SEADAE Operating Policies STATE EDUCATION AGENCY DIRECTORS OF ART EDUCATION (SEADAE) May 30, 2017
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Contents Financial Management……………………………………………….. Accounting Policy…………………………………………… Banking Policy…………………………………………………… Reimbursement Policy……………………………………………. Budget Policy………………………………………………………… Determining Compensation Policy……………………………………………… Document Retention Policy…………………….…………………………… Establishment and Management of Projects and Contracts……………… Documentation of In-Kind Support …………………………………………… Project-Based Relationships with Outside Organizations or Providers of Services…. Appendices Appendix A. Grievance Filing Form for Discrimination Appendix B. Guidelines for Federal Grant Management Appendix C. Whistleblower Policy
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Financial Management Policy Statement It is the policy of SEADAE to maintain sound financial practices necessary for the smooth functioning of the Association and to meet all federal, state, and local laws, rules, and regulations. SEADAE will adhere to General Accounting Principles (GAP) with the guidance of the organization’s accountant. Financial management for SEADAE is provided by the organization’s treasurer and executive committee along with any assigned project managers. SEADAE treasurer and executive committee are directly elected by SEADAE membership biennially. SEADAE contracts with an accountant and a project manager, both of whom are evaluated annually. Incoming treasurers, volunteers or contractors will be provided training in the financial management guidelines outlined in this manual. Accounting Policy 1. The SEADAE fiscal year shall begin January 1 and end the following December 31. The fiscal year will be named as the calendar year in which it ends. 2. The SEADAE Executive Committee is authorized to establish such administrative financial policies as shall be necessary to the sound functioning of SEADAE, consistent with the budget, these policies, and applicable laws, rules, and regulations. 3. SEADAE shall hire an accountant to assist the SEADAE treasurer with the accounting and reporting requirements of the organization, including the preparation of the annual budget, the preparation of quarterly financial updates for members, the annual IRS Form 990 tax return, and any other financially-related reporting requirements. 4. The SEADAE treasurer shall report at least quarterly to the membership on the financial position of SEADAE. This quarterly report shall include the balance sheet, profit and loss statements, budget controls reports, and any other reports requested by the membership. The treasurer shall have access to the online bookkeeping system and be trained in the ability to generate reports. 5. The SEADAE Treasurer shall post at least quarterly updated balance sheets and profit and loss statements on the secure side of the SEADAE website to allow members full access to SEADAE financial information. 6. The annual federal IRS Form 990 tax return shall be created by SEADAE contracted accountant in consultation with the SEADAE treasurer and shall be presented for review by SEADAE executive committee prior to filing. After being signed by the president and filed, the form shall be posted on SEADAE web site along with the Federal form 990T. 7. SEADAE shall maintain appropriate directors’ and officers’ insurance and such other policies as shall be determined by SEADAE executive committee to be (a) essential for the smooth functioning of the association or (b) required by law. 8. No officer, member, or other individual shall enter into contracts or incur expenses on behalf of SEADAE without prior approval of the executive committee. Any individual who incurs an unauthorized indebtedness on behalf of SEADAE shall be personally liable for that indebtedness. 3
9. All contracts, MOUs, tax forms, insurance, and other legal documents shall be signed by the president after approval by executive committee. 10. Charitable donations will be documented and recognized by SEADAE through a charitable donation acknowledgeable letter sent by the treasurer.
Banking Policy 1. The president and treasurer shall act as signatories on the SEADAE banking account(s). The transfer of signatories shall take place no longer than 60 days after the organization’s biannual election is held. 2. The treasurer or accountant shall release funds from the checking account to pay budgeted SEADAE expenses up to $500.00 per instance. Budgeted Funds over $500.00 may be released upon notification of president and past-president. 3. A debit card will be issued in conjunction with SEADAE primary checking account. The use of the debit card is subject to the following conditions: a. The president and treasurer will have the use of the organization’s debit card. b. The debit card will be used to pay sundry expenses that are best handled via debit card versus reimbursement or check (e.g., supplies during meetings, sympathy flowers, certain monthly or annual account or subscription renewals per annual budget). c. The debit card will not be used for individual officer or member expenses that require documentation through an official reimbursement form (e.g., officer travel). d. Debit is not used for anything invoiced unless under unforeseen circumstances. 2. SEADAE does not hold credit cards nor incur debt for any reason. Reimbursement Policy 1. Except as otherwise noted in 5 below, any member of SEADAE shall be reimbursed for ordinary and necessary business and professional expenses incurred on behalf of SEADAE if the expenses are adequately substantiated as required by this SEADAE policy on expense reimbursements. 2. Under no circumstances will SEADAE reimburse members for business or professional expenses incurred on behalf of SEADAE that are not properly substantiated. 3. All expenses must be substantiated within 60 days after the expense is incurred unless an extenuating circumstance is approved by the executive committee. 4. SEADAE members may be reimbursed for SEADAE-related travel or business upon proper completion of an approved Travel Reimbursement Form which can be found at https://docs.google.com/spreadsheets/d/1WlWAS0RPY6686vf5l0jHGV4oipuynGpAlZsJ DRFjBZ0/edit#gid=1353684905. 5. Consultants, presenters, or other providers of services considered as temporary shall be paid under a separate Memorandum of Understanding (MOU). Budget Policy 4
1. SEADAE shall have an annual budget built on best business practices, which outlines a plan for revenue and expenditures consistent with the adopted strategic plan. 2. The primary financial responsibility of the SEADAE executive committee is to maintain the fiscal integrity of the association by ensuring its strict adherence to the approved budget. 3. SEADAE president, working with the treasurer, shall annually prepare a proposed budget to be submitted to the SEADAE executive committee no later than November 1 of each year. The following considerations will be part of the budget preparation process: a) Provision shall be made to seek member input in the preparation of the budget. b) The preparation of the budget shall include a multi-year analysis of financial issues, including both historical financial performance and projected growth income. c) The budget may include multi-year financing of any program, project, or event. d) The operating budget shall be in balance each year. 4. Following approval by the executive committee, the annual budget will be presented to the SEADAE membership for formal vote prior to the start of the next fiscal year. 5. The SEADAE executive committee shall prioritize spending within each budget line item on a case-by-case basis (e.g., regarding officer or other representative travel for the purpose of representing SEADAE at meetings). 6. Copies of the approved budget will be posted on SEADAE’s web site and disbursed to the entire membership.
Policy on the Process for Determining Compensation
This Policy on the Process of Determining Compensation o f State Education Agency Directors of Arts Education (SEADAE) applies to the compensation of SEADAE members. _____ The Organization’s chief employed executive (check if applicable) 1 Chief employed executive – The CEO (i.e., Chief Executive Officer), executive director, or top management official (i.e., a person who has ultimate responsibility for implementing the decisions of the Organization’s governing body or for supervision of the management, administration, or operations of the Organization) 2 Officer – A person elected or appointed to manage the Organization’s daily operations, such as a president, vice-president, secretary or treasurer. The officers of the Organization are determined by reference to its operating policies, bylaws, or resolutions of its governing body, or as otherwise designated consistent with state law, but at a minimum include those officers required by applicable state law. Include as officers the Organization’s top management official and top financial official (the person who has ultimate responsibility for managing the Organization’s finances). 3 Key Employee – An employee of the Organization who meets one or more of the following tests: (a) $150,000 test: receives reportable compensation from the Organization and all related organizations in excess of $150,000 for the year, (b) Responsibility Test: the employee; (i) has responsibility, powers, or influence over the Organization as a whole that is similar to those of officers, directors, or trustees; (ii) manages a discreet segment or activity of the Organization that represents 10% or more of the activities, or shares authority to control or determine 10% or more of the Organization’s capital expenditures, operating budget or compensation for employees; and (c) Top 20 Test: is one of the 20 employees (that satisfy the $150,000 Test and 5
Responsibility Test) with the highest reportable compensation from the Organization and related organization for the year. ___X__ Other Officers or Key Contractor(s) of the Organization by title such as Project Manager (check if applicable) The process includes all of these elements: (1) review and approval by the executive committee or compensation committee of the Organization; (2) use of data as to comparable compensation; and (3) contemporaneous documentation and recordkeeping. 1. Review and approval. The compensation of the person is reviewed and approved by the executive committee or compensation committee of the Organization, provided that persons with conflicts of interest with respect to the compensation arrangement at issue are not involved in this review and approval. Changes to the contract such as an increase in hours or compensation formula, final approval is determined by a vote of the Organization’s membership at the annual meeting. 2. Use of data as to comparable compensation. The compensation of the person is reviewed and approved using data as to comparable compensation for similarly qualified persons in functionally comparable positions at similarly situated organizations. 3. Contemporaneous documentation and recordkeeping. T here is contemporaneous documentation and recordkeeping with respect to the deliberations and decisions regarding the compensation arrangement.
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Document Retention Policy
This Record Retention Policy of State Education Agency Directors of Arts Education (SEADAE) identifies the record retention responsibilities of members, volunteers, Board of Directors, and outsiders for maintaining and documenting the storage and destruction of the Organization’s documents and records. SEADAE will maintain financial records, supporting documents (such as cancelled checks, invoices, contracts, travel reports, donor letters, in-kind contribution reports, and personnel activity reports), statistical records, and all other records pertinent to an award one year or longer once the award final Federal Financial Report (FFR) has been filed. 1) Rules. The Organization’s members, volunteers, Board of Directors and outsiders are required to honor these rules: (a) paper or electronic documents indicated under the terms for retention below will be transferred and maintained by SEADAE, Legal or Administrative staffs/departments or their equivalents; (b) all other paper documents will be destroyed after three years; (c) all other electronic documents will be deleted from all individual computers, data bases, networks, and buck-up storage after one year; and (d) no paper or electronic documents will be destroyed or deleted if pertinent to any ongoing or anticipated government investigation or proceeding or private litigation. 2) Terms for retention. a. Retain permanently: Governance records – Charter and amendments, bylaws, other organizational documents, governing board and board committee minutes. Tax Records – Filed state and federal tax returns/reports and supporting records, tax exemption determination letter and related correspondence, files related to tax audits. Intellectual property records – Copyright and trademark registrations and samples of protected works. Financial records – Audited financial statements, attorney contingent liability letters, grant reports. 7
b. Retain for ten years: Pension and benefit records – Pension (ERISA) plan participant/beneficiary records, actuarial reports, related correspondence with government agencies and supporting records. Government relations records – State and federal lobbying and political contribution reports and supporting records. c. Retain for three years: Member records, member names, addresses, social security numbers, dates of birth, INS Form I-9, resume/application materials, position descriptions, contractual dates and termination/separation, evaluations, compensation information, promotions, transfers, disciplinary matters, time/payroll records, leave/comp time/FMLA, engagement and discharge correspondence, documentation of basis for independent contractor status (retain for all current members and independent contractors and for three years after departure of each individual). Lease, insurance, and contract/license records – License agreements, vendor, hotel and service agreements, independent contractor agreements, consultant agreements, and all other agreements. (Retain for nine years during term of the agreement and for three years after the termination, expiration, and non-renewal of each agreement). d. Retain for one year: All other electronic records, documents and files – Correspondence files, past budgets, bank statements, publications, manuals/policies, procedures, survey information. 3) Exceptions. Exceptions to these rules and terms for retention may be granted only by the Organization’s President after executive committee consultation.
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Establishment and Oversight of Projects and Contracts
SEADAE undertakes a variety of projects in support of its mission. In order to complete those projects, SEADAE may contract with organizations or individuals to undertake work on part of the organization. The following steps will be taken to insure that contractors are hired appropriately and have oversight management by SEADAE’s Executive Committee: a. SEADAE will determine the scope of work for a possible contracted position. SEADAE’s Executive Committee will look for models of contracts for similar work, as well as solicit input and suggestions from SEADAE’s membership on what to include in the scope of work. SEADAE’s Treasurer will determine what costs or expenses could be included in the Scope of Work. This can include research into similar contracted positions as well as part contract performance of the organization. i. The Scope of Work will contain assurance from the contractor that they are not debarred from receiving federal funding. ii. The Scope of Work will designate which member of SEADAE’s Executive Committee will be the project manager for the Scope of Work, providing oversight and evaluation of the contractor’s performance if/when a Proposal is awarded. iii. The Scope of Work will include evaluation criteria for the review of proposals, including cost as a factor. b. If the contract is competitive, SEADAE will post the Scope of Work as an Request For Proposal (RFP) and advertise the RFP through its network and members. The RFP will have a firm deadline for submission. c. SEADAE’s Executive Committee will select SEADAE members, including SEADAE’s President and Treasurer, to review proposals which are submitted. 9
i. Accepted Proposals must meet the cost constraints outlined by SEADAE’s Treasurer, and must guarantee that no contractors included in the proposal have been debarred or suspended from work with the federal government. ii. The review committee will check the System Award Management (S AM) to confirm that the potential awardee has not been debarred or suspended from work under federal agency guidelines. d. SEADAE’s Executive Committee will review and confirm the Selection Committee’s proposed contractor, including assurance that the contractor has been neither debarred nor suspended following federal agency guidelines. e. A contract, outlining oversight responsibilities within SEADAE as well as the work responsibilities of the contractor, will be issued by SEADAE’s President. i. Language regarding suspension/debarment will be included in the final contract, and signed off by the contractor. f. Contracts will be reviewed at least annually by the oversight designee, SEADAE President, Past President, President-Elect, and Treasurer.
Documentation of In-kind Support for Federally Funded Projects and other projects Rationale or Purpose
When allowable, SEADAE may include in-kind support as matching funds for grants. Correct documentation of SEADAE member time is required to meet federal expectations for reporting in-kind for time. 1. SEADAE will use an average cost per hour, based on at least 5 SEADAE members’ total compensation, to create project budgets and estimates of in-kind contributions during grant submission processes. 2. SEADAE will use an exact cost per hour for all voluntary hours worked, based on each individual SEADAE members’ total compensation package. The following process will be used: a. Each spring (deadline: May 15th), SEADAE’s Treasurer will collect total compensation amounts, including hourly wages + benefits, from all SEADAE members providing voluntary work hours for SEADAE. b. SEADAE members will be requested to fill out and maintain accurate records of their in-kind hours documentation via a Google doc. https://docs.google.com/forms/d/e/1FAIpQLSecvVlcxwwskdhn24wAP9h2QJ-Zhb5FO8Qt FD8gaov57_dtZg/viewform?usp=send_form The Google doc requests person’s name, description of in-kind time/project and number of hours worked with date(s) of the work. 10
c. SEADAE’s Treasurer and Contracted Accountant shall meet quarterly to review the in-kind documentation collected to date, and calculate the in-kind donations in cash equivalents for reporting on federal financial forms and to other funders as requested.
Project-Based Relationships with Outside Organizations or Providers of Services Rationale or Purpose
From time to time, SEADAE pursues relationships with outside entities directed at accomplishing specific projects. A statement of purpose and procedure clarifies the reasons and process by which SEADAE will proceed.
Policy statement
1. Legal Considerations: a. SEADAE will not enter into any relationships that jeopardize the status of the SEADAE as a 501(c)3 tax exempt organization. b. All relationships present some exposure of SEADAE to legal liabilities. Consistent with legal counsel advice, SEADAE will work to limit such liability as is appropriate to this policy. All new agreements under this policy will be reviewed by legal counsel to include review of potential conflicts of interest. 2. General Considerations a. Evaluation: Projects undertaken with outside organizations will be evaluated on the basis of the relative benefits and costs to SEADAE and to the profession as a whole. 11
“Benefits and costs” include both fiscal considerations and benefits and costs as measured by the current SEADAE strategic plan. b. Projects subject to SEADAE Executive Committee Approval: Projects with outside entities that result in sponsorships, endorsements, unrestricted grants, restricted funds, licensing agreements, symposia, professional development opportunities, or member services, will be considered by and approved by SEADAE’s Executive Committee. c. SEADAE’s membership will be informed of any pending projects and given an opportunity for feedback prior to Executive Committee Approval. SEADAE Executive Committee reserves the right to bring forward for approval any requests from outside agencies to the membership as a whole. d. Exclusivity: SEADAE will not enter into exclusive relationships with outside organizations in any specific area of the SEADAE’s endeavors except as provided below: i. Projects involving support that must in good business practice come from a single entity. In such cases, SEADAE will exercise special caution to avoid conflicts of interest. ii. A major title sponsor may require category exclusivity for the duration of the project. 3. Public relations considerations: a. The SEADAE will not enter into relationships in which the use of the SEADAE name and any service marks is deemed to reflect badly on the SEADAE by a significant number of members or constituencies. b. The SEADAE will retain editorial control over the use of its name and service marks and may discontinue the use of same at any time. c. Where materials refer to research results, appropriate citation shall be made. Scope This policy statement covers relationships with outside organizations that are directed toward the completion of specific projects.
Appendix A
State Education Agency Directors of Arts Education Discrimination Grievance Filing Form
(Modeled after the guidelines from the United States Department of Education http://doe.sd.gov/oess/documents/sped_section504_Guidelines.pdf) 1. Name, address, and phone (a daytime telephone number is helpful) and email address. 2. Please provide a general description of the person(s) or class of persons injured by the alleged discriminatory act(s). 3. The name of the injured person.
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4. A description of the alleged discriminatory act(s) in sufficient detail to enable us to understand what occurred, when it occurred, and the basis for the alleged discrimination (race, sex, color, national origin, age, or disability) Signature_______________________________________________
Print name here: _________________________________________ Date: _________ ***********************************SEADAE USE BELOW THIS LINE********************************* Date Received________
Date Responded_______
Name of SEADAE President: ________________________________ SEADAE President’s Signature ________________________________
Appendix B
Guidelines for Federal Grant Management March 2017 SEADAE Executive Committee State Education Agency Directors of Arts Education
Introduction
The purpose of this portion of the document is to provide practical information on what is expected from those who are responsible for Federal grant management, including those who prepare grant applications and reports and monitor grant activities necessary for financial management of federal funds received and managed by SEADAE to meet project and programmatic objectives of SEADAE. This manual is to be reviewed by all staff, contractors, and volunteers involved in the management of Federal awards annually, and updated as necessary to ensure compliance with Federal and funding agency requirements. As such, training will be provided to members on an annual basis and required for those involved in management of 13
federal awards. By following these guidelines SEADAE, as a non-profit organization, is prepared to meet the government-wide policies and procedures for the award and administration of grants and agreements, Code of Federal Regulations, title 2, Office of Management and Budget (2 CFR Grants and Agreements). In order to meet Federal requirements, SEADAE must follow guidelines issued from the Office of Management and Budget (OMB), the National Endowment for the Arts (NEA), and any other specific award requirements. PART 200—UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS http://www.ecfr.gov/cgi-bin/textidx? SID=f64fa5706f4298d6b0a39ba49cfbc23b&tpl=/ecfrbrowse/Title02/2cfrv1_02.tpl#200
I. Federal Regulations Basic Civil Rights
SEADAE will follow all applicable Federal regulations including but not limited to: Age 42 USC 76 6101 ET seq http://www4.law.cornell.edu/uscode/42/ch76.html Pursuant to regulations prescribed under section 6 103 of this title, and except as provided by section 6103 (b) and section 6103 (c) o f this title, no person in the United States shall, on the basis of age, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under, any program or activity receiving Federal financial assistance.
Race 42 USC 21 200d http://www.law.cornell.edu/uscode/text/42/2000d No person shall, on the grounds of race, color, national origin, age, religion, gender, sexual orientation or disability, be excluded from participation in or be subjected to discrimination in any program or activity funded, in whole or in part, by federal funds. 14
Disability 29 USC 16 794 http://www4.law.cornell.edu/uscode/29/794.html No otherwise qualified individual with a disability in the United States, as defined in section 705 (20) of this title, shall, solely by reason of her or his disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance or under any program or activity conducted by any Executive agency or by the United States Postal Service.
National Endowment for the Arts General Terms and Conditions http://arts.gov/grants/manage-your-award Upon entering into grants and agreements with the National Endowment for the Arts, SEADAE will abide by the guidelines and regulations set forth in General Terms and Conditions for Grants and Cooperative Agreements to Organizations. Policies and procedures stated within the SEADAE Financial Management Manual Operating Policies document are supplemental to and supportive of the policy requirements for grants and cooperative agreements of the National Endowment for the Arts.
Cost Principles for Non-Profit Organizations
SEADAE will follow the cost principles for non-profit organizations described below. Basic Considerations:
1. Allowability of costs. To be allowable under an award, costs must meet the following general criteria: a. Be reasonable for the performance of the award and be allocable thereto under these principles. b. Conform to any limitations or exclusions set forth in these principles or in the award as to types or amount of cost items. c. Be consistent with policies and procedures that apply uniformly to both federally financed and other activities of the organization. d. Be accorded consistent treatment. e. Be determined in accordance with generally accepted accounting principles (GAAP). f. Not be included as a cost or used to meet cost sharing or matching requirements of any other federally financed program in either the current or a prior period. g. Be adequately documented. h. Be allowable under OMB cost principles for Federal awards. 2. Allocable costs. a. A cost is allocable to a particular cost objective, such as a grant, contract, project, service, or other activity, in accordance with the relative benefits received. A cost is allocable to a Federal award if it is treated consistently with other costs incurred for the same purpose in like circumstances and if it: (1) Is incurred specifically for the award. (2) Benefits both the award and other work and can be distributed in reasonable proportion to the benefits received, or (3) Is necessary to the overall operation of the organization, although a direct 15
relationship to any particular cost objective cannot be shown. b. Any cost allocable to a particular award or other cost objective under these principles may not be shifted to other Federal awards to overcome funding deficiencies, or to avoid restrictions imposed by law or by the terms of the award. 3. SEADAE understands that under any given award, the reasonableness, allowability and allocability of certain items of costs may be difficult to determine. In order to avoid subsequent disallowance or dispute based on unreasonableness, allowability and allocability, SEADAE, in consult with the awarding agency, may seek a written agreement with the awarding agency in advance of the incurrence of special or unusual costs. Direct Costs 1. Direct costs are those that can be identified specifically with a particular final cost objective, i.e., a particular award, project, service, or other direct activity of an organization. However, a cost may not be assigned to an award as a direct cost if any other cost incurred for the same purpose, in like circumstance, has been allocated to an award as an indirect cost. Costs identified specifically with awards are direct costs of the awards and are to be assigned directly thereto. Costs identified specifically with other final cost objectives of the organization are direct costs of those cost objectives and are not to be assigned to other awards directly or indirectly.
Procurement Standards
SEADAE will abide by the following procurement standards: Purpose of procurement standards. SEADAE has established procedures for the procurement of supplies and other expendable property, equipment, real property and other services. These procedures are furnished to ensure that such materials and services are obtained in an effective manner and in compliance with the provisions of applicable Federal statutes and executive orders. Recipient responsibilities. The standards contained in this section do not relieve SEADAE of the contractual responsibilities arising under its contract(s). SEADAE is the responsible authority, without recourse to the Federal awarding agency, regarding the settlement and satisfaction of all contractual and administrative issues arising out of procurements entered into in support of an award or other agreement. This includes disputes, claims, protests of award, source evaluation or other matters of a contractual nature. Matters concerning violation of statute are to be referred to such Federal, State or local authority as may have proper jurisdiction.
Codes of conduct. No SEADAE member shall participate in the selection, award, or administration of a contract supported by Federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in the firm selected for an award. SEADAE members shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, or parties to sub-agreements. However, SEADAE Executive Board may make a determination of 16
appropriateness about situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. Competition. All procurement transactions shall be conducted in a manner to provide, to the maximum extent practical, open and free competition. Procurement procedures. (1) SEADAE will avoid purchasing unnecessary items. (2) Where appropriate, an analysis is made of lease and purchase alternatives to determine which would be the most economical and practical procurement for the Federal Government. (3) Solicitations for goods and services provide for all of the following: (i) A clear and accurate description of the technical requirements for the material, product or service to be procured. In competitive procurements, such a description shall not contain features which unduly restrict competition. (ii) Requirements which the bidder/offer must fulfill and all other factors to be used in evaluating bids or proposals. (iii) A description, whenever practicable, of technical requirements in terms of functions to be performed or performance required, including the range of acceptable characteristics or minimum acceptable standards. (iv) The specific features of “brand name or equal” descriptions that bidders are required to meet when such items are included in the solicitation. Cost and price analysis. SEADAE will conduct a price analysis and document such in the procurement files in purchases of expendable goods and materials made in the amount over $1,000.00. This does not apply to proprietary software or other customizable services directly applicable to awards and projects. Procurement records. Procurement records and files for purchases in excess of the small purchase threshold shall include the following at a minimum: (a) Basis for contractor selection; (b) Justification for lack of competition when competitive bids or offers are not obtained; and (c) Basis for award cost or price. Contract administration. SEADAE will maintain a system for contract administration to ensure contractor conformance with the terms, conditions and specifications of the contract and to ensure adequate and timely follow up of all purchases. SEADAE will evaluate contractor performance and document, as appropriate, whether contractors have met the terms, conditions and specifications of the contract. Contract provisions.
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SEADAE shall include, in addition to provisions to define a sound and complete agreement, the following provisions in all contracts. The following provisions shall also be applied to subcontracts. (a) Contracts in excess of the small purchase threshold shall contain contractual provisions or conditions that allow for administrative, contractual, or legal remedies in instances in which a contractor violates or breaches the contract terms, and provide for such remedial actions as may be appropriate. (b) All contracts in excess of the small purchase threshold shall contain suitable provisions for termination by the recipient, including the manner by which termination shall be effected and the basis for settlement. In addition, such contracts shall describe conditions under which the contract may be terminated for default as well as conditions where the contract may be terminated because of circumstances beyond the control of the contractor. (c) All negotiated contracts (except those for less than the small purchase threshold) awarded by SEADAE shall include a provision to the effect that SEADAE, the Federal awarding agency, the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any books, documents, papers and records of the contractor which are directly pertinent to a specific program for the purpose of making audits, examinations, excerpts and transcriptions. Debarment or Suspension Certification Before entering into a contract with SEADAE for Federal awards, contractor certifies that they are not debarred from receiving Federal funding. SEADAE will verify by checking the Excluded Parties List System (EPLS) maintained by the General Services Administration (GSA) and accessed through the System for Award Management (SAM) this link: https://www.sam.gov/portal/SAM/#1. Any contract issued using Federal funds must contain a statement that the recipient must comply with Subpart C of 2 CFR part 180, as required by the Federal funding agency. (see 2 CFR 180.330)
Appendix C 18
Whistleblower Policy This Whistleblower Policy of SEADAE (1) encourages contractors, board members, regular members, volunteers, and others participating in SEADAE activities to come forward with credible information on illegal practices or serious violations of adopted policies of the SEADAE organization; (2) specifies that SEADAE will protect the person from retaliation; and (3) identifies where such information can be reported. 1. Encouragement of reporting. The SEADAE organization encourages complaints,
reports or inquiries about illegal practices or serious violations of SEADAE’s policies, including illegal or improper conduct by the SEADAE itself, by its leadership, or by others on its behalf. Appropriate subjects to raise under this policy would include financial improprieties, accounting or audit matters, ethical violations, discrimination, harassment, or other similar illegal or improper practices or policies.
Protection from Retaliation. SEADAE prohibits retaliation by or on behalf of SEADAE against anyone associated with SEADAE for making good faith complaints, reports or inquiries under this policy or for participating in a review or investigation under this policy. This protection extends to those whose allegations are made in good faith but prove to be mistaken. SEADAE reserves the right to take action against persons who make bad faith, knowingly false, or vexatious complaints, reports or inquiries or who otherwise abuse this policy. 1.
Where to report. Complaints, reports or inquiries may be made under this policy on a confidential or anonymous basis. They should describe in detail the specific facts demonstrating the basis of the complaints, reports or inquiries. They should be directed to the SEADAE’s President and/or President Elect; if both of those persons are implicated in the complaint, report or inquiry, it should be directed to the Vice President. SEADAE will conduct a prompt, discreet, and objective review or investigation. It must recognized that the SEADAE may be unable to fully evaluate a vague or general complaint, report, or inquiry that is made anonymously. 1.
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