a) secured by an interest in property to
be used for a private business use (or
payments for such property) or (b) to be
derived from payments for property (or
borrowed money) used for a private
business use.
It also includes a bond, the proceeds
of which (a) are to be used directly or
indirectly to make or finance loans (other
than loans described in section 141(c)(2))
to persons other than governmental units
and (b) exceeds the lesser of 5% of the
proceeds or $5 million.
Issue price. The issue price of
obligations is generally determined under
Regulations section 1.148-1(b). Thus,
when issued for cash, the issue price is
the first price at which a substantial
amount of the obligations are sold to the
public. To determine the issue price of an
obligation issued for property, see
sections 1273 and 1274 and the related
regulations.
Issue. Generally, obligations are treated
as part of the same issue if they are
issued by the same issuer, on the same
date, and in a single transaction, or a
series of related transactions. However,
obligations issued during the same
calendar year (a) under a loan agreement
under which amounts are to be advanced
periodically (a “draw-down loan”) or (b)
with a term not exceeding 270 days, may
be treated as part of the same issue if the
obligations are equally and ratably
secured under a single indenture or loan
agreement and are issued under a
common financing arrangement (for
example, under the same official
statement periodically updated to reflect
changing factual circumstances). Also, for
obligations issued under a draw-down
loan that meet the requirements of the
preceding sentence, obligations issued
during different calendar years may be
treated as part of the same issue if all of
the amounts to be advanced under the
draw-down loan are reasonably expected
to be advanced within 3 years of the date
of issue of the first obligation. Likewise,
obligations (other than private activity
bonds) issued under a single agreement
that is in the form of a lease or installment
sale may be treated as part of the same
issue if all of the property covered by that
agreement is reasonably expected to be
delivered within 3 years of the date of
issue of the first obligation.
Arbitrage rebate. Generally, interest on
a state or local bond is not tax-exempt
unless the issuer of the bond rebates to
the United States arbitrage profits earned
from investing proceeds of the bond in
higher yielding nonpurpose investments.
See section 148(f).
Construction issue. This is an issue of
tax-exempt bonds that meets both of the
following conditions:
1. At least 75% of the available
construction proceeds are to be used for
construction expenditures with respect to
property to be owned by a governmental
unit or a section 501(c)(3) organization,
and
2. All the bonds that are part of the
issue are qualified 501(c)(3) bonds,
bonds that are not private activity bonds,
or private activity bonds issued to finance
property to be owned by a governmental
unit or a section 501(c)(3) organization.
In lieu of rebating any arbitrage that
may be owed to the United States, the
issuer of a construction issue may make
an irrevocable election to pay a penalty.
The penalty is equal to 11/2% of the
amount of construction proceeds that do
not meet certain spending requirements.
See section 148(f)(4)(C) and the
Instructions for Form 8038-T.
Specific Instructions
Part I—Reporting Authority
Amended return. An issuer may file an
amended return to change or add to the
information reported on a previously filed
return for the same date of issue. If you
are filing to correct errors or change a
previously filed return, check the
Amended Return box in the heading of
the form.
The amended return must provide all
the information reported on the original
return, in addition to the new or corrected
information. Attach an explanation of the
reason for the amended return and write
across the top, “Amended Return
Explanation.” Failure to attach an
explanation may result in a delay in
processing the form.
Line 1. The issuer’s name is the name of
the entity issuing the obligations, not the
name of the entity receiving the benefit of
the financing. For a lease or installment
sale, the issuer is the lessee or the
purchaser.
Line 2. An issuer that does not have an
employer identification number (EIN)
should apply for one on Form SS-4,
Application for Employer Identification
Number. You can get this form on the IRS
website at IRS.gov or by calling
1-800-TAX-FORM (1-800-829-3676). You
may receive an EIN by telephone by
following the instructions for Form SS-4.
Line 3a. If the issuer wishes to authorize
a person other than an officer or other
employee of the issuer (including a legal
representative or paid preparer) to
communicate with the IRS and whom the
IRS may contact about this return
(including in writing or by telephone),
enter the name of such person here. The
person listed in line 3a must be an
individual. Do not enter the name and title
of an officer or other employee of the
issuer here (use line 10a for that
purpose).
Note. By authorizing a person other than
an authorized officer or other employee of
the issuer to communicate with the IRS
and whom the IRS may contact about this
return, the issuer authorizes the IRS to
communicate directly with the individual
entered on line 3a and consents to
disclose the issuer’s return information to
that individual, as necessary, to process
this return.
Lines 4 and 6. If you listed an individual
on line 3a to communicate with the IRS
and whom the IRS may contact about this
return, enter the number and street (or
P.O. box if mail is not delivered to street
address), city, town, or post office, state,
and ZIP code of that person. Otherwise,
enter the issuer’s number and street (or
P.O. box if mail is not delivered to street
address), city, town, or post office, state,
and ZIP code.
Note. The address entered on lines 4
and 6 is the address the IRS will use for
all written communications regarding the
processing of this return, including any
notices.
Line 5. This line is for IRS use only. Do
not make any entries in this box.
Line 7. The date of issue is generally the
date on which the issuer physically
-2-
148
exchanges the bonds that are part of the
issue for the underwriter’s (or other
purchaser’s) funds. For a lease or
installment sale, enter the date interest
starts to accrue in a MM/DD/YYYY
format.
Line 8. If there is no name of the issue,
please provide other identification of the
issue.
Line 9. Enter the CUSIP (Committee on
Uniform Securities Identification
Procedures) number of the bond with the
latest maturity. If the issue does not have
a CUSIP number, write “None.”
Line 10a. Enter the name and title of the
officer or other employee of the issuer
whom the IRS may call for more
information. If the issuer wishes to
designate a person other than an officer
or other employee of the issuer (including
a legal representative or paid preparer)
whom the IRS may call for more
information about the return, enter the
name, title, and telephone number of
such person on lines 3a and 3b.
!
Complete lines 10a and 10b even
if you complete lines 3a and 3b.
CAUTION
Part II—Type of Issue
!
CAUTION
Elections referred to in Part II are
made on the original bond
documents, not on this form.
Identify the type of obligations issued
by entering the corresponding issue price
(see Issue price under Definitions earlier).
Attach a schedule listing names and EINs
of organizations that are to use proceeds
of these obligations, if different from those
of the issuer, include a brief summary of
the use and indicate whether or not such
user is a governmental or
nongovernmental entity.
Line 18. Enter a description of the issue
in the space provided.
Line 19. If the obligations are short-term
tax anticipation notes or warrants (TANs)
or short-term revenue anticipation notes
or warrants (RANs), check box 19a. If the
obligations are short-term bond
anticipation notes (BANs), issued with the
expectation that they will be refunded with
the proceeds of long-term bonds at some
future date, check box 19b. Do not check
both boxes.
Line 20. Check this box if property other
than cash is exchanged for the obligation,
for example, acquiring a police car, a fire
truck, or telephone equipment through a
series of monthly payments. (This type of
obligation is sometimes referred to as a
“municipal lease.”) Also check this box if
real property is directly acquired in
exchange for an obligation to make
periodic payments of interest and
principal. Do not check this box if the
proceeds of the obligation are received in
the form of cash, even if the term “lease”
is used in the title of the issue.
Part III—Description of
Obligations
Line 21. For column (a), the final
maturity date is the last date the issuer
must redeem the entire issue.
For column (b), see Issue price under
Definitions earlier.
For column (c), the stated redemption
price at maturity of the entire issue is the
sum of the stated redemption prices at
maturity of each bond issued as part of
the issue. For a lease or installment sale,
write “N/A” in column (c).
For column (d), the weighted average
maturity is the sum of the products of the
issue price of each maturity and the
number of years to maturity (determined
separately for each maturity and by taking
into account mandatory redemptions),
divided by the issue price of the entire
issue (from line 21, column (b)). For a
lease or installment sale, enter instead
the total number of years the lease or
installment sale will be outstanding.
For column (e), the yield, as defined in
section 148(h), is the discount rate that,
when used to compute the present value
of all payments of principal and interest to
be paid on the obligation, produces an
amount equal to the purchase price,
including accrued interest. See
Regulations section 1.148-4 for specific
rules to compute the yield on an issue. If
the issue is a variable rate issue, write
“VR” as the yield of the issue. For other
than variable rate issues, carry the yield
out to four decimal places (for example,
5.3125%). If the issue is a lease or
installment sale, enter the effective rate of
interest being paid.
Part IV—Uses of Proceeds of
Bond Issue
For a lease or installment sale, write “N/A”
in the space to the right of the title for Part
IV.
Line 22. Enter the amount of proceeds
that will be used to pay interest from the
date the bonds are dated to the date of
issue.
Line 24. Enter the amount of the
proceeds that will be used to pay bond
issuance costs, including fees for trustees
and bond counsel. If no bond proceeds
will be used to pay bond issuance costs,
enter zero. Do not leave this line blank.
proceeds that will be used to pay fees for
credit enhancement that are taken into
account in determining the yield on the
issue for purposes of section 148(h) (for
example, bond insurance premiums and
certain fees for letters of credit).
Line 26. Enter the amount of proceeds
that will be allocated to such a fund.
proceeds that will be used to pay
principal, interest, or call premium on any
other issue of bonds within 90 days of the
date of issue.
proceeds that will be used to pay
principal, interest, or call premium on any
other issue of bonds after 90 days of the
date of issue, including proceeds that will
be used to fund an escrow account for
this purpose.
Part V—Description of
Refunded Bonds
Complete this part only if the bonds are to
be used to refund a prior issue of
tax-exempt bonds. For a lease or
installment sale, write “N/A” in the space
to the right of the title for Part V.
Lines 31 and 32. The remaining
weighted average maturity is determined
without regard to the refunding. The
weighted average maturity is determined
in the same manner as on line 21, column
(d).
Line 34. If more than a single issue of
bonds will be refunded, enter the date of
issue of each issue. Enter the date in an
MM/DD/YYYY format.
Part VI—Miscellaneous
Line 35. An allocation of volume cap is
required if the nonqualified amount for the
issue is more than $15 million but is not
more than the amount that would cause
the issue to be private activity bonds.
Line 36. If any portion of the gross
proceeds of the issue is or will be
invested in a guaranteed investment
contract (GIC), as defined in Regulations
section 1.148-1(b), enter the amount of
the gross proceeds so invested, as well
as the final maturity date of the GIC and
the name of the provider of such contract.
proceeds of this issue used to make a
loan to another governmental unit, the
interest of which is tax-exempt.
Line 38. If the issue is a loan of
proceeds from another tax-exempt issue,
check the box and enter the date of issue,
EIN, and name of issuer of the master
pool obligation.
Line 40. Check this box if the issue is a
construction issue and an irrevocable
election to pay a penalty in lieu of
arbitrage rebate has been made on or
before the date the bonds were issued.
The penalty is payable with a Form
8038-T for each 6-month period after the
date the bonds are issued. Do not make
any payment of penalty in lieu of arbitrage
rebate with this form. See Rev. Proc.
92-22, 1992-1 C.B. 736 for rules
regarding the “election document.”
Line 41a. Check this box if the issuer
has identified a hedge on its books and
records according to Regulations sections
1.148-4(h)(2)(viii) and 1.148-4(h)(5) that
permit an issuer of tax-exempt bonds to
identify a hedge for it to be included in
yield calculations for computing arbitrage.
Line 42. In determining if the issuer has
super-integrated a hedge, apply the rules
of Regulations section 1.148-4(h)(4). If
the hedge is super-integrated, check the
box.
Line 43. If the issuer takes a “deliberate
action” after the issue date that causes
-3-
149
the conditions of the private business
tests or the private loan financing test to
be met, then such issue is also an issue
of private activity bonds. Regulations
section 1.141-2(d)(3) defines a deliberate
action as any action taken by the issuer
that is within its control regardless of
whether there is intent to violate such
tests. Regulations section 1.141-12
explains the conditions to taking remedial
action that prevent an action that causes
an issue to meet the private business
tests or private loan financing test from
being treated as a deliberate action.
Check the box if the issuer has
established written procedures to ensure
timely remedial action for all nonqualified
bonds according to Regulations section
1.141-12 or other remedial actions
authorized by the Commissioner under
Regulations section 1.141-12(h).
Line 44. Check the box if the issuer has
established written procedures to monitor
compliance with the arbitrage, yield
restriction, and rebate requirements of
section 148.
Line 45a. Check the box if some part of
the proceeds was used to reimburse
expenditures. Figure and then enter the
amount of proceeds that are used to
reimburse the issuer for amounts paid for
a qualified purpose prior to the issuance
of the bonds. See Regulations section
1.150-2.
Line 45b. An issuer must adopt an
official intent to reimburse itself for
preissuance expenditures within 60 days
after payment of the original expenditure
unless excepted by Regulations section
1.150-2(f). Enter the date the official
intent was adopted. See Regulations
section 1.150-2(e) for more information
about official intent.
Signature and Consent
An authorized representative of the issuer
must sign Form 8038-G and any
applicable certification. Also print the
name and title of the person signing Form
8038-G. The authorized representative of
the issuer signing this form must have the
authority to consent to the disclosure of
the issuer’s return information, as
necessary to process this return, to the
person(s) that have been designated in
Form 8038-G.
Note. If the issuer in Part 1, lines 3a and
3b authorizes the IRS to communicate
(including in writing and by telephone)
with a person other than an officer or
other employee of the issuer, by signing
this form, the issuer’s authorized
representative consents to the disclosure
of the issuer’s return information, as
necessary to process this return, to such
person.
Paid Preparer
If an authorized officer of the issuer filled
in this return, the paid preparer’s space
should remain blank. Anyone who
prepares the return but does not charge
the organization should not sign the
return. Certain others who prepare the
return should not sign. For example, a
regular, full-time employee of the issuer,
such as a clerk, secretary, etc., should
not sign.
Generally, anyone who is paid to
prepare a return must sign it and fill in the
other blanks in the Paid Preparer Use
Only area of the return.
The paid preparer must:
• Sign the return in the space provided
for the preparer’s signature (a facsimile
signature is acceptable),
• Enter the preparer information, and
• Give a copy of the return to the issuer.
Paperwork Reduction Act Notice. We
ask for the information on this form to
carry out the Internal Revenue laws of the
United States. You are required to give us
the information. We need it to ensure that
you are complying with these laws.
You are not required to provide the
information requested on a form that is
subject to the Paperwork Reduction Act
unless the form displays a valid OMB
control number. Books or records relating
to a form or its instructions must be
retained as long as their contents may
become material in the administration of
any Internal Revenue law. Generally, tax
returns and return information are
confidential, as required by section 6103.
The time needed to complete and file
this form varies depending on individual
circumstances. The estimated average
time is:
-4-
150
Learning about the law or
the form . . . . . . . . . . . . .
Preparing, copying,
assembling, and sending
the form to the IRS . . . . . .
2 hr., 41 min.
3 hr., 3 min.
If you have comments concerning the
accuracy of these time estimates or
suggestions for making this form simpler,
we would be happy to hear from you. You
can write to the Internal Revenue Service,
Tax Products Coordinating Committee,
SE:W:CAR:MP:T:M:S, 1111 Constitution
Ave. NW, IR-6526, Washington, DC
20224. Do not send the form to this
office. Instead, see Where To File.
8038-G
Form
(Rev. September 2011)
Information Return for Tax-Exempt Governmental Obligations
a Under
Internal Revenue Code section 149(e)
a See separate instructions.
Caution: If the issue price is under $100,000, use Form 8038-GC.
Department of the Treasury
Internal Revenue Service
Part I
1
Reporting Authority
OMB No. 1545-0720
If Amended Return, check here
2
Issuer’s name
Issuer’s employer identification number (EIN)
County of Dare, NC
56-6000293
3b Telephone number of other person shown on 3a
3a Name of person (other than issuer) with whom the IRS may communicate about this return (see instructions)
Lisa Albrecht
4
303-585-4077
Number and street (or P.O. box if mail is not delivered to street address)
Room/suite
5
Report number (For IRS Use Only)
7
Date of issue
9
CUSIP number
3
PO Box 1000
6
City, town, or post office, state, and ZIP code
Manteo, NC 27954
8
a
March 15, 2016
Name of issue
Tax-Exempt Lease/Purchase Agreement
10a Name and title of officer or other employee of the issuer whom the IRS may call for more information (see
instructions)
10b Telephone number of officer or other
employee shown on 10a
Sally DeFosse, Assistant Finance Director
Part II
11
12
13
14
15
16
17
18
19
20
Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Health and hospital . . . . . . . . . . . . . . . . . . . . . . . . . .
Transportation . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Public safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Environment (including sewage bonds) . . . . . . . . . . . . . . . . . . . .
Housing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Utilities
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Other. Describe a commercial equipment and various vehicles for police, ambulance, sanitation, and general use
If obligations are TANs or RANs, check only box 19a . . . . . . . . . . . . . a
If obligations are BANs, check only box 19b . . . . . . . . . . . . . . . . a
If obligations are in the form of a lease or installment sale, check box . . . . . . . . a
Part III
3/15/2019
21
Part IV
(c) Stated redemption
price at maturity
(b) Issue price
$
1,361,569
(d) Weighted
average maturity
1,361,569
n/a
$
3
(e) Yield
1.235 %
years
Uses of Proceeds of Bond Issue (including underwriters’ discount)
Proceeds used for accrued interest . . . . . . . . . . . . . . . . . .
Issue price of entire issue (enter amount from line 21, column (b)) . . . . . . . .
Proceeds used for bond issuance costs (including underwriters’ discount) . .
24
Proceeds used for credit enhancement . . . . . . . . . . . .
25
Proceeds allocated to reasonably required reserve or replacement fund .
26
Proceeds used to currently refund prior issues
. . . . . . . . .
27
Proceeds used to advance refund prior issues
. . . . . . . . .
28
Total (add lines 24 through 28) . . . . . . . . . . . . . . . . . . . .
Nonrefunding proceeds of the issue (subtract line 29 from line 23 and enter amount here)
Part V
11
12
13
14
15
16
17
18
Description of Obligations. Complete for the entire issue for which this form is being filed.
(a) Final maturity date
22
23
24
25
26
27
28
29
30
252-475-5733
Type of Issue (enter the issue price). See the instructions and attach schedule.
.
.
.
.
.
.
22
23
.
.
.
.
.
.
29
30
Description of Refunded Bonds. Complete this part only for refunding bonds.
31
Enter the remaining weighted average maturity of the bonds to be currently refunded . . . .
32
Enter the remaining weighted average maturity of the bonds to be advance refunded . . . .
33
Enter the last date on which the refunded bonds will be called (MM/DD/YYYY) . . . . . .
34
Enter the date(s) the refunded bonds were issued a (MM/DD/YYYY)
For Paperwork Reduction Act Notice, see separate instructions.
Cat. No. 63773S
151
a
a
years
years
a
Form 8038-G (Rev. 9-2011)
Page 2
Form 8038-G (Rev. 9-2011)
Part VI
35
36a
Miscellaneous
Enter the amount of the state volume cap allocated to the issue under section 141(b)(5) . . . .
Enter the amount of gross proceeds invested or to be invested in a guaranteed investment contract
(GIC) (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . .
35
36a
b Enter the final maturity date of the GIC a
c Enter the name of the GIC provider a
37
Pooled financings: Enter the amount of the proceeds of this issue that are to be used to make loans
to other governmental units . . . . . . . . . . . . . . . . . . . . . . . .
38a
b
c
d
39
40
41a
b
c
d
42
43
37
If this issue is a loan made from the proceeds of another tax-exempt issue, check box a
and enter the following information:
Enter the date of the master pool obligation a
Enter the EIN of the issuer of the master pool obligation a
Enter the name of the issuer of the master pool obligation a
a
If the issuer has designated the issue under section 265(b)(3)(B)(i)(III) (small issuer exception), check box . . . .
a
If the issuer has elected to pay a penalty in lieu of arbitrage rebate, check box . . . . . . . . . . . . .
a
If the issuer has identified a hedge, check here
and enter the following information:
Name of hedge provider a
Type of hedge a
Term of hedge a
a
If the issuer has superintegrated the hedge, check box . . . . . . . . . . . . . . . . . . . . .
If the issuer has established written procedures to ensure that all nonqualified bonds of this issue are remediated
a
according to the requirements under the Code and Regulations (see instructions), check box . . . . . . . .
44
45a
If the issuer has established written procedures to monitor the requirements of section 148, check box . . .
If some portion of the proceeds was used to reimburse expenditures, check here a
and enter the amount
of reimbursement . . . . . . . . . a
b Enter the date the official intent was adopted a
Signature of issuer’s authorized representative
Print/Type preparer’s name
Date
Preparer's signature
F
Paid
Preparer
Use Only
.
a
Under penalties of perjury, I declare that I have examined this return and accompanying schedules and statements, and to the best of my knowledge
and belief, they are true, correct, and complete. I further declare that I consent to the IRS’s disclosure of the issuer’s return information, as necessary to
process this return, to the person that I have authorized above.
F
Signature
and
Consent
.
Sally DeFosse, Assistant Finance Director
Type or print name and title
Date
PTIN
Check
if
self-employed
Firm’s name
a
Firm's EIN
Firm's address
a
Phone no.
a
Form 8038-G (Rev. 9-2011)
152
VEHICLE TITLING ADDENDUM
Master Tax-Exempt Lease/Purchase Agreement dated March 14, 2014 and related Property Schedule No. 3 dated March 15,
2016, between County of Dare as Lessee and U.S. Bancorp Government Leasing and Finance, Inc. as Lessor.
1. Lessor and Lessee hereby agree to amend the above referenced Agreement to add additional terms and conditions as set
forth below:
Lessee agrees that it will provide to Lessor the original title documentation to the Equipment.
Lessee shall provide such title documentation to Lessor within 15 days of Lessee’s receipt of
such title documentation from the appropriate titling authority. Lessee’s failure to provide
Lessor with title documentation to the Equipment in a timely fashion shall be deemed a
condition of Default as defined in the default paragraph herein subject to remedies available
to Lessor pursuant to the remedies paragraph.
2. Location: Lessor agrees that in regard to the location of the equipment, Lessee must be responsible for maintaining records
showing the location of each piece of Leased equipment. Lessee will report this location to Lessor upon written request by
Lessor. Failure to do so shall constitute a breach of the Agreement, which default shall be governed by the terms and conditions
specified in the default and/or remedies paragraph of the Agreement.
3. Lessee will complete the physical titling of the vehicle as required by the state of Lessee’s residence and guarantee U.S.
Bancorp Government Leasing and Finance, Inc. that U.S. Bancorp Government Leasing and Finance, Inc. will receive the
original title to the leased vehicle in a timely manner. Lessee agrees to indemnify U.S. Bancorp Government Leasing and
Finance, Inc. from any damage or loss it incurs, including legal fees, due to its failure to complete its agreement herein.
ST
THE APPLICATION FOR TITLE MUST INCLUDE THE FOLLOWING AS 1
LIEN HOLDER:
U.S. BANCORP GOVERNMENT LEASING AND FINANCE, INC.
1310 MADRID STREET
MARSHALL, MN 56258
By signing this Addendum, Lessee acknowledges the above changes to the Agreement and authorizes Lessor to make such
changes. In all other respects the terms and conditions of the Agreement remain in full force and effect.
Finance, Inc.
By:
By:
Name:
Name:
Title:
Title:
Date:
Date:
153
Robert Outten
County Manager
3/15/16
ESCROW AGREEMENT
THIS ESCROW AGREEMENT (“Escrow Agreement”) is made as of March 15, 2016 by and among U.S. Bancorp
Government Leasing and Finance, Inc. (“Lessor”), County of Dare (“Lessee”) and U.S. BANK NATIONAL ASSOCIATION,
as escrow agent (“Escrow Agent”).
Lessor and Lessee have heretofore entered into that certain Master Tax-Exempt Lease/Purchase
Agreement dated as of March 14, 2014 (the “Master Agreement”) and a Property Schedule No. 3 thereto dated
March 15, 2016 (the “Schedule” and, together with the terms and conditions of the Master Agreement incorporated
therein, the “Agreement”). The Schedule contemplates that certain personal property described therein (the
“Equipment”) is to be acquired from the vendor(s) or manufacturer(s) thereof (the “Vendor”). After acceptance of
the Equipment by Lessee, the Equipment is to be financed by Lessor to Lessee pursuant to the terms of the
Agreement.
The Master Agreement further contemplates that Lessor will deposit an amount equal to the anticipated
aggregate acquisition cost of the Equipment (the “Purchase Price”), being $1,361,569.00, with Escrow Agent to be
held in escrow and applied on the express terms set forth herein. Such deposit, together with all interest and other
additions received with respect thereto (hereinafter the “Escrow Fund”) is to be applied to pay the Vendor its invoice
cost (a portion of which may, if required, be paid prior to final acceptance of the Equipment by Lessee); and, if
applicable, to reimburse Lessee for progress payments already made by it to the Vendor of the Equipment.
The parties desire to set forth the terms on which the Escrow Fund is to be created and to establish the
rights and responsibilities of the parties hereto.
NOW, THEREFORE, in consideration of the sum of Ten Dollars ($10.00) in hand paid, and other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows:
1. Escrow Agent hereby agrees to serve as escrow agent upon the terms and conditions set forth herein.
The moneys and investments held in the Escrow Fund are for the benefit of Lessee and Lessor, and such moneys,
together with any income or interest earned thereon, shall be expended only as provided in this Escrow Agreement,
and shall not be subject to levy or attachment or lien by or for the benefit of any creditor of either Lessee or Lessor.
Lessor, Lessee and Escrow Agent intend that the Escrow Fund constitute an escrow account in which Lessee has
no legal or equitable right, title or interest until satisfaction in full of all conditions contained herein for the
disbursement of funds by the Escrow Agent therefrom. However, if the parties’ intention that Lessee shall have no
legal or equitable right, title or interest until all conditions for disbursement are satisfied in full is not respected in any
legal proceeding, the parties hereto intend that Lessor have a security interest in the Escrow Fund, and such
security interest is hereby granted by Lessee to secure payment of all sums due to Lessor under the Master
Agreement. For such purpose, Escrow Agent hereby agrees to act as agent for Lessor in connection with the
perfection of such security interest and agrees to note, or cause to be noted, on all books and records relating to the
Escrow Fund, the Lessor’s interest therein.
2.
On such day as is determined to the mutual satisfaction of the parties (the “Closing Date”), Lessor
shall deposit with Escrow Agent cash in the amount of the Purchase Price, to be held in escrow by Escrow Agent on
the express terms and conditions set forth herein.
On the Closing Date, Escrow Agent agrees to accept the deposit of the Purchase Price by Lessor, and
further agrees to hold the amount so deposited together with all interest and other additions received with respect
thereto, as the Escrow Fund hereunder, in escrow on the express terms and conditions set forth herein.
3.
Escrow Agent shall at all times segregate the Escrow Fund into an account maintained for that
express purpose, which shall be clearly identified on the books and records of Escrow Agent as being held in its
capacity as Escrow Agent. Securities and other negotiable instruments comprising the Escrow Fund from time to
time shall be held or registered in the name of Escrow Agent (or its nominee). The Escrow Fund shall not, to the
extent permitted by applicable law, be subject to levy or attachment or lien by or for the benefit of any creditor of any
of the parties hereto (except with respect to the security interest therein held by Lessor).
154
4.
The cash comprising the Escrow Fund from time to time shall be invested and reinvested by Escrow
Agent in one or more investments as directed by Lessee. Absent written direction from Lessee, the cash will be
invested in the U.S. Bank National Association Money Market Deposit Fund. See Exhibit 1 Investment Direction
Letter. Lessee represents and warrants to Escrow Agent and Lessor that the investments selected by Lessee for
investment of the Escrow Fund are permitted investments for Lessee under all applicable laws. Escrow Agent will
use due diligence to collect amounts payable under a check or other instrument for the payment of money
comprising the Escrow Fund and shall promptly notify Lessee and Lessor in the event of dishonor of payment under
any such check or other instruments. Interest or other amounts earned and received by Escrow Agent with respect
to the Escrow Fund shall be deposited in and comprise a part of the Escrow Fund. Escrow Agent shall maintain
accounting records sufficient to permit calculation of the income on investments and interest earned on deposit of
amounts held in the Escrow Fund. The parties acknowledge that to the extent regulations of the Comptroller of
Currency or other applicable regulatory entity grant a right to receive brokerage confirmations of security
transactions of the escrow, the parties waive receipt of such confirmations, to the extent permitted by law. The
Escrow Agent shall furnish a statement of security transactions on its regular monthly reports. Attached as Exhibit 6
is the Class Action Negative Consent Letter to be reviewed by Lessee.
5.
Upon request by Lessee and Lessor, Escrow Agent shall send monthly statements of account to
Lessee and Lessor, which statements shall set forth all withdrawals from and interest earnings on the Escrow Fund
as well as the investments in which the Escrow Fund is invested.
6.
Escrow Agent shall take the following actions with respect to the Escrow Fund:
(a)
Upon Escrow Agent’s acceptance of the deposit of the Purchase Price, an amount equal to
Escrow Agent’s set-up fee, as set forth on Exhibit 2 hereto, shall be disbursed from the Escrow Fund to
Escrow Agent in payment of such fee.
(b)
Escrow Agent shall pay costs of the Equipment upon receipt of a duly executed Requisition
Request (substantially in the format of Exhibit 3) signed by Lessor and Lessee. Lessor’s authorized
signatures are provided in Exhibit 5. Lessee’s authorized signatures will be provided in Exhibit 3 of Master
Lease Purchase Agreement. Escrow Agent will use best efforts to process requests for payment within one
(1) business day of receipt of requisitions received prior to 2:00 p.m. Central Time. The final Requisition
shall be accompanied by a duly executed Acceptance Certificate form attached as Exhibit 4 hereto.
(c)
Upon receipt by Escrow Agent of written notice from Lessor that an Event of Default or an
Event of Nonappropriation (if provided for under the Master Agreement) has occurred under the Agreement,
all funds then on deposit in the Escrow Fund shall be paid to Lessor for application in accordance with the
Master Agreement, and this Escrow Agreement shall terminate.
(d)
Upon receipt by Escrow Agent of written notice from Lessor that the purchase price of the
Equipment has been paid in full, Escrow Agent shall pay the funds then on deposit in the Escrow Fund to
Lessor to be applied first to the next Lease Payment due under the Master Agreement, and second, to
prepayment of the principal component of Lease Payments in inverse order of maturity without premium.
To the extent the Agreement is not subject to prepayment, Lessor consents to such prepayment to the
extent of such prepayment amount from the Escrow Fund. Upon disbursement of all amounts in the
Escrow Fund, this Escrow Agreement shall terminate.
(e)
This Escrow Agreement shall terminate eighteen (18) months from the date of this Escrow
Agreement. It may, however, be extended by mutual consent of Lessee and Lessor in writing to Escrow
Agent. All funds on deposit in the Escrow Fund at the time of termination under this paragraph, unless
otherwise directed by Lessee in writing (electronic means acceptable), shall be transferred to Lessor.
7.
The fees and expenses, including any legal fees, of Escrow Agent incurred in connection herewith
shall be the responsibility of Lessee. The basic fees and expenses of Escrow Agent shall be as set forth on
Exhibit 2 and Escrow Agent is hereby authorized to deduct such fees and expenses from the Escrow Fund as and
when the same are incurred without any further authorization from Lessee or Lessor. Escrow Agent may employ
155
legal counsel and other experts as it deems necessary for advice in connection with its obligations hereunder.
Escrow Agent waives any claim against Lessor with respect to compensation hereunder.
8.
Escrow Agent shall have no liability for acting upon any written instruction presented by Lessor in
connection with this Escrow Agreement, which Escrow Agent in good faith believes to be genuine. Furthermore,
Escrow Agent shall not be liable for any act or omission in connection with this Escrow Agreement except for its
own negligence, willful misconduct or bad faith. Escrow Agent shall not be liable for any loss or diminution in value
of the Escrow Fund as a result of the investments made by Escrow Agent.
9.
Escrow Agent may resign at any time by giving thirty (30) days’ prior written notice to Lessor and
Lessee. Lessor may at any time remove Escrow Agent as Escrow Agent under this Escrow Agreement upon
written notice. Such removal or resignation shall be effective on the date set forth in the applicable notice. Upon
the effective date of resignation or removal, Escrow Agent will transfer the Escrow Fund to the successor Escrow
Agent selected by Lessor.
10.
Lessee hereby represents, covenants and warrants that pursuant to Treasury Regulations Section
1.148-7(d), the gross proceeds of the Agreement will be expended for the governmental purposes for which the
Agreement was entered into, as follows: at least 15% within six months after the Commencement Date, such date
being the date of deposit of funds into the Escrow Fund, at least 60% within 12 months after the Commencement
Date, and 100% within 18 months after the Commencement Date. If Lessee is unable to comply with Section
1.148-7(d) of the Treasury Regulations, Lessee shall, at its sole expense and cost, compute rebatable arbitrage on
the Agreement and pay rebatable arbitrage to the United States at least once every five years, and within 60 days
after payment of the final rental or Lease Payment due under the Agreement.
11.
In the event of any disagreement between the undersigned or any of them, and/or any other person,
resulting in adverse claims and demands being made in connection with or for any moneys involved herein or
affected hereby, Escrow Agent shall be entitled at its option to refuse to comply with any such claim or demand, so
long as such disagreement shall continue, and in so refusing Escrow Agent may refrain from making any delivery or
other disposition of any moneys involved herein or affected hereby and in so doing Escrow Agent shall not be or
become liable to the undersigned or any of them or to any person or party for its failure or refusal to comply with
such conflicting or adverse demands, and Escrow Agent shall be entitled to continue so to refrain and refuse so to
act until:
(a) the rights of the adverse claimants have been finally adjudicated in a court assuming and having
jurisdiction of the parties and the moneys involved herein or affected hereby; or
(b) all differences shall have been adjusted by Master Agreement and Escrow Agent shall have
been notified thereof in writing signed by all of the persons interested.
12.
All notices (excluding billings and communications in the ordinary course of business) hereunder shall
be in writing, and shall be sufficiently given and served upon the other party if delivered (a) personally, (b) by United
States registered or certified mail, return receipt requested, postage prepaid, (c) by an overnight delivery by a
service such as Federal Express or Express Mail from which written confirmation of overnight delivery is available,
or (d) by facsimile with a confirmation copy by regular United States mail, postage prepaid, addressed to the other
party at its respective address stated below the signature of such party or at such other address as such party shall
from time to time designate in writing to the other party, and shall be effective from the date of mailing.
13.
This Escrow Agreement shall inure to the benefit of and shall be binding upon the parties hereto and
their respective successors and assigns. No rights or obligations of Escrow Agent under this Escrow Agreement
may be assigned without the prior written consent of Lessor.
14.
This Escrow Agreement shall be governed by and construed in accordance with the laws in the state
of the Escrow Agent’s location. This Escrow Agreement constitutes the entire Agreement between the parties
hereto with respect to the subject matter hereof, and no waiver, consent, modification or change of terms hereof
shall bind any party unless in writing signed by all parties.
156
15.
This Escrow Agreement and any written direction may be executed in two or more counterparts,
which when so executed shall constitute one and the same agreement or direction.
IN W ITNESS W HEREOF, the parties hereto have caused this Escrow Agreement to be duly executed as of the
day and year first above set forth.
U.S. Bancorp Government Leasing and
Finance, Inc., as Lessor
By:
Name:
Title:
th
Address: 13010 SW 68 Parkway, Suite 100
Portland, OR 97223
County of Dare, as Lessee
By:
Name:
Title:
Robert Outten
County Manager
Address: 954 Marshall C Collins Dr
U.S. BANK NATIONAL ASSOCIATION, as Escrow
Agent
By:
Name:
Title:
Address: U.S. Bank National Association
th
th
950 17 Street, 12 Floor
Denver, CO 80202
157
EXHIBIT 1
U.S. BANK NATIONAL ASSOCIATION
MONEY MARKET ACCOUNT AUTHORIZATION FORM
DESCRIPTION AND TERMS
The U.S. Bank Money Market account is a U.S. Bank National Association (“U.S. Bank”) interest-bearing money
market deposit account designed to meet the needs of U.S. Bank’s Corporate Trust Services Escrow Group and
other Corporate Trust customers of U.S. Bank. Selection of this investment includes authorization to place funds
on deposit and invest with U.S. Bank.
U.S. Bank uses the daily balance method to calculate interest on this account (actual/365 or 366). This method
applies a daily periodic rate to the principal balance in the account each day. Interest is accrued daily and credited
monthly to the account. Interest rates are determined at U.S. Bank’s discretion, and may be tiered by customer
deposit amount.
The owner of the account is U.S. Bank as Agent for its trust customers. U.S. Bank’s trust department performs all
account deposits and withdrawals. Deposit accounts are FDIC Insured per depositor, as determined under FDIC
Regulations, up to applicable FDIC limits.
U.S. BANK, WHEN ACTING AS AN INDENTURE TRUSTEE OR IN A SIMILAR CAPACITY, IS NOT REQUIRED
TO REGISTER AS A MUNICIPAL ADVISOR WITH THE SECURITIES AND EXCHANGE COMMISSION FOR
PURPOSES OF COMPLYING WITH THE DODD-FRANK WALL STREET REFORM & CONSUMER PROTECTION
ACT. INVESTMENT ADVICE, IF NEEDED, SHOULD BE OBTAINED FROM YOUR FINANCIAL ADVISOR.
AUTOMATIC AUTHORIZATION
In the absence of specific written direction to the contrary, U.S. Bank is hereby directed to invest and reinvest
proceeds and other available moneys in the U.S. Bank Money Market Account. The U.S. Bank Money Market
Account is a permitted investment under the operative documents and this authorization is the permanent direction
for investment of the moneys until notified in writing of alternate instructions.
County of Dare
Company Name
Signature of Authorized Directing Party
Trust Account Number – includes existing and
future sub-accounts unless otherwise directed
Title/Date
County Manager 3/15/16
158
EXHIBIT 2
Schedule of Fees for Services as
Escrow Agent
For
County of Dare
Equipment Lease Purchase Escrow
CTS01010A
Acceptance Fee The acceptance fee includes the administrative review of
documents, initial set-up of the account, and other reasonably required
services up to and including the closing. This is a one-time, non-refundable
fee, payable at closing.
WAIVED
CTS04460
Escrow Agent Annual fee for the standard escrow agent services
associated with the administration of the account. Administration fees are
payable in advance.
WAIVED
Direct Out of Pocket Expenses Reimbursement of expenses associated
with the performance of our duties, including but not limited to publications,
legal counsel after the initial close, travel expenses and filing fees.
At Cost
Extraordinary Services Extraordinary Services are duties or
responsibilities of an unusual nature, including termination, but not provided
for in the governing documents or otherwise set forth in this schedule. A
reasonable charge will be assessed based on the nature of the services and
the responsibility involved. At our option, these charges will be billed at a flat
fee or at our hourly rate then in effect.
Account approval is subject to review and qualification. Fees are subject to change at our discretion
and upon written notice. Fees paid in advance will not be prorated. The fees set forth above and any
subsequent modifications thereof are part of your agreement. Finalization of the transaction
constitutes agreement to the above fee schedule, including agreement to any subsequent changes
upon proper written notice. In the event your transaction is not finalized, any related out-of-pocket
expenses will be billed to you directly. Absent your written instructions to sweep or otherwise invest,
all sums in your account will remain uninvested and no accrued interest or other compensation will be
credited to the account. Payment of fees constitutes acceptance of the terms and conditions set forth.
IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT:
To help the government fight the funding of terrorism and money laundering activities, Federal
law requires all financial institutions to obtain, verify and record information that identifies
each person who opens an account.
For a non-individual person such as a business entity, a charity, a Trust or other legal entity we
will ask for documentation to verify its formation and existence as a legal entity. We may also
ask to see financial statements, licenses, identification and authorization documents from
individuals claiming authority to represent the entity or other relevant documentation.
159
County of Dare, NC
X
Governmental
PO Box 1000
Manteo, NC 27954
5 6
3/15/16
160
6 0 0 0 2 9 3
161
162
163
County of Dare, NC
RFP Dated February 1, 2016
$1,361,569
3 year term
Rate
1/4ly Pymt
Capital One Public Funding
Carlyle Capital Markets Inc -No Bid
1.640% $
116,510.58 $
PNC Equipment Finance
1.300% $
115,875.27 $
Signature Public Funding Corp
The Bancorp Bank dba Mears Motor Leasing
US Bancorp Government Leasing and Finance Inc
1.600% $
1.690% $
1.235% $
116,435.74 $
116,604.17 $
115,754.03 $
Fees
Total Cost of Loan Day Count Rule
-
$
1,398,126.96
250.00 $
1,390,753.24
-
164
$
$
$
1,397,228.88
1,399,250.04
1,389,048.36
360
Prepayment Premium
102% of balance
103% of balance after second
anniversary
102% of balance prior to 3/16/2017
360 101% of balance on or after 3/16/2017
not disclosed
none
not disclosed
103% of balance
not disclosed
RESOLUTION OF THE BOARD OF COMMISSIONERS OF THE COUNTY OF DARE, NORTH
CAROLINA, APPROVING AN INSTALLMENT FINANCING CONTRACT WITH THE DARE COUNTY
PUBLIC FACILITIES CORPORATION AND RELATED MATTERS
Description
Please see the attached Item Summary.
Adopt Resolution
Item Presenter
David Clawson, Finance Director
165
Item Summary: RESOLUTION OF THE BOARD OF COMMISSIONERS OF
THE COUNTY OF DARE, NORTH CAROLINA, APPROVING AN
INSTALLMENT FINANCING CONTRACT WITH THE DARE COUNTY PUBLIC
FACILITIES CORPORATION AND RELATED MATTERS
The attached Resolution is the final action (except for budget actions) to be taken by the
Board to approve the issuance of the Series 2016 Limited Obligation Bonds for the
financing of a portion of the RECC/EOC project and for the refinancing of a portion of
the 2007 Certificates of Participation.
Electronic copies of the documents have been previously provided to the Board, Clerk
and Manager, as well as to the Dare County Public Facilities Corporation Board and
Officers.
The Resolution makes several findings and statements of fact, including:
 The Board has previously determined to finance a portion of the Regional
Emergency Communications Center & Dare County Emergency Operations
Center.
 The County previously entered into an Installment Financing Contract (2007
COPs) to finance the Administration Building, the Kitty Hawk Recreation Park,
and the Hatteras Island Administration Building.
 It is in the best interests of the County to enter into an Installment Purchase
Contract with the Dare County Public Facilities Corporation and into the Deed of
Trust which pledges as collateral the RECC/EOC project and site.
 The County will execute a Letter of Representations for Piper Jaffray,
underwriter.
 Copies of the documents have been made available to the Board and the Board
approves:
o the Contract;
o the Deed of Trust;
o the Escrow Agreement; and
o the Letter of Representations (Exhibit A to the Purchase Agreement).
 A draft of the Preliminary Official Statement has been presented to the Board and
that the POS is in an appropriate form.
 The Board held a public hearing on March 7, 2016.
 The County has filed an application with the Local Government Commission for
approval.
The Resolution resolves:
1. That all actions of the Clerk, the Manager, the Finance Director and their
respective designees are approved, ratified and authorized.
2. That the form, terms and content of the POS and final Offering Statement are
authorized, approved and confirmed.
3. That the Contract is approved and that the Manager, the Finance Director, the
166
4.
5.
6.
7.
Clerk and their designees are authorized and directed to execute and deliver the
Contract with any changes which shall to them seem necessary. That the
Manager, Clerk and Finance Director are authorized to do all such acts and things
necessary to comply with the provisions of the Contract.
That the Deed of Trust is approved and that the Manager, the Finance Director,
the Clerk and their designees are authorized to execute and deliver the Deed of
Trust with any changes which shall to them seem necessary. That the Manager,
Clerk and Finance Director are authorized to do all such acts and things necessary
to comply with the provisions of the Notice of Extension.
That the Escrow Agreement is approved and that the Manager, the Finance
Director, the Clerk and their designees are authorized to execute and deliver the
Escrow Agreement with any changes which shall to them seem necessary. That
the Manager, Clerk and Finance Director are authorized to do all such acts and
things necessary to comply with the provisions of the Escrow Agreement.
That the form and content of the Letter of Representations is approved and that
the Manager or Finance Director is authorized to execute the Letter of
Representations.
That the County Manager and Finance Director are designated as the County’s
Representatives to act on behalf of the County with the transaction; that the same
are authorized to obtain an opinion from the County Attorney and other attorneys
for the documents; that the County Attorney is authorized to provide an opinion;
that the County Representatives are authorized to supply all information for the
POS; that the Manager, Clerk, Finance Director or their designees are authorized
and empowered to do any and all acts and to execute other documents which they
deem necessary and appropriate to complete the transaction.
The Dare County Public Facilities Corporation will meet prior to the Board meeting
to adopt its necessary Corporate Resolution.
The application is on the Local Government Commission’s agenda for 4/5/2016. The
LGC has assigned a sale date of 4/28/2016.
167
EXTRACTS FROM MINUTES OF THE BOARD OF COMMISSIONERS
A regular meeting of the Board of Commissioners of the County of Dare, North Carolina, was
duly held on March 7, 2016 at 9:00 a.m. in the County Board of Commissioners’ Meeting Room, 954
Marshall C. Collins Drive, Manteo, North Carolina. Chairman Robert Woodard presiding.
The following members were present:
The following members were absent:





Commissioner ______________ moved that the following resolution, copies of which having
been made available to the Board of Commissioners, be adopted:
RESOLUTION OF THE BOARD OF COMMISSIONERS OF THE COUNTY OF DARE, NORTH
CAROLINA, APPROVING AN INSTALLMENT FINANCING CONTRACT WITH THE DARE
COUNTY PUBLIC FACILITIES CORPORATION AND RELATED MATTERS
WHEREAS, the County of Dare, North Carolina (the “County”) is a validly existing political
subdivision of the State of North Carolina, existing as such under and by virtue of the Constitution,
statutes and laws of the State of North Carolina (the “State”);
WHEREAS, the County has the power, pursuant to the General Statutes of North Carolina to
(1) purchase real and personal property, (2) enter into installment purchase contracts to finance the
purchase of real and personal property used, or to be used, for public purposes, and (3) grant a security
interest in some or all of the property purchased to secure repayment of the purchase price;
WHEREAS, the Board of Commissioners of the County (the “Board”) has previously determined
that it is in the best interest of the County to finance the costs of constructing, equipping and furnishing a
consolidated regional emergency 911 call center for Dare, Tyrell and Hyde Counties and an emergency
operations center for Dare County, in the County (the “RECC/EOC Project”);
WHEREAS, the County has previously financed the costs of (1) acquiring, constructing,
equipping and furnishing a County Administrative Building, (2) acquiring certain real property in Kitty
Hawk to be used for parks and recreation and the construction of improvements thereon and
(3) constructing, equipping and furnishing a satellite County office facility on Hatteras Island (the “2007
Projects”) pursuant to an installment purchase contract and may have the opportunity to refinance the
2007 Projects for debt service savings by providing for the refunding of a portion of the outstanding
Certificates of Participation, Series 2007 (the “2007 Certificates”) related to the 2007 Projects;
168
WHEREAS, the Board has determined that it is in the best interest of the County (a) to enter into
an Installment Financing Contract (the “Contract”) with the Dare County Public Facilities Corporation, a
North Carolina nonprofit corporation (the “Corporation”), in order (1) to finance the costs of the
RECC/EOC Project, (2) to refinance the costs of the 2007 Projects by refunding all or a portion of the
2007 Certificates and (3) to pay the costs related to the execution and delivery of the Contract and (b) to
provide, in connection with the Contract, as grantor, a Deed of Trust, Security Agreement and Fixture
Filing (the “Deed of Trust”) related to the County’s fee simple interest in the site of the RECC/EOC
Projects and the improvements thereon to secure the County’s obligations under the Contract (the
“Mortgaged Property”);
WHEREAS, in order to assist the County in the financing described above, the Corporation will
execute and deliver Limited Obligation Bonds Evidencing Proportionate Undivided Interests in Rights to
Receive Certain Revenues Pursuant to the Contract (the “Bonds”) in one or more series;
WHEREAS, in connection with the sale of the Bonds by the Corporation to Piper Jaffray & Co.
(the “Underwriter”), the County desires to make certain representations and warranties to the Underwriter
in the form of the County’s Letter of Representations to the Underwriter (the “Letter of
Representations”);
WHEREAS, there has been described to the Board the following documents (collectively, the
“Instruments”), copies of which have been made available to the Board, which the County proposes to
approve, enter into and deliver, as applicable, to effectuate the proposed installment purchase financing:
(1)
the form of the Contract;
(2)
the form of the Deed of Trust;
(3)
the form of the Escrow Agreement (the “Escrow Agreement”) between the
County and The Bank of New York Mellon Trust Company, N.A., as escrow agent,
related to the refunding of the 2007 Certificates; and
(4)
the form of the Letter of Representations;
WHEREAS, to make an offering and sale of the Bonds, there will be prepared a Preliminary
Official Statement (the “Preliminary Official Statement”), a draft thereof having been presented to the
Board, and a final Official Statement (the “Final Official Statement” and, collectively with the
Preliminary Official Statement, the “Official Statement”) with respect to the Bonds, which Official
Statement will contain certain information regarding the County;
WHEREAS, it appears that each of the Instruments and the Preliminary Official Statement is in an
appropriate form and is an appropriate instrument for the purposes intended;
WHEREAS, the Board conducted a public hearing on March 7, 2016 to receive public comment
on the proposed Contract;
WHEREAS, the County has filed an application to the LGC for approval of the Contract;
NOW, THEREFORE, BE IT RESOLVED BY THE BOARD OF COMMISSIONERS OF THE
COUNTY OF DARE, NORTH CAROLINA, as follows:
169
Section 1. Ratification of Action. That all actions of the County Manager, the Finance Director,
the Clerk to the Board and their respective designees, whether previously or hereinafter taken, in
effectuating the proposed financing are hereby approved, ratified and authorized pursuant to and in
accordance with the transactions contemplated by the Instruments.
Section 2. Authorization of the County's Information in the Official Statement. That the
information with respect to the County contained in the Preliminary Official Statement and the Final
Official Statement is in all respects authorized, approved and confirmed and the use of the Preliminary
Official Statement and the Final Official Statement by the Underwriter in connection with the offering
and sale of the Bonds is hereby in all respects authorized, approved and confirmed.
Section 3. Authorization to Execute the Contract. That the County approves the financing of
the RECC/EOC Project and refinancing of the 2007 Projects in accordance with the terms of the Contract,
which will be a valid, legal and binding obligation of the County in accordance with its terms. The form
and content of the Contract shall be and the same hereby are in all respects authorized, approved and
confirmed, and the County Manager, the Finance Director and the Clerk to the Board and their respective
designees, individually or collectively, shall be and they hereby are authorized, empowered and directed
to execute and deliver the Contract, including necessary counterparts, in substantially the form and
content presented to the Board, but with such changes, modifications, additions or deletions therein as
shall to them seem necessary, desirable or appropriate, their execution thereof to constitute conclusive
evidence of their approval of any and all changes, modifications, additions or deletions therein from the
form and content of the Contract presented to the Board, and that from and after the execution and
delivery of the Contract, the County Manager, the Finance Director and the Clerk to the Board,
individually or collectively, are hereby authorized, empowered and directed to do all such acts and things
and to execute all such documents as may be necessary to carry out and comply with the provisions of the
Contract as executed.
Section 4. Deed of Trust. That the form and content of the Deed of Trust shall be and the same
hereby are in all respects authorized, approved and confirmed, and the County Manager, the Finance
Director and the Clerk to the Board and their respective designees, individually or collectively, shall be
and they hereby are authorized, empowered and directed to execute and deliver the Deed of Trust,
including necessary counterparts, in substantially the form and content presented to the Board, but with
such changes, modifications, additions or deletions therein as shall to them seem necessary, desirable or
appropriate, their execution thereof to constitute conclusive evidence of their approval of any and all
changes, modifications, additions or deletions therein from the form and content of the Deed of Trust
presented to the Board, and that from and after the execution and delivery of the Deed of Trust, the
County Manager, the Finance Director and the Clerk to the Board, individually or collectively, are hereby
authorized, empowered and directed to do all such acts and things and to execute all such documents as
may be necessary to carry out and comply with the provisions of the Deed of Trust as executed.
Section 5. Authorization to Execute the Escrow Agreement. That the Escrow Agreement will
be a valid, legal and binding obligation of the County in accordance with its terms. The form and content
of the Escrow Agreement shall be and the same hereby is in all respects authorized, approved and
confirmed, and the County Manager, the Finance Director and the Clerk to the Board and their respective
designees, individually or collectively, shall be and they hereby are authorized, empowered and directed
to execute and deliver the Escrow Agreement, including necessary counterparts, in substantially the form
and content presented to the Board, but with such changes, modifications, additions or deletions therein as
shall to them seem necessary, desirable or appropriate, its execution thereof to constitute conclusive
evidence of their approval of any and all changes, modifications, additions or deletions therein from the
form and content of the Escrow Agreement presented to the Board, and that from and after the execution
and delivery of the Escrow Agreement, the County Manager, the Finance Director and the Clerk to the
170
Board, individually or collectively, are hereby authorized, empowered and directed to do all such acts and
things and to execute all such documents as may be necessary to carry out and comply with the provisions
of the Escrow Agreement as executed.
Section 6. Letter of Representations. That the form and content of the Letter of Representations
shall be and the same hereby is in all respects approved and confirmed, and the County Manager, the
Finance Director and their respective designees, individually or collectively, be and they hereby are
authorized, empowered and directed to execute and deliver the Letter of Representations for and on behalf
of the County, including necessary counterparts, in substantially the form and content presented to the
Board, but with such changes, modifications, additions or deletions therein as shall to him seem
necessary, desirable or appropriate, his execution thereof to constitute conclusive evidence of his approval
of any and all changes, modifications, additions or deletions therein from the form and content of the
Letter of Representations presented to the Board, and that from and after the execution and delivery of the
Letters of Representations, the County Manager and the Finance Director, individually or collectively, are
hereby authorized, empowered and directed to do all such acts and things and to execute all such
documents as may be necessary to carry out and comply with the provisions of the Letters of
Representation as executed.
Section 7. County Representatives. That the County Manager and Finance Director of the
County, individually or collectively, are hereby designated as the County’s Representatives to act on
behalf of the County in connection with the transaction contemplated by the Instruments and the
Preliminary Official Statement, and the County’s Representatives are authorized to proceed with the
transactions contemplated by the Instruments and to seek opinions as to matters of law from the County
Attorney, which the County Attorney is hereby authorized to furnish on behalf of the County, and
opinions of law from such other attorneys for all documents contemplated hereby as required by law. The
County’s Representatives and/or designee or designees are in all respects authorized on behalf of the
County to supply all information pertaining to the County as purchaser under the Contract for use in the
Preliminary Official Statement and the transaction contemplated by the Instruments and the Preliminary
Official Statement. The County Manager, the Clerk to the Board and the Finance Director of the County
or their respective designees, individually or collectively, are hereby authorized, empowered and directed
to do any and all other acts and to execute any and all other documents, which they, in their discretion,
deem necessary and appropriate to consummate the transactions contemplated by the Instruments or the
Preliminary Official Statement or as they deem necessary or appropriate to implement and carry out the
intent and purposes of this Resolution, including the post-issuance on-going administration thereof.
Section 8. Severability. That if any section, phrase or provision of this Resolution shall for any
reason be declared to be invalid, such declaration shall not affect the validity of the remainder of the
sections, phrases or provisions of this Resolution.
Section 9. Repealer. That all motions, orders, resolutions and parts thereof, in conflict herewith
are hereby repealed.
Section 10. Effective Date. That this Resolution shall become effective on the date of its
adoption.
171
STATE OF NORTH CAROLINA
COUNTY OF DARE
)
)
)
SS:
I, Gary L. Gross, Clerk to the Board of Commissioners of the County of Dare, North Carolina,
DO HEREBY CERTIFY, as follows:
1.
A regular meeting of the Board of Commissioners of the County of Dare, a political
subdivision of the State of North Carolina, was duly held on March 7, 2016, proper notice of such
meeting having been given as required by North Carolina statute, and minutes of said meeting have been
duly recorded in the Minute Book kept by me in accordance with law for the purpose of recording the
minutes of said Board of Commissioners.
2.
I have compared the attached extract with said minutes so recorded and said extract is a
true copy of said minutes and of the whole thereof insofar as said minutes relate to matters referred to in
said extract.
3.
Said minutes correctly state the time when said meeting was convened and the place
where such meeting was held and the members of said Board who attended said meeting.
IN WITNESS WHEREOF, I have hereunto set my hand and have hereunto affixed the corporate
seal of said County, this ___ day of March, 2016.
(SEAL)
_______________________________
GARY L. GROSS
Clerk to the Board of Commissioners
County of Dare, North Carolina
PPAB 3129234v1
172
Public Hearing for Series 2016A LOBs
Description
Public hearing per the attached notice, concerning the approval of the execution and delivery of the Contract and
the Deed of Trust and the County’s financing and refinancing of the Projects. All interested parties are invited
to present comments at the public hearing regarding the execution and delivery of the Contract and the Projects
to be financed and refinanced thereby.
Hold Public Hearing
Item Presenter
David Clawson, Finance Director
173
EXHIBIT A
NOTICE OF PUBLIC HEARING
At its February 15, 2016 meeting, the Board of Commissioners (the “Board”) of the County of
Dare, North Carolina (the “County”) adopted a resolution which:
1.
Authorized the County to proceed with the negotiation of an installment
financing contract (the “Contract”), in a principal amount not to exceed $13,000,000 to
(A) finance the costs of (1) constructing, equipping and furnishing a consolidated
regional emergency 911 call center for Dare, Tyrell and Hyde Counties and an
emergency operations center for Dare County, in the County (the “RECC/EOC
Project”), and (2) the execution and delivery of the Contract and (B) refinance the
County’s installment payment obligations related to a portion of Certificates of
Participation, Series 2007, the proceeds of which were used the costs (1) acquiring,
constructing, equipping and furnishing a County Administrative Building, (2) acquiring
certain real property in Kitty Hawk to be used for parks and recreation and the
construction of improvements thereon and (3) constructing, equipping and furnishing a
satellite County office facility on Hatteras Island (the “2007 Projects”);
2.
Identified that the County may determine in the future to finance under the
Contract, in a principal amount of approximately $15,000,000, the costs of beach
nourishment in the Towns of Kill Devil Hills, Kitty Hawk and Duck (the “Town Beach
Nourishment Projects” and collectively with the RECC/EOC Project and the 2007
Projects, the “Projects”);
3.
Authorized the County to proceed to provide, in order to secure the County’s
obligations under the Contract, as grantor, a deed of trust, security agreement and fixture
filing (the “Deed of Trust”) under which the County’s fee simple interest in the site of
the RECC/EOC Project and the improvements thereon (the “Mortgaged Property”) will
be mortgaged by the County to create a lien thereon.
The RECC/EOC Project will be located in Manteo adjacent to the Dare County Regional Airport.
The Town Beach Nourishment Projects will be located on the oceanfront coast line in the Towns of Kill
Devil Hills, Kitty Hawk and Duck. The 2007 Projects are located as follows: County Administration
Building at 954 Marshall Collins Drive, Manteo, parks and recreation project at 906 West Kitty Hawk
Road, Kitty Hawk and satellite County office facility at 50347 Highway 12, Frisco.
On payment by the County of all installment payments due under the Contract, the Deed of Trust
and any lien created thereunder will terminate and the County’s title to the Mortgaged Property will be
unencumbered.
PPAB 3105411v3
174
NOTICE IS HEREBY GIVEN, pursuant to Sections 160A-20 of the General Statutes of North
Carolina, that on March 7, 2016 at or about 10:00 a.m. in the County Board of Commissioners’ Meeting
Room, 954 Marshall C. Collins Drive, Manteo, North Carolina, a public hearing will be conducted
concerning the approval of the execution and delivery of the Contract and the Deed of Trust and the
County’s financing and refinancing of the Projects. All interested parties are invited to present comments
at the public hearing regarding the execution and delivery of the Contract and the Projects to be financed
and refinanced thereby.
/s/ GARY L. GROSS
Clerk to the Board of Commissioners
County of Dare, North Carolina
PPAB 3105411v3
175
Consent Agenda
Description
1. Approval of Minutes (02.11.16 Retreat & 02.15.16)
2. Government Education Access Channels 2016/2017 Proposed Budget
Approval
Item Presenter
County Manager, Robert Outten
176
Approval of Minutes
Description
The Board of Commissioners will review and approve their previous Minutes, which follow this page.
Approve Previous Minutes
Item Presenter
177
Page 1 of 5
District 1: Roanoke Island & Mainland; District 2: Nags Head, Colington, Kill Devil Hills; District 3: Kitty Hawk,
Southern Shores, Duck; District 4: Chicamacomico, Avon, Buxton, Frisco, Hatteras; District 5: At Large
MINUTES
DARE COUNTY BOARD OF COMMISSIONERS
SPECIAL MEETING – BOARD RETREAT
For discussion and planning about the challenges and issues
facing Dare County and for the Board to explore solutions
that will best serve the residents and visitors of Dare County
Outer Banks Visitors Bureau Conference Room, Manteo, NC
8:00 a.m., February 11, 2016
Commissioners present:
Vice-Chairman Wally Overman
Warren Judge, Jack Shea,
Beverly Boswell, Margarette Umphlett
Commissioners absent:
Allen Burrus
Others present:
County Manager/Attorney, Robert Outten
Finance Director, David Clawson
Public Information Officer, Dorothy Hester
Clerk to the Board, Gary Gross
Chairman Woodard called the Special Meeting to order at 8:00 a.m. He invited
Commissioner Umphlett to share a prayer and then he led the Pledge of Allegiance to
the flag. It was announced that Commissioner Burrus was unable to attend because of
a medical appointment. No one from the public was in attendance; however, the news
media was present throughout the entire retreat. The Chairman led Commissioners in a
discussion of the following items, some of which were handled out of sequential order –
ITEM 1 – ECONOMIC DEVELOPMENT (STRATEGIC PLAN)
The Board was briefed on economic development discussions involving Commissioner
Shea, the County Manager, the Finance Director, and NC State. The timeline for the
economic development project was reviewed and it was explained that a serious effort
will be made to involve stakeholders and make this a broad based community effort.
Mr. Outten reported that instructions were given to NC State that clarified the County’s
position that a thorough, complete, and accurate report is more important than speed
because the County wants a meaningful plan that will work and not just sit on a shelf.
178
Page 2 of 5
ITEM 2 – SALARY STUDY & DISCUSSIONS ON AVAILABLE FUNDS NOW FOR
SALARY INCREASES & BONUSES
Chairman Woodard outlined research he did on County employee earnings at various
compensation levels, which led to a general discussion of how to retain and
compensate employees, especially those on the lower end of the pay scale. Mr.
Clawson said $781,000 is in the next fiscal year budget for salary adjustments. The
Board discussed the merits of moving forward with a salary study. By unanimous
consensus, the Board instructed the County Manager to move forward with a salary
study by having the firms he identified resubmit bids as quickly as possible for action at
the March 7 meeting. The Board also discussed the need to consider future merit pay
awards and possibly restoring 401k contributions. Mr. Outten outlined a bonus plan
where deserving employees would be given a one-time monetary award. By
unanimous consensus, the Board authorized the Manager to proceed in developing this
type of a bonus plan.
ITEM 3 – SCHOOL BOARD BUDGET
Mr. Clawson described the status of the Board of Education’s maintenance list and
Chairman Woodard noted that the 5 on 5 meetings have been very productive. Mr.
Outten reported on a presentation that was made to the North Carolina Association of
County Commissioners about Dare County’s school funding formula. It was the
unanimous consensus of the Board that the County Manager and Finance Director
should continue using the funding formula that is now in place.
ITEM 4 – TWO YEAR BUDGET PLAN
The Finance Director reviewed the budget process, which is going into the second year
of a two-year cycle. He explained that Department Heads have been instructed only to
submit changes for 2017 that address new mandates or items that could not have been
foreseen when the budget was prepared last year. The merits of two-year budget
cycles were discussed.
ITEM 5 – CONTINUE TO INCREASE THE FUND BALANCE
Mr. Clawson provided information about the status of the County’s Fund Balance and
explained the various categories. The Fund Balance target goal was discussed and it
was noted that progress is being made to increase the undesignated Fund Balance.
ITEM 6 – CONTINUE TO PAY DOWN INSURANCE DEBT
Commissioners were briefed on the progress that has been made concerning the
County’s ongoing effort to pay down insurance debt. Mr. Clawson explained the stop
loss provisions of the County’s health plan, which led to discussion of the employee
Health Clinic that is expected to be operational in about four months and the important
role of promoting wellness in the Dare County plan.
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ITEM 7 – INLET DREDGING (HATTERAS INLET & OREGON INLET)
Chairman Woodard reported on additional federal funds that Congressman Walter
Jones has obtained for Oregon Inlet and Hatteras Inlet. Commissioner Boswell noted
that Oregon Inlet Task Force member Harry Schiffman has done an exceptional job
tracking the funds designated for inlet dredging. Vice-Chairman Overman reported on
dredging activity at Hatteras Inlet and explained that safety was the reason why
dredging was recently suspended and that it was not due to lack of funds. He added
that efforts are still underway to expand the federal authorization to include all the
waters of Hatteras Inlet. An update was given on the status of the Memorandum of
Agreement. Chairman Woodard presented a letter thanking Congressman Jones for
the additional funding he obtained. By unanimous consensus, the Board agreed with
sending the letter of appreciation. Commissioner Boswell described areas of Oregon
Inlet that need lighting and the County Manager said he would follow-up on this.
ITEM 8 – BEACH NOURISHMENT PLANS & DISCUSSION OF A POSSIBLE TAX
SERVICE DISTRICT
Chairman Woodard presented a resolution that was prepared based on discussions he
had with the Governor’s staff suggesting that a resolution from the Board might be
helpful in obtaining federal assistance for Buxton. Vice-Chairman Overman
recommended that language be added clarifying that NC Highway 12 is also the sole
source of access to the Cape Hatteras National Seashore.
MOTION
Commissioner Judge motioned to approve the resolution for immediate sending.
Commissioners Woodard, Overman, Shea, Boswell, Umphlett seconded the motion.
VOTE: AYES unanimous
The Board discussed the bids that were received for the nourishment projects in Duck,
Kitty Hawk, and Kill Devil Hills. Commissioners explored the merits of rejecting the bids
and by unanimous consensus adopted a position that the bids should be rejected and
that the project be rebid for contract in 2017.
MOTION
Commissioner Judge motioned to authorize the County Manager to talk with the
Managers of the Town Beach Nourishment projects and outline the County’s
position (as reflected above) and if the group agrees, staff should move forward
as outlined.
Vice-Chairman Overman seconded the motion.
Mr. Outten reviewed the process for establishing a Tax Service District and outlined
possible options. In discussing possible Service Districts, the Manager explained that
there must be a demonstrated benefit to the district. It was noted that this item is on the
Board’s agenda for the next meeting on February 15. Commissioner Umphlett
announced that she will be unable to attend the next Board meeting, but sees the need
to have Public Hearings on a Service Tax District.
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ITEM 9 – CONTINUE EXPLORING CONSOLIDATION OF SERVICES
An update was given on consolidation talks that have taken place. It was reported that
the Towns are apparently not interested in consolidating services for fire, police, trash,
and water. However, it was noted that there are many ways that the County and Towns
already work together to share equipment and resources as the need arises. The
Board was told that consolidation will be an ongoing topic of discussion at monthly
meetings of the Town/County Managers.
ITEM 10 – MONITORING OF TAX REDISTRIBUTION IN RALEIGH
The Board discussed reports that tax redistribution will not be in the 2016 short session,
but may be reintroduced by Senator Brown in 2017. Commissioners brainstormed on
ideas that may be viable options to help poorer counties without hurting other counties
by redistributing tax revenue. Chairman Woodard said Dare County will need to
continuing monitoring this issue and stay in close contact with our Legislators.
ITEM 11 – TECHNOLOGY ISSUES - CREATING REMOTE ACCESS TO MEETINGS
Commissioners were briefed on plans to establish a video link with the Fessenden
Center to allow citizens on Hatteras Island to remotely make public comments during
Board meetings. Mr. Outten outlined options for providing this service and by
unanimous consensus, the Board agreed to authorize the Manager to take $5,900 out
of contingency to provide this service with a target implementation date of early May.
OTHER ITEMS –
The Board discussed how to respond to the issues that were raised by citizens during
the Town Hall meetings in Manteo and Buxton. By unanimous consensus it was agreed
that a general narrative letter will be prepared that reflects the Board’s position on the
topics that were discussed. The letter will be shared with those who spoke and it will
also be publicized.
Chairman Woodard updated the Board on the County’s ongoing effort to have the
Attorney General issue a report on their investigation into the high gasoline prices on
the Outer Banks. He expressed frustration that it has been over a year since he
requested this investigation and so far has not received any meaningful information.
The Chairman said he intends to write a very strong letter calling for answers from the
Attorney General.
At the conclusion of the Retreat, County Manager Outten thanked the Board saying this
has been a worthwhile endeavor because it gives clear direction and guidance to staff.
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During the Retreat, breaks were taken at the following times –
RECESS: 9:05 a.m. – 9:17 a.m.
RECESS: 10:37 a.m. – 10:51 a.m.
At 12:28 p.m., the Dare County Board of Commissioners adjourned the Board Retreat.
[SEAL]
By: _____________________________________
Gary Gross, Clerk to the Board
APPROVED: ______________________________________
Robert Woodard, Chairman
Dare County Board of Commissioners
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District 1: Roanoke Island & Mainland; District 2: Nags Head, Colington, Kill Devil Hills; District 3: Kitty Hawk,
Southern Shores, Duck; District 4: Chicamacomico, Avon, Buxton, Frisco, Hatteras; District 5: At Large
Regularly scheduled Board meetings are videotaped and can be viewed at www.darenc.com
MINUTES
DARE COUNTY BOARD OF COMMISSIONERS MEETING
Dare County Administration Building, Manteo, NC
5:00 p.m., February 15, 2016
Commissioners present:
Vice-Chairman Wally Overman
Warren Judge, Jack Shea,
Allen Burrus, Beverly Boswell
Commissioners absent:
Margarette Umphlett
Others present:
County Manager/Attorney, Robert Outten
Finance Director, David Clawson
Public Information Officer, Dorothy Hester
Clerk to the Board, Gary Gross
A full and complete account of the entire Board of Commissioners meeting is archived
on a video that is available for viewing on the Dare County website www.darenc.com.
Chairman Woodard called the meeting to order at 5:01 p.m. He reported that
Commissioner Umphlett was absent due to her daughter having heart surgery today
and he noted the recent death of Supreme Court Justice Antonin Scalia. He asked that
both of these families be kept in prayer. The Chairman then invited the Rev. Phillip
Glick from St. Andrews By-the-Sea Episcopal Church to share a prayer, and afterward
he led the Pledge of Allegiance to the flag.
ITEM 1 – OPENING REMARKS – CHAIRMAN’S UPDATE
Chairman Woodard invited everyone to view an exhibit organized by the Keeping
Current initiative to help prevent teen substance abuse. He thanked those who
attended the Hatteras Town Hall and described plans to establish a two-way video link
at the Fessenden Center so Hatteras Island residents will not have to drive to Manteo in
order to make public comments. Chairman Woodard commented on the Oden’s Dock
and Stumpy Point oyster roast events. He read a letter sent to Attorney General Roy
Cooper expressing dissatisfaction with the way that Dare County’s high gasoline prices
are being investigated by the Attorney General’s Office. The Chairman described topics
that were addressed at the Board’s recent retreat and he thanked Congressman Jones
for obtaining additional dredging funds for Hatteras Inlet and Oregon Inlet. Chairman
Woodard read a resolution adopted at the retreat that seeks federal assistance for
storm stricken Buxton. A complete video account of the Chairman’s update can be
seen on the Dare County website www.darenc.com.
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ITEM 2 – PUBLIC COMMENTS
The Manager outlined the public comments procedure. Citizen remarks can be seen in
their entirety on the county website www.darenc.com. Following is a brief summary –
1. Lorelei DiBernardo, on behalf of the League of Women Voters of Dare County
presented Commissioners with copies of the 2016 Citizens Guide. She
expressed appreciation for the Board’s support of the project and provided
information about the League of Women Voters.
ITEM 3 – WATCH4meNC CAMPAIGN
Jody Lewis, Community Relations Officer with the Kill Devil Hills Police Department,
briefed Commissioners on the Watch4meNC campaign, which is an NCDOT initiative to
promote bicycle and pedestrian safety. He described Dare County’s involvement with
the campaign and asked Commissioners to continue backing the endeavor. Chairman
Woodard presented a letter expressing the Board’s continued support of Watch4meNC.
MOTION
Commissioner Judge motioned to reaffirm the Board’s support of Watch4meNC.
Commissioner Shea and Vice-Chairman Overman seconded the motion.
VOTE: AYES unanimous (Commissioner Burrus was not in the room during voting on this item)
ITEM 4 – BUXTON BEACH NOURISHMENT PROJECT – UPDATE REPORT
Dr. Tim Kana with Coastal Science & Engineering presented an update on the Buxton
beach nourishment project. He described the 2.9 mile project area and listed the steps
that have already been completed. Dr. Kana outlined work that remains to be done
before beach nourishment can begin. In discussing the project’s timetable, he
explained that there is no way to know the contractor’s schedules until the project is put
out to bid. But, he expressed hope that because of the limited size of the Buxton
project, a contractor may be able to fit it in their schedule in a timely way. Dr. Kana
answered Commissioner questions about the life expectancy of the nourished beach,
the type of equipment that will be used, and the planned slope of the beach. He
thanked Commissioners for their active involvement throughout the permitting process,
which he said has been extremely helpful.
ITEM 5 – DISCUSSION OF A TAX SERVICE DISTRICT FOR UNINCORPORATED
DARE COUNTY
The Manager outlined the statutory requirements and timeline for establishing a tax
service district. He explained that all property owners in a proposed service district
must be notified by mail at least 4 weeks prior to a mandatory public hearing.
Commissioners Woodard, Overman, Shea, and Boswell expressed support for moving
forward with steps toward creating a tax service district. The Board then engaged in
extensive discussion about possible geographical scenarios for defining the boundaries
of a tax service district. Mr. Outten explained that the more specific a service district is,
the easier it is to define and defend. Commissioner Burrus noted that other portions of
Hatteras Island have trouble spots that may need beach nourishment projects in the
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future. Commissioner Judge said he could not support a service district without
knowing the rate and asked what financial contribution it is expected to generate.
The Dare County website contains a video with a full and complete account of the
Board’s discussion of this issue that resulted in the following motion –
MOTION
Commissioner Shea motioned to move forward with establishing a tax service district for
the oceanfront properties in the Buxton project area, numbering approximately 34 lots
that will receive greater benefit from the project. Motion is made with the finding of the
following 4 items based on information and evidence received by the Board –
1) That there is a demonstrable need for providing in the district the services listed for
beach nourishment. 2) It is impossible or impracticable to provide those services on a
countywide basis. 3) It is economically feasible to provide the proposed services in the
district without unreasonable or burdensome annual tax levies. 4) There is a
demonstrable demand for the proposed services by the persons residing in the district.
During discussion on the motion – Commissioner Boswell clarified that the Board
can still consider other projects in the future, which would be handled on an
individual basis. Mr. Outten noted that voting on this motion is not a final action
on a tax service district. He explained that the motion gives guidance for staff to
proceed, which will result in a public hearing being scheduled prior to the Board
considering a resolution that would then formally implement a tax service district.
VOTE: AYES: 4 (Commissioners: Woodard, Overman, Shea, Boswell)
NOES: 2 (Commissioners: Judge, Burrus)
Motion carried in a 4 to 2 vote
ITEM 6 – RESOLUTION AUTHORIZING THE NEGOTIATION OF AN INSTALLMENT
FINANCING CONTRACT (Att. #1)
Finance Director, David Clawson, distributed a revised resolution that reflects changes
to the one that was in the meeting packet. He explained that the revision is due to the
recent bid opening for the municipal beach nourishment projects, which has resulted in
a determination that the beach nourishment portion will be financed later. He outlined
the collateral described in the revised resolution and outlined the benefits of refunding.
MOTION
Commissioner Judge motioned to adopt a resolution authorizing the negotiation of an
installment financing contract as presented by the Finance Director and directing the
publication of notice setting a Public Hearing for 10:00 a.m. on March 7, 2016.
Commissioner Shea seconded the motion.
RECESS: 7:13 p.m. – 7:24 p.m.
ITEM 7 – DARE COUNTY WILKENSON BUILDING LEASE
Mr. Outten explained that public notice has been given on the County’s intent to lease
the property. He asked the Board to approve the lease and authorize it to be signed by
the County Manager.
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MOTION
Commissioner Judge motioned to approve the lease and authorize the County Manager
to sign the document.
Commissioner Shea and Vice-Chairman Overman seconded the motion.
ITEM 8 – CONSENT AGENDA
The Manager announced the Consent Agenda items as they were visually displayed.
Mr. Outten presented a revision to the Grant Project Ordinance for Consent Item #2 in
order to update reference numbers that were originally in the Board’s meeting packet.
MOTION
Commissioner Judge and Commissioner Shea motioned to approve the Consent
Agenda with the revision that was outlined by the County Manager:
1) Approval of Minutes (02.01.16 & 02.04.16 Town Hall) (Att. #2)
2) RECC/EOC Project Budget Amendments & Capital Project Ordinance
Amendments Approved 2/1/16 (Att. #3)
3) Hurricane Recovery, Elevation Mitigation Project – Budget Ordinance (Att. #4)
4) Public Health Division – Partnerships to Improve Community Health Grant
5) Public Health Division – Maternal and Child Health Planning Grant
6) Budget Amendment – Sheriff Department
7) Charles Finch Gaddy Endowment Grant
8) Tax Collector’s Report
ITEM 9 – COMMISSIONERS’ BUSINESS & MANAGER’S/ATTORNEY’S BUSINESS
Following is a brief outline of items raised during this segment. Commissioners and the
County Manager frequently make extensive remarks, which can be viewed in their
entirety on a video archived on the Dare County website www.darenc.com.
Commissioner Shea – thanked citizens for expressing their views and said it is
important that Dare County residents have ongoing dialogue with the Board.
Commissioner Burrus – expressed appreciation for the grant opportunities provided by
the Charles Finch Gaddy Endowment.
Commissioner Boswell – gave a report on dredging activity at Oregon Inlet. She
presented the SPCA Pet of the Week and thanked the organization for their service.
Commissioner Judge – thanked everyone for attending the public meeting in Buxton.
He commented on community efforts to improve bicycle and pedestrian safety and cited
the need for increasing cyclist visibility. Commissioner Judge reported on a recent
meeting he attended regarding expansion of the Monitor National Marine Sanctuary.
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Vice-Chairman Overman – thanked the NCDOT Ferry Division for their dredging work in
Hatteras Inlet. He explained that the recent temporary suspension of the project was
due to safety issues and not funding. The Vice-Chairman also reported on a meeting
he attended with fishermen regarding opposition to mandatory logbooks. He also
commented on the recent oyster events on Hatteras Island and Stumpy Point.
MANAGER’S/ATTORNEY’S BUSINESS – None
At the conclusion of the meeting, Chairman Woodard asked for a motion to adjourn.
MOTION
Commissioner Shea motioned to adjourn the meeting.
Commissioner Burrus seconded the motion.
At 7:38 p.m., the Board of Commissioners adjourned until 9:00 a.m., March 7, 2016.
[SEAL]
By: ______________________________
Gary Gross, Clerk to the Board
APPROVED:
By: _______________________________
Robert Woodard, Chairman
Dare County Board of Commissioners
187
Government Education Access Channels 2016/2017 Proposed Budget
Description
See Attached Summary
Approve the Proposed Budget
Item Presenter
Dorothy Hester
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Government Education Access Channels Committee 20162017 Proposed Budget The following items are presented to the Dare County Board of Commissioners for their review and approval. Specific Action Requested: Approve the proposed 20162017 Budget Budget Summary The Government Education Access Channels (GEAC) Committee has reviewed and approved the proposed 20162017 budget for the operation of the Government and Education Channel. The proposed budget, which would take effect July 1, 2016, must be approved by every participating member entity of the Channels, which includes the towns of Duck, Southern Shores, Kitty Hawk, Kill Devil Hills, Nags Head, Manteo, and Dare County, Dare County Schools, College of The Albemarle, and UNC Coastal Studies Institute. The budget as proposed requires no additional funding from the participating entities above the current annual $1000 membership fee. Our budget is funded mainly from the North Carolina Video Distribution proceeds, which are disbursed quarterly by the State to certified members of the GEAC. These funds must be used for the operations of the two channels and no other purpose. Additionally, the legislation that originally established the Video Distribution funding required that the proceeds not supplant current funding. Accordingly, the annual $1000 membership fee that was in place when the program began must remain, or the Channels would lose all Video Distribution funding from the State. The GEAC committee recommends the budget, which includes, in part, the following: funding for two fulltime staff positions and a Local Programming Development Initiative to assist members in the development of programming for the Government and Education Channels. The funding also includes the continued funding of two regular news magazine shows that highlight each of the participating members of the GEAC on the Education Channel and the Government Channel. 189
Government Education Access Channels Committee 20162017 Proposed Budget Executive Summary Funding comes from the state of North Carolina use tax on cable and satellite fees. Our revenue from this source in 20162017 is projected to be $279,270.04. In addition, each of the 10 entities pay a $1000 membership fee annually to participate in the channel’s operations. This $1000 fee is unchanged and is the only impact on each entity’s budget. This money that is received from the entities in support of the Government and Education Access Channels must remain in the budget in order for each entity to continue to receive PEG Supplements from the state of North Carolina. This budget is requesting a total of $85,087.96 be allocated from the fund balance. The fund balance is projected to be $352,139.23 on June 30, 2016. The proposed total budget for the Government and Education Access Channels Committee for 20162017 is $375,808.00. 190
INCOME Member Fees (annual fee paid by participating entities)1 NC PEG Supplemental Video Disbursement (from the state NCDOR)2 Interest Income (interest from fund balance)3 TOTAL INCOME APPROPRIATED FUND BALANCE4 TOTAL REVENUE EXPENDITURES Salaries (2 Full time employees)5 PT Salary (Internships) FICA Retirement Health Insurance Life Insurance Retiree Health Contractual Services (Production of Destination Dare/Ed Awareness)6 Channel Operations (Maintenance Support for Tightrope System)7 Streaming Video/VOD Reflect (service required provide this service)8 Equipment Repair, Replacement, Purchase Office Computer Lease Supplies9 Marketing Plan (Marketing for GovEd TV including EGuide)10 Capital Outlay11 Music Library Training Travel Professional memberships (SEATOA NATOA, NC3C)12 Miscellaneous Contingency (Reserve for unexpected expenses)13 Emergency Contingency (Storm related overtime during activations)14 TOTAL OPERATING EXPENDITURES 191
10,000.00 279,720.04 1,000.00 290,720.04 85,087.96 375,808.00 (108,470.00) (2,000.00) (8,718.00) (7,461.00) (15,593.00) (210.00) (186.00) (50,000.00) (4,275.00) (2,200.00) (5,000.00) (500.00) (7,500.00) (31,800) (12,000) (1,395.00) (5,000.00) (5,000.00) (300.00) (500.00) (5,000.00) (2,500.00) (275,808.00) Local Program Development Initiative This is money set aside in the budget to foster development of program content by the member entities. Money is awarded on an application and grant basis to participating entities by the Government and Education Access Channel Committee. The money can be used to produce programs, improve the quality of existing programs, or purchase equipment to provide for increased production and/or quality of programs. LPDI 1 Coastal Studies Institute (10,000.00) LPDI 2 College of The Albemarle (10,000.00) LPDI 3 Dare County Government (10,000.00) LPDI 4 Dare County Schools (10,000.00) LPDI 5 Duck (10,000.00) LPDI 6 Kill Devil Hills (10,000.00) LPDI 7 Kitty Hawk (10,000.00) LPDI 8 Manteo (10,000.00) LPDI 9 Nags Head (10,000.00) LPDI 10 Southern Shores (10,000.00) TOTAL LPDI
(100,000.00) TOTAL LPDI AND OPERATING EXPENDITURES (375,808.00) 192
Government and Education Access Channel Proposed Budget Notes for 20162017 Goals and Objectives to be achieved with this budget. 1. Continue to fund the operation of the channel at a level that provides a professional, reliable and quality service to the citizens of Dare County. 2. Continue to bring the fund balance down to an appropriate level and strategically use the fund balance to fund channel initiatives. 1
Member Fees Each entity member pays an annual membership fee to participate in the Government and Education Channel Access. This money must remain in place in order for each entity to receive the PEG Supplement from the state. There is no change to this amount from last year, so impact on each entity’s budget is unchanged.. 2
NC PEG Supplemental Video Disbursement this is revenue that is collected by the state in the form of a use tax on cable and satellite providers. The money is pooled and disbursed to qualifying PEG operations within the state. PEG stands for Public, Education, and Government Access. Dare County has 10 qualifying PEG entities, each is a member of the Government and Education Access Channel Committee. Each quarter, this money is disbursed to the entities by the state, and then the Government and Education Access Channels invoices the entities for this money. These state funds are the main source of funding for the Government and Education Access Channels. 3
Interest Income This is interest the Government and Education Access Channels Committee receives on the fund balance. 4
Appropriated Fund Balance The fund balance is projected to be $352,139 on June 30, 2016. 5
Salaries This budget currently funds two fulltime positions that are considered to be Dare County employees. 6
Contractual Services This is for the production of Destination Dare and Dare Education Awareness, our two main programming initiatives that highlight interesting aspects of government and education in Dare County. Each entity contributes one segment to each episode. Destination Dare is produced every other month, and Dare Education Awareness is produced on the alternate months. 7
Channel Operations (Maintenance and Technical Support of Playout Server) One goal we were able to achieve with an aggressive capital outlay 20142015, was an upgrade to our playout server and channel operation software. This has resulted in a better quality signal and more reliable and efficient operations. This budget item is the annual maintenance and technical support for that system. 193
8
Streaming Video/VOD Reflect As part of the playout server upgrade, we are providing a more effective streaming capability of our signal online, and, in addition, provide a video on demand service that will be much better than our current YouTube channel. This is the annual subscription to support that service. 9
Supplies This the purchase supports supplies such as batteries, gaffers tape, lighting gels, accessories, and small equipment items that do not qualify as Capital Outlay. 10
Marketing Plan This will support a professional marketing effort to allow us to better use outreach tools to bring viewers to our channel and to help identify what kinds of information viewers want to see when they watch our channel. 11
Capital Outlay Purchase of a Sony PXWFS5 to enhance the production capabilities of our inhouse projects. 12
Professional Memberships This supports memberships for the two staff positions for the Southeastern Association of Telecommunications Officers and Advisors (SEATOA), National Association of Telecommunications Officers and Advisors (NATOA), and The North Carolina City and County Communicators (NC3C). These are national, regional and state professional associations for PEG Channel Operators. 13
Contingency This is for expenses that come up that were either unplanned or unforeseen. Not for use of everyday expenses. 14
Emergency Contingency This pays for storm related overtime for the hourly employee during Emergency Management Activations. 194
Board Appointments
Description
The Dare County Board of Commissioners will consider the following Board Appointments --Complete information about each appointment appears after this page.
Upcoming Board Appointments for the next three months are highlighted at the end.
Make Board Appointments & Announce Upcoming Appointments
Item Presenter
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