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ALBEMARLE COMMISSION BOARD OF DELEGATES MEETING
DATE: Thursday, May 21st, 2020 TIME: 5:00 p.m. Board Meeting Item 1. Opening Page 02 Item 2. Invocation Page 02 Item 3. Pledge of Allegiance Page 02 Item 4. Determination of a Quorum Page 02 Item 5. Adoption of Agenda VOTE Page 02 Item 6. Public Comments Page 03 Item 7. Public Hearing Proposed Budget FY 20-21 Page 04 Item 8. Consent Agenda VOTE Page 65
a. Approval of Minutes from April 2020 Page 66
b. Approval of FY 2020 Audit Contract for Page 70 Thompson, Price, Scott, Adams & Co
c. Essential Single-Family Rehab Loan Pool Page 86
(ESFRLP) Chowan, Perquimans & Washington
d. AC Financial Policy Update: Escheatment Page 132 Procedures
Item 9. Old Business Page 134 Item 10. New Business Page 135 Item 11. Staff Reports (if applicable) Page 136 Item 12. Executive Director’s Report Page 148 Item 13. Committee Reports Page 154 Item 14. Chairperson & Board Delegates Comments Page 155 Item 15. Closed Session Page 156 Closed session pursuant to N.C.G.S. 143-318.11(a)(3) to consult with the Board attorney regarding a matter within the attorney/client privilege and to preserve that privilege; and N.C.G.S. 143-318.11(a)(6) to discuss one or more confidential personnel matters.
Item 16. ADJOURNMENT Page 157 NEXT MEETING: June 18th, 2020 at 6 PM
CAMDEN
CHOWAN
CURRITUCK
DARE
GATES
HYDE
PASQUOTANK
PERQUIMANS
TYRRELL
WASHINGTON
COLUMBIA
CRESWELL
DUCK
EDENTON
ELIZABETH CITY
GATESVILLE
HERTFORD
KILL DEVIL HILLS
KITTY HAWK
MANTEO
NAGS HEAD
PLYMOUTH
ROPER
SOUTHERN SHORES
WINFALL
1. Opening
2. Invocation
3. Pledge of Allegiance
4. Determination of a Quorum
5. Adoption of Agenda -VOTE
2
6. Public Comments
3
7. Public Hearing Proposed
Budget FY 20-21
4
NOTICE OF PUBLIC HEARING
The Annual Budget Ordinance of the Albemarle Commission for the Fiscal Year beginning July 1, 2020 has been presented to the Commission Board and is available for public inspection on the Commission’s website at www.albemarlecommission.org. A Public Hearing on the proposed budget will be held at 5 p.m., Thursday, May 21, 2020 during the Albemarle Commission Board of Delegates meeting, which willbe held via conference call. All persons who wish to be heard on the budget shall email comments [email protected]. Comments will be read during the public hearing portion of the meeting.Comments can also be submitted up to 24 hours after the public hearing has concluded.
David Whitmer Interim Executive Director
5
6
7
PRO
GRA
MS
2019
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BUDG
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20-2
1 PR
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and
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and
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ed
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ur u
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ted
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bal
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.Ad
ditio
nal i
ncre
ases
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e In
dire
ct F
und
are
a re
sult
of C
OLA
incr
ease
s, a
nd p
roje
cted
insu
ranc
e in
crea
ses.
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Indi
rect
exp
ense
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e co
vere
d by
cur
rent
yea
r rev
enue
s, e
xcep
t as n
oted
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ve.
Spec
ial G
rant
s - T
he w
ork
on th
e Cl
ean
Wat
er M
anag
emen
t Tru
st F
und
Gran
t is s
ched
uled
to c
ompl
ete
in N
ovem
ber.
The
Safe
Rou
tes t
o Sc
hool
Gra
nt is
the
new
3 y
ear g
rant
app
rove
d by
the
Boar
d. T
he a
bove
am
ount
is th
e al
loca
tion
for o
ne y
ear.
Wor
kfor
ce D
evel
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ent i
s see
ing
an in
crea
se in
pro
ject
ed re
venu
es fr
om a
dditi
onal
Fin
ish L
ine
Gran
t mon
ey, a
s wel
l as
Infr
astr
uctu
re F
unds
, whi
ch w
ere
not i
n th
e pr
evio
us y
ear's
orig
inal
bud
get.
The
Revo
lvin
g Lo
an P
rogr
am h
as b
een
diso
ntin
ued.
The
pro
pose
d bu
dget
refle
cts t
he e
xpec
ted
reve
nues
from
the
3 re
mai
ning
loan
s in
the
form
of l
oan
paym
ents
and
inte
rest
.
Albe
mar
le C
omm
issi
onFY
202
0 - 2
021
Budg
et O
verv
iew
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
8. Consent Agenda
VOTE
a. Approval of Minutes from April 2020
b. Approval of FY 2020 Audit Contracts for Thompson, Price, Scott, Adams & Co
c. Essential Single-Family Rehad Loan Pool
(ESFRLP) Chowan, Perquimans & Washington
d. AC Financial Policy Update: Escheatment Procedures
65
1
Minutes of the Albemarle Commission Board of Delegates
April 16, 2020 6:00 P.M. Opening Chair Tracey A. Johnson called the meeting to order at 6 p.m.
Invocation Commissioner Fondella Leigh led the Invocation. Pledge of Allegiance Commissioner Rob Ross led the Pledge of Allegiance.
Determination of Quorum The presence of a quorum was determined by Clerk and Administrative & Benefits Coordinator, Ashley Stallings, by a roll call, with eleven (11) Members present.
Name County Clayton Riggs Camden Robert Kirby Chowan Harriett DeHart Chowan Elizabeth White Currituck Rob Ross Dare Howard Swain Dare Linda Hofler Gates Lloyd Griffin Pasquotank Fondella Leigh Perquimans Wallace Nelson - Alternante Perquimans Jordan Davis Tyrrell Tracey A. Johnson Washington Absent Members Sandra Duckwall Camden Paul Beaumont Currituck Earl Pugh Hyde
Partners. staff, and guests present: Attorney John Leidy of Hornthal, Riley, Ellis and Maland Staff members: David Whitmer, Interim Executive Director Angela Welsh, RPO Director Laura Alvarico, AAA Director Emily Nicholson, Interim NWDB Director Jeri Hansen, Finance Officer Ashley Stallings, Clerk and Administrative & Benefits Coordinator
Guests and Partners None Agenda (VOTE): Commissioner Linda Hofler motioned to adopt the agenda as presented, seconded by Commissioner Jordan Davis, motion carried unanimously. Public Comment:
66
2
None. Consent Agenda VOTE: Commissioner Clayton Riggs motioned to approve the Consent Agenda as presented, seconded by At-Large Delegate Harriet DeHart, motion carried unanimously. New Business: Chair Johnson requested to combine items A and B for a combination vote. The Board agreed.
a. Approval of David Whitmer as Interim Executive Director VOTE
b. Approval of David Whitmer as EDA Authorized Representative of the Albemarle
Commission VOTE Commissioner Davis motioned to approve A and B, seconded by Commissioner Leigh, motion carried unanimously.
c. Senior Nutrition Bids
Area Agency on Aging (AAA) Director, Laura Alvarico, discussed her March meeting with the Senior Nutrition Bid Committee, At-Large Delegate Howard Swain, Commissioner Hofler, and Commissioner Robert Kirby. The results of their meeting were then discussed with Interim Executive Director David Whitmer, Attorney John Leidy, and the Executive Committee. Director Alvarico recommended a hold on the nutrition bids, and operating on a month-to-month basis with the current caterers due to the Covid-19 pandemic. Commissioner Kirby agreed with the recommendation on the condition there would not be issues with the current pricing structure. Director Alvarico stated she would bring any issues regarding pricing structure to the Board if the need arises. Director Alvarico confirmed she is requesting to delay action on the Senior Nutrition Bids due to the Covid-19 pandemic, and will request new bids once it is determined how the program will operate post Covid-19. No vote is required at this time. Chair Johnson asked Attorney Leidy if this route is sufficient due to the current situation and the unknown. Attorney Leidy responded it is sufficient to extend the current arrangement until there is a clearer picture of where the program needs to go.
Old Business: a. Consideration of Sponsorship of Water Quality Grant VOTE
Interim Executive Director Whitmer presented the sponsorship of the 205(j) Water Quality Planning Grant to the Board for official approval. This grant was brought to the Board in January, and has since been approved by the Executive Committee. The grant application is only open to COG’s; however, the Albemarle Commission’s only role in this grant is to administer the funds as a pass-thru. The Albemarle Commission will be reimbursed for any time spent administering the funds, up to 10% of the total grant. In addition to the Albemarle Commission, the partners in this grant will include the NC Coastal Federation, the town of Nags Head, and Jockey’s Ridge State Park. Interim Executive Director Whitmer explained that the purpose of this planning grant would be to identify stormwater management solutions for the soundside beach access behind Jockey’s Ridge state park. Commissioner Ross discussed the bacterial blooms that occur in this area of the sound, and hopes this grant will help find a resolution to the problem. Commissioner Ross asked the board to support an application for the grant since there is minimal effort from the Albemarle Commission.
67
3
Commissioner Ross motioned to approve the request to apply for the grant funding, seconded by Commissioner Hofler, motion carried unanimously.
FY 2020-2021 Budget Presentation Finance Officer Jeri Hansen presented the proposed FY 2020-2021 Budget. Finance Officer Hansen explained the big changes to the budget are the Safe Routes to School Grant and the addition of a Grant Writer. Finance Officer Hansen mentioned overall the programs are operating at the same capacity as last year. The county dues remain at $0.70 per capita, and the indirect rate remains at 26%, The budget reflects a 3% cost of living adjustment for all employees. The health and dental insurance rates are estimated at a 10% increase. The overall change in the budget from FY 2019-2020 is 2%. Commissioner Lloyd Griffin stated he is not in favor of the addition of a Grant Writer at this time due to the Covid-19 pandemic. He indicated a budget amendment could be done later in the year if we find we need to hire a Grant Writer. Commissioner Hofler asked about the health and dental insurance increases. Finance Officer Hansen mentioned the 10% increase is a projection based on last year’s budget. At this time, Guardian, who provides the Commission with dental, life, short-term disability, and long-term disability insurance does not foresee any rate increases for next year. Chair Johnson stated this is just a discussion. The budget will be discussed again at the next meeting and will not be approved until June. At-Large Delegate Swain asked Finance Officer Hansen if we need the additional position to assist with the Water Quality Grant and if the Commission has a specific person in mind for the position. Finance Officer Hansen believes we can move forward with the water quality grant without having this position filled. As of right now, the Commission does not have anyone in mind for the position, and Finance Officer Hansen feels the Commission will wait until there is an Executive Director in place prior to hiring anyone. Staff Reports Interim Executive Director Whitmer mentioned he has been sending out weekly updates for the programs. He asked if there were any questions for staff. There were none. Report of the Interim Executive Director: Interim Executive Director Whitmer discussed how hard the Albemarle Commission staff has been working during these trying times, and how proud he is of the team work that has been shown throughout the staff. Interim Executive Director Whitmer spoke of the Executive Committee weekly meetings and thanked the Board for the support they have provided. Interim Executive Director Whitmer mentioned the AAA is in need of personal hygiene supplies for their home-bound clients, as well as volunteers, and if anyone would like to donate or volunteer to reach out to AAA Director Alvarico. Commissioner Ross asked if $2,000 worth of personal hygiene items would make a difference? Director Alvarico responded by stating yes, as many clients have expressed the need for hygiene items during the agency’s weekly calls to their clients. Commissioner Ross motioned to use $2,000 of the unallocated fund balance of $1.5M to buy personal care items needed, under the direction of Director Alvarico, and distribute them to the clients, seconded by Commissioner Davis.
68
4
Commissioner Kirby asked if $2,000 was sufficient? Director Alvarico stated $2,000 would be a great amount, as she has asked for donations, and she is in the process of applying for a grant for personal hygiene products. With no further discussion, a roll call vote was made by Ashley Stallings, the motion carried unanimously. Committee Report Commissioner Griffin discussed where the Search Committee is with the applications for the Executive Director position. Attorney Leidy stated he is hopeful to be in a position in the next couple weeks to set interviews, and to move on to the next round of the process. Chair Johnson thanked the Committee members and Attorney Leidy for taking on the challenge. Chair Johnson mentioned herself, Commissioner Griffin, and Commissioner Kirby were tasked to revamp the Executive Director evaluation process. Chair Johnson stated she would like to communicate in the next couple weeks via email about this. Commissioner Griffin feels they will be able to use the job description as a base for the evaluation form once a new Executive Director is hired. Chairperson Comments: Chair Johnson discussed the possibility of using Zoom or Go-To-Meeting for next month’s Board meeting if we are unable to meet face-to-face. Board Member Comments: Commissioner Riggs spoke of how much he appreciates the work of Interim Executive Director Whitmer, and staff, and thanked everyone for all their hard work. Commissioner Davis mentioned he appreciates Interim Executive Director Whitmer and what a great job he is doing given the circumstances. Commissioner Davis also mentioned his county had four confirmed cases of COVID-19 this past week. Chair Johnson thanked Interim Executive Director Whitmer for his excellent work. She thanked the Executive Committee, and all of the Directors. She then thanked all the board members for joining in on the conference call. Attorney Leidy echoed all the comments about the great job the Executive Committee and all the staff are doing under these extremely difficult circumstances. Adjournment Chair Johnson adjourned the meeting at 6:56 p.m. _______________________________ Chairwoman of the Board
Tracey A. Johnson Attested by:
Clerk to the Board Ashley Stallings ________________________________ Date
69
A RESOLUTION APPROVING AN AUDIT SERVICES CONTRACT TO PROVIDE AUDITING SERVICES BETWEEN
THOMPSON, PRICE, SCHOTT, ADAMS & CO., P.A. AND THE ALBEMARLE COMMISSION
ALBEMARLE COMMISSION BOARD OF DELEGATES
May 21, 2020
Tracey A Johnson Board Chair
David Whitmer Interim Executive Director www.albemarlecommission.org 512 South Church Street
Hertford, NC 27944 P: 252.426.5753 F: 252.426.8482
WHEREAS, an annual financial audit of the Albemarle Commission is required; and WHEAREAS, the Audit firm of Thompson, Price, Scott, Adams & Co., P.A. has been selected to continue providing auditing services to the Albemarle Commission; and WHEREAS, Thompson, Price, Scott, Adams, & Co., P.A. has provided a Contract to Audit Accounts at a cost not to exceed $25,000. NOW THEREFORE BE IT RESOLVED that the Albemarle Commission’s Board of Delegates hereby approves entering into a contract to provide auditing services by Thompson, Price, Scott, Adams & Co., P.A. and directs the Chairperson to execute the Contract to Audit Accounts. This Resolution is adopted pursuant to the provisions of North Carolina General Statute 15-34. This Resolution shall become effective upon adoption. Adopted this 21st day of May, 2020. ___________________________________ Tracey A. Johnson, Chairperson ATTEST: _________________________________ Ashley Stallings, Program Administrative
and Benefits Coordinator
CAMDEN
CHOWAN
CURRITUCK
DARE
GATES
HYDE
PASQUOTANK
PERQUIMANS
TYRRELL
WASHINGTON
COLUMBIA
CRESWELL
DUCK
EDENTON
ELIZABETH CITY
GATESVILLE
HERTFORD
KILL DEVIL HILLS
KITTY HAWK
MANTEO
NAGS HEAD
PLYMOUTH
ROPER
SOUTHERN SHORES
WINFALL
70
CONTRACT TO AUDIT ACCOUNTS LGC-205 Rev. 9/2019
The
of
and
and
for
Primary Government Unit, together with DPCU (if applicable), hereinafter referred to as Governmental Unit(s)
Auditor Name
Auditor Address
Hereinafter referred to as Auditor
hereby agree as follows:
Must be within four months of FYE
1. The Auditor shall audit all statements and disclosures required by U.S. generally accepted auditingstandards (GAAS) and additional required legal statements and disclosures of all funds and/or divisions of theGovernmental Unit(s). The non-major combining, and individual fund statements and schedules shall besubjected to the auditing procedures applied in the audit of the basic financial statements and an opinion shallbe rendered in relation to (as applicable) the governmental activities, the business- type activities, theaggregate DPCUs, each major governmental and enterprise fund, and the aggregate remaining fundinformation (non-major government and enterprise funds, the internal service fund type, and the fiduciary fundtypes).
2. At a minimum, the Auditor shall conduct his/her audit and render his/her report in accordance withGAAS. The Auditor shall perform the audit in accordance with Government Auditing Standards if required bythe State Single Audit Implementation Act, as codified in G.S. 159-34. If required by OMB UniformAdministration Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance)and the State Single Audit Implementation Act, the Auditor shall perform a Single Audit. This audit and allassociated audit documentation may be subject to review by Federal and State agencies in accordance withFederal and State laws, including the staffs of the Office of State Auditor (OSA) and the Local GovernmentCommission (LGC). If the audit requires a federal single audit performed under the requirements found inSubpart F of the Uniform Guidance (§200.501), it is recommended that the Auditor and Governmental Unit(s)jointly agree, in advance of the execution of this contract, which party is responsible for submission of the auditand the accompanying data collection form to the Federal Audit Clearinghouse as required under the UniformGuidance (§200.512).
If the audit and Auditor communication are found in this review to be substandard, the results of the review may be forwarded to the North Carolina State Board of CPA Examiners (NC State Board).
Page 1
Governing Board
Primary Government Unit (or charter holder)
Discretely Presented Component Unit (DPCU) (if applicable)
Fiscal Year Ending Audit Report Due Date
BOARD OF DIRECTORS
ALBEMARLE COMMISSION
N/A
THOMPSON, PRICE, SCOTT, ADAMS & CO, P.A.
1626 S MADISON STREET, WHITEVILLE, NC 28472
06/30/20 10/31/20
71
CONTRACT TO AUDIT ACCOUNTS LGC-205 Rev. 9/2019
3. If an entity is determined to be a component of another government as defined by the group audit standards, the entity’s auditor shall make a good faith effort to comply in a timely manner with the requests of the group auditor in accordance with AU-6 §600.41 - §600.42.
4. This contract contemplates an unmodified opinion being rendered. If during the process of conducting the audit, the Auditor determines that it will not be possible to render an unmodified opinion on the financial statements of the unit, the Auditor shall contact the LGC staff to discuss the circumstances leading to that conclusion as soon as is practical and before the final report is issued. The audit shall include such tests of the accounting records and such other auditing procedures as are considered by the Auditor to be necessary in the circumstances. Any limitations or restrictions in scope which would lead to a qualification should be fully explained in an attachment to this contract.
5. If this audit engagement is subject to the standards for audit as defined in Government Auditing Standards, 2018 revision, issued by the Comptroller General of the United States, then by accepting this engagement, the Auditor warrants that he/she has met the requirements for a peer review and continuing education as specified in Government Auditing Standards. The Auditor agrees to provide a copy of the most recent peer review report to the Governmental Unit(s) and the Secretary of the LGC prior to the execution of an audit contract. Subsequent submissions of the report are required only upon report expiration or upon auditor’s receipt of an updated peer review report. If the audit firm received a peer review rating other than pass, the Auditor shall not contract with the Governmental Unit(s) without first contacting the Secretary of the LGC for a peer review analysis that may result in additional contractual requirements.
If the audit engagement is not subject to Government Accounting Standards or if financial statements are not prepared in accordance with U.S. generally accepted accounting principles (GAAP) and fail to include all disclosures required by GAAP, the Auditor shall provide an explanation as to why in an attachment to this contract or in an amendment.
6. It is agreed that time is of the essence in this contract. All audits are to be performed and the report ofaudit submitted to LGC staff within four months of fiscal year end. If it becomes necessary to amend this duedate or the audit fee, an amended contract along with a written explanation of the delay shall be submitted tothe Secretary of the LGC for approval.
7. It is agreed that GAAS include a review of the Governmental Unit’s (Units’) systems of internal controland accounting as same relate to accountability of funds and adherence to budget and law requirementsapplicable thereto; that the Auditor shall make a written report, which may or may not be a part of the writtenreport of audit, to the Governing Board setting forth his/her findings, together with his recommendations forimprovement. That written report shall include all matters defined as “significant deficiencies and materialweaknesses” in AU-C 265 of the AICPA Professional Standards (Clarified). The Auditor shall file a copy of thatreport with the Secretary of the LGC.
8. All local government and public authority contracts for audit or audit-related work require the approvalof the Secretary of the LGC. This includes annual or special audits, agreed upon procedures related to internalcontrols, bookkeeping or other assistance necessary to prepare the Governmental Unit’s (Units’) records foraudit, financial statement preparation, any finance-related investigations, or any other audit- related work in theState of North Carolina. Approval is not required on contracts and invoices for system improvements andsimilar services of a non-auditing nature.
9. Invoices for services rendered under these contracts shall not be paid by the Governmental Unit(s)until the invoice has been approved by the Secretary of the LGC. (This also includes any progress billings.)[G.S. 159-34 and 115C-447] All invoices for Audit work shall be submitted in PDF format to the Secretary ofthe LGC for approval. The invoice marked ‘approved ’with approval date shall be returned to
Page 2 72
CONTRACT TO AUDIT ACCOUNTS LGC-205 Rev. 9/2019
the Auditor to present to the Governmental Unit(s) for payment. This paragraph is not applicable to contracts for audits of hospitals.
10. In consideration of the satisfactory performance of the provisions of this contract, the GovernmentalUnit(s) shall pay to the Auditor, upon approval by the Secretary of the LGC if required, the fee, whichincludes any costs the Auditor may incur from work paper or peer reviews or any other quality assuranceprogram required by third parties (federal and state grantor and oversight agencies or other organizations)as required under the Federal and State Single Audit Acts. This does not include fees for any pre-issuancereviews that may be required by the NC Association of CPAs (NCACPA) Peer Review Committee or NCState Board of CPA Examiners (see Item 13).
11. If the Governmental Unit(s) has/have outstanding revenue bonds, the Auditor shall submit to LGC staff,either in the notes to the audited financial statements or as a separate report, a calculation demonstratingcompliance with the revenue bond rate covenant. Additionally, the Auditor shall submit to LGC staffsimultaneously with the Governmental Unit’s (Units’) audited financial statements any other bond compliancestatements or additional reports required by the authorizing bond documents, unless otherwise specified in thebond documents.
12. After completing the audit, the Auditor shall submit to the Governing Board a written report of audit.This report shall include, but not be limited to, the following information: (a) Management’s Discussion andAnalysis, (b) the financial statements and notes of the Governmental Unit(s) and all of its component unitsprepared in accordance with GAAP, (c) supplementary information requested by the Governmental Unit(s) orrequired for full disclosure under the law, and (d) the Auditor’s opinion on the material presented. The Auditorshall furnish the required number of copies of the report of audit to the Governing Board upon completion.
13. If the audit firm is required by the NC State Board, the NCACPA Peer Review Committee, or theSecretary of the LGC to have a pre-issuance review of its audit work, there shall be a statement in theengagement letter indicating the pre-issuance review requirement. There also shall be a statement that theGovernmental Unit(s) shall not be billed for the pre-issuance review. The pre-issuance review shall beperformed prior to the completed audit being submitted to LGC Staff. The pre-issuance review report shallaccompany the audit report upon submission to LGC Staff.
14. The Auditor shall submit the report of audit in PDF format to LGC Staff. For audits of units other thanhospitals, the audit report should be submitted when (or prior to) submitting the final invoice for servicesrendered. The report of audit, as filed with the Secretary of the LGC, becomes a matter of public record forinspection, review and copy in the offices of the LGC by any interested parties. Any subsequent revisions tothese reports shall be sent to the Secretary of the LGC along with an Audit Report Reissued Form (availableon the Department of State Treasurer website). These audited financial statements, excluding the Auditors’opinion, may be used in the preparation of official statements for debt offerings by municipal bond ratingservices to fulfill secondary market disclosure requirements of the Securities and Exchange Commission andfor other lawful purposes of the Governmental Unit(s) without requiring consent of the Auditor. If the LGC Staffdetermines that corrections need to be made to the Governmental Unit’s (Units’) financial statements, thosecorrections shall be provided within three business days of notification unless another deadline is agreed to byLGC staff.
15. Should circumstances disclosed by the audit call for a more detailed investigation by the Auditor thannecessary under ordinary circumstances, the Auditor shall inform the Governing Board in writing of the needfor such additional investigation and the additional compensation required therefore. Upon approval by the
Page 3
73
CONTRACT TO AUDIT ACCOUNTS LGC-205 Rev. 9/2019
Secretary of the LGC, this contract may be modified or amended to include the increased time, compensation, or both as may be agreed upon by the Governing Board and the Auditor.
16. If an approved contract needs to be modified or amended for any reason, the change shall be made in writing, on the Amended LGC-205 contract form and pre-audited if the change includes a change in audit fee (pre-audit requirement does not apply to charter schools or hospitals). This amended contract shall be completed in full, including a written explanation of the change, signed and dated by all original parties to the contract. It shall then be submitted to the Secretary of the LGC for approval. No change to the audit contract shall be effective unless approved by the Secretary of the LGC, the Governing Board, and the Auditor.
17. A copy of the engagement letter, issued by the Auditor and signed by both the Auditor and the Governmental Unit(s), shall be attached to this contract, and except for fees, work, and terms not related to audit services, shall be incorporated by reference as if fully set forth herein as part of this contract. In case of conflict between the terms of the engagement letter and the terms of this contract, the terms of this contract shall take precedence. Engagement letter terms that conflict with the contract are deemed to be void unless the conflicting terms of this contract are specifically deleted in Item 28 of this contract. Engagement letters containing indemnification clauses shall not be accepted by LGC Staff.
18. Special provisions should be limited. Please list any special provisions in an attachment.
19. A separate contract should not be made for each division to be audited or report to be submitted. If a DPCU is subject to the audit requirements detailed in the Local Government Budget and Fiscal Control Act and a separate audit report is issued, a separate audit contract is required. If a separate report is not to be issued and the DPCU is included in the primary government audit, the DPCU shall be named along with the parent government on this audit contract. DPCU Board approval date, signatures from the DPCU Board chairman and finance officer also shall be included on this contract.
20. The contract shall be executed, pre-audited (pre-audit requirement does not apply to charter schools or hospitals), and physically signed by all parties including Governmental Unit(s) and the Auditor, then submitted in PDF format to the Secretary of the LGC.
21. The contract is not valid until it is approved by the Secretary of the LGC. The staff of the LGC shall notify the Governmental Unit and Auditor of contract approval by email. The audit should not be started before the contract is approved.
22. Retention of Client Records: Auditors are subject to the NC State Board of CPA Examiners’ Retention of Client Records Rule 21 NCAC 08N .0305 as it relates to the provision of audit and other attest services, as well as non-attest services. Clients and former clients should be familiar with the requirements of this rule prior to requesting the return of records.
23. This contract may be terminated at any time by mutual consent and agreement of the Governmental Unit(s) and the Auditor, provided that (a) the consent to terminate is in writing and signed by both parties, (b) the parties have agreed on the fee amount which shall be paid to the Auditor (if applicable), and (c) no termination shall be effective until approved in writing by the Secretary of the LGC.
24. The Governmental Unit’s (Units’) failure or forbearance to enforce, or waiver of, any right or an event of breach or default on one occasion or instance shall not constitute the waiver of such right, breach or default on any subsequent occasion or instance.
25. There are no other agreements between the parties hereto and no other agreements relative hereto that shall be enforceable unless entered into in accordance with the procedure set out herein and approved by the Secretary of the LGC.
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26. E-Verify. Auditor shall comply with the requirements of NCGS Chapter 64 Article 2. Further, if Auditor utilizes any subcontractor(s), Auditor shall require such subcontractor(s) to comply with the requirements of NCGS Chapter 64, Article 2.
27. For all non-attest services, the Auditor shall adhere to the independence rules of the AICPA Professional Code of Conduct and Governmental Auditing Standards, 2018 Revision (as applicable). Financial statement preparation assistance shall be deemed a “significant threat” requiring the Auditor to apply safeguards sufficient to reduce the threat to an acceptable level. If the Auditor cannot reduce the threats to an acceptable level, the Auditor cannot complete the audit. If the Auditor is able to reduce the threats to an acceptable level, the documentation of this determination, including the safeguards applied, must be included in the audit workpapers.
All non-attest service(s) being performed by the Auditor that are necessary to perform the audit must be identified and included in this contract. The Governmental Unit shall designate an individual with the suitable skills, knowledge, and/or experience (SKE) necessary to oversee the services and accept responsibility for the results of the services performed. If the Auditor is able to identify an individual with the appropriate SKE, s/he must document and include in the audit workpapers how he/she reached that conclusion. If the Auditor determines that an individual with the appropriate SKE cannot be identified, the Auditor cannot perform both the non-attest service(s) and the audit. See "Fees for Audit Services" page of this contract to disclose the person identified as having the appropriate SKE for the Governmental Unit.
28. Applicable to charter school contracts only: No indebtedness of any kind incurred or created by the charter school shall constitute an indebtedness of the State or its political subdivisions, and no indebtedness of the charter school shall involve or be secured by the faith, credit, or taxing power of the State or its political subdivisions.
29. All of the above paragraphs are understood and shall apply to this contract, except the following numbered paragraphs shall be deleted (See Item 16 for clarification).
30. The process for submitting contracts, audit reports and invoices is subject to change. Auditors and units should use the submission process and instructions in effect at the time of submission. Refer to the N.C. Department of State Treasurer website at https://www.nctreasurer.com/slg/Pages/Audit-Forms-and- Resources.aspx.
31. All communications regarding audit contract requests for modification or official approvals will be sent to the email addresses provided on the signature pages that follow.
32. Modifications to the language and terms contained in this contract form (LGC-205) are not allowed.
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FEES FOR AUDIT SERVICES
1. For all non-attest services, the Auditor shall adhere to the independence rules of the AICPA ProfessionalCode of Conduct (as applicable) and Governmental Auditing Standards,2018 Revision. Refer to Item 27 ofthis contract for specific requirements. The following information must be provided by the Auditor; contractspresented to the LGC without this information will be not be approved.Financial statements were prepared by: Auditor Governmental Unit Third Party
If applicable: Individual at Governmental Unit designated to have the suitable skills, knowledge, and/or experience (SKE) necessary to oversee the non-attest services and accept responsibility for the results of these services:
Name: Title : Email Address:
2. Fees may not be included in this contract for work performed on Annual Financial Information Reports(AFIRs), Form 990s, or other services not associated with audit fees and costs. Such fees may be includedin the engagement letter but may not be included in this contract or in any invoices requiring approval of theLGC. See Items 8 and 13 for details on other allowable and excluded fees.
3. Prior to submission of the completed audited financial report, applicable compliance reports and amendedcontract (if required) the Auditor may submit invoices for approval for services rendered, not to exceed 75%of the total of the stated fees below. If the current contracted fee is not fixed in total, invoices for servicesrendered may be approved for up to 75% of the prior year billings. Should the 75% cap provided belowconflict with the cap calculated by LGC staff based on the prior year billings on file with the LGC, the LGCcalculation prevails. All invoices for services rendered in an audit engagement as defined in 20 NCAC3 .0503 shall be submitted to the Commission for approval before any payment is made. Payment beforeapproval is a violation of law. (This paragraph not applicable to contracts and invoices associated with auditsof hospitals).
PRIMARY GOVERNMENT FEES
Primary Government Unit
Audit Fee $
Additional Fees Not Included in Audit Fee:
Fee per Major Program $
Writing Financial Statements $ All Other Non-Attest Services $ 75% Cap for Interim Invoice Approval (not applicable to hospital contracts)
$
DPCU FEES (if applicable) Discretely Presented Component Unit
Audit Fee $
Additional Fees Not Included in Audit Fee:
Fee per Major Program $
Writing Financial Statements $
All Other Non-Attest Services $ 75% Cap for Interim Invoice Approval (not applicable to hospital contracts)
$
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✔
JERI HANSEN FINANCE OFFICER [email protected]
ALBEMARLE COMMISSION25,000
1,500
19,875.00
N/A
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LGC-205 CONTRACT TO AUDIT ACCOUNTS Rev. 9/2019
Page 7 of 8
SIGNATURE PAGE
AUDIT FIRM
Audit Firm
Authorized Firm Representative (typed or printed) Signature
Date Email Address
GOVERNMENTAL UNIT
Governmental Unit
Date Primary Government Unit Governing BoardApproved Audit Contract (G.S.159-34(a) or G.S.115C-447(a))
Mayor/Chairperson (typed or printed) Signature
Date Email Address
Chair of Audit Committee (typed or printed, or “NA”) Signature
Date Email Address
GOVERNMENTAL UNIT – PRE-AUDIT CERTIFICATE
Required by G.S. 159-28(a1) or G.S. 115C-441(a1).Not applicable to hospital contracts.
This instrument has been pre-audited in the manner required by The Local Government Budget and Fiscal Control Act or by the School Budget and Fiscal Control Act.
Primary Governmental Unit Finance Officer (typed or printed) Signature
Date of Pre-Audit Certificate Email Address
THOMPSON, PRICE, SCOTT, ADAMS & CO, P.A.
ALAN W. THOMPSON
04/21/20 [email protected]
ALBEMARLE COMMISSION
Jeri Hansen
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LGC-205 CONTRACT TO AUDIT ACCOUNTS Rev. 9/2019
Page 8 of 8
SIGNATURE PAGE – DPCU(complete only if applicable)
DISCRETELY PRESENTED COMPONENT UNIT
DPCU
Date DPCU Governing Board Approved Audit Contract* (Ref: G.S. 159-34(a) or G.S. 115C-447(a))DPCU Chairperson (typed or printed) Signature
Date Email Address
Chair of Audit Committee (typed or printed, or “NA”) Signature
Date Email Address
DPCU – PRE-AUDIT CERTIFICATE
Required by G.S. 159-28(a1) or G.S. 115C-441(a1).Not applicable to hospital contracts.
This instrument has been pre-audited in the manner required by The Local Government Budget and Fiscal Control Act or by the School Budget and Fiscal Control Act.
DPCU Finance Officer (typed or printed) Signature
Date of Pre-Audit Certificate Email Address
and prior to submission
N/A
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Members American Institute of CPAs - N.C. Association of CPAs - AICPA Division of Firms
Thompson, Price, Scott, Adams & Co, P.A. P.O. Box 398
1626 S Madison Street Whiteville, NC 28472
Telephone (910) 642-2109 Fax (910) 642-5958
Alan W. Thompson, CPA R. Bryon Scott, CPA
Gregory S. Adams, CPA June 15, 2020 April 21, 2020 Albemarle Commission 512 S Church Street Hertford, NC 27944 To Management and Those Charged With Governance: We are pleased to confirm our understanding of the services we are to provide the Albemarle Commission for the year ended June 30, 2020. We will audit the financial statements of the governmental activities, each major fund, and the aggregate remaining fund information, including the related notes to the financial statements, which collectively comprise the basic financial statements, of the Albemarle Commission as of and for the year ended June 30, 2020. Accounting standards generally accepted in the United States provide for certain required supplementary information (RSI), such as management’s discussion and analysis (MD&A), to supplement the Albemarle Commission’s basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. As part of our engagement, we will apply certain limited procedures to the Albemarle Commission’s RSI in accordance with auditing standards generally accepted in the United States of America. These limited procedures will consist of inquiries of management regarding the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We will not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance. The following RSI is required by generally accepted accounting principles and will be subjected to certain limited procedures, but will not be audited:
1. Management’s discussion and analysis. 2. Schedule of Changes in the Total OPEB Liability & Related Ratios 3. Schedule of the Proportionate Share of the Net Pension Asset and Schedule of Contributions - LGERS
We have also been engaged to report on supplementary information other than RSI that accompanies the Albemarle Commission’s financial statements. We will subject the following supplementary information to the auditing procedures applied in our audit of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or to the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America and will provide an opinion on it in relation to the financial statements as a whole:
1. Schedule of Expenditures of Federal and State Awards. 2. Combining and individual fund financial statements, budgetary schedules, and other schedules
Our responsibility for other information included in documents containing the entity’s audited financial statements and auditors’ report does not extend beyond the financial information identified in the report. We have no responsibility for determining whether such other information contained in these documents is properly stated.
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Audit Objectives The objective of our audit is the expression of opinions as to whether your financial statements are fairly presented, in all material respects, in conformity with U.S. generally accepted accounting principles and to report on the fairness of the supplementary information referred to in the second paragraph when considered in relation to the financial statements as a whole. The objective also includes reporting on-
Internal control related to the financial statements and compliance with the provisions of laws, regulations, contracts, and agreements, noncompliance with which could have a material effect on the financial statements in accordance with Government Auditing Standards.
Internal control over compliance related to major programs and an opinion (or disclaimer of opinion) on
compliance with federal statues, regulations, and the terms and conditions of federal awards that could have a direct and material effect on each major program in accordance with the Single Audit Act Amendments of 1996 and Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance).
The Government Auditing Standards report on internal control over financial reporting and on compliance and other matters will include a paragraph that states (1) that the purpose of the report is solely to describe the scope of testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance, and (2) that the report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. The Uniform Guidance report on internal control over compliance will include a paragraph that states that the purpose of the report on internal control over compliance is solely to describe the scope of testing of internal control over compliance and the results of that testing based on the requirements of the Uniform Guidance. Both reports will state that the report is not suitable for any other purpose. Our audit will be conducted in accordance with auditing standards generally accepted in the United States of America; the standards for financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; the Single Audit Act Amendments of 1996; and the provisions of the Uniform Guidance, and will include tests of accounting records, a determination of major program(s) in accordance with the Uniform Guidance, and other procedures we consider necessary to enable us to express such opinions. We will issue written reports upon completion of our Single Audit. Our reports will be addressed to the Board and management of Albemarle Commission. We cannot provide assurance that unmodified opinions will be expressed. Circumstances may arise in which it is necessary for us to modify our opinions or add emphasis-of-matter or other-matter paragraphs. If our opinions on the financial statements or the Single Audit compliance opinions are other than unmodified, we will discuss the reasons with you in advance. If circumstances occur related to the condition of your records, the availability of sufficient appropriate audit evidence, or the existence of a significant risk of material misstatement of the financial statements caused by error, fraudulent financial reporting, or misappropriation of assets, which in our professional judgment prevent us from completing the audit or forming an opinion on the financial statements, we retain the right to take any course of action permitted by professional standards, including declining to express an opinion or issue a report, or withdrawing from the engagement. Audit Procedures-General An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements; therefore, our audit will involve judgment about the number of transactions to be examined and the areas to be tested. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the financial statements. We will plan and perform the audit to obtain reasonable rather than absolute assurance about whether the financial statements are free of material misstatement, whether from (1) errors, (2) fraudulent financial reporting, (3) misappropriation of assets, or (4) violations of laws or governmental regulations that are attributable to the entity or to acts by management or employees acting on behalf of the entity. Because the determination of waste and abuse is subjective, Government Auditing Standards do not expect auditors to perform specific procedures to detect waste or abuse in financial audits nor do they expect auditors to provide reasonable assurance of detecting waste or abuse. Because of the inherent limitations of an audit, combined with the inherent limitations of internal control, and because we will not perform a detailed examination of all transactions, an unavoidable risk exists that some material misstatements or noncompliance may exist and not be detected by us, even though the audit is properly planned and performed in accordance with U.S. generally accepted auditing standards and Government Auditing Standards. In
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addition, an audit is not designed to detect immaterial misstatements or violations of laws or governmental regulations that do not have a direct and material effect on the financial statements or major programs. However, we will inform the appropriate level of management of any material errors, any fraudulent financial reporting, or misappropriation of assets that come to our attention. We will also inform the appropriate level of management of any violations of laws or governmental regulations that come to our attention, unless clearly inconsequential, and of any material abuse that comes to our attention. We will include such matters in the reports required for a Single Audit. Our responsibility as auditors is limited to the period covered by our audit and does not extend to any later periods for which we are not engaged as auditors. Our procedures will include tests of documentary evidence supporting the transactions recorded in the accounts, and may include tests of the physical existence of inventories (if material), and direct confirmation of receivables and certain other assets and liabilities by correspondence with selected individuals, funding sources, creditors, and financial institutions. We will request written representations from your attorneys as part of the engagement, and they may bill you for responding to this inquiry. At the conclusion of our audit, we will also require certain written representations from you about your responsibilities for the financial statements; schedule of expenditures of federal awards; federal award programs; compliance with laws, regulations, contracts, and grant agreements; and other responsibilities required by generally accepted auditing standards. Audit Procedures-Internal Controls Our audit will include obtaining an understanding of the entity and its environment, including internal control, sufficient to assess the risks of material misstatement of the financial statements and to design the nature, timing, and extent of further audit procedures. Test of controls may be performed to test the effectiveness of certain controls that we consider relevant to preventing and detecting errors and fraud that are material to the financial statements and to preventing and detecting misstatements resulting from illegal acts and other noncompliance matters that have a direct and material effect on the financial statements. Our tests, if performed, will be less in scope than would be necessary to render an opinion on internal control and, accordingly, no opinion will be expressed in our report on internal control issued pursuant to Government Auditing Standards. As required by the Uniform Guidance, we will perform tests of controls over compliance to evaluate the effectiveness of the design and operation of controls that we consider relevant to preventing or detecting material noncompliance with compliance requirements applicable to each major federal award program. However, our tests will be less in scope than would be necessary to render an opinion on those controls and, accordingly, no opinion will be expressed in our report on internal control issued pursuant to the Uniform Guidance. An audit is not designed to provide assurance on internal control or to identify significant deficiencies or material weaknesses. However, during the audit, we will communicate to management and those charged with governance internal control related matters that are required to be communicated under AICPA professional standards, Government Auditing Standards, and the Uniform Guidance. Audit Procedures-Compliance As part of obtaining reasonable assurance about whether the financial statements are free of material misstatement, we will perform tests of the Albemarle Commission’s compliance with provisions of applicable laws, regulations, contracts, and agreements, including grant agreements. However, the objective of those procedures will not be to provide an opinion on overall compliance and we will not express such an opinion in our report on compliance issued pursuant to Government Auditing Standards. The Uniform Guidance requires that we also plan and perform the audit to obtain reasonable assurance about whether the auditee has complied with federal statutes, regulations, and the terms and conditions of federal awards applicable to major programs. Our procedures will consist of tests of transactions and other applicable procedures described in the OMB Compliance Supplement for the types of compliance requirements that could have a direct and material effect on each of Albemarle Commission’s major programs. For federal programs that are included in the 2019 Compliance Supplement, our compliance and internal control procedures will relate to the compliance requirements that the 2019 Compliance Supplement identifies as being subject to audit.The purpose of these procedures will be to express an opinion on Albemarle Commission’s compliance with requirements applicable to each of its major programs in our report on compliance issued pursuant to the Uniform Guidance. Other Services We will also assist in preparing the financial statements, schedule of expenditures of federal and State awards, and related notes of Albemarle Commission in conformity with U.S. generally accepted accounting principles and the
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Uniform Guidance based on information provided by you. These nonaudit services do not constitute an audit under Government Auditing Standards and such services will not be conducted in accordance with Government Auditing Standards. We will perform the services in accordance with applicable professional standards. The other services are limited to the financial statements, schedule of expenditures of federal and State awards, and related notes services previously defined. We, in our sole professional judgment, reserve the right to refuse to perform any procedure or take any action that could be construed as assuming management responsibilities. Management Responsibilities Management is responsible for (1) designing, implementing, and maintaining effective internal controls, including internal controls over federal and State awards, and for evaluating and monitoring ongoing activities, to help ensure that appropriate goals and objectives are met; (2) following laws and regulations; (3) ensuring that there is reasonable assurance that government programs are administered in compliance with compliance requirements; and (4) ensuring that management and financial information is reliable and properly reported. Management is also responsible for implementing systems designed to achieve compliance with applicable laws, regulations, contracts, and grant agreements. You are also responsible for the selection and application of accounting principles; for the preparation and fair presentation of the financial statements, schedule of expenditures of federal and State awards, and all accompanying information in conformity with U.S. generally accepted accounting principles; and for compliance with applicable laws and regulations and the provisions of contracts and grant agreements (including award agreements). Your responsibilities also include identifying significant contractor relationships in which the contractor has responsibility for program compliance and for the accuracy and completeness of that information. Management is also responsible for making all financial records and related information available to us and for the accuracy and completeness of that information. You are also responsible for providing us with (1) access to all information of which you are aware that is relevant to the preparation and fair presentation of the financial statements, (2) access to personnel, accounts, books, records, supporting documentation, and other information as needed to perform an audit under the Uniform Guidance, (3) additional information that we may request for the purpose of the audit, and (4) unrestricted access to persons within the government from whom we determine it necessary to obtain audit evidence. Your responsibilities include adjusting the financial statements to correct material misstatements and confirming to us in the management representation letter that the effects of any uncorrected misstatements aggregated by us during the current engagement and pertaining to the latest period presented are immaterial, both individually and in the aggregate, to the financial statements taken as a whole. You are responsible for the design and implementation of programs and controls to prevent and detect fraud, and for informing us about all known or suspected fraud or illegal acts affecting the government involving (1) management, (2) employees who have significant roles in internal control, and (3) others where the fraud or illegal acts could have a material effect on the financial statements. You responsibilities include informing us of your knowledge of any allegations of fraud or suspected fraud affecting the government received in communications from employees, former employees, grantors, regulators, or others. In addition, you are responsible for identifying and ensuring that the entity complies with applicable laws, regulations, contracts, agreements, and grants. Management is also responsible for taking timely and appropriate steps to remedy fraud and noncompliance with provisions of laws, regulations, contracts, and grant agreements that we report. Additionally, as required by the Uniform Guidance, it is management’s responsibility to evaluate and monitor noncompliance with federal statutes, regulations, and the terms and conditions of federal awards; take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings; promptly follow up and take corrective action on reported audit findings; and prepare a summary schedule of prior audit findings and a separate corrective action plan. The summary schedule of prior audit findings should be available for our review by May 1, 2020. You are responsible for identifying all federal and State awards received and understanding and complying with the compliance requirements and for the preparation of the schedule of expenditures of federal and State awards (including notes and noncash assistance received) in conformity with the Uniform Guidance. You agree to include our report on the schedule of expenditures of federal and State awards in any document that contains and indicates that we have reported on the schedule of expenditures of federal and State awards. You also agree to make the audited financial statements readily available to intended users of schedules of expenditures of federal and State awards no later than the date the schedule of expenditures of federal awards is issued with our report thereon. Your responsibilities include acknowledging to us in the written representation letter that (1) you are responsible for presentation of the schedule of expenditures of federal and State awards in accordance with the Uniform Guidance; (2) you believe the schedule of expenditures of federal and State awards, including its form and content, is stated fairly in accordance with the Uniform Guidance; (3) the methods of measurement or presentation have not changed from those used in the prior period (or, if they have changed, the reasons for such changes); and (4) you have
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disclosed to us any significant assumptions or interpretations underlying the measurement or presentation of the schedule of expenditures of federal and State awards. You are also responsible for the preparation of the other supplementary information, which we have been engaged to report on, in conformity with U.S. generally accepted accounting principles. You agree to include our report on the supplementary information in any document that contains and indicates that we have reported on the supplementary information. You also agree to make the audited financial statements readily available to users of the supplementary information no later than the date the supplementary information is issued with our report thereon. Your responsibilities include acknowledging to us in the written representation letter that (1) you are responsible for presentation of the supplementary information in accordance with GAAP; (2) you believe the supplementary information, including its form and content, is fairly presented in accordance with GAAP; (3) the methods of measurement or presentation have not changed from those used in the prior period (or, if they have changed, the reasons for such changes); and (4) you have disclosed to us any significant assumptions or interpretations underlying the measurement or presentation of the supplementary information. Management is responsible for establishing and maintaining a process for tracking the status of audit findings and recommendations. Management is also responsible for identifying and providing report copies of previous financial audits, attestation engagements, performance audits, or other studies related to the objectives discussed in the Audit Objectives section of this letter. This responsibility includes relaying to us corrective actions taken to address significant findings and recommendations resulting from those audits, attestation engagements, performance audits, or studies. You are also responsible for providing management’s views on our current findings, conclusions, and recommendations, as well as your planned corrective actions, for the report, and for the timing and format for providing that information. With regard to using the auditors’ report, you understand that you must obtain our prior written consent to reproduce or use our report in bond offering official statements or other documents. With regard to electronic dissemination of audited financial statements, including financial statements published electronically on your website, you understand that electronic sites are a means to distribute information and, therefore, we are not required to read the information contained in these sites or to consider the consistency of other information in the electronic site with the original document. You agree to assume all management responsibilities relating to the financial statements, schedules of expenditures of federal and State awards, related notes, and any other nonaudit services we provide. You will be required to acknowledge in the management representation letter our assistance with preparation of the financial statements, schedule of expenditures of federal and State awards, and related notes prior to their issuance and have accepted responsibility for them. Further, you agree to oversee the nonaudit services by designating an individual (Jeri Hansen), preferably from senior management, who possesses suitable skill, knowledge, or experience; evaluate the adequacy and results of those services; and accept responsibility for them. Engagement Administration, Fees, and Other We may from time to time, and depending on the circumstances, use third-party service providers in serving your account. We may share confidential information about you with these service providers, but remain committed to maintaining the confidentiality and security of your information. Accordingly, we maintain internal policies, procedures, and safeguards to protect the confidentiality of your personal information. In addition, we will secure confidentiality agreements with all service providers to maintain the confidentiality of your information and we will take reasonable precautions to determine that they have appropriate procedures in place to prevent the unauthorized release of your confidential information to others. In the event that we are unable to secure an appropriate confidentiality agreement, you will be asked to provide your consent prior to the sharing of your confidential information with the third-party service provider. Furthermore, we will remain responsible for the work provided by any such third-party service providers. We understand that your employees will prepare all cash, accounts receivable, or other confirmations we request and will locate any documents selected by us for testing. We will schedule the engagement based in part on deadlines, working conditions, and the availability of your key personnel. We will plan the engagement based on the assumption that your personnel will cooperate and provide assistance by performing tasks such as preparing requested schedules, retrieving supporting documents, and preparing confirmations. If for whatever reason your personnel are unavailable to provide the necessary assistance in a timely manner, it may substantially increase the work we have to do to complete the engagement within the established deadlines, resulting in an increase in fees over our original fee estimate. We will not undertake any accounting services (including but not limited to reconciliation of accounts and preparation of requested schedules) without obtaining approval through a written change order or additional engagement letter for such additional work.
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At the conclusion of the engagement, we will complete the appropriate sections of the Data Collection Form that summarizes our audit findings. It is management’s responsibility to submit the reporting package (including financial statements, schedule of expenditures of federal awards, summary schedule of prior audit findings, auditors’ reports, and corrective action plan) along with the Data Collection Form to the federal audit clearinghouse. We will coordinate with you the electronic submission and certification. If applicable, we will provide copies of our report for you to include with the reporting package you will submit to pass-through entities. The Data Collection Form and the reporting package must be submitted within the earlier of 30 days after receipt of the auditors’ report or nine months after the end of the audit period, unless a longer period is agreed to in advance by the cognizant or oversight agency for audits. We will provide copies of our reports to the Commission; however, management is responsible for distribution of the reports and the financial statements. Unless restricted by law or regulation, or containing privileged and confidential information, copies of our reports are to be made available for public inspection. The audit documentation for this engagement is the property of Thompson, Price, Scott, Adams & Co., P.A. and constitutes confidential information. However, subject to applicable laws and regulations, audit documentation and appropriate individuals will be made available upon request in a timely manner to Oversight Agencies (or its designee), a federal agency provided direct or indirect funding, or the U.S. Government Accounting Office for purposes of a quality review of the audit, to resolve audit findings, or to carry out oversight responsibilities. We will notify you of any such request. If requested, access to such audit documentation will be provided under the supervision of Thompson, Price, Scott, Adams & Co., P.A. personnel. Furthermore, upon request, we may provide copies of selected audit documentation to the aforementioned parties. These parities may intend, or decide, to distribute the copies or information contained therein to others, including other governmental agencies. The audit documentation for this engagement will be retained for a minimum of five years after the report release date or for any additional period requested by the federal cognizant agency. If we are aware that a federal awarding agency, pass-through entity, or auditee is contesting an audit finding, we will contact the party contesting the audit finding for guidance prior to destroying the audit documentation. We expect to begin our audit by approximately May 1, 2020 and to issue our reports no later than October 31, 2020. Alan Thompson is the engagement partner and is responsible for supervising the engagement and signing the reports or authorizing another individual to sign them. Our fee for these services will be at our standard hourly rates plus out-of-pocket costs (such as report reproduction, word processing, postage, travel, copies, telephone, etc.) except that we agree that our gross fee, including expenses, will not exceed $26,500. Also, any excessive additional fees incurred in obtaining required audit evidence (i.e. bank confirmations) will be billed directly to the Commission. However, if we are not able to complete the audit as agreed upon in the Request For Proposal and it is determined to be the fault of the auditor (i.e. not because of delays in obtaining confirmations from the State, etc), there will be a $1,000 penalty for every 30 days the audit is late. Our standard hourly rates vary according to the degree of responsibility involved and the experience level of the personnel assigned to your audit. Our invoices for these fees will be rendered each month as work progresses and are payable on presentation. In accordance with our firm policies, work may be suspended if your account becomes 60 days or more overdue and may not be resumed until your account is paid in full. If we elect to terminate our services for nonpayment, our engagement will be deemed to have been completed upon written notification of termination, even if we have not completed our report(s). You will be obligated to compensate us for all time expended and to reimburse us for all out-of-pocket costs through the date of termination. The above fee is based on anticipated cooperation from your personnel and the assumption that unexpected circumstances will not be encountered during the audit. If significant additional time is necessary, we will discuss it with you and arrive at a new fee estimate before we incur the additional costs. We appreciate the opportunity to be of service to the Albemarle Commission and believe this letter accurately summarizes the significant terms of our engagement. If you have any questions, please let us know. If you agree with the terms of our engagement as described in this letter, please sign the enclosed copy and return it to us. Very truly yours,
Alan W. Thompson, CPA Thompson, Price, Scott, Adams & Co., P.A.
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RESPONSE: This letter correctly sets forth the understanding of the Albemarle Commission. Management signature: ________________________________________________ Title: _______________________________________________ Date: _______________________________________________ Governance signature: ________________________________________________ Title: _______________________________________________ Date: _______________________________________________ CC: Executive Board Members
85
Tracey A Johnson
Board Chair David Whitmer
Interim Executive Director www.albemarlecommission.org 512 South Church Street Hertford, NC 27944
P: 252.426.5753 F: 252.426.8482
RESOLUTION BY THE BOARD OF DELEGATES OF THE
ALBEMARLE COMMISSION
WHEREAS, the Albemarle Commission has received a $190,000 allocation of 2020 ESFRLP fund s from the North Carolina Housing Finance Agency to serve the Chowan County, Perquimans County, and Washington County Service Areas and; WHEREAS, the Albemarle Commission must authorize individuals to sign the “Requisition Approval and Project Access Authorization” forms; THEREFORE, BE IT RESOLVED, by the Board of Delegates of the Albemarle Commission, the Board hereby authorizes the following individuals, or subsequent individuals, or subsequent individuals who serve in the same positions, to sign the “Requisition Approval and Project Access Authorization” forms: Albemarle Commission David Whitmer Interim Executive Director (Vacant) Executive Director Jeri Hansen Finance Office Ashley Stallings Administrative & Benefits Coordinator McDavid Associates, Inc. Mike Barnette Program Manager Jordan Kearney Housing Specialist Lori Oxendine Administrative Assistant Adopted this 21st day May, 2020 ______________________________ Tracey A. Johnson, Chairperson
ATTEST: _________________________________ Ashley Stallings, Clerk to the Board
CAMDEN
CHOWAN
CURRITUCK
DARE
GATES
HYDE
PASQUOTANK
PERQUIMANS
TYRRELL
WASHINGTON
COLUMBIA
CRESWELL
DUCK
EDENTON
ELIZABETH CITY
GATESVILLE
HERTFORD
KILL DEVIL HILLS
KITTY HAWK
MANTEO
NAGS HEAD
PLYMOUTH
ROPER
SOUTHERN SHORES
WINFALL
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Albemarle Commission Procurement and Disbursement Policy
Chowan County Service Area For the 2020 Cycle of the
ESSENTIAL SINGLE-FAMILY REHABILITATION LOAN POOL
PROCUREMENT POLICY
1. To the maximum extent practical, Albemarle Commission promotes a fair, open and competitive procurement process as required under the North Carolina Housing Finance Agency’s (NCHFA) Essential Single-Family Rehabilitation Loan Pool (ESFRLP). Bids are invited from Contractors who are part of the Commission’s approved contractor registry. Any current contractor listed with and approved by the Commission and in good standing (i.e. no unresolved past performance issues and not listed on the federal or state debarred list) will receive automatic approval status on the Approved Contractor Registry.
2. To be listed in the Approved Contractor Registry, a contractor must complete an application, have their recent work inspected, reviewed and approved by the Commission’s Rehabilitation Specialist and submit proof of insurance.
3. At least three eligible contractors on the Commission’s Approved Contractor Registry
shall be invited to bid on each job and the lowest responsive and responsible bidder shall be selected for the contract. “Responsive and responsible” means (a) the contractor is deemed able to complete the work in a timely fashion, (b) the contractor has not been suspended or debarred and (c) there is no conflict of interest (real or apparent). All contractors working on pre-1978 units must be Renovation, Repair and Painting Rule (RR&P) Certified Renovators working for Certified Renovation firms; only those contractors with this certificate on file will be invited to bid on pre-1978 homes.
4. Although bid packages may be bundled for multiple job sites, the bids for multiple job
sites shall be considered separate and apart when awarded and shall be awarded to the lowest responsive and responsible bidder(s) for each job site.
5. Bid packages shall consist of an invitation to bid, work write up(s) and bid sheet(s) for
each job, including instructions for distribution and receipt of bids. Contractors will be given no less than seven days in which to inspect the property and prepare bid proposals. Each contractor will need access to all parts of the house in order to prepare a bid. A bid opening will be conducted at the Albemarle Commission Office at 512 South Church Street in Hertford, NC at a specified date and time, with all bidders invited to attend.
6. Bids must include a cost-per-item breakdown with line item totals equaling the
submitted bid price. Discrepancies must be reconciled prior to a contract being awarded.
7. The Commission reserves the right to reject any or all bids at any time during the procurement process.
8. In the event of a true emergency situation, the Commission reserves the right to waive
normal procurement procedures in favor of more expedient methods, which may include seeking telephone quotes, electronic bids and the like. Should such methods ever become necessary, the transaction will be well documented. In the event phone bids are
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used, Albemarle Commission will call the first three responsive contractors on the approved contractor list who have indicated a desire to be on the telephone call list. The Commission will track who has been called and responsive, and will rotate through the full list before beginning the rotation again.
9. All sealed bids will be opened publicly at a time and place to be announced in the bid invitation. All bidders are welcome to attend. Within 7 days of the bid opening, after review of bid breakdowns and construction schedules, the winning bidders will be selected. All bidders and the homeowner will be notified in writing of 1) the selection of the winning bid, 2) the amount of the winning bid, 3) the specific reasons for the selection, if other than the lowest bidder was selected.
10. The contractor is responsible for obtaining a building permit for the project before
beginning work. The permit must be posted at the house during the entire period of construction. If applicable, the contractor will obtain a permit for lead hazard related activities. Albemarle Commission ESFRLP staff will closely monitor the contractor during the construction period to make sure that the work is being completed according to the work write-up (which is made a part of the rehabilitation contract by reference) and in a timely fashion. Local Code Enforcement Officials will inspect the work for compliance with the NC State Building Code and the local minimum housing code, when applicable. To protect personal property the homeowner will be responsible for working with the contractor toward clearing work areas of personal property as needed as much as practicable. The contractor will be responsible for all clearing and cleaning activities necessary due to construction activities.
11. Any change to the original scope of work must be reduced to writing in the form of a change order to be agreed upon and signed by all parties to the original contract including at minimum, the homeowner, the contractor and two representatives of the Commission. The change order must also detail any changes to the original contract price and completion date.
12. No work may begin prior to a contract being awarded and executed and a written order
to proceed provided to the contractor. In addition, a pre-construction conference and “walk thru” shall be held at the work site prior to commencement of repair work. At this time, the homeowner, contractor and ESFRLP Albemarle Commission program representatives will discuss the details of the work to be completed. Starting and ending dates will be finalized, along with any special arrangements such as weekend or evening work hours and disposition of items to be removed from the home. Within 24 hours of the pre-construction conference, Albemarle Commission will issue a "proceed order" formally instructing the contractor to commence work by the agreed-upon date.
13. Albemarle Commission is an equal opportunity employer, implements non-discriminatory
practices in its procurement/disbursement and will make special outreach efforts to include M/WBE (Minority/Women Business Enterprise) businesses within its contractor and subcontractor pool. Contractors will be chosen by the above criteria without regard to race, color, religion, national origin, sex, familial status and/or disability.
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DISBURSEMENT POLICY 1. All repair work must be inspected by (a) the Commission’s Rehabilitation Specialist,
(b) the local building or minimum housing code inspector when applicable and (c) the homeowner prior to any payments to contractors. If all work is deemed satisfactory and all other factors and written agreements are in order, payment shall be issued upon presentation of an original invoice from the contractor. Contractor should allow 21 business days for processing of the invoice for payment.
2. The contractor is entitled to request three partial payments and a final payment. The partial payments may be requested when the work is 25%, 50% and 75% complete. When a payment is requested, the Rehabilitation Specialist will inspect the work within three days, determine percentage of job completion and calculate a payment based on 90% of the total work completed.
3. Following construction, the contractor and the Rehabilitation Specialist will meet with the Homeowner in a post-construction conference. At this conference the contractor will hand over all owner's manuals and warranties on equipment and materials to the homeowner and be available to answer homeowner questions.
4. Project Closeout: When the contractor declares the work complete, the Rehabilitation
Specialist will thoroughly inspect the work. If any of the work is deemed unsatisfactory, it must be corrected prior to authorization of final payment. If the contractor fails to correct the work to the satisfaction of the Commission’s Rehabilitation Specialist, payment may be withheld until the work is deemed satisfactory. (Contractors may follow the Commission’s Essential Single-Family Rehabilitation Loan Pool Assistance Policy if a dispute occurs; however, contractors shall abide by the final decision as stated in the policy). The Homeowner, Project Administrator and Rehabilitation Specialist will sign off on the work. After receipt of the contractor's final invoice, inspections, certificate of completion and lien releases, the final payment will be ordered. All material and workmanship will be guaranteed by the contractor for a period of one-year from the date of completion of the work as approved after inspection by the Rehabilitation Specialist.
5. The Commission assures, through this policy, that adequate funds shall be available to
pay the contractor for satisfactory work.
6. All contractors, sub-contractors and suppliers must sign a lien waiver prior to disbursement of funds.
The Executive Director is authorized to amend this Policy as needed. This Procurement and Disbursement Policy is adopted this day of May, 2020. __________________________________ Tracey Johnson, Chair Attest:
___________________________ Clerk to the Board
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CONTRACTORS STATEMENT:
I have read and understand the attached Albemarle Commission Procurement and Disbursement Policy.
BY: ________________________________________________________
COMPANY NAME: ______________________________________________
WITNESS: ______________________________________________
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Albemarle Commission Procurement and Disbursement Policy
Perquimans County Service Area For the 2020 Cycle of the
ESSENTIAL SINGLE-FAMILY REHABILITATION LOAN POOL
PROCUREMENT POLICY
1. To the maximum extent practical, Albemarle Commission promotes a fair, open and competitive procurement process as required under the North Carolina Housing Finance Agency’s (NCHFA) Essential Single-Family Rehabilitation Loan Pool (ESFRLP). Bids are invited from Contractors who are part of the Commission’s approved contractor registry. Any current contractor listed with and approved by the Commission and in good standing (i.e. no unresolved past performance issues and not listed on the federal or state debarred list) will receive automatic approval status on the Approved Contractor Registry.
2. To be listed in the Approved Contractor Registry, a contractor must complete an application, have their recent work inspected, reviewed and approved by the Commission’s Rehabilitation Specialist and submit proof of insurance.
3. At least three eligible contractors on the Commission’s Approved Contractor Registry
shall be invited to bid on each job and the lowest responsive and responsible bidder shall be selected for the contract. “Responsive and responsible” means (a) the contractor is deemed able to complete the work in a timely fashion, (b) the contractor has not been suspended or debarred and (c) there is no conflict of interest (real or apparent). All contractors working on pre-1978 units must be Renovation, Repair and Painting Rule (RR&P) Certified Renovators working for Certified Renovation firms; only those contractors with this certificate on file will be invited to bid on pre-1978 homes.
4. Although bid packages may be bundled for multiple job sites, the bids for multiple job
sites shall be considered separate and apart when awarded and shall be awarded to the lowest responsive and responsible bidder(s) for each job site.
5. Bid packages shall consist of an invitation to bid, work write up(s) and bid sheet(s) for
each job, including instructions for distribution and receipt of bids. Contractors will be given no less than seven days in which to inspect the property and prepare bid proposals. Each contractor will need access to all parts of the house in order to prepare a bid. A bid opening will be conducted at the Albemarle Commission Office at 512 South Church Street in Hertford, NC at a specified date and time, with all bidders invited to attend.
6. Bids must include a cost-per-item breakdown with line item totals equaling the
submitted bid price. Discrepancies must be reconciled prior to a contract being awarded.
7. The Commission reserves the right to reject any or all bids at any time during the procurement process.
8. In the event of a true emergency situation, the Commission reserves the right to waive
normal procurement procedures in favor of more expedient methods, which may include seeking telephone quotes, electronic bids and the like. Should such methods ever become necessary, the transaction will be well documented. In the event phone bids are
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used, Albemarle Commission will call the first three responsive contractors on the approved contractor list who have indicated a desire to be on the telephone call list. The Commission will track who has been called and responsive, and will rotate through the full list before beginning the rotation again.
9. All sealed bids will be opened publicly at a time and place to be announced in the bid invitation. All bidders are welcome to attend. Within 7 days of the bid opening, after review of bid breakdowns and construction schedules, the winning bidders will be selected. All bidders and the homeowner will be notified in writing of 1) the selection of the winning bid, 2) the amount of the winning bid, 3) the specific reasons for the selection, if other than the lowest bidder was selected.
10. The contractor is responsible for obtaining a building permit for the project before
beginning work. The permit must be posted at the house during the entire period of construction. If applicable, the contractor will obtain a permit for lead hazard related activities. Albemarle Commission ESFRLP staff will closely monitor the contractor during the construction period to make sure that the work is being completed according to the work write-up (which is made a part of the rehabilitation contract by reference) and in a timely fashion. Local Code Enforcement Officials will inspect the work for compliance with the NC State Building Code and the local minimum housing code, when applicable. To protect personal property the homeowner will be responsible for working with the contractor toward clearing work areas of personal property as needed as much as practicable. The contractor will be responsible for all clearing and cleaning activities necessary due to construction activities.
11. Any change to the original scope of work must be reduced to writing in the form of a change order to be agreed upon and signed by all parties to the original contract including at minimum, the homeowner, the contractor and two representatives of the Commission. The change order must also detail any changes to the original contract price and completion date.
12. No work may begin prior to a contract being awarded and executed and a written order
to proceed provided to the contractor. In addition, a pre-construction conference and “walk thru” shall be held at the work site prior to commencement of repair work. At this time, the homeowner, contractor and ESFRLP Albemarle Commission program representatives will discuss the details of the work to be completed. Starting and ending dates will be finalized, along with any special arrangements such as weekend or evening work hours and disposition of items to be removed from the home. Within 24 hours of the pre-construction conference, Albemarle Commission will issue a "proceed order" formally instructing the contractor to commence work by the agreed-upon date.
13. Albemarle Commission is an equal opportunity employer, implements non-discriminatory
practices in its procurement/disbursement and will make special outreach efforts to include M/WBE (Minority/Women Business Enterprise) businesses within its contractor and subcontractor pool. Contractors will be chosen by the above criteria without regard to race, color, religion, national origin, sex, familial status and/or disability.
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DISBURSEMENT POLICY 1. All repair work must be inspected by (a) the Commission’s Rehabilitation Specialist,
(b) the local building or minimum housing code inspector when applicable and (c) the homeowner prior to any payments to contractors. If all work is deemed satisfactory and all other factors and written agreements are in order, payment shall be issued upon presentation of an original invoice from the contractor. Contractor should allow 21 business days for processing of the invoice for payment.
2. The contractor is entitled to request three partial payments and a final payment. The partial payments may be requested when the work is 25%, 50% and 75% complete. When a payment is requested, the Rehabilitation Specialist will inspect the work within three days, determine percentage of job completion and calculate a payment based on 90% of the total work completed.
3. Following construction, the contractor and the Rehabilitation Specialist will meet with the Homeowner in a post-construction conference. At this conference the contractor will hand over all owner's manuals and warranties on equipment and materials to the homeowner and be available to answer homeowner questions.
4. Project Closeout: When the contractor declares the work complete, the Rehabilitation
Specialist will thoroughly inspect the work. If any of the work is deemed unsatisfactory, it must be corrected prior to authorization of final payment. If the contractor fails to correct the work to the satisfaction of the Commission’s Rehabilitation Specialist, payment may be withheld until the work is deemed satisfactory. (Contractors may follow the Commission’s Essential Single-Family Rehabilitation Loan Pool Assistance Policy if a dispute occurs; however, contractors shall abide by the final decision as stated in the policy). The Homeowner, Project Administrator and Rehabilitation Specialist will sign off on the work. After receipt of the contractor's final invoice, inspections, certificate of completion and lien releases, the final payment will be ordered. All material and workmanship will be guaranteed by the contractor for a period of one-year from the date of completion of the work as approved after inspection by the Rehabilitation Specialist.
5. The Commission assures, through this policy, that adequate funds shall be available to
pay the contractor for satisfactory work.
6. All contractors, sub-contractors and suppliers must sign a lien waiver prior to disbursement of funds.
The Executive Director is authorized to amend this Policy as needed. This Procurement and Disbursement Policy is adopted this day of May, 2020. __________________________________ Tracey Johnson, Chair Attest:
___________________________ Clerk to the Board
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CONTRACTORS STATEMENT:
I have read and understand the attached Albemarle Commission Procurement and Disbursement Policy.
BY: ________________________________________________________
COMPANY NAME: ______________________________________________
WITNESS: ______________________________________________
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Albemarle Commission Procurement and Disbursement Policy
Washington County Service Area For the 2020 Cycle of the
ESSENTIAL SINGLE-FAMILY REHABILITATION LOAN POOL
PROCUREMENT POLICY
1. To the maximum extent practical, Albemarle Commission promotes a fair, open and competitive procurement process as required under the North Carolina Housing Finance Agency’s (NCHFA) Essential Single-Family Rehabilitation Loan Pool (ESFRLP). Bids are invited from Contractors who are part of the Commission’s approved contractor registry. Any current contractor listed with and approved by the Commission and in good standing (i.e. no unresolved past performance issues and not listed on the federal or state debarred list) will receive automatic approval status on the Approved Contractor Registry.
2. To be listed in the Approved Contractor Registry, a contractor must complete an application, have their recent work inspected, reviewed and approved by the Commission’s Rehabilitation Specialist and submit proof of insurance.
3. At least three eligible contractors on the Commission’s Approved Contractor Registry
shall be invited to bid on each job and the lowest responsive and responsible bidder shall be selected for the contract. “Responsive and responsible” means (a) the contractor is deemed able to complete the work in a timely fashion, (b) the contractor has not been suspended or debarred and (c) there is no conflict of interest (real or apparent). All contractors working on pre-1978 units must be Renovation, Repair and Painting Rule (RR&P) Certified Renovators working for Certified Renovation firms; only those contractors with this certificate on file will be invited to bid on pre-1978 homes.
4. Although bid packages may be bundled for multiple job sites, the bids for multiple job
sites shall be considered separate and apart when awarded and shall be awarded to the lowest responsive and responsible bidder(s) for each job site.
5. Bid packages shall consist of an invitation to bid, work write up(s) and bid sheet(s) for
each job, including instructions for distribution and receipt of bids. Contractors will be given no less than seven days in which to inspect the property and prepare bid proposals. Each contractor will need access to all parts of the house in order to prepare a bid. A bid opening will be conducted at the Albemarle Commission Office at 512 South Church Street in Hertford, NC at a specified date and time, with all bidders invited to attend.
6. Bids must include a cost-per-item breakdown with line item totals equaling the
submitted bid price. Discrepancies must be reconciled prior to a contract being awarded.
7. The Commission reserves the right to reject any or all bids at any time during the procurement process.
8. In the event of a true emergency situation, the Commission reserves the right to waive
normal procurement procedures in favor of more expedient methods, which may include seeking telephone quotes, electronic bids and the like. Should such methods ever become necessary, the transaction will be well documented. In the event phone bids are
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used, Albemarle Commission will call the first three responsive contractors on the approved contractor list who have indicated a desire to be on the telephone call list. The Commission will track who has been called and responsive, and will rotate through the full list before beginning the rotation again.
9. All sealed bids will be opened publicly at a time and place to be announced in the bid invitation. All bidders are welcome to attend. Within 7 days of the bid opening, after review of bid breakdowns and construction schedules, the winning bidders will be selected. All bidders and the homeowner will be notified in writing of 1) the selection of the winning bid, 2) the amount of the winning bid, 3) the specific reasons for the selection, if other than the lowest bidder was selected.
10. The contractor is responsible for obtaining a building permit for the project before
beginning work. The permit must be posted at the house during the entire period of construction. If applicable, the contractor will obtain a permit for lead hazard related activities. Albemarle Commission ESFRLP staff will closely monitor the contractor during the construction period to make sure that the work is being completed according to the work write-up (which is made a part of the rehabilitation contract by reference) and in a timely fashion. Local Code Enforcement Officials will inspect the work for compliance with the NC State Building Code and the local minimum housing code, when applicable. To protect personal property the homeowner will be responsible for working with the contractor toward clearing work areas of personal property as needed as much as practicable. The contractor will be responsible for all clearing and cleaning activities necessary due to construction activities.
11. Any change to the original scope of work must be reduced to writing in the form of a change order to be agreed upon and signed by all parties to the original contract including at minimum, the homeowner, the contractor and two representatives of the Commission. The change order must also detail any changes to the original contract price and completion date.
12. No work may begin prior to a contract being awarded and executed and a written order
to proceed provided to the contractor. In addition, a pre-construction conference and “walk thru” shall be held at the work site prior to commencement of repair work. At this time, the homeowner, contractor and ESFRLP Albemarle Commission program representatives will discuss the details of the work to be completed. Starting and ending dates will be finalized, along with any special arrangements such as weekend or evening work hours and disposition of items to be removed from the home. Within 24 hours of the pre-construction conference, Albemarle Commission will issue a "proceed order" formally instructing the contractor to commence work by the agreed-upon date.
13. Albemarle Commission is an equal opportunity employer, implements non-discriminatory
practices in its procurement/disbursement and will make special outreach efforts to include M/WBE (Minority/Women Business Enterprise) businesses within its contractor and subcontractor pool. Contractors will be chosen by the above criteria without regard to race, color, religion, national origin, sex, familial status and/or disability.
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DISBURSEMENT POLICY 1. All repair work must be inspected by (a) the Commission’s Rehabilitation Specialist,
(b) the local building or minimum housing code inspector when applicable and (c) the homeowner prior to any payments to contractors. If all work is deemed satisfactory and all other factors and written agreements are in order, payment shall be issued upon presentation of an original invoice from the contractor. Contractor should allow 21 business days for processing of the invoice for payment.
2. The contractor is entitled to request three partial payments and a final payment. The partial payments may be requested when the work is 25%, 50% and 75% complete. When a payment is requested, the Rehabilitation Specialist will inspect the work within three days, determine percentage of job completion and calculate a payment based on 90% of the total work completed.
3. Following construction, the contractor and the Rehabilitation Specialist will meet with the Homeowner in a post-construction conference. At this conference the contractor will hand over all owner's manuals and warranties on equipment and materials to the homeowner and be available to answer homeowner questions.
4. Project Closeout: When the contractor declares the work complete, the Rehabilitation
Specialist will thoroughly inspect the work. If any of the work is deemed unsatisfactory, it must be corrected prior to authorization of final payment. If the contractor fails to correct the work to the satisfaction of the Commission’s Rehabilitation Specialist, payment may be withheld until the work is deemed satisfactory. (Contractors may follow the Commission’s Essential Single-Family Rehabilitation Loan Pool Assistance Policy if a dispute occurs; however, contractors shall abide by the final decision as stated in the policy). The Homeowner, Project Administrator and Rehabilitation Specialist will sign off on the work. After receipt of the contractor's final invoice, inspections, certificate of completion and lien releases, the final payment will be ordered. All material and workmanship will be guaranteed by the contractor for a period of one-year from the date of completion of the work as approved after inspection by the Rehabilitation Specialist.
5. The Commission assures, through this policy, that adequate funds shall be available to
pay the contractor for satisfactory work.
6. All contractors, sub-contractors and suppliers must sign a lien waiver prior to disbursement of funds.
The Executive Director is authorized to amend this Policy as needed. This Procurement and Disbursement Policy is adopted this day of May, 2020. __________________________________ Tracey Johnson, Chair Attest:
___________________________ Clerk to the Board
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CONTRACTORS STATEMENT:
I have read and understand the attached Albemarle Commission Procurement and Disbursement Policy.
BY: ________________________________________________________
COMPANY NAME: ______________________________________________
WITNESS: ______________________________________________
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The Albemarle Commission Assistance Policy
Chowan County Service Area For the 2020 Cycle of the
Essential Single-Family Rehabilitation Loan Pool What is the Essential Single-Family Rehabilitation Loan Pool? The Albemarle Commission has been awarded Membership by the North Carolina Housing Finance Agency (“NCHFA”) under the 2020 Cycle of the Essential Single-Family Rehabilitation Loan Pool (“ESFRLP”). This program provides Members with funds via a “loan pool” to assist with the rehabilitation of moderately deteriorated homes that are owned and occupied by lower-income, special need households. ESFRLP assists eligible households by facilitating aging in place, meeting minimum housing code requirements, promoting long-term affordability, lowering operating costs, and stabilizing pre-1978 homes that include children aged 6 or under whose health is threatened by the presence of lead hazards. The Albemarle Commission has been allocated an initial set-aside of $190,000 which it plans to apply toward the rehabilitation of five houses in the Chowan County Service Area. After demonstrating successful use of the initial set-aside, the County may access additional funds, when available, on a unit-by-unit basis from the ESFRLP loan pool. This Assistance Policy describes who is eligible for assistance under ESFRLP, how applications for assistance will be ranked, what the terms of assistance are, and how the rehabilitation process will be managed. The Albemarle Commission has designed the ESFRLP project to be fair, open and consistent with its approved application for funding and with ESFRLP Program Guidelines. The funds provided by NCHFA come from the US Department of Housing and Urban Development’s (HUD) Federal HOME Investment Partnerships Program. Assistance for construction-related costs (hard costs) will be provided as no interest, no payment loans which are forgiven at the rate of $5,000 per year. Non-construction-related costs (soft costs including lead/asbestos inspections/clearances, radon testing and environmental reviews) will be provided in the form of a grant. Who is Eligible to Apply? There are three major requirements to be eligible for ESFRLP assistance: 1) The housing unit to be rehabilitated with ESFRLP funds must be located in the Chowan County Service
Area, and must be owner-occupied. The household occupying the unit must have an elderly, disabled and/or veteran (see definitions) fulltime household member or a child aged 6 or under if there are lead hazards in the home;
2) The gross annual household income must not exceed 80% of the Area Median Income for the County (see income limit table on the following page) and;
3) The cost of rehabilitation cannot exceed the ESFRLP Program limit of $30,000 and must include all Essential Rehabilitation Criteria as described in the ESFRLP Administrator’s Manual for the 2019 Cycle (available online at www.NCHFA.com).
Unfortunately, not all homes can be rehabilitated to meet the Essential Rehabilitation Criteria with the limited funding available. Some otherwise-eligible households may be deemed ineligible for assistance because their homes fail this test. What Types Of Houses Are Eligible? Properties are eligible only if they meet all of the following requirements: • The property must require at least $5,000 of improvements to meet ESFRLP Property Standards or the local
minimum housing code. • Site-built and off frame modular units are eligible for assistance. Manufactured housing is eligible for
assistance if the foundation and utility hookups are permanently affixed including removal of all
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transporting equipment (e.g. wheels, axles, tongue) and installation of a full masonry foundation and tie-downs.
• No more than fifty percent (50%) of the total area of the unit may be used for an office or business (e.g. day care). Program funds may only be used to improve the residential portion of mixed-use buildings.
• The property must be free of environmental hazards and other nuisances as defined by all applicable codes or regulations, or any such hazards or nuisances must be corrected as part of the rehabilitation of the home. The Albemarle Commission’s Rehabilitation Specialist will determine the presence of any known environmental hazards/nuisances on the site and if they can be removed through rehabilitation.
• Properties cannot be located in the right-of-way of any impending or planned public improvements. The Albemarle Commission staff will assist in making this determination.
• The property cannot be located on a site that is endangered by mudslides, landslides or other natural or environmental hazards. If needed, the Rehabilitation Specialist will work with the homeowner to make this determination.
• The property may be located in the 100-year flood plain if the lowest finished floor level (verified by an elevation certificate provided by the homeowner) is above the base flood elevation and the property will be covered by flood insurance. The property must be in compliance with the Albemarle Commission’s flood plain ordinance. All things considered equal, properties located outside the 100-year flood plain will be given priority over properties located in the 100-year flood plain. (the Albemarle Commission will verify whether the home is in the flood plain.)
• The property cannot have been repaired or rehabilitated with public funding of $30,000 or more within the past 10 years without NCHFA approval.
2019 Income Limits for The Albemarle Commission’s Essential Single-Family Rehabilitation Loan Pool
Number in Household
30% of Median Income
50% of Median Income
80% of Median Income
1 $11,600 $19,350 $30,950 2 $13,250 $22,100 $35,350 3 $14,900 $24,850 $39,750 4 $16,550 $27,600 $44,150 5 $17,900 $29,850 $47,700 6 $19,200 $32,050 $51,250 7 $20,550 $34,250 $54,750 8 $21,850 $36,450 $58,300
*Income limits are subject to change based on annually published HUD HOME Income Limits. How are applications ranked? There are many more ESFRLP-eligible households (with eligible houses) than can be assisted with the available funds. Therefore, the Albemarle Commission has devised the following priority system to rank eligible applicants, determine which of them will be selected for assistance and in what order. Under this system applicants will receive points for falling into certain categories. Applications will be ranked according to which receive the most points. If there are more eligible applicants with eligible houses than can be treated with existing funding, the Albemarle Commission may be able to treat additional houses with unrestricted pool funds. Pool applicants will come from the original applicant list and be considered according to which received the most points. If alternate pool applicants are not identified on the original applicant list and must be solicited, the solicited, eligible, pool applicants will be selected on a first come first served basis. Eligibility Criteria Owner occupied Owner/Occupant 62 years old or disabled Veteran full-time household member Household income under 80%
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Non-historic (as determined by SHPO) Age and Disability Points 0-62 and disabled 30 63-80 and disabled 50 81+ and disabled 40 62-80 and not disabled 40 81+ and not disabled 30 Household with a child age 6 or under with a reference level of 5 mg per deciliter or higher 20 Household with a child age 6 or under with lead hazards in the home 15 Veteran full-time household member 15 Income 0% – 30% 15 31% – 50% 10 51% – 80% 8 Bonus Points Clear title 18 Estimated LBP < $8,000 5 No liens or judgments 5 Taxes paid 5
Definitions under ESFRLP are: • Elderly: An individual aged 62 or older. • Disabled: A person who has a physical, mental or developmental disability that greatly limits one or more
major life activities, has a record of such impairment, or is regarded as having such an impairment. • Head of Household: The person or persons who own(s) the house. • Household Member: Any individual who is an occupant (defined below) of the unit to be rehabilitated shall
be considered a “household member” (the number of household members will be used to determine household size and all household members are subject to income verification).
• Occupant: An occupant is defined as any immediate family member (mother, father, spouse, son/daughter of the head of household who has resided in the dwelling unit for at least 3 months prior to the submission of the family’s application.
• Veteran: A person who is a military veteran, is defined as one who served in the active military, naval, or air service (i.e. Army, Navy, Air Force, Marine Corps, and Coast Guard; as a commissioned officer of the Public Health Service; or as a commissioned officer of the National Oceanic and Atmospheric Administration or its predecessors), and who was discharged or released there from under conditions other than dishonorable. Provide DD-214 form to demonstrate.
Recipients of assistance under ESFRLP will be chosen by the above criteria without regard to race, color, religion, national origin, sex, familial status and disability. What Are The Terms of Assistance Under ESFRLP? The form of ESFRLP assistance is a 0% interest, forgivable loan covering the hard costs associated with the rehabilitation of the home and a grant for the soft costs. These will be two separate documents or sets of documents. The Loan: To provide assistance to households selected for the project, NCHFA will create loan documents including a Promissory Note and Deed of Trust covering hard costs for the rehabilitation in an amount not to exceed $30,000. This loan covering the hard costs remains 0% interest and forgivable at $5,000 per year for as long as the owner resides in the home or until the balance is reduced to $0. The term of the loan is dependent upon the loan amount and the number of years it takes to bring the balance of the loan to $0 when forgiven at $5,000 per year. For example, if the amount of the loan is $21,452, then the term is 5 years ($20,000 forgiven over the first 4 years and $1,452 forgiven at the end of the 5th year). The maximum term of the typical loan will be six years.
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As long as the borrower lives in the home, no payments on the loan will be required. If the recipient prefers, the loan can be paid off at any time to NCHFA, either in installments or as a lump sum payment. Furthermore, under certain circumstances NCHFA may allow assumption or refinancing of the loan. Should an heir inherit the property and choose to live in the house as their permanent residence, they may assume the loan without being income eligible. However, the lien remains on the property. A buyer who may wish to buy the property to live in may assume the loan so long as they can document that they are income-eligible (≤ 80% AMI). Default can occur if the property is sold or transferred to another person and/or if the borrower fails to use the home as a principal residence, without prior written approval of the North Carolina Housing Finance Agency. The Grant: To pay for soft costs including application outreach/intake/management, environmental reviews/inspections/testing and project assessment/documentation/ estimating/bidding, NCHFA will create a Grant Agreement not to exceed $10,000. The grant has no repayment or recovery terms. What Kinds Of Work Will Be Done? Each house selected for assistance must be rehabilitated to meet ESFRLP Rehabilitation Criteria. That means every house must, upon completion of the rehabilitation: • meet the more stringent requirements of either NCHFA’s Essential Property Standard or the Albemarle
Commission’s Minimum Housing Code (These are “habitability standards” which set minimum standards for decent, safe and sanitary living conditions.) Additionally, the home must meet applicable Lead-Based Paint regulations 24 CFR part 35.
• retain no “imminent threats” to the health and safety of the home’s occupants or to the home’s “structural integrity”. (An example of an imminent threat to occupants as well as to the home’s structural integrity is an infestation of insects or a crawlspace that is too damp).
These requirements are spelled out in full in the ESFRLP Administrator’s Manual which you may view, at reasonable times, upon request, at the program contact’s at the Albemarle Commission or anytime online at www.NCHFA.com. In addition to the above items that must be done to satisfy NCHFA requirements, the scope of work may include approved items meant to reduce future maintenance and operational costs or to further protect homes from natural disasters and/or home modifications designed to enable greater accessibility for household members to function more independently as they age. Once the rehabilitation is complete, major systems in the home that, with reasonable maintenance and normal use, should be capable of lasting another 5 years include: structural support, roofing, cladding and weatherproofing, plumbing, electrical and heating/cooling systems. Of course, contractors performing work funded under ESFRLP are responsible for meeting all local requirements for permits and inspections. All work done under the program must be performed to meet NC State Residential Building Code standards. (This does not mean, however, that the whole house must be brought up to current Building Code Standards.) What About Lead-based Paint? Until it was discovered to be a health hazard, lead was used for centuries to make house paints. Now we know that lead exposure is a serious problem for everyone and especially small children. Selling lead paint was outlawed in 1978, but many older buildings still contain lead paint and children are still being poisoned. Under ESFRLP, a lead hazard evaluation must be performed on every home selected for rehabilitation that was built before 1978. The specific type of evaluation and the appropriate lead hazard reduction work performed will depend on the total amount of Federal funds used to rehabilitate the home, as per 24 CFR part 35. If required, lead-based paint hazard reduction and/or abatement will be performed by contractors who are trained and certified to perform such work.
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It may be necessary for the household to relocate during the construction process for protection against lead poisoning. If relocation is required, it shall be the responsibility of the homeowner to pay for the relocation. Who Will Do the Work On the Homes? The Albemarle Commission is obligated under ESFRLP to ensure that quality work is done at reasonable prices and that all work is contracted through a fair, open and competitive process. To meet the requirements, the Albemarle Commission will conduct a bid process which will allow all vendors qualified (using the Albemarle Commission vendor process) to provide quotes, bids or proposals for the product or services needed on each home. For additional information about procurement and disbursement procedures, please refer to the Albemarle Commission ESFRLP Procurement and Disbursement Policy for the 2019 Cycle • All qualified vendors will be invited to bid on each home and the lowest responsive and responsible bidder
will be selected for the contract. Every reasonable effort will be made to receive at least three quotes, bids or proposals for the product or services needed.
• All contractors working on pre-1978 units must be Renovation, Repair and Painting Rule (RR&P) Certified
Renovators working for Certified Renovation firms. • Homeowners who know of quality rehabilitation contractors that are not on the approved contractors’
registry are welcome to invite them to apply. What Are The Steps In The Process, From Application To Completion? You now have information about how to apply for the Essential Single-Family Rehabilitation Loan Pool (ESFRLP) and what type of work can be done through the Program. Let’s go through the steps for getting the work done: 1. Completing a pre-application form: Homeowners who wish to apply for assistance must do so by July 31,
2020. Apply by contacting the Albemarle Commission ESFRLP Coordinator at the Albemarle Commission Office at 512 South Church Street in Hertford, NC. Other regional locations may be established at a later date. Proof of ownership and income will be required. Those who have applied for housing assistance in the past may not automatically be reconsidered. A new pre-application must be submitted. Applicants after July 31, 2020 will be placed on a list for a review of qualifications only after it is determined that sufficient funds and time remain available once those who applied by the application deadline have been qualified, ranked and their needs determined.
2. Client Referral and Support Services Many homeowners seeking assistance through the Essential Single-Family Rehabilitation Loan Pool may also need other services. If the ESFRLP staff meet the homeowner during the application process, they will provide pamphlets and a list of the agencies with contact information for the resources and programs available in the County. For households that meet the requirements of the pre-application step and qualify to receive assistance through the ESFRLP program, additional verbal discussion will be offered during the Screening of applicants and/or Pre-rehab inspection steps of the program.
3. Preliminary inspection: the Albemarle Commission's Rehabilitation Specialist will visit the homes of eligible households to determine the need and feasibility of the home for rehabilitation.
4. Screening of applicants: Applications will be ranked by the Albemarle Commission based on the priority
system outlined on page 4 and the feasibility of rehabilitating the house. Households to be offered assistance will be selected by August 31, 2020. Household income will be verified for program purposes only (information will be kept confidential). NCHFA will verify ownership of the property by conducting a title search. From this review, the five most qualified applicants will be chosen according to the priority system described above; the remaining applicants will be placed on a list of alternates in the order that they qualified.] The Albemarle Commission will then submit to NCHFA an ESFRLP Loan Application and
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Reservation Request for each potential borrower for approval. Applicants not selected for ESFRLP assistance will be notified in writing.
5. Written agreement: A HOME Owner Agreement, between the homeowner and the Albemarle Commission, will be executed as part of the Loan Application and Reservation Request procedure (that formally commits funds to a dwelling unit). This agreement will certify that the property is the principal residence of the owner, that the post–rehab value of the property will not exceed 95% of the 203(b) limits established by HUD and defines the ESFRLP maximum amount and form of assistance being provided to the homeowner, the scope of work to be performed, the date of completion and the rehabilitation criteria and standards to be met.
6. Pre-rehab inspection & unit evaluation: The Albemarle Commission’s Rehabilitation Specialist will visit
the home again for a more thorough inspection. All parts of the home must be made accessible for inspection, including the attic and crawlspace. The owner should report any known problems such as electrical short circuits, blinking lights, roof leaks, etc. Each unit will be evaluated for energy-saving opportunities such as air-sealing and duct-sealing as well as for environmental concerns, such as lead based paint hazards, radon and asbestos.
7. Work write-up: The Rehabilitation Specialist will prepare complete and detailed work specifications
(known as the "work write-up"). A final cost estimate will also be prepared by the Rehabilitation Specialist and held in confidence until bids are received from contractors.
8. Lead and Other Testing: The Albemarle Commission will arrange for a certified firm to inspect all pre-
1978 constructed homes for potential lead hazards (required) and asbestos hazards (as deemed necessary before or after 1978). All homes will be tested for radon. The owner will receive information covering the results of the tests and any corrective actions that will be needed as part of the rehabilitation.
9. Bidding: The work write-up and bid documents will be conveyed to all contractors from the Approved
Contractors Registry who will be given no less than seven days in which to inspect the property and prepare bid proposals. Each contractor will need access to all parts of the house in order to prepare a bid. A bid opening will be conducted at the Albemarle Commission Office at 512 South Church Street in Hertford, NC at a specified date and time, with all bidders invited to attend.
10. Contractor selection: Within 7 days of the bid opening the winning bidders will be selected. All bidders
and the homeowner will be notified in writing of 1) the selection of the winning bid, 2) the amount of the winning bid, and 3) the specific reasons for the selection, if other than the lowest bidder was selected.
11. Loan closing and contract execution: Loan documents (Promissory Note and Deed of Trust) will be
prepared by NCHFA as the lender and executed by the homeowner. By law, homeowner’s have the right to hire legal representation of their choosing at loan closing. If a homeowner does not have “representation” at the closing, the borrower must sign a NCHFA “Legal Advice Disclosure”. Rehabilitation contract documents will be executed by the homeowner and contractor with the Albemarle Commission signing on as an interested third party prior to the commencement of any construction. The Albemarle Commission will facilitate with the loan closing and recordation of these documents and forward the recorded documents to NCHFA.
12. Pre-construction conference: A pre-construction conference will be held at the selected applicant’s home.
At this time, the homeowner, contractor and ESFRLP the Albemarle Commission program representatives will discuss the details of the work to be completed. Starting and ending dates will be finalized, along with any special arrangements such as weekend or evening work hours and disposition of items to be removed from the home. The Albemarle Commission will issue a "proceed order" formally instructing the contractor to commence work by the agreed-upon date.
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13. Construction: The contractor is responsible for obtaining and posting all permits for the project before beginning work. The Albemarle Commission ESFRLP Program staff will closely monitor the contractor during the construction period and local Code Enforcement Officials will inspect the work. To protect personal property the homeowner will be responsible for working with the contractor toward clearing work areas of personal property as needed as much as practicable. The contractor will be responsible for all clearing and cleaning activities necessary due to construction activities.
14. Change Orders: All changes to the scope of work must be approved by the owner, the contractor, the
Albemarle Commission’s Rehabilitation Specialist, and the Albemarle Commission program contact and reduced in writing as a contract amendment ("change order"). The owner, contractor and two Albemarle Commission personnel must execute any change order agreements to the construction contract.
15. Progress payments: The contractor is entitled to request two partial payments and a final payment. When
a payment is requested, the Rehabilitation Specialist will inspect the work within three days. 16. Closeout: When the Rehabilitation Specialist and the Homeowner are satisfied that the contract has been
fulfilled, the Homeowner, Project Administrator and Rehabilitation Specialist will sign off on the work. All material and workmanship will be guaranteed by the contractor for a period of one-year from the date of completion of the work as established by the date on the final pay requisition.
17. Post-construction conference: Following construction, the contractor and the Rehabilitation Specialist
will sit down with the Homeowner one last time. At this conference the contractor will hand over all owner's manuals and warranties on equipment and materials to the homeowner. The contractor and Rehabilitation Specialist will go over operating and maintenance requirements for the new equipment, materials and appliances and discuss general maintenance of the home with the Homeowner. The Homeowner will have the opportunity to ask any final questions about the work.
18. Final loan amount determination: If, upon completion of all rehabilitation work, the contract price has
changed due to the effect of change orders, NCHFA will prepare an estoppel for a loan reduction or modification agreement for loan increases as necessary at the time of closeout of the unit to modify the loan amount when there is a need for a change order involving a change in the original loan amount). The loan will remain the property of NCHFA, with original documents remaining there for storage and “servicing. Please note that it is the responsibility of the owner to record an estoppel if they wish this to be reflected in the Deed of Trust.
19. The warranty period: It is extremely important that any problems with the work that was performed be
reported by the homeowner to the Albemarle Commission Rehabilitation Specialist or other representative, as soon as possible in writing. All bona fide defects in materials and workmanship reported within one year of completion of construction will be corrected free of charge by the Contractor.
What are the key dates? If, after reading this document, you feel that you qualify for this program and wish to apply, please keep the following dates in mind: • Applications available to the public starting April 1, 2020 • Applications must be turned in at the Albemarle Commission by 5:00 PM on July 31, 2020. • Selection of units will be made on August 31, 2020. • All rehabilitation work must be under contract by December 31, 2022. • All rehabilitation work must be completed by June 26, 2023.
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How do I request an application? Contact: Executive Director The Albemarle Commission 512 S. Church St. Hertford, NC 27944 Phone: (252) 426-5753 Or: pick up an application at the Albemarle Commission located at 512 S. Church St., Hertford, NC 27944. Is there a procedure for dealing with complaints, disputes and appeals? Although the application process and rehabilitation guidelines are meant to be as fair as possible, the Albemarle Commission realizes that there is still a chance that some applicants or participants may feel that they are not treated fairly. The following procedures are designed to provide an avenue for resolution of complaints and appeals. During the application process: 1. If an applicant feels that his/her application was not fairly reviewed or rated and would like to appeal the
decision made about it, he/she should contact the Executive Director of the Albemarle Commission, within five days of the initial decision and voice their concern.
2. If the applicant remains dissatisfied with the decision, the detailed complaint should be put into writing. A written appeal must be made within 10 business days of the initial decision on an application.
3. The Albemarle Commission will respond in writing to any complaints or appeals within 10 business days of receiving written comments.
During the rehabilitation process: 1. If the homeowner feels that construction is not being completed according to the contract, he/she must
inform the contractor and the Rehabilitation Specialist, preferably in writing. 2. The Rehabilitation Specialist will inspect the work in question. If he finds that the work is not being
completed according to the contract, the Rehabilitation Specialist will review the contract with the contractor and ask the contractor to correct the problem.
3. If the Rehabilitation Specialist finds that the work is being completed according to contract, the complaint will be added to the applicant’s file and the Rehabilitation Specialist and the homeowner will discuss the concern and the reason for the Rehabilitation Specialist’s decision.
4. If problems persist, the homeowner must put the concern in writing and a mediation conference between the homeowner and the contractor may be convened by the Rehabilitation Specialist and facilitated by the Albemarle Commission’s Program Contact.
5. Should the mediation conference fail to resolve the dispute, the County Manager will render a written final decision.
Final Appeal: After following the above procedures, any applicant or homeowner who remains dissatisfied with the Albemarle Commission’s final decision may appeal in writing to Michael Handley, NCHFA, PO Box 28066, Raleigh, NC 27611-8066, (919) 877-5627. Will the personal information provided remain confidential? Yes. All information in applicant files will remain confidential. Access to the information will be provided only to the Albemarle Commission employees who are directly involved in the program, the North Carolina Housing Finance Agency, the US Department of Housing and Urban Development (HUD) and auditors. What about conflicts of interest? No employee or board member of the Albemarle Commission, or entity contracting with the Albemarle Commission, who exercises any functions or responsibilities with respect to the ESFRLP project shall have any interest, direct or indirect, in any contract or subcontract for work to be performed with project funding, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. Relatives of the Albemarle Commission employees, members of
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the Board of Delegates and others closely identified with either, may be approved for rehabilitation assistance only upon public disclosure before the Albemarle Commission’s program contact and written permission from NCHFA. What about favoritism? All activities under ESFRLP, including rating and ranking applications, inviting bids, selecting contractors and resolving complaints, will be conducted in a fair, open and non-discriminatory manner, entirely without regard to race, color, religion, national origin, sex, familial status and disability. Outreach Efforts of the ESFRLP Program The County makes citizens aware of the ESFRLP program and other housing rehabilitation opportunities through various service providers and specific outreach efforts. At minimum, the County will advertise or publish an article about the Essential Single-Family Rehabilitation Loan Pool Program via the following media/venues: the Scuppernong Review, at senior center and social service locations throughout the County, on the County's website and through the local feeding programs. Who can I contact about the ESFRLP program? Any questions regarding any part of this application or program should be addressed to: Executive Director Mike Barnette, Program Manager The Albemarle Commission McDavid Associates, Inc. 106 S. Water Street 3714 N. Main Street 512 S. Church Street P.O. Drawer 49 Hertford, NC 27944 Farmville, NC 27828 Phone: (252) 426-5753 Phone: (252) 753-2139 The Executive Director is authorized to amend this Assistance Policy as needed for effective program execution. This Assistance Policy is adopted this day of May, 2020. __________________________________ Tracey Johnson, Chair
Attest:
___________________________ Clerk to the Board
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The Albemarle Commission Assistance Policy
Perquimans County Service Area For the 2020 Cycle of the
Essential Single-Family Rehabilitation Loan Pool What is the Essential Single-Family Rehabilitation Loan Pool? The Albemarle Commission has been awarded Membership by the North Carolina Housing Finance Agency (“NCHFA”) under the 2020 Cycle of the Essential Single-Family Rehabilitation Loan Pool (“ESFRLP”). This program provides Members with funds via a “loan pool” to assist with the rehabilitation of moderately deteriorated homes that are owned and occupied by lower-income, special need households. ESFRLP assists eligible households by facilitating aging in place, meeting minimum housing code requirements, promoting long-term affordability, lowering operating costs, and stabilizing pre-1978 homes that include children aged 6 or under whose health is threatened by the presence of lead hazards. The Albemarle Commission has been allocated an initial set-aside of $190,000 which it plans to apply toward the rehabilitation of five houses in the Perquimans County Service Area. After demonstrating successful use of the initial set-aside, the County may access additional funds, when available, on a unit-by-unit basis from the ESFRLP loan pool. This Assistance Policy describes who is eligible for assistance under ESFRLP, how applications for assistance will be ranked, what the terms of assistance are, and how the rehabilitation process will be managed. The Albemarle Commission has designed the ESFRLP project to be fair, open and consistent with its approved application for funding and with ESFRLP Program Guidelines. The funds provided by NCHFA come from the US Department of Housing and Urban Development’s (HUD) Federal HOME Investment Partnerships Program. Assistance for construction-related costs (hard costs) will be provided as no interest, no payment loans which are forgiven at the rate of $5,000 per year. Non-construction-related costs (soft costs including lead/asbestos inspections/clearances, radon testing and environmental reviews) will be provided in the form of a grant. Who is Eligible to Apply? There are three major requirements to be eligible for ESFRLP assistance: 1) The housing unit to be rehabilitated with ESFRLP funds must be located in the Perquimans County Service
Area, and must be owner-occupied. The household occupying the unit must have an elderly, disabled and/or veteran (see definitions) fulltime household member or a child aged 6 or under if there are lead hazards in the home;
2) The gross annual household income must not exceed 80% of the Area Median Income for the County (see income limit table on the following page) and;
3) The cost of rehabilitation cannot exceed the ESFRLP Program limit of $30,000 and must include all Essential Rehabilitation Criteria as described in the ESFRLP Administrator’s Manual for the 2019 Cycle (available online at www.NCHFA.com).
Unfortunately, not all homes can be rehabilitated to meet the Essential Rehabilitation Criteria with the limited funding available. Some otherwise-eligible households may be deemed ineligible for assistance because their homes fail this test. What Types Of Houses Are Eligible? Properties are eligible only if they meet all of the following requirements: • The property must require at least $5,000 of improvements to meet ESFRLP Property Standards or the local
minimum housing code. • Site-built and off frame modular units are eligible for assistance. Manufactured housing is eligible for
assistance if the foundation and utility hookups are permanently affixed including removal of all
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transporting equipment (e.g. wheels, axles, tongue) and installation of a full masonry foundation and tie-downs.
• No more than fifty percent (50%) of the total area of the unit may be used for an office or business (e.g. day care). Program funds may only be used to improve the residential portion of mixed-use buildings.
• The property must be free of environmental hazards and other nuisances as defined by all applicable codes or regulations, or any such hazards or nuisances must be corrected as part of the rehabilitation of the home. The Albemarle Commission’s Rehabilitation Specialist will determine the presence of any known environmental hazards/nuisances on the site and if they can be removed through rehabilitation.
• Properties cannot be located in the right-of-way of any impending or planned public improvements. The Albemarle Commission staff will assist in making this determination.
• The property cannot be located on a site that is endangered by mudslides, landslides or other natural or environmental hazards. If needed, the Rehabilitation Specialist will work with the homeowner to make this determination.
• The property may be located in the 100-year flood plain if the lowest finished floor level (verified by an elevation certificate provided by the homeowner) is above the base flood elevation and the property will be covered by flood insurance. The property must be in compliance with the Albemarle Commission’s flood plain ordinance. All things considered equal, properties located outside the 100-year flood plain will be given priority over properties located in the 100-year flood plain. (the Albemarle Commission will verify whether the home is in the flood plain.)
• The property cannot have been repaired or rehabilitated with public funding of $30,000 or more within the past 10 years without NCHFA approval.
2019 Income Limits for The Albemarle Commission’s Essential Single-Family Rehabilitation Loan Pool
Number in Household
30% of Median Income
50% of Median Income
80% of Median Income
1 $11,600 $19,350 $30,950 2 $13,250 $22,100 $35,350 3 $14,900 $24,850 $39,750 4 $16,550 $27,600 $44,150 5 $17,900 $29,850 $47,700 6 $19,200 $32,050 $51,250 7 $20,550 $34,250 $54,750 8 $21,850 $36,450 $58,300
*Income limits are subject to change based on annually published HUD HOME Income Limits. How are applications ranked? There are many more ESFRLP-eligible households (with eligible houses) than can be assisted with the available funds. Therefore, the Albemarle Commission has devised the following priority system to rank eligible applicants, determine which of them will be selected for assistance and in what order. Under this system applicants will receive points for falling into certain categories. Applications will be ranked according to which receive the most points. If there are more eligible applicants with eligible houses than can be treated with existing funding, the Albemarle Commission may be able to treat additional houses with unrestricted pool funds. Pool applicants will come from the original applicant list and be considered according to which received the most points. If alternate pool applicants are not identified on the original applicant list and must be solicited, the solicited, eligible, pool applicants will be selected on a first come first served basis. Eligibility Criteria Owner occupied Owner/Occupant 62 years old or disabled Veteran full-time household member Household income under 80%
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Non-historic (as determined by SHPO) Age and Disability Points 0-62 and disabled 30 63-80 and disabled 50 81+ and disabled 40 62-80 and not disabled 40 81+ and not disabled 30 Household with a child age 6 or under with a reference level of 5 mg per deciliter or higher 20 Household with a child age 6 or under with lead hazards in the home 15 Veteran full-time household member 15 Income 0% – 30% 15 31% – 50% 10 51% – 80% 8 Bonus Points Clear title 18 Estimated LBP < $8,000 5 No liens or judgments 5 Taxes paid 5
Definitions under ESFRLP are: • Elderly: An individual aged 62 or older. • Disabled: A person who has a physical, mental or developmental disability that greatly limits one or more
major life activities, has a record of such impairment, or is regarded as having such an impairment. • Head of Household: The person or persons who own(s) the house. • Household Member: Any individual who is an occupant (defined below) of the unit to be rehabilitated shall
be considered a “household member” (the number of household members will be used to determine household size and all household members are subject to income verification).
• Occupant: An occupant is defined as any immediate family member (mother, father, spouse, son/daughter of the head of household who has resided in the dwelling unit for at least 3 months prior to the submission of the family’s application.
• Veteran: A person who is a military veteran, is defined as one who served in the active military, naval, or air service (i.e. Army, Navy, Air Force, Marine Corps, and Coast Guard; as a commissioned officer of the Public Health Service; or as a commissioned officer of the National Oceanic and Atmospheric Administration or its predecessors), and who was discharged or released there from under conditions other than dishonorable. Provide DD-214 form to demonstrate.
Recipients of assistance under ESFRLP will be chosen by the above criteria without regard to race, color, religion, national origin, sex, familial status and disability. What Are The Terms of Assistance Under ESFRLP? The form of ESFRLP assistance is a 0% interest, forgivable loan covering the hard costs associated with the rehabilitation of the home and a grant for the soft costs. These will be two separate documents or sets of documents. The Loan: To provide assistance to households selected for the project, NCHFA will create loan documents including a Promissory Note and Deed of Trust covering hard costs for the rehabilitation in an amount not to exceed $30,000. This loan covering the hard costs remains 0% interest and forgivable at $5,000 per year for as long as the owner resides in the home or until the balance is reduced to $0. The term of the loan is dependent upon the loan amount and the number of years it takes to bring the balance of the loan to $0 when forgiven at $5,000 per year. For example, if the amount of the loan is $21,452, then the term is 5 years ($20,000 forgiven over the first 4 years and $1,452 forgiven at the end of the 5th year). The maximum term of the typical loan will be six years.
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As long as the borrower lives in the home, no payments on the loan will be required. If the recipient prefers, the loan can be paid off at any time to NCHFA, either in installments or as a lump sum payment. Furthermore, under certain circumstances NCHFA may allow assumption or refinancing of the loan. Should an heir inherit the property and choose to live in the house as their permanent residence, they may assume the loan without being income eligible. However, the lien remains on the property. A buyer who may wish to buy the property to live in may assume the loan so long as they can document that they are income-eligible (≤ 80% AMI). Default can occur if the property is sold or transferred to another person and/or if the borrower fails to use the home as a principal residence, without prior written approval of the North Carolina Housing Finance Agency. The Grant: To pay for soft costs including application outreach/intake/management, environmental reviews/inspections/testing and project assessment/documentation/ estimating/bidding, NCHFA will create a Grant Agreement not to exceed $10,000. The grant has no repayment or recovery terms. What Kinds Of Work Will Be Done? Each house selected for assistance must be rehabilitated to meet ESFRLP Rehabilitation Criteria. That means every house must, upon completion of the rehabilitation: • meet the more stringent requirements of either NCHFA’s Essential Property Standard or the Albemarle
Commission’s Minimum Housing Code (These are “habitability standards” which set minimum standards for decent, safe and sanitary living conditions.) Additionally, the home must meet applicable Lead-Based Paint regulations 24 CFR part 35.
• retain no “imminent threats” to the health and safety of the home’s occupants or to the home’s “structural integrity”. (An example of an imminent threat to occupants as well as to the home’s structural integrity is an infestation of insects or a crawlspace that is too damp).
These requirements are spelled out in full in the ESFRLP Administrator’s Manual which you may view, at reasonable times, upon request, at the program contact’s at the Albemarle Commission or anytime online at www.NCHFA.com. In addition to the above items that must be done to satisfy NCHFA requirements, the scope of work may include approved items meant to reduce future maintenance and operational costs or to further protect homes from natural disasters and/or home modifications designed to enable greater accessibility for household members to function more independently as they age. Once the rehabilitation is complete, major systems in the home that, with reasonable maintenance and normal use, should be capable of lasting another 5 years include: structural support, roofing, cladding and weatherproofing, plumbing, electrical and heating/cooling systems. Of course, contractors performing work funded under ESFRLP are responsible for meeting all local requirements for permits and inspections. All work done under the program must be performed to meet NC State Residential Building Code standards. (This does not mean, however, that the whole house must be brought up to current Building Code Standards.) What About Lead-based Paint? Until it was discovered to be a health hazard, lead was used for centuries to make house paints. Now we know that lead exposure is a serious problem for everyone and especially small children. Selling lead paint was outlawed in 1978, but many older buildings still contain lead paint and children are still being poisoned. Under ESFRLP, a lead hazard evaluation must be performed on every home selected for rehabilitation that was built before 1978. The specific type of evaluation and the appropriate lead hazard reduction work performed will depend on the total amount of Federal funds used to rehabilitate the home, as per 24 CFR part 35. If required, lead-based paint hazard reduction and/or abatement will be performed by contractors who are trained and certified to perform such work.
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It may be necessary for the household to relocate during the construction process for protection against lead poisoning. If relocation is required, it shall be the responsibility of the homeowner to pay for the relocation. Who Will Do the Work On the Homes? The Albemarle Commission is obligated under ESFRLP to ensure that quality work is done at reasonable prices and that all work is contracted through a fair, open and competitive process. To meet the requirements, the Albemarle Commission will conduct a bid process which will allow all vendors qualified (using the Albemarle Commission vendor process) to provide quotes, bids or proposals for the product or services needed on each home. For additional information about procurement and disbursement procedures, please refer to the Albemarle Commission ESFRLP Procurement and Disbursement Policy for the 2019 Cycle • All qualified vendors will be invited to bid on each home and the lowest responsive and responsible bidder
will be selected for the contract. Every reasonable effort will be made to receive at least three quotes, bids or proposals for the product or services needed.
• All contractors working on pre-1978 units must be Renovation, Repair and Painting Rule (RR&P) Certified
Renovators working for Certified Renovation firms. • Homeowners who know of quality rehabilitation contractors that are not on the approved contractors’
registry are welcome to invite them to apply. What Are The Steps In The Process, From Application To Completion? You now have information about how to apply for the Essential Single-Family Rehabilitation Loan Pool (ESFRLP) and what type of work can be done through the Program. Let’s go through the steps for getting the work done: 1. Completing a pre-application form: Homeowners who wish to apply for assistance must do so by July 31,
2020. Apply by contacting the Albemarle Commission ESFRLP Coordinator at the Albemarle Commission Office at 512 South Church Street in Hertford, NC. Other regional locations may be established at a later date. Proof of ownership and income will be required. Those who have applied for housing assistance in the past may not automatically be reconsidered. A new pre-application must be submitted. Applicants after July 31, 2020 will be placed on a list for a review of qualifications only after it is determined that sufficient funds and time remain available once those who applied by the application deadline have been qualified, ranked and their needs determined.
2. Client Referral and Support Services Many homeowners seeking assistance through the Essential Single-Family Rehabilitation Loan Pool may also need other services. If the ESFRLP staff meet the homeowner during the application process, they will provide pamphlets and a list of the agencies with contact information for the resources and programs available in the County. For households that meet the requirements of the pre-application step and qualify to receive assistance through the ESFRLP program, additional verbal discussion will be offered during the Screening of applicants and/or Pre-rehab inspection steps of the program.
3. Preliminary inspection: the Albemarle Commission's Rehabilitation Specialist will visit the homes of eligible households to determine the need and feasibility of the home for rehabilitation.
4. Screening of applicants: Applications will be ranked by the Albemarle Commission based on the priority
system outlined on page 4 and the feasibility of rehabilitating the house. Households to be offered assistance will be selected by August 31, 2020. Household income will be verified for program purposes only (information will be kept confidential). NCHFA will verify ownership of the property by conducting a title search. From this review, the five most qualified applicants will be chosen according to the priority system described above; the remaining applicants will be placed on a list of alternates in the order that they qualified.] The Albemarle Commission will then submit to NCHFA an ESFRLP Loan Application and
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Reservation Request for each potential borrower for approval. Applicants not selected for ESFRLP assistance will be notified in writing.
5. Written agreement: A HOME Owner Agreement, between the homeowner and the Albemarle Commission, will be executed as part of the Loan Application and Reservation Request procedure (that formally commits funds to a dwelling unit). This agreement will certify that the property is the principal residence of the owner, that the post–rehab value of the property will not exceed 95% of the 203(b) limits established by HUD and defines the ESFRLP maximum amount and form of assistance being provided to the homeowner, the scope of work to be performed, the date of completion and the rehabilitation criteria and standards to be met.
6. Pre-rehab inspection & unit evaluation: The Albemarle Commission’s Rehabilitation Specialist will visit
the home again for a more thorough inspection. All parts of the home must be made accessible for inspection, including the attic and crawlspace. The owner should report any known problems such as electrical short circuits, blinking lights, roof leaks, etc. Each unit will be evaluated for energy-saving opportunities such as air-sealing and duct-sealing as well as for environmental concerns, such as lead based paint hazards, radon and asbestos.
7. Work write-up: The Rehabilitation Specialist will prepare complete and detailed work specifications
(known as the "work write-up"). A final cost estimate will also be prepared by the Rehabilitation Specialist and held in confidence until bids are received from contractors.
8. Lead and Other Testing: The Albemarle Commission will arrange for a certified firm to inspect all pre-
1978 constructed homes for potential lead hazards (required) and asbestos hazards (as deemed necessary before or after 1978). All homes will be tested for radon. The owner will receive information covering the results of the tests and any corrective actions that will be needed as part of the rehabilitation.
9. Bidding: The work write-up and bid documents will be conveyed to all contractors from the Approved
Contractors Registry who will be given no less than seven days in which to inspect the property and prepare bid proposals. Each contractor will need access to all parts of the house in order to prepare a bid. A bid opening will be conducted at the Albemarle Commission Office at 512 South Church Street in Hertford, NC at a specified date and time, with all bidders invited to attend.
10. Contractor selection: Within 7 days of the bid opening the winning bidders will be selected. All bidders
and the homeowner will be notified in writing of 1) the selection of the winning bid, 2) the amount of the winning bid, and 3) the specific reasons for the selection, if other than the lowest bidder was selected.
11. Loan closing and contract execution: Loan documents (Promissory Note and Deed of Trust) will be
prepared by NCHFA as the lender and executed by the homeowner. By law, homeowner’s have the right to hire legal representation of their choosing at loan closing. If a homeowner does not have “representation” at the closing, the borrower must sign a NCHFA “Legal Advice Disclosure”. Rehabilitation contract documents will be executed by the homeowner and contractor with the Albemarle Commission signing on as an interested third party prior to the commencement of any construction. The Albemarle Commission will facilitate with the loan closing and recordation of these documents and forward the recorded documents to NCHFA.
12. Pre-construction conference: A pre-construction conference will be held at the selected applicant’s home.
At this time, the homeowner, contractor and ESFRLP the Albemarle Commission program representatives will discuss the details of the work to be completed. Starting and ending dates will be finalized, along with any special arrangements such as weekend or evening work hours and disposition of items to be removed from the home. The Albemarle Commission will issue a "proceed order" formally instructing the contractor to commence work by the agreed-upon date.
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13. Construction: The contractor is responsible for obtaining and posting all permits for the project before beginning work. The Albemarle Commission ESFRLP Program staff will closely monitor the contractor during the construction period and local Code Enforcement Officials will inspect the work. To protect personal property the homeowner will be responsible for working with the contractor toward clearing work areas of personal property as needed as much as practicable. The contractor will be responsible for all clearing and cleaning activities necessary due to construction activities.
14. Change Orders: All changes to the scope of work must be approved by the owner, the contractor, the
Albemarle Commission’s Rehabilitation Specialist, and the Albemarle Commission program contact and reduced in writing as a contract amendment ("change order"). The owner, contractor and two Albemarle Commission personnel must execute any change order agreements to the construction contract.
15. Progress payments: The contractor is entitled to request two partial payments and a final payment. When
a payment is requested, the Rehabilitation Specialist will inspect the work within three days. 16. Closeout: When the Rehabilitation Specialist and the Homeowner are satisfied that the contract has been
fulfilled, the Homeowner, Project Administrator and Rehabilitation Specialist will sign off on the work. All material and workmanship will be guaranteed by the contractor for a period of one-year from the date of completion of the work as established by the date on the final pay requisition.
17. Post-construction conference: Following construction, the contractor and the Rehabilitation Specialist
will sit down with the Homeowner one last time. At this conference the contractor will hand over all owner's manuals and warranties on equipment and materials to the homeowner. The contractor and Rehabilitation Specialist will go over operating and maintenance requirements for the new equipment, materials and appliances and discuss general maintenance of the home with the Homeowner. The Homeowner will have the opportunity to ask any final questions about the work.
18. Final loan amount determination: If, upon completion of all rehabilitation work, the contract price has
changed due to the effect of change orders, NCHFA will prepare an estoppel for a loan reduction or modification agreement for loan increases as necessary at the time of closeout of the unit to modify the loan amount when there is a need for a change order involving a change in the original loan amount). The loan will remain the property of NCHFA, with original documents remaining there for storage and “servicing. Please note that it is the responsibility of the owner to record an estoppel if they wish this to be reflected in the Deed of Trust.
19. The warranty period: It is extremely important that any problems with the work that was performed be
reported by the homeowner to the Albemarle Commission Rehabilitation Specialist or other representative, as soon as possible in writing. All bona fide defects in materials and workmanship reported within one year of completion of construction will be corrected free of charge by the Contractor.
What are the key dates? If, after reading this document, you feel that you qualify for this program and wish to apply, please keep the following dates in mind: • Applications available to the public starting April 1, 2020 • Applications must be turned in at the Albemarle Commission by 5:00 PM on July 31, 2020. • Selection of units will be made on August 31, 2020. • All rehabilitation work must be under contract by December 31, 2022. • All rehabilitation work must be completed by June 26, 2023.
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How do I request an application? Contact: Executive Director The Albemarle Commission 512 S. Church St. Hertford, NC 27944 Phone: (252) 426-5753 Or: pick up an application at the Albemarle Commission located at 512 S. Church St., Hertford, NC 27944. Is there a procedure for dealing with complaints, disputes and appeals? Although the application process and rehabilitation guidelines are meant to be as fair as possible, the Albemarle Commission realizes that there is still a chance that some applicants or participants may feel that they are not treated fairly. The following procedures are designed to provide an avenue for resolution of complaints and appeals. During the application process: 1. If an applicant feels that his/her application was not fairly reviewed or rated and would like to appeal the
decision made about it, he/she should contact the Executive Director of the Albemarle Commission, within five days of the initial decision and voice their concern.
2. If the applicant remains dissatisfied with the decision, the detailed complaint should be put into writing. A written appeal must be made within 10 business days of the initial decision on an application.
3. The Albemarle Commission will respond in writing to any complaints or appeals within 10 business days of receiving written comments.
During the rehabilitation process: 1. If the homeowner feels that construction is not being completed according to the contract, he/she must
inform the contractor and the Rehabilitation Specialist, preferably in writing. 2. The Rehabilitation Specialist will inspect the work in question. If he finds that the work is not being
completed according to the contract, the Rehabilitation Specialist will review the contract with the contractor and ask the contractor to correct the problem.
3. If the Rehabilitation Specialist finds that the work is being completed according to contract, the complaint will be added to the applicant’s file and the Rehabilitation Specialist and the homeowner will discuss the concern and the reason for the Rehabilitation Specialist’s decision.
4. If problems persist, the homeowner must put the concern in writing and a mediation conference between the homeowner and the contractor may be convened by the Rehabilitation Specialist and facilitated by the Albemarle Commission’s Program Contact.
5. Should the mediation conference fail to resolve the dispute, the County Manager will render a written final decision.
Final Appeal: After following the above procedures, any applicant or homeowner who remains dissatisfied with the Albemarle Commission’s final decision may appeal in writing to Michael Handley, NCHFA, PO Box 28066, Raleigh, NC 27611-8066, (919) 877-5627. Will the personal information provided remain confidential? Yes. All information in applicant files will remain confidential. Access to the information will be provided only to the Albemarle Commission employees who are directly involved in the program, the North Carolina Housing Finance Agency, the US Department of Housing and Urban Development (HUD) and auditors. What about conflicts of interest? No employee or board member of the Albemarle Commission, or entity contracting with the Albemarle Commission, who exercises any functions or responsibilities with respect to the ESFRLP project shall have any interest, direct or indirect, in any contract or subcontract for work to be performed with project funding, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. Relatives of the Albemarle Commission employees, members of
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the Board of Delegates and others closely identified with either, may be approved for rehabilitation assistance only upon public disclosure before the Albemarle Commission’s program contact and written permission from NCHFA. What about favoritism? All activities under ESFRLP, including rating and ranking applications, inviting bids, selecting contractors and resolving complaints, will be conducted in a fair, open and non-discriminatory manner, entirely without regard to race, color, religion, national origin, sex, familial status and disability. Outreach Efforts of the ESFRLP Program The County makes citizens aware of the ESFRLP program and other housing rehabilitation opportunities through various service providers and specific outreach efforts. At minimum, the County will advertise or publish an article about the Essential Single-Family Rehabilitation Loan Pool Program via the following media/venues: the Scuppernong Review, at senior center and social service locations throughout the County, on the County's website and through the local feeding programs. Who can I contact about the ESFRLP program? Any questions regarding any part of this application or program should be addressed to: Executive Director Mike Barnette, Program Manager The Albemarle Commission McDavid Associates, Inc. 106 S. Water Street 3714 N. Main Street 512 S. Church Street P.O. Drawer 49 Hertford, NC 27944 Farmville, NC 27828 Phone: (252) 426-5753 Phone: (252) 753-2139 The Executive Director is authorized to amend this Assistance Policy as needed for effective program execution. This Assistance Policy is adopted this day of May, 2020. __________________________________ Tracey Johnson, Chair
Attest:
___________________________ Clerk to the Board
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The Albemarle Commission Assistance Policy
Washington County Service Area For the 2020 Cycle of the
Essential Single-Family Rehabilitation Loan Pool What is the Essential Single-Family Rehabilitation Loan Pool? The Albemarle Commission has been awarded Membership by the North Carolina Housing Finance Agency (“NCHFA”) under the 2020 Cycle of the Essential Single-Family Rehabilitation Loan Pool (“ESFRLP”). This program provides Members with funds via a “loan pool” to assist with the rehabilitation of moderately deteriorated homes that are owned and occupied by lower-income, special need households. ESFRLP assists eligible households by facilitating aging in place, meeting minimum housing code requirements, promoting long-term affordability, lowering operating costs, and stabilizing pre-1978 homes that include children aged 6 or under whose health is threatened by the presence of lead hazards. The Albemarle Commission has been allocated an initial set-aside of $190,000 which it plans to apply toward the rehabilitation of five houses in the Washington County Service Area. After demonstrating successful use of the initial set-aside, the County may access additional funds, when available, on a unit-by-unit basis from the ESFRLP loan pool. This Assistance Policy describes who is eligible for assistance under ESFRLP, how applications for assistance will be ranked, what the terms of assistance are, and how the rehabilitation process will be managed. The Albemarle Commission has designed the ESFRLP project to be fair, open and consistent with its approved application for funding and with ESFRLP Program Guidelines. The funds provided by NCHFA come from the US Department of Housing and Urban Development’s (HUD) Federal HOME Investment Partnerships Program. Assistance for construction-related costs (hard costs) will be provided as no interest, no payment loans which are forgiven at the rate of $5,000 per year. Non-construction-related costs (soft costs including lead/asbestos inspections/clearances, radon testing and environmental reviews) will be provided in the form of a grant. Who is Eligible to Apply? There are three major requirements to be eligible for ESFRLP assistance: 1) The housing unit to be rehabilitated with ESFRLP funds must be located in the Washington County Service
Area, and must be owner-occupied. The household occupying the unit must have an elderly, disabled and/or veteran (see definitions) fulltime household member or a child aged 6 or under if there are lead hazards in the home;
2) The gross annual household income must not exceed 80% of the Area Median Income for the County (see income limit table on the following page) and;
3) The cost of rehabilitation cannot exceed the ESFRLP Program limit of $30,000 and must include all Essential Rehabilitation Criteria as described in the ESFRLP Administrator’s Manual for the 2019 Cycle (available online at www.NCHFA.com).
Unfortunately, not all homes can be rehabilitated to meet the Essential Rehabilitation Criteria with the limited funding available. Some otherwise-eligible households may be deemed ineligible for assistance because their homes fail this test. What Types Of Houses Are Eligible? Properties are eligible only if they meet all of the following requirements: • The property must require at least $5,000 of improvements to meet ESFRLP Property Standards or the local
minimum housing code. • Site-built and off frame modular units are eligible for assistance. Manufactured housing is eligible for
assistance if the foundation and utility hookups are permanently affixed including removal of all
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transporting equipment (e.g. wheels, axles, tongue) and installation of a full masonry foundation and tie-downs.
• No more than fifty percent (50%) of the total area of the unit may be used for an office or business (e.g. day care). Program funds may only be used to improve the residential portion of mixed-use buildings.
• The property must be free of environmental hazards and other nuisances as defined by all applicable codes or regulations, or any such hazards or nuisances must be corrected as part of the rehabilitation of the home. The Albemarle Commission’s Rehabilitation Specialist will determine the presence of any known environmental hazards/nuisances on the site and if they can be removed through rehabilitation.
• Properties cannot be located in the right-of-way of any impending or planned public improvements. The Albemarle Commission staff will assist in making this determination.
• The property cannot be located on a site that is endangered by mudslides, landslides or other natural or environmental hazards. If needed, the Rehabilitation Specialist will work with the homeowner to make this determination.
• The property may be located in the 100-year flood plain if the lowest finished floor level (verified by an elevation certificate provided by the homeowner) is above the base flood elevation and the property will be covered by flood insurance. The property must be in compliance with the Albemarle Commission’s flood plain ordinance. All things considered equal, properties located outside the 100-year flood plain will be given priority over properties located in the 100-year flood plain. (the Albemarle Commission will verify whether the home is in the flood plain.)
• The property cannot have been repaired or rehabilitated with public funding of $30,000 or more within the past 10 years without NCHFA approval.
2019 Income Limits for The Albemarle Commission’s Essential Single-Family Rehabilitation Loan Pool
Number in Household
30% of Median Income
50% of Median Income
80% of Median Income
1 $11,600 $19,350 $30,950 2 $13,250 $22,100 $35,350 3 $14,900 $24,850 $39,750 4 $16,550 $27,600 $44,150 5 $17,900 $29,850 $47,700 6 $19,200 $32,050 $51,250 7 $20,550 $34,250 $54,750 8 $21,850 $36,450 $58,300
*Income limits are subject to change based on annually published HUD HOME Income Limits. How are applications ranked? There are many more ESFRLP-eligible households (with eligible houses) than can be assisted with the available funds. Therefore, the Albemarle Commission has devised the following priority system to rank eligible applicants, determine which of them will be selected for assistance and in what order. Under this system applicants will receive points for falling into certain categories. Applications will be ranked according to which receive the most points. If there are more eligible applicants with eligible houses than can be treated with existing funding, the Albemarle Commission may be able to treat additional houses with unrestricted pool funds. Pool applicants will come from the original applicant list and be considered according to which received the most points. If alternate pool applicants are not identified on the original applicant list and must be solicited, the solicited, eligible, pool applicants will be selected on a first come first served basis. Eligibility Criteria Owner occupied Owner/Occupant 62 years old or disabled Veteran full-time household member Household income under 80%
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Non-historic (as determined by SHPO) Age and Disability Points 0-62 and disabled 30 63-80 and disabled 50 81+ and disabled 40 62-80 and not disabled 40 81+ and not disabled 30 Household with a child age 6 or under with a reference level of 5 mg per deciliter or higher 20 Household with a child age 6 or under with lead hazards in the home 15 Veteran full-time household member 15 Income 0% – 30% 15 31% – 50% 10 51% – 80% 8 Bonus Points Clear title 18 Estimated LBP < $8,000 5 No liens or judgments 5 Taxes paid 5
Definitions under ESFRLP are: • Elderly: An individual aged 62 or older. • Disabled: A person who has a physical, mental or developmental disability that greatly limits one or more
major life activities, has a record of such impairment, or is regarded as having such an impairment. • Head of Household: The person or persons who own(s) the house. • Household Member: Any individual who is an occupant (defined below) of the unit to be rehabilitated shall
be considered a “household member” (the number of household members will be used to determine household size and all household members are subject to income verification).
• Occupant: An occupant is defined as any immediate family member (mother, father, spouse, son/daughter of the head of household who has resided in the dwelling unit for at least 3 months prior to the submission of the family’s application.
• Veteran: A person who is a military veteran, is defined as one who served in the active military, naval, or air service (i.e. Army, Navy, Air Force, Marine Corps, and Coast Guard; as a commissioned officer of the Public Health Service; or as a commissioned officer of the National Oceanic and Atmospheric Administration or its predecessors), and who was discharged or released there from under conditions other than dishonorable. Provide DD-214 form to demonstrate.
Recipients of assistance under ESFRLP will be chosen by the above criteria without regard to race, color, religion, national origin, sex, familial status and disability. What Are The Terms of Assistance Under ESFRLP? The form of ESFRLP assistance is a 0% interest, forgivable loan covering the hard costs associated with the rehabilitation of the home and a grant for the soft costs. These will be two separate documents or sets of documents. The Loan: To provide assistance to households selected for the project, NCHFA will create loan documents including a Promissory Note and Deed of Trust covering hard costs for the rehabilitation in an amount not to exceed $30,000. This loan covering the hard costs remains 0% interest and forgivable at $5,000 per year for as long as the owner resides in the home or until the balance is reduced to $0. The term of the loan is dependent upon the loan amount and the number of years it takes to bring the balance of the loan to $0 when forgiven at $5,000 per year. For example, if the amount of the loan is $21,452, then the term is 5 years ($20,000 forgiven over the first 4 years and $1,452 forgiven at the end of the 5th year). The maximum term of the typical loan will be six years.
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As long as the borrower lives in the home, no payments on the loan will be required. If the recipient prefers, the loan can be paid off at any time to NCHFA, either in installments or as a lump sum payment. Furthermore, under certain circumstances NCHFA may allow assumption or refinancing of the loan. Should an heir inherit the property and choose to live in the house as their permanent residence, they may assume the loan without being income eligible. However, the lien remains on the property. A buyer who may wish to buy the property to live in may assume the loan so long as they can document that they are income-eligible (≤ 80% AMI). Default can occur if the property is sold or transferred to another person and/or if the borrower fails to use the home as a principal residence, without prior written approval of the North Carolina Housing Finance Agency. The Grant: To pay for soft costs including application outreach/intake/management, environmental reviews/inspections/testing and project assessment/documentation/ estimating/bidding, NCHFA will create a Grant Agreement not to exceed $10,000. The grant has no repayment or recovery terms. What Kinds Of Work Will Be Done? Each house selected for assistance must be rehabilitated to meet ESFRLP Rehabilitation Criteria. That means every house must, upon completion of the rehabilitation: • meet the more stringent requirements of either NCHFA’s Essential Property Standard or the Albemarle
Commission’s Minimum Housing Code (These are “habitability standards” which set minimum standards for decent, safe and sanitary living conditions.) Additionally, the home must meet applicable Lead-Based Paint regulations 24 CFR part 35.
• retain no “imminent threats” to the health and safety of the home’s occupants or to the home’s “structural integrity”. (An example of an imminent threat to occupants as well as to the home’s structural integrity is an infestation of insects or a crawlspace that is too damp).
These requirements are spelled out in full in the ESFRLP Administrator’s Manual which you may view, at reasonable times, upon request, at the program contact’s at the Albemarle Commission or anytime online at www.NCHFA.com. In addition to the above items that must be done to satisfy NCHFA requirements, the scope of work may include approved items meant to reduce future maintenance and operational costs or to further protect homes from natural disasters and/or home modifications designed to enable greater accessibility for household members to function more independently as they age. Once the rehabilitation is complete, major systems in the home that, with reasonable maintenance and normal use, should be capable of lasting another 5 years include: structural support, roofing, cladding and weatherproofing, plumbing, electrical and heating/cooling systems. Of course, contractors performing work funded under ESFRLP are responsible for meeting all local requirements for permits and inspections. All work done under the program must be performed to meet NC State Residential Building Code standards. (This does not mean, however, that the whole house must be brought up to current Building Code Standards.) What About Lead-based Paint? Until it was discovered to be a health hazard, lead was used for centuries to make house paints. Now we know that lead exposure is a serious problem for everyone and especially small children. Selling lead paint was outlawed in 1978, but many older buildings still contain lead paint and children are still being poisoned. Under ESFRLP, a lead hazard evaluation must be performed on every home selected for rehabilitation that was built before 1978. The specific type of evaluation and the appropriate lead hazard reduction work performed will depend on the total amount of Federal funds used to rehabilitate the home, as per 24 CFR part 35. If required, lead-based paint hazard reduction and/or abatement will be performed by contractors who are trained and certified to perform such work.
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It may be necessary for the household to relocate during the construction process for protection against lead poisoning. If relocation is required, it shall be the responsibility of the homeowner to pay for the relocation. Who Will Do the Work On the Homes? The Albemarle Commission is obligated under ESFRLP to ensure that quality work is done at reasonable prices and that all work is contracted through a fair, open and competitive process. To meet the requirements, the Albemarle Commission will conduct a bid process which will allow all vendors qualified (using the Albemarle Commission vendor process) to provide quotes, bids or proposals for the product or services needed on each home. For additional information about procurement and disbursement procedures, please refer to the Albemarle Commission ESFRLP Procurement and Disbursement Policy for the 2019 Cycle • All qualified vendors will be invited to bid on each home and the lowest responsive and responsible bidder
will be selected for the contract. Every reasonable effort will be made to receive at least three quotes, bids or proposals for the product or services needed.
• All contractors working on pre-1978 units must be Renovation, Repair and Painting Rule (RR&P) Certified
Renovators working for Certified Renovation firms. • Homeowners who know of quality rehabilitation contractors that are not on the approved contractors’
registry are welcome to invite them to apply. What Are The Steps In The Process, From Application To Completion? You now have information about how to apply for the Essential Single-Family Rehabilitation Loan Pool (ESFRLP) and what type of work can be done through the Program. Let’s go through the steps for getting the work done: 1. Completing a pre-application form: Homeowners who wish to apply for assistance must do so by July 31,
2020. Apply by contacting the Albemarle Commission ESFRLP Coordinator at the Albemarle Commission Office at 512 South Church Street in Hertford, NC. Other regional locations may be established at a later date. Proof of ownership and income will be required. Those who have applied for housing assistance in the past may not automatically be reconsidered. A new pre-application must be submitted. Applicants after July 31, 2020 will be placed on a list for a review of qualifications only after it is determined that sufficient funds and time remain available once those who applied by the application deadline have been qualified, ranked and their needs determined.
2. Client Referral and Support Services Many homeowners seeking assistance through the Essential Single-Family Rehabilitation Loan Pool may also need other services. If the ESFRLP staff meet the homeowner during the application process, they will provide pamphlets and a list of the agencies with contact information for the resources and programs available in the County. For households that meet the requirements of the pre-application step and qualify to receive assistance through the ESFRLP program, additional verbal discussion will be offered during the Screening of applicants and/or Pre-rehab inspection steps of the program.
3. Preliminary inspection: the Albemarle Commission's Rehabilitation Specialist will visit the homes of eligible households to determine the need and feasibility of the home for rehabilitation.
4. Screening of applicants: Applications will be ranked by the Albemarle Commission based on the priority
system outlined on page 4 and the feasibility of rehabilitating the house. Households to be offered assistance will be selected by August 31, 2020. Household income will be verified for program purposes only (information will be kept confidential). NCHFA will verify ownership of the property by conducting a title search. From this review, the five most qualified applicants will be chosen according to the priority system described above; the remaining applicants will be placed on a list of alternates in the order that they qualified.] The Albemarle Commission will then submit to NCHFA an ESFRLP Loan Application and
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Reservation Request for each potential borrower for approval. Applicants not selected for ESFRLP assistance will be notified in writing.
5. Written agreement: A HOME Owner Agreement, between the homeowner and the Albemarle Commission, will be executed as part of the Loan Application and Reservation Request procedure (that formally commits funds to a dwelling unit). This agreement will certify that the property is the principal residence of the owner, that the post–rehab value of the property will not exceed 95% of the 203(b) limits established by HUD and defines the ESFRLP maximum amount and form of assistance being provided to the homeowner, the scope of work to be performed, the date of completion and the rehabilitation criteria and standards to be met.
6. Pre-rehab inspection & unit evaluation: The Albemarle Commission’s Rehabilitation Specialist will visit
the home again for a more thorough inspection. All parts of the home must be made accessible for inspection, including the attic and crawlspace. The owner should report any known problems such as electrical short circuits, blinking lights, roof leaks, etc. Each unit will be evaluated for energy-saving opportunities such as air-sealing and duct-sealing as well as for environmental concerns, such as lead based paint hazards, radon and asbestos.
7. Work write-up: The Rehabilitation Specialist will prepare complete and detailed work specifications
(known as the "work write-up"). A final cost estimate will also be prepared by the Rehabilitation Specialist and held in confidence until bids are received from contractors.
8. Lead and Other Testing: The Albemarle Commission will arrange for a certified firm to inspect all pre-
1978 constructed homes for potential lead hazards (required) and asbestos hazards (as deemed necessary before or after 1978). All homes will be tested for radon. The owner will receive information covering the results of the tests and any corrective actions that will be needed as part of the rehabilitation.
9. Bidding: The work write-up and bid documents will be conveyed to all contractors from the Approved
Contractors Registry who will be given no less than seven days in which to inspect the property and prepare bid proposals. Each contractor will need access to all parts of the house in order to prepare a bid. A bid opening will be conducted at the Albemarle Commission Office at 512 South Church Street in Hertford, NC at a specified date and time, with all bidders invited to attend.
10. Contractor selection: Within 7 days of the bid opening the winning bidders will be selected. All bidders
and the homeowner will be notified in writing of 1) the selection of the winning bid, 2) the amount of the winning bid, and 3) the specific reasons for the selection, if other than the lowest bidder was selected.
11. Loan closing and contract execution: Loan documents (Promissory Note and Deed of Trust) will be
prepared by NCHFA as the lender and executed by the homeowner. By law, homeowner’s have the right to hire legal representation of their choosing at loan closing. If a homeowner does not have “representation” at the closing, the borrower must sign a NCHFA “Legal Advice Disclosure”. Rehabilitation contract documents will be executed by the homeowner and contractor with the Albemarle Commission signing on as an interested third party prior to the commencement of any construction. The Albemarle Commission will facilitate with the loan closing and recordation of these documents and forward the recorded documents to NCHFA.
12. Pre-construction conference: A pre-construction conference will be held at the selected applicant’s home.
At this time, the homeowner, contractor and ESFRLP the Albemarle Commission program representatives will discuss the details of the work to be completed. Starting and ending dates will be finalized, along with any special arrangements such as weekend or evening work hours and disposition of items to be removed from the home. The Albemarle Commission will issue a "proceed order" formally instructing the contractor to commence work by the agreed-upon date.
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13. Construction: The contractor is responsible for obtaining and posting all permits for the project before beginning work. The Albemarle Commission ESFRLP Program staff will closely monitor the contractor during the construction period and local Code Enforcement Officials will inspect the work. To protect personal property the homeowner will be responsible for working with the contractor toward clearing work areas of personal property as needed as much as practicable. The contractor will be responsible for all clearing and cleaning activities necessary due to construction activities.
14. Change Orders: All changes to the scope of work must be approved by the owner, the contractor, the
Albemarle Commission’s Rehabilitation Specialist, and the Albemarle Commission program contact and reduced in writing as a contract amendment ("change order"). The owner, contractor and two Albemarle Commission personnel must execute any change order agreements to the construction contract.
15. Progress payments: The contractor is entitled to request two partial payments and a final payment. When
a payment is requested, the Rehabilitation Specialist will inspect the work within three days. 16. Closeout: When the Rehabilitation Specialist and the Homeowner are satisfied that the contract has been
fulfilled, the Homeowner, Project Administrator and Rehabilitation Specialist will sign off on the work. All material and workmanship will be guaranteed by the contractor for a period of one-year from the date of completion of the work as established by the date on the final pay requisition.
17. Post-construction conference: Following construction, the contractor and the Rehabilitation Specialist
will sit down with the Homeowner one last time. At this conference the contractor will hand over all owner's manuals and warranties on equipment and materials to the homeowner. The contractor and Rehabilitation Specialist will go over operating and maintenance requirements for the new equipment, materials and appliances and discuss general maintenance of the home with the Homeowner. The Homeowner will have the opportunity to ask any final questions about the work.
18. Final loan amount determination: If, upon completion of all rehabilitation work, the contract price has
changed due to the effect of change orders, NCHFA will prepare an estoppel for a loan reduction or modification agreement for loan increases as necessary at the time of closeout of the unit to modify the loan amount when there is a need for a change order involving a change in the original loan amount). The loan will remain the property of NCHFA, with original documents remaining there for storage and “servicing. Please note that it is the responsibility of the owner to record an estoppel if they wish this to be reflected in the Deed of Trust.
19. The warranty period: It is extremely important that any problems with the work that was performed be
reported by the homeowner to the Albemarle Commission Rehabilitation Specialist or other representative, as soon as possible in writing. All bona fide defects in materials and workmanship reported within one year of completion of construction will be corrected free of charge by the Contractor.
What are the key dates? If, after reading this document, you feel that you qualify for this program and wish to apply, please keep the following dates in mind: • Applications available to the public starting April 1, 2020 • Applications must be turned in at the Albemarle Commission by 5:00 PM on July 31, 2020. • Selection of units will be made on August 31, 2020. • All rehabilitation work must be under contract by December 31, 2022. • All rehabilitation work must be completed by June 26, 2023.
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How do I request an application? Contact: Executive Director The Albemarle Commission 512 S. Church St. Hertford, NC 27944 Phone: (252) 426-5753 Or: pick up an application at the Albemarle Commission located at 512 S. Church St., Hertford, NC 27944. Is there a procedure for dealing with complaints, disputes and appeals? Although the application process and rehabilitation guidelines are meant to be as fair as possible, the Albemarle Commission realizes that there is still a chance that some applicants or participants may feel that they are not treated fairly. The following procedures are designed to provide an avenue for resolution of complaints and appeals. During the application process: 1. If an applicant feels that his/her application was not fairly reviewed or rated and would like to appeal the
decision made about it, he/she should contact the Executive Director of the Albemarle Commission, within five days of the initial decision and voice their concern.
2. If the applicant remains dissatisfied with the decision, the detailed complaint should be put into writing. A written appeal must be made within 10 business days of the initial decision on an application.
3. The Albemarle Commission will respond in writing to any complaints or appeals within 10 business days of receiving written comments.
During the rehabilitation process: 1. If the homeowner feels that construction is not being completed according to the contract, he/she must
inform the contractor and the Rehabilitation Specialist, preferably in writing. 2. The Rehabilitation Specialist will inspect the work in question. If he finds that the work is not being
completed according to the contract, the Rehabilitation Specialist will review the contract with the contractor and ask the contractor to correct the problem.
3. If the Rehabilitation Specialist finds that the work is being completed according to contract, the complaint will be added to the applicant’s file and the Rehabilitation Specialist and the homeowner will discuss the concern and the reason for the Rehabilitation Specialist’s decision.
4. If problems persist, the homeowner must put the concern in writing and a mediation conference between the homeowner and the contractor may be convened by the Rehabilitation Specialist and facilitated by the Albemarle Commission’s Program Contact.
5. Should the mediation conference fail to resolve the dispute, the County Manager will render a written final decision.
Final Appeal: After following the above procedures, any applicant or homeowner who remains dissatisfied with the Albemarle Commission’s final decision may appeal in writing to Michael Handley, NCHFA, PO Box 28066, Raleigh, NC 27611-8066, (919) 877-5627. Will the personal information provided remain confidential? Yes. All information in applicant files will remain confidential. Access to the information will be provided only to the Albemarle Commission employees who are directly involved in the program, the North Carolina Housing Finance Agency, the US Department of Housing and Urban Development (HUD) and auditors. What about conflicts of interest? No employee or board member of the Albemarle Commission, or entity contracting with the Albemarle Commission, who exercises any functions or responsibilities with respect to the ESFRLP project shall have any interest, direct or indirect, in any contract or subcontract for work to be performed with project funding, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. Relatives of the Albemarle Commission employees, members of
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the Board of Delegates and others closely identified with either, may be approved for rehabilitation assistance only upon public disclosure before the Albemarle Commission’s program contact and written permission from NCHFA. What about favoritism? All activities under ESFRLP, including rating and ranking applications, inviting bids, selecting contractors and resolving complaints, will be conducted in a fair, open and non-discriminatory manner, entirely without regard to race, color, religion, national origin, sex, familial status and disability. Outreach Efforts of the ESFRLP Program The County makes citizens aware of the ESFRLP program and other housing rehabilitation opportunities through various service providers and specific outreach efforts. At minimum, the County will advertise or publish an article about the Essential Single-Family Rehabilitation Loan Pool Program via the following media/venues: the Scuppernong Review, at senior center and social service locations throughout the County, on the County's website and through the local feeding programs. Who can I contact about the ESFRLP program? Any questions regarding any part of this application or program should be addressed to: Executive Director Mike Barnette, Program Manager The Albemarle Commission McDavid Associates, Inc. 106 S. Water Street 3714 N. Main Street 512 S. Church Street P.O. Drawer 49 Hertford, NC 27944 Farmville, NC 27828 Phone: (252) 426-5753 Phone: (252) 753-2139 The Executive Director is authorized to amend this Assistance Policy as needed for effective program execution. This Assistance Policy is adopted this day of May, 2020. __________________________________ Tracey Johnson, Chair
Attest:
___________________________ Clerk to the Board
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GRANT PROGRAM BUDGET ALBEMARLE COMMISSION CHOWAN COUNTY SERVICE AREA 2020 ESFRLP PROGRAM Section 1. The Program authorized is the Essentials Single Family Rehabilitation Loan Pool Program (ESFRLP) described in the work statement contained in the grant agreement between this unit and the North Carolina Housing Finance Agency. This project is more familiarly known as the 2020 ESFRLP Program. Section 2. The officers of this unit are hereby directed to proceed with the Grant Program Budget within the terms of the grant documents, the rules and regulations of the NC Housing Finance Agency and the budget contained herein. Section 3. The following revenues are anticipated to be available to complete this Program: NC Housing Finance Agency $190,000.00 Other Funds 0.00 Total $190,000.00 Section 4. The following amounts are appropriated for the Program: Hard Costs $150,000.00 Soft Costs 40,000.00 Total $190,000.00 Section 5. The Finance Director is hereby directed to maintain within the Grant Program Fund sufficient specific detailed accounting records to provide the accounting to the grantor agency required by the grant agreement and federal and state regulations. Section 6. The Finance Director is authorized to revise the existing budget as needed to make needed changes between and above listed line items within the ESFRLP revenues available. Section 7. The Board recognizes the Commission may receive additional revenues from the ESFR Loan Pool to do additional units and authorizes the Finance Director to make appropriate changes as needed to this budget to accommodate for these additional revenues and expenditures. Section 8. Funds may be advanced from the General Funds for the purpose of making payments as due. Reimbursement requests should be made to the grantor agency in an orderly and timely manner. Section 9. The Finance Director is directed to report annually on the financial status of each project element in Section 4 and on the total grant revenues received or claimed. Section 10. The budget officer is directed to include a detailed analysis of past and future costs and revenues on this grant project in every budget submission made to this board. ds
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Section 11. Copies of this grant project budget shall be made available to the budget officer and the Finance Director for direction in carrying out this Program. Adopted this day of May, 2020 Tracey Johnson, Chair ATTEST: Clerk to the Board
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GRANT PROGRAM BUDGET ALBEMARLE COMMISSION PERQUIMANS COUNTY SERVICE AREA 2020 ESFRLP PROGRAM Section 1. The Program authorized is the Essentials Single Family Rehabilitation Loan Pool Program (ESFRLP) described in the work statement contained in the grant agreement between this unit and the North Carolina Housing Finance Agency. This project is more familiarly known as the 2020 ESFRLP Program. Section 2. The officers of this unit are hereby directed to proceed with the Grant Program Budget within the terms of the grant documents, the rules and regulations of the NC Housing Finance Agency and the budget contained herein. Section 3. The following revenues are anticipated to be available to complete this Program: NC Housing Finance Agency $190,000.00 Other Funds 0.00 Total $190,000.00 Section 4. The following amounts are appropriated for the Program: Hard Costs $150,000.00 Soft Costs 40,000.00 Total $190,000.00 Section 5. The Finance Director is hereby directed to maintain within the Grant Program Fund sufficient specific detailed accounting records to provide the accounting to the grantor agency required by the grant agreement and federal and state regulations. Section 6. The Finance Director is authorized to revise the existing budget as needed to make needed changes between and above listed line items within the ESFRLP revenues available. Section 7. The Board recognizes the Commission may receive additional revenues from the ESFR Loan Pool to do additional units and authorizes the Finance Director to make appropriate changes as needed to this budget to accommodate for these additional revenues and expenditures. Section 8. Funds may be advanced from the General Funds for the purpose of making payments as due. Reimbursement requests should be made to the grantor agency in an orderly and timely manner. Section 9. The Finance Director is directed to report annually on the financial status of each project element in Section 4 and on the total grant revenues received or claimed. Section 10. The budget officer is directed to include a detailed analysis of past and future costs and revenues on this grant project in every budget submission made to this board.
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Section 11. Copies of this grant project budget shall be made available to the budget officer and the Finance Director for direction in carrying out this Program. Adopted this day of May, 2020 Tracey Johnson, Chair ATTEST: Clerk to the Board
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GRANT PROGRAM BUDGET ALBEMARLE COMMISSION WASHINGTON COUNTY SERVICE AREA 2020 ESFRLP PROGRAM Section 1. The Program authorized is the Essentials Single Family Rehabilitation Loan Pool Program (ESFRLP) described in the work statement contained in the grant agreement between this unit and the North Carolina Housing Finance Agency. This project is more familiarly known as the 2020 ESFRLP Program. Section 2. The officers of this unit are hereby directed to proceed with the Grant Program Budget within the terms of the grant documents, the rules and regulations of the NC Housing Finance Agency and the budget contained herein. Section 3. The following revenues are anticipated to be available to complete this Program: NC Housing Finance Agency $190,000.00 Other Funds 0.00 Total $190,000.00 Section 4. The following amounts are appropriated for the Program: Hard Costs $150,000.00 Soft Costs 40,000.00 Total $190,000.00 Section 5. The Finance Director is hereby directed to maintain within the Grant Program Fund sufficient specific detailed accounting records to provide the accounting to the grantor agency required by the grant agreement and federal and state regulations. Section 6. The Finance Director is authorized to revise the existing budget as needed to make needed changes between and above listed line items within the ESFRLP revenues available. Section 7. The Board recognizes the Commission may receive additional revenues from the ESFR Loan Pool to do additional units and authorizes the Finance Director to make appropriate changes as needed to this budget to accommodate for these additional revenues and expenditures. Section 8. Funds may be advanced from the General Funds for the purpose of making payments as due. Reimbursement requests should be made to the grantor agency in an orderly and timely manner. Section 9. The Finance Director is directed to report annually on the financial status of each project element in Section 4 and on the total grant revenues received or claimed. Section 10. The budget officer is directed to include a detailed analysis of past and future costs and revenues on this grant project in every budget submission made to this board.
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Section 11. Copies of this grant project budget shall be made available to the budget officer and the Finance Director for direction in carrying out this Program. Adopted this day of May, 2020 Tracey Johnson, Chair ATTEST: Clerk to the Board
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A RESOLUTION APPROVING AN UPDATE TO THE ALBEMARLE COMMISSION’S ACCOUNTING POLICIES AND
PROCEDURES MANUAL
ALBEMARLE COMMISSION BOARD OF DELEGATES May 21, 2020
Tracey A Johnson Board Chair
David Whitmer Interim Executive Director www.albemarlecommission.org 512 South Church Street
Hertford, NC 27944 P: 252.426.5753 F: 252.426.8482
WHEREAS, the Albemarle Commission is the WIOA Fiscal Agent for the Northeastern Workforce Development Board, pursuant to Section 107(d)(12)(B)(i)(I) of the Workforce Innovation and Opportunity Act; and WHEAREAS, the NC Department of Commerce Division of Workforce Solutions provides programmatic and financial oversight to the statewide utilization of WIOA Title I funding; and WHEREAS, the NC Department of Commerce Division of Workforce Solutions requires WIOA Fiscal Agents to incorporate escheatment processes in their financial policies; NOW THEREFORE BE IT RESOLVED that the Albemarle Commission’s Board of Delegates hereby approves: Amending the Accounting Policies and Procedures Manual to add section XV to read as follows: “Albemarle Commission’s Escheatment Policy Albemarle Commission will take the following steps for escheating uncashed checks: 1. Albemarle Commission will receive an uncashed check log from Albemarle Regional Health Services every month after bank reconciliations are performed. 2. Albemarle Commission will contact any businesses or individuals with checks issued more than 60 days in the past to determine why they have not cashed the check. 3. If a response is not received after attempted contact, Albemarle Commission will hold the funds for one year. 4. After one year, the unclaimed funds will be turned over to the NC State Treasurer via Unclaimed Property Reports, and based on NC Department of Treasury guidelines.”
CAMDEN
CHOWAN
CURRITUCK
DARE
GATES
HYDE
PASQUOTANK
PERQUIMANS
TYRRELL
WASHINGTON
COLUMBIA
CRESWELL
DUCK
EDENTON
ELIZABETH CITY
GATESVILLE
HERTFORD
KILL DEVIL HILLS
KITTY HAWK
MANTEO
NAGS HEAD
PLYMOUTH
ROPER
SOUTHERN SHORES
WINFALL
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A RESOLUTION APPROVING AN UPDATE TO THE ALBEMARLE COMMISSION’S ACCOUNTING POLICIES AND
PROCEDURES MANUAL
ALBEMARLE COMMISSION BOARD OF DELEGATES May 21, 2020
Tracey A Johnson Board Chair
David Whitmer Interim Executive Director www.albemarlecommission.org 512 South Church Street
Hertford, NC 27944 P: 252.426.5753 F: 252.426.8482
This Resolution shall become effective upon adoption. Adopted this 21st day of May, 2020. ___________________________________ Tracey A. Johnson, Chairperson ATTEST: _________________________________ Ashley Stallings, Program Administrative
and Benefits Coordinator
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9. Old Business
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10. New Business
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11. Staff Reports
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Area Agency on Aging
IMPACT Report APRIL 2020
Area Agency on Aging Updates:
Service Updates: The Area Agency on Aging staff continue to provide services and supports to older adults and their caregivers throughout the region. While some clients have suspended services due to COVID-19, we have seen an increase in service request from older adults who are needing additional supports because of the stay-at-home order/ recommendation. This is particularly true of the Senior Nutrition Program. During our response to the CODIV-19 pandemic, I will be providing these IMPACT reports monthly to provide the Albemarle Commission Board an overview of the needs of older adults in our community and the AAA’s response to those needs. If you have any questions, please don’t hesitate to contact our office anytime! In March 2020, the AAA provided the following services to older adults, 60+, in our 10-county region through the Home and Community Care Block Grant (HCCBG):
• 2,013 hours of in-home aide services • 195 general and medical transportation trips in nine counties-
Due to COVID-19, ICPTA stopped provided non critical care transportation, effective March 17, 2020 until further notice.
• 0 full days of adult day health care in five counties, including Camden, Chowan, Currituck, Pasquotank and Perquimans. - Due to COVID-19, DayBreak, Adult Day Health Care, closed temporary on March 17, 2020. They are expected to be closed until May 31, 2020.
2020-21 HCCBG Planning Meeting are schedule for May 26-27. Contracts will be sent to the county’s for signature in June. The AAA continues to work with the Division of Aging and Adult Services (DAAS) and the Executive Director to figure out the best usage of the Family’s First and CARES stimulus funding. There are several different ways that we can utilize that funding, including services, administration, etc. Depending on the usage, there may be local matches included and local restrictions, including indirect cost. We are working with DAAS to get more clarification before making a decision.
Updates & Reminders: May is Older American’s Month! This years theme is “Make Your Mark!” Thank you to all of the Counties that have declared May as Older American’s Month in your respective County! June 15th is World Elder Abuse Awareness Day! The AAA is working on a social media campaign to bring awareness to the issues of Elder Abuse, Neglect and Exploitation! On May 21, 2020 the AAA will be partnering with the NC Attorney General’s Office to host a webinar to educate older adults and their caregivers about COVID-19 related Scams. For more information, contact Lynne Raisor at 252-404-7090 or [email protected]. You can also register on the AC website. Stay informed!! Like us on Facebook @albemarlecommissionaaa
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Senior Nutrition Program:
The Senior Nutrition Program has increased the number of meals that we are serving significantly in response to COVID-19.
Home Delivered Meals (HDM): As of Mid-May, we have seen an increase in the HDM program by 45% throughout the region. We are currently serving 474 older adults on the HDM program. That’s up from 328 before March 16.
Pick-Up Program: Since our congregate meals programs are still closed for the foreseeable future, we continue to offer the pick-up program in many of our counties. This program has seen an 18% increase since the beginning of the program. We are now serving 301 older adults daily. In the month of April we served the following meals throughout the region:
• 6,687- Home Delivered Meals • 6,634- Pick-Up Meals/ Congregate
Meals Due to reporting guideline, providing county by county numbers would likely be very confusing due to the way the Administration for Community Living (ACL) is categorizing congregate clients who are now on a Home Delivered Meals route. Although the numbers reflect 50/50, about 70% of the meals are actually delivered to the client’s homes. If you are interested in county specific information, please email me directly at [email protected] and I will try my best to explain your respective county as each county is different in the way they are serving the seniors in need.
More than a Meal… Thanks to the funding from the Albemarle Commission Board of Delegates in March, a grant from the United Way and private donations, we were able to assist nearly 100 older adults with personal care needs such as personal hygiene items, hand soap, toilet paper, paper towels, hand sanitizer, and incontinent supplies during the month of April! We provided over 125 lbs of pet food to almost 30 home delivered meals clients. This was made possible through a wonderful partnership with Eastern Pet Company of Elizabeth City! The AAA provided 160 additional meals/ shelf stable meals to clients in need. We also partnered with a community group in Herford who is feeding homebound, older adults in the Town of Herford on the weekends. In partnership with that group, we provided over 80 meals in April. The AAA sent out 142 Cards of Encouragement to homebound older adults who have been identified as being higher risk for social isolation and loneliness. Cards were donated by individuals and local churches. We currently have 30 clients on the Mom’s Meals program throughout the region. These clients are either waiting for the traditional HDM program or live in an area that we do not currently serve. All Congregate and Home Delivered Meals Clients continue to get telephone reassurance telephone calls weekly to make sure they are doing well. Thank you to our local senior centers for partnering with us to make this possible!
45%
18%
“These meals have been such a blessing. I cannot thank you enough for your help during this time.”
- E. Jones, 96
138
Family Caregiver Support Program: The Family Caregiver Support Program was fortunate to receive a donation of 200 packs of incontinent supplies from CVS Health to support the caregivers in our region during COVID-19. This will be distributed to clients in need throughout the region. The Family Caregiver Resource Specialist hosted a webinar in April called Managing Caregiver Stress During COVID-19. The keynote speaker was Heather Brewer, a licensed clinical social worker and author. There were 11 individuals registered for this webinar. Several attendees emailed our Family Caregiver Resource Specialist after the webinar to thank her and let her know how helpful the information was afterward! We are in the process of scheduling more webinars in the future.
Long-Term Care Ombudsman Program:
The Long-Term Care Ombudsman has been busy chairing the State Association Legislative committee, addressing many of the issues dealing with COVID-19 in Long Term Care Facilities. Additionally, she is responding to the calls and complaints from families and residents throughout the region. All complaints are being addressed over the phone as she is not allowed to make in person visits at this time. Thanks to a grant from Southern Bank, we were working on purchasing data packages and iPads for four adult care homes and family care homes without available technology to allow residents to skype or facetime with their family members during this time.
Albemarle Senior Games: The AAA has officially canceled the 2020 Albemarle Senior Games. Registered participants will be notified this week. Refunds will be made available for individuals that registered for bowling, billiards, and golf. AAA staff will have pick up sites available in each county for participants to pick up their t-shirts.
Feel free to contact our office if you have any questions or concerns about the Area Agency on Aging or senior services available in your community! Laura Alvarico, MBA Area Agency on Aging Director 252-404-7078 [email protected]
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May 15, 2020
Albemarle Rural Planning Organization program update for the Albemarle Commission Board of Delegates April meeting
• The ARPO program continues to fully function outside of the office setting.
• All ARPO related meetings are being held via Zoom, Microsoft Teams and teleconference.
• The ARPO 3rd Quarter invoice has been approved and we are waiting for the reimbursement
funds. This is the 80% reimbursement to the Albemarle Commission for funds spent on the RPO in the 3rd Quarter (salary, insurance, travel, office supplies etc.) The other 20%, the Albemarle Commission receives via County member dues specifically charged to them for the ARPO.
• We were recently notified the Bicycle and Pedestrian plan grant deadline was extended to
Tuesday, June 30, 2020 at 5 p.m. The Town of Edenton is interested in applying for this grant and I have been working with them on the information I will need to include in the RTAC meeting packet so the RTAC can endorse their application.
• The Safe Routes to Schools grant continues to move forward. NC State is still not approving any proposed travel for this project. If they are still under travel and social-distancing restrictions for months to come, they may need to adjust some of timelines and/or deliverables. Unless travel and social distancing are restricted for months to come, I still do not foresee any issue with all deliverables, in year 1, being completed.
• The NCARPO Administrative Documents Committee has been reviewing a new Lead Planning Agency (Albemarle Commission) agreement and has forwarded comments to COG Directors. This agreement is between the NCDOT and the Albemarle Commission and outlines funding, reimbursements, and the roles and responsibilities of both the NCDOT and Lead Planning Agency (LPA- the Albemarle Commission) for the RPO program. It will replace the LPA agreement the Albemarle Commission Board of Delegates approved when the ARPO was set up in 2002. The new agreement should come before the Albemarle Commission Board of Delegates in June for review and approval.
• At the end of April, the NCDOT reported they are facing a $300 million shortfall, for the fiscal year ending June 30, 2020, due to lost revenue from the Motor Fuels Tax, Highway Use Tax and DMV fees. Since the NCDOT is fully funded through these fees and taxes, they have had to notify local governments and stakeholders all but about 50 projects, scheduled to start in the next 12 months, have been delayed. Projects still able to move forward are funded with GARVEE bonds, BUILD NC bonds and federal grants. Here are the ARPO projects which have been delayed at this time.
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Page 2 of 2
• I am in the process of reviewing a geodatabase provided to us by the NCDOT. The
geodatabase includes, public transit facilities, railway corridors, project proposals (bike/ped,
highway, ferry, etc.), NCDOT structures (bridges (including deficiencies) etc. in the ARPO
region.
• I can be reached on my cell phone 252.548.7789 or via email at [email protected] if you have any questions or concerns.
County Project number
Project description Original Let date
New Let date Reason
Camden I-6026 PASQUOTANK COUNTY LINE TO VIRGINIA STATE LINE. PAVEMENT REHABILITATION
2/16/2021 2/15/2022 Funding
Currituck R-2576 MID-CURRITUCK BRIDGE, COINJOCK TO COROLLA. NEW STRUCTURE OVER CURRITUCK SOUND AND UPGRADE APPROACHES.
10/20/2020 7/20/2021 Funding
Perquimans R-5740 SR 1331 (RED BANK ROAD) TO SR 1300 (NEW HOPE ROAD). UPGRADE ROADWAY.
4/2020 5/19/2020 Additional utility coordination was needed around large culverts
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143
NWDB Updates | May 2020 | 1
Report from NWDB Interim Director, Emily Nicholson
Albemarle Commission Board of Delegates | May 2020
Staffing: We are currently in the final stages of interviewing for two open career advisor positions for the Elizabeth City Center and in the final stages of interviewing for a contracted position for our Local Career Pathways Specialist that will oversee the #worklocal initiative as well as other responsibilities. We are working on developing a virtual on-boarding process so that we can avoid further delay of the beginning date for these prospective hires.
Current Title 1 Participant #’s: o Adult-110 o Dislocated Worker-7 o Active Out-of-school & In-school youth-56
Remote Work Environment & Virtual Enrollments → Staff have done a phenomenal job at transitioning to the remote work environment. They were already
equipped with laptops and cell phones, which made this transition easier and we have learned to use other platforms to ensure efficiency, such as a digital document signing program.
→ We have finally gotten guidance/clearance from the Department of Labor on how to conduct virtual enrollments, so we have begun implementing those strategies and have concluded that this will be helpful even after the pandemic (i.e., allows us to enroll individuals faster in some cases).
Updates on Services → NWDB has implemented a soft skills training suite and Career Readiness Certificate preparatory suite that is
completely virtual based. It’s called WIN Career Readiness. The system provides learners the opportunity to explore the world of work, discover the education and training pathways to get there, and develop the foundational career readiness skills for lifelong success. We also continue to use our IBM Employability assessments that are also completely virtual and allows employers to vet candidates by using any of the 1,500 available assessments…all free to customers.
→ We have sent a draft policy for approval to the Albemarle Commission Attorney that will enable us to purchase technology items (laptops, wi-fi’s, printers, etc.) for participants that need them for academic purposes. We have also developed a plan to loan laptops to Finish Line Grant participants.
Engaging with Businesses → Our Business Engagement Coordinator, Amber Morse, continues to regularly check in with area businesses that
were impacted by the pandemic. To date, she has contacted 94 businesses in our region to offer support pertaining to any downsizing they’ve faced and to ensure they are aware of services, such as OJT and Employee Training Grants. Their top concerns are:
→ NWDB began using a texting platform that will allow us to communicate more efficiently with customers, participants and communities in general. The first event we facilitated using the texting platform was a virtual
144
NWDB Updates | May 2020 | 2
career fair (flier attached). It was such a success that the deadline had to be extended! We are very excited about the future prospects of this platform
o If you’d like to try it out, just text NCWorks Tuition to 56512!
NCWorks Career Centers → We are very excited that the Elizabeth City Career Center will be relocated to Jordan Plaza on July 16th! The
center will be closed on the 16th and 17th for the transition. We plan to have a ribbon cutting in the Fall and will keep you apprised as to the event details.
→ The Labor & Economic Analysis Division of Commerce has released a new website that is an interactive dashboard of unemployment claims. This reflects a great deal of information pertaining to the effect of COVID-19 in localities. You can visit the press release announcing this dashboard here: https://www.nccommerce.com/news/press-releases/march-2020-monthly-unemployment-insurance-claims-now-available
→ Here is some key data from the end of March that we pulled from it: o Total UI claims for our 10 counties? 5,589 o Total COVID-19 related UI claims for our 10 counties? 4,690 o Percentage of COVID claims against total claims:84% o Top 3 industries hit by highest UI claims:
Leisure and Hospitality: 2,394, 42.8% of claims Trade, Transportation & Utilities: 724, 13% of claims (unknown/unclassified rank next at 708
claims or 12.7% of claims) Education & Health Services: 594 or 10.6% of claims
o Top 3 counties with UI claims: Dare: 2,720 total claims of which 2,306 are COVID related Pasquotank: 980 of which 797 are COVID related
145
NWDB Updates | May 2020 | 3
Currituck: 841 of which 737 are COVID related
→ NWDB will work within the parameters of the Albemarle Commission’s re-opening plan and has begun working on a plan to begin a phased re-opening of the career centers beginning May 26th.
→ The Career Centers transitioned to a remote working format during the pandemic. The staff were equipped with cell phones (listed below) to continue assisting customers. NCWorks Career Centers do not process unemployment claims and unfortunately, many members of the community still believed these are “unemployment offices” and this has led to high call volumes from claimants, which staff are not always able to assist with as they do not have access to the UI system. Here’s some data to represent that:
Elizabeth City/Edenton Dare Total Calls from March 20-April30 1474 3,973
→ The best site to share with people that have UI questions is: https://des.nc.gov/need-help/covid-19-nc-unemployment-insurance-information
→ Feel free to share the following cell phone numbers below should any of your contacts have questions: o Elizabeth City Cell Phone Numbers: 919-610-2544; 984-297-2658; 919-812-5103; 919-632-6166 o Dare Cell Phone Numbers: 984-960-8704; 984-365-8272; 919-623-3550
Common Questions from Callers with Example Answers:
→ I am self-employed and have never filed a UI claim before. I can’t get the phone number or the website to respond back to me. How do I go about filing my claim? The easiest and most proficient way to file an UI claim is to go under www.des.nc.gov and file claim. You may need to do late at night, early in the morning or on the weekend. At least attempt to file the claim and DES will have record that you tried and will back the claim up to the week you first attempted when you finally get hold of them.
→ The system tells me my username and password don’t match or I am locked out, what do I do? At first this was hard to answer, but once we found out why they were locked out (Old username and password back when they used the SSN as username). We advised them they needed to get hold of DES so we gave them both email addresses. [email protected] and [email protected]. They have now made this easier to do through the DES website by lifting some of the restrictions that would not allow a claimant to reset username and password.
→ What do I do if employer calls me back to work but I don’t have daycare? One of the questions that you answer each week when you file your weekly certification is: During the week did you refuse work? If you refused work you need to answer the question correctly and the adjudication department will determine if you are still eligible based on the law. We can’t answer this question as it must do with the circumstances of the claimant and the employer. We advise claimants to have a one on one with the employer to see if can work things out until daycare is available.
→ Employers are frequently asking how to report that employee has refused to come back to work? I was advised that the employer can go under their UI account and there is a place where they can let DES know that claimant refused work. This will be an ongoing question until all this is over with.
→ My state unemployment claim has become exhausted. What do I do now? You must wait for PEUC to be implemented. Once PEUC is implemented you will be paid retroactively from when you stopped filing. Now we just refer them to DES website as PEUC is fully explained on the website now.
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NWDB Updates | May 2020 | 4
Miscellaneous NWDB staff continues to work on the Comprehensive 4-year state plan. That will soon be available for public comment on the NWDB website: nwdbworks.com. Background information on state plans: The Workforce Innovation and Opportunity Act (WIOA) requires each Workforce Development Board (WDB) to develop and submit, in partnership with the local chief elected official, a comprehensive four-year plan. The WIOA Program Year (PY) 2020 Plan is to provide current information and be effective July 1, 2020 - June 30, 2024 and will include all current local policies. The local and regional plan will support the alignment strategy described in the 2020-2024 NC Unified State Plan in accordance with WIOA Section 102(b)(1)(E), and otherwise be consistent with the NC Unified State Plan. North Carolina Governor Roy Cooper’s mission is to ensure North Carolinians are better educated, healthier, and have more money in their pockets so that they can live more abundant, purposeful lives. The cornerstone to achieving this goal is to help people get good-paying jobs to support themselves and their families. Through NC Job Ready, Governor Cooper’s workforce development initiative, North Carolina is working to build a stronger and better workforce. NC Job Ready is built on three core principles: education and skills attainment are the foundation to a strong and resilient workforce; an employer-led workforce development system is key to the growth of a highly skilled and job ready workforce; and local innovation is critical to a dynamic and effective workforce system. In addition, Workforce Development Boards shall comply with WIOA Sections 106 through 108 in the preparation and submission of the plan.
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12. Executive Director
Report
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Page 1 of 2
Interim Executive Director Report by Dave Whitmer May 2020
• This has been a very busy month and staff have continued teleworking as
much as possible due to COVID 19. With the release of Governor Cooper’s three phase plan to reopen NC, the AC was in need of a plan for reopening to staff and customers. I received input from the Executive Committee and worked with the Commission’s Leadership team (Program Directors, Finance Officer, and Administrative & Benefits Specialist) to develop a plan that would focus on ensuring the best interests of our staff and customers. I sent this plan out with my weekly update on 5.11.2020 and it is also attached to this report.
• While I have transitioned many of my NWDB Director duties to Emily Nicholson, who was appointed as NWDB Interim Director, there are still things that I have to be involved with. One of these items is the NWDB Annual Financial Monitoring. This is conducted by the Division of Workforce Solutions and is a very intensive process. This is typically done through a 4 to 5-day site visit, but due to COVID-19, it is being done virtually this year. This monitoring started the last week of April and the exit interview is schedule for May 14th.
• Included in the board packet is a Resolution to add escheatment procedures
to the Commission’s Accounting Policies and Procedures Manual. This is required of the Commission as NWDB’s Fiscal Agent by the Division of Workforce Solutions.
• I have made efforts this month to focus on outreach to promote the impact
that the Commission has throughout the region. I did a radio interview that was aired on four different radio station. I also worked with the Program Directors to do a second YouTube video that focused on introducing the directors and highlighted the work of the Commission. I am very thankful for the Directors helping out with this.
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Page 2 of 2
• The proposed FY 2020-2021 budget will be presented to the board for final approval at the June 2020 board meeting.
• The proposed audit contract and engagement letter for FYE 6/30/2020 audit
from Alan Thompson, CPA, at a cost not to exceed $25,00 is included in the board packet for approval. It has been reviewed by Attorney John Leidy. Attorney Leidy has indicated that the contract is satisfactory as to form and he recommends approval.
• We have received post approval documents for the Essential Single Family
Rehab Loan Pool Program (ESFRLP) for Chowan, Perquimans, and Washington Counties. The AC Board of Delegates authorized applying for this program at the November 2019 board meeting.
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152
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13. Reports from
Committees
154
14. Chairman & Board Delegate Comments
155
15. Closeed Session
Closed session pursuant to N.C.G.S. 143-318.11(a)(3) to consult with the Board attorney regarding a matter within the attorney/client privilege and to preserve that privilege; and N.C.G.S. 143-318.11(a)(6) to discuss one or more confidential personnel matters.
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16. Adjournment
NEXT MEETING
Thursday, June 18th, 2020 at 6:00 PM
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