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2005-723-Minutes for Meeting April 04,2005 Recorded 5/23/2005COUNTY NANCYUBLANKENSHIP,F000NTY CLERKS vY ~00~~~~v COMMISSIONERS' JOURNAL 0512312005 03;27;00 PM IIII III [Jill[ 7 DESCHUTES COUNTY CLERK CERTIFICATE PAGE This page must be included if document is re-recorded. Do Not remove from original document. Deschutes County Board of Commissioners 1300 NW Wall St., Bend, OR 97701-1960 (541) 388-6570 - Fax (541) 385-3202 - www.deschutes.org MINUTES OF ADMINISTRATIVE LIAISON DESCHUTES COUNTY BOARD OF COMMISSIONERS MONDAY, APRIL 4, 2005 Commissioners' Conference Room - Administration Building - 1300 NW Wall St.., Bend Present were Commissioners Michael M. Daly, Dennis R. Luke and Tom DeWolf. Also present were Mike Maier, County Administrator; and, for a portion of the meeting, Dave Peterson, Information Technology Department; Joe Studer, Forester; Mike Viegas, Risk Management; Mark Pilliod, Legal Counsel; and Anna Johnson, David Givans and Susan Ross, Commissioner's Office. Also in attendance was media representative Chris Barker of the Bulletin. The meeting began at 1: 30 p. m. 1. Discussion regarding Increase in E-mail Archiving Costs. Dave Peterson explained that archiving costs are slightly higher. The contracted amount would go from $45,000 to $59,000, but the new amount would also include maintenance for two years. LUKE: Move approval. DEWOLF: Second. VOTE: LUKE: Yes. DALY: Yes. DEWOLF: Chair votes yes. 2. Discussion of Commission on Children & Families' Outside Funding Requests. Chair DeWolf explained that by having the Commission on Children & Families review funding requests, the process is much more thorough. Minutes of Administrative Liaison Monday, April 4, 2005 Page 1 of 4 Pages However, there are some requests that are out of the scope of what the Commission does and have to be addressed in another fashion. There are also requests coming in from groups that have a direct relationship with the Commission. Commissioner Luke is to meet with Hillary Saraceno of the Commission and Susan Ross to discuss the issue further. 3. Follow-up Discussion regarding Housing Issues. Sharon Miller and Melanie Harper of COCAAN (Central Oregon Community Action Agency Network), and Michael Hinton, Cyndy Cook, Laura Croska Cooper and Mary Sue Grotjohn of CORHA (Central Oregon Regional Housing Authority) reviewed the information previously presented by Paul Carlson of HUD. Three groups, COCAAN, CORHA and the Central Oregon Partnership, have been working together on a plan to address regional housing issues. The City of Bend has the highest number of homeless individuals, and Jefferson and Crook Counties also have a high need and few resources. Per Mr. Carlson's suggestions, they are developing a ten-year plan. Commissioner DeWolf asked what the appropriate role for the County would be. Ms. Miller explained that Sheriff Stiles, Parole and Probation Director Becky Wanless, Scott Johnson of the Mental Health Department, and several other County people are involved in efforts to stop the revolving door of homelessness. The State Department of Human Services also needs to play a key role in addressing the problem, as do the cities. Commissioner Daly asked that information regarding the groups' needs for funding and land should be identified and presented to the Commissioners. 4. Discussion regarding Ordinance No. 2005-014, County Internal Auditor. David Givans explained that the Audit Committee is reviewing a draft of the ordinance. They will make a formal recommendation in the near future. 5. Discussion of HB 2729, Creation of Community Forest Authorities. Joe Studer gave an overview of the Bill and its possible ramifications. Mike Maier added that the net profit to the State would go into the general fund. The Board will be updated on this issue as more information is obtained. Minutes of Administrative Liaison Monday, April 4, 2005 Page 2 of 4 Pages 6. Discussion regarding Contract Insurance Requirements. Mike Viegas stated that he is sending letters to those companies and individuals who haven't provided the necessary insurance documents giving them thirty days to provide the documents. In most cases the "additional insured by endorsement" document is missing; some insurance companies are charging their clients for the additional document. Susan Ross said that it is sometimes hard to get these documents quickly but the work needs to start. Commissioner Luke noted that some have more exposure than others. Mr. Viegas said he is doing his best to obtain the documents from various companies and individuals; however, it will be an ongoing challenge. 7. Project Update. Susan Ross advised that bids are being solicited for the La Pine Senior Center project. This is a private/government project, since the County will be involved for five years because grant funds are being utilized. 8. Discussion of Sage View Documents. Mark Pilliod said that there are a couple of questions on two documents; he and attorney Ron Bryant reviewed the documents and feel they are ready for signature. Per the lender's requirements, deed restrictions cannot be inserted in the documents. These documents will be prepared for the Board to approve at the Wednesday, April 6 Board meeting. 9. Other Items. Commissioner Luke said a suggestion has been made that a street in the La Pine New Neighborhood be named in honor of George Read. Mike Maier pointed out that the Board had not allowed this in the past. Commissioners Daly and DeWolf stated they would support it since Mr. Read was very involved in the La Pine project from its conception, and this naming could be handled through a resolution. Minutes of Administrative Liaison Monday, April 4, 2005 Page 3 of 4 Pages Being no further items addressed, the meeting adjourned at 3:25 p.m. DATED this 4th Day of April 2005 for the Deschutes Con Commissioners. Tom DeWolf, Board of . Daly,,Commissioner ATTEST: (Recording Secretary 13nnis R. Luke, Commissioner Attachments Exhibit A: Meeting agenda (1 page) Exhibit B: Documents regarding the County Internal Auditor (6 pages) Exhibit C: Human Services Agencies Funding Requests (1 page) Exhibit D: Insurance Status (1 page) Minutes of Administrative Liaison Monday, April 4, 2005 Page 4 of 4 Pages .,>T E s C ~MO Deschutes County Board of Commissioners 1300 NW Wall St., Suite 200, OR 97701-1960 (541) 388-6570 - Fax (541) 385-3202 - www.deschutes.org ADMINISTRATIVE LIAISON AGENDA DESCHUTES COUNTY BOARD OF COMMISSIONERS 1:30 P.M., MONDAY, APRIL 4, 2005 1:30-1:40 1. Discussion regarding Increase in E-Mail Archiving Cost - Dave Peterson 1:40- 1:50 2. Discussion of Commission on Children & Families' Outside Funding Requests - Tom De Wolf, Susan Ross 1:50 - 2:00 3. Follow-up Discussion regarding Housing Issues - Sharon Miller, COCAAN 2:00 - 2:15 4. Discussion regarding Ordinance No. 2005-014, County Internal Auditor - David Givans 2:15-2:30 5. Discussion of HB 2729, Creation of Community Forest Authorities - Joe Studer 2:30- 2:45 6. Discussion regarding Contract Insurance Requirements - Mike Viegas, Mark Pilliod 2:45 - 3:00 7. Project Update - Susan Ross 8. Discussion of Sage View Documents - Susan Ross, Mark Pilliod 3:00- 3:15 9. Other Items Exhibit Page 1 of / Chapter 2.14. COUNTY INTERNAL AUDITOR 2.14.010. Appointment of County Internal Auditor. 2.14.020. Qualifications of County Internal Auditor. 2.14.030 Scope of Audits. 2.14.040. Internal Audit Schedule. 2.14.050. Funding. 2.14.060. Access to Employees, Records and Property. P 2.14.070. Audit Reporting and Records. 2.14.080. Contract Auditors, Consultants and Experts. Y 2.14.090. Quality Assurance Review. 2.14.100. Audit Committee. 2.14.010. Appointment of County Internal Auditor. x The County Internal Auditor shall be appointed by and serve at th pleasure of the County Administrator in consultation with the Audit Committee and the43QCC. The Cou* Internal Auditor reports functionally to the Audit Committee on the selection, plarmwI~;, execution and r is of audit activities. However, the County Internal Auditor shall report to the Counities Acfinmistrator for purposes of the Internal Auditor's office space, equipment and normal administrative 2.14.020. Qualifications of CourrA %`Iuter1l,Auditor. The Internal Auditor shall possess Li(Q t irate professional proficiency, demonstrated by relevant certification, such as CPA (Certified Public Acco mlt itt), CIA (Certified Internal Auditor), CGAP (Certified Government Auditing Professional) or a;cbm,b.irmtion ofrducation and experience as would be desired by the County. 2.14.030 Scope of 4ludits 1. The Int4al Auditor shaWenduct work in accordance with government auditing standards and county polici& Thy: Cbtljlt~ 1 Internal Auditor shall establish internal auditing policies and procedures to assure that audit -"o k coiii feted in accordance with those standards. Any audit work that is undertaken not in 11i~ia~~ itlh.stapdards shall be disclosed in the Internal Auditor's report. 2`::::The Intcnii Auditor shall have authority to conduct financial, attestation, and performance audits of all *artmer , offices, boards, activities and agencies of the County in order to independently and ohjeoiyv1y determine whether: activities and programs being implemented have been authorized by County Code, state law or applicable federal law or regulations; b. activities and programs are being conducted as prescribed by management/governing body to accomplish the objectives intended by County Code, state law or applicable federal law or regulations; c. activities or programs efficiently and effectively serve the purpose intended by County Code, state law or applicable federal law or regulations; Chapter 2.14 1 _ f09120041 _ Exhibit Q~ Page / of Co ,t d. activities and programs are being conducted and funds expended in compliance with applicable laws; e. revenues are being properly collected, deposited and accounted for; f resources, including funds, property and personnel, are adequately safeguarded, controlled and used in an effective and efficient manner; g. financial and other reports are being provided that disclose fairly and fully all information that is required by law, that is necessary to ascertain the nature and scope of programs and activities and that is necessary to establish a proper basis for evaluating the programs and activiti(s; h. there are adequate operating and administrative procedures and practices, systems or accounting internal control systems and internal management controls which have been est ,Rished by management; and i. there are indications of fraud, abuse or illegal acts, which need further invc~ti~aiiun. 3. The Internal Auditor may also provide non-audit services (consulting) that >MQ DOt covered by governmental auditing standards. Non-audit services differ from audit; in that Intl rnal.,ViJitors may a. Perform tasks requested by management that directly sutc it t> ` enthtyLs operations; b. Provide information or data to a requesting party ~u t ppXviding verification, analysis or evaluation. These non-audit services should be approved by the Audit Committee. If the non-audit work is anticipated to be less than 100 hours, the non-audit work may I e"'ipproved- lb the County Administrator. Internal Auditors should continue to work independently din fae and ~ippearance) when performing non-audit services. The County Internal Auditor will decide and advise`the County Administrator if the non-audit work may jeopardize independence and whAef the work shoulbe performed. 4. Internal Auditors need to considerhre neral classes of impairments to independence-personal, external, and organizational. If on r" rnorre -~tflese impairments affects an individual auditor's capability to perform the work and repolts impartiall` that Internal Auditor should either decline to perform the work, or in those situatipri becau of a legis ttive requirement or for other reasons, cannot decline to perform the work, should disclose tht impairment in their report. Internal Auditors shoM npt pcrlorrn'ipinagement functions or make management decisions. Performing management functions r mik-m- nlahagement decisions might impair the Internal Auditor's ability to perform audits of that or ,,i r:elatedaubject matter. 2.14.040. Inteinal;AuditSt-, ule. At the betainnui~~~~~fr4aco calendar (or fiscal) year, the County Internal Auditor shall submit a one to five- yAr 'Iudit sahule to the Audit Committee for review and comment. This audit work schedule should m(:,or1)u1*,1t2 information from multiple sources including the County Internal Auditor's assessment of sigriie~ult ri { to the organization. The schedule shall include the proposed plan for auditing departments, offices; k oar.ds, activities, subcontractors and agencies for the period. This audit work schedule should be approveq.'annually by the Audit Committee. It may be amended during the period. Additionally, the County Internal Auditor may spontaneously initiate and conduct any other audit deemed necessary. Any significant audit or non-audit projects (greater than 100 hours) should be approved by the Audit Committee. In the selection of audit areas and audit objectives, the determination of audit scope and the timing of audit work, the Internal Auditor should consult with external auditors so that the desirable audit coverage is provided and audit effort is properly coordinated. Chapter 2.14 2 (09/2004) Exhibit 6 Page- of M 2.14.050. Funding. The County shall provide sufficient funds to enable the County Internal Auditor to carry out the responsibilities specified herein. In order to maintain Internal Auditor independence, the Budget Committee's Compensation Committee should review the compensation of the County Internal Auditor. 1. The County Internal Auditor shall establish an organizational structure appropriate to carrying out the responsibilities and functions of this ordinance within the constraints of the budget. Thi$ organization will be referred to as the internal audit program. Personnel acting on behalf of the Pro a%ni will be referred to as Internal Auditors. 2. Within the, internal audit program, the County Internal Auditor shall have the P8W-e! to appoint, mploy, and remove such assistants, employees and personnel (as deemed necessary a;i,-d in ~ons.iiltati ith the PA, County Administrator) for the efficient and effective administration of the Pro'granI. 2.14.060. Access to Employees, Records and Property. 1. All officers and employees of Deschutes County shall furnish tli~ I n tei 1141 Auditor with unrestricted access to employees, information and records (including electronic/computerized data) within their custody regarding powers, duties, activities, organization, property, finan&al transactions, contracts and methods of business required to conduct an audit ot-,otlfeywise per_foi•m audit duties. In addition, they shall provide access for the Internal Auditor to insect al'!vp operty, equipment and facilities within their custody. A discussion of appropriate access should occu~~~ ounty Counsel if access to documents is restricted by applicable law. 2. Further, all contracts with outside contractor s and subcontractors shall provide for Internal Auditor access to the contractually related financial olid j~.crformance-related records; property, equipment and services purchased in whole, or in part, wi govemm vital funds 3. If such officers, employees o; cOntr tors fail tojoroduce the aforementioned access and/or information, the Internal Auditor with the ai le:of Nunty Legal Counsel may initiate a search (or obtain a subpoena) to obtain exhibit copies (physical OI clcctronic) from computerized systems, book, paper or record of any such official or emp%gg,, oI o I i t (1~ _c« ntractor or subcontractor, in accordance with state law or the applicable contract. y' 4. Subject tq,,pplhNc rec is aws, the Internal Auditor shall not publicly disclose any information received during an audit that i, consi red confidential by any local, state or federal law or regulation. 2.14.070 - Audrt Repor tiug and Records. L,Irh au(1'it.will ult in a report containing relevant background information and findings and onunei Ations, and shall communicate results to the Board of County Commissioners, Audit C)mmittt' and appropriate management. Subject to applicable public records laws, the report shall als'6- he ailable for public examination. If certain pertinent information is prohibited from general disclosure, the audit report should state the nature of the information omitted and the requirement that makes the omission necessary. 2. The Internal Auditor should follow state archive guidelines (currently - a retention schedule of 7 years). 3. The County Internal Auditor should periodically report to the Audit Committee (and Board of County Commissioners) on the work performed and any significant findings, which have not been fully addressed by management. Chapter 2.14 3 _ (09/2004) - Exhibit Page 3 of & 4. The Internal Auditor shall follow-up on audit recommendations, as practical, to determine if management is implementing corrective action as identified in their response to the audit report findings and recommendations. The Internal Auditor may request periodic status reports from auditees regarding actions taken to address reported deficiencies and audit recommendations. 2.14.80. Contract auditors, consultants and Experts. 1. Within budget limitations, the County Internal Auditor may obtain the services of Certid Public Accountants, qualified management consultants, or other professional experts necessary'to_perform auditor duties. An audit that is performed by contract must be conducted by persons wli.o, 'arc independent of the governmental unit and its officers. The County Internal Aud-itox,~~ ill coo i- lin*e and monitor auditing performed by public accounting, professional experts, or other ~r~~~~iiirations employed under contract by Deschutes County. 2. The County Internal Auditor may participate with the Audit Committee in the sei~ctiof qualified finalists for the provider of Deschutes County's annual financial n~iid it: The A mrit Committee shall 4 select a provider from the finalists. This selection shall be pres,~Pted to':the board of County Commissioners for review and approval. The process will follow De"h utes County's contracting processes. This contract may extend for up to five years. 2.14.090. Quality Assurance Reviews. 1. The audit activities of the County Internal Auditor's office slim be subject to quality review in accordance with applicable government atidit`ing standards b} professional, non-partisan objective group (such as the National Association E t: Local Governm' riA Auditors (NALGA)). A copy of the written report of this independent rem, ew Imll be furnished to the Audit Committee and the Board of County Commissioners. This re: (shall be"available to the public. 2. The quality control reviews I.det one com f lance with government auditing standards and the quality of the audit effort and r('. p( g, including: a. general standar,,dssuch as corfence, professional judgment, and quality assurance; b. fieldwork stand i f ids iu~'Y it. planning, supervision, and evidence; and c. ortirrg standarc such as report content, timeliness and distribution. 3. The Couut~ h<i l l'i i ~1ht~r e the costs of the quality control review team from funds budgeted in the Count , I Illy -Iii I , Auditor's budget. Within available time constraints, the Internal Auditor may cc iprocatr. ith -~)th'er organizations by participation in quality control teams. 6. n 2.14.10.0,::: :audit Committee. The BoaciJ of County Commissioners has delegated authority (by separate policy) over the internal audit program p the Audit Committee. The Audit Committee is established to consult with the County Internal Auditor regarding establishment of audit schedule, audit progress, audit follow-up, special needs; and shall work to assure maximum coordination between the work of the Internal Auditor and the needs of the County Administrator, the Board of County Commissioners and external auditors. The Board of County Commissioners shall appoint Audit Committee members and a majority of the appointees shall be independent of the local government's management. The Board of County Commissioners shall appoint at least one of its members to serve as a voting member on the committee. Chapter 2.14 4 (09/2004) Exhibit 13 Page Y of Co REVIEWED LEGAL COUNSEL REVIEWED CODE REVIEW COMMITTEE BEFORE THE BOARD OF COUNTY COMMISSIONERS OF DESCHUTES COUNTY, OREGON An Ordinance Adopting Chapter 2.14, County Internal Auditor, of the Deschutes County Code and * ORDINANCE NO. 2005-014 setting forth the conditions and specifics under which said appointment shall function. WHEREAS government auditing independently reviews, evaluates and reports on the financial condition, the accuracy of financial record keeping, compliance with applicable laws, policies, guidelines and procedures, and efficiency and effectiveness of operations; and WHEREAS management and employees in the public sector are responsible for taxpayer use of public resources and should be held accountable for their use; and WHEREAS it is vital that government exercise its power and perform its duties in compliance with law, policy, and established procedures and apply good judgment and sound management practices; and WHEREAS the independence and public accountability of the internal auditor can be assured by provision of an independent, legislatively ratified auditor; now therefore THE BOARD OF COUNTY COMMISSIONERS OF DESC14UTES COUNTY, OREGON, ORDAINS as follows: Section 1. ADDING NEW CHAPTER. The Deschutes County Code is amended by adding a new chapter, Chapter 2.14, County Internal Auditor, set forth in Exhibit "A " attached hereto and by this reference incorporated herein. DATED this day of , 2005. PAGE 1 OF 2 - ORDINANCE NO. 2005-014 ( 'D%Y4 Exhibit _ Page S -of(" BOARD OF COUNTY COMMISSIONERS OF DESCHUTES COUNTY, OREGON TOM DEWOLF, Chair MICHAEL M. DALY, Commissioner DENNIS R. LUKE, Commissioner Date of I" Reading: day of , 2005. Date of 2nd Reading: day of , 2005. Record of Adoption Vote Commissioner Yes No Abstained Excused Tom DeWolf Michael M. Daly Dennis R. Luke Effective date: day of , 2005. 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