DATE ISSUED: 10/3/ of 20 LDU CH(LOCAL)-X

Transcription

1 BOARD AUTHORITY DEFINITION OF MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISE PROGRAM BUSINESS DEVELOPMENT AND ASSISTANCE ETHICAL STANDARDS The Board of Trustees ( Board ) of the Dallas Independent School District ( District ) has adopted these rules and procedures for the acquisition of goods and services. These rules and procedures develop and implement a comprehensive procurement system for the District. This purchasing system is in accordance with local, state, and federal statutes, regulations or ordinances, and good business practices, as well as the provisions in the annual budget adopted by the Board for the current fiscal year. The term minority-/women-owned business (M/WB) means a business in which at least 51 percent is owned by members of a minority group or women or in the case of a corporation, at least 51 percent of the shares are owned by members of a minority group(s) or women in its daily operations. Minority groups include African Americans, Hispanic Americans, Native Americans, Asian- Pacific Americans, and Asian-Indian Americans. In accordance with the District s Minority- and Women-Owned Business Enterprise Program ( M/WBE program ), all purchases and transactions shall follow the guidelines specified in the M/WBE Program Guidelines. [See the M/WBE Guidelines for detailed requirements and procedures for this program, which includes duties and responsibilities District-wide.] The requirements and intent of the M/WBE program are binding and material to all departments, campuses, and other individuals who create, review, procure, award, modify, or administer financial transactions within the District. It is a continuing goal of the District to involve minority- and women-owned businesses to the maximum extent possible in all facets of the District s contracting and purchasing activities. The M/WBE Department may establish narrowly tailored goals, which will be based upon current evidence of utilization and availability. A copy of the M/WBE Program Guidelines and Submittal Requirements shall be included in all purchasing bid documents for bids, proposals, or contracts for $50,000 and over, including procurements for construction and professional services. The Purchasing Department, in conjunction with the M/WBE Department, shall actively foster relationships with minority/women business enterprises to encourage participation in all phases of the District s procurement and contracting opportunities and to afford them full and fair opportunity to compete for District contracts. During the course of pursuing contracts, and the course of contract performance, contractors and consultants and their subcontractors, DATE ISSUED: 10/3/ of 20

2 sub-consultants, and vendors shall maintain business ethics standards aimed at avoiding real or apparent impropriety or conflicts of interest. Violation of these standards may result in the cancellation of existing purchase orders or contracts or exclusion from current or future procurements. All vendors and employees must follow conflicts of interest avoidance and other ethical standards as set out in DBD and should be aware of questionnaires and documents as required by Texas Local Government Code Chapter 176, as well as applicable federal regulations with any proposal or other writing related to a potential agreement with the District in compliance with E(LEGAL). All related ethics documents shall be publicly posted on the District's procurement website. The District is further entitled to request a representation letter from contractors or consultants; their subcontractors; sub-consultants; or vendors at any time to disclose all things of value passing from contractors or consultants; subcontractors; or vendors to the District's personnel, its Board members, officers, agents, or consultants. RESTRICTED CONTACT PERIOD PURPOSE CONFLICTS OF INTEREST The District shall implement a restricted contact period to enforce its commitment to ethical contracting standards and improve accountability and public confidence. It is important to avoid both the appearance of conflicts and actual conflicts of interest. The implication from the appearance of a conflict of interest is just as important as the implication from an actual conflict. If an outside independent party might question the intent of a transaction or relationship, such transaction or relationship is deemed to impact the appearance of a conflict and therefore, should be avoided. Circumstances related to an appearance of conflict include those that would cause a reasonable and informed third party, having knowledge of the relevant information, to reasonably conclude that a Board member or employee has compromised objectivity related to a vendor relationship. For purposes of this policy, vendor s representative shall mean an employee, partner, director, board member or officer of a potential vendor or consultant, lobbyist, actual or potential subcontractor of a vendor, or any other individual or for-profit or nonprofit organization acting through or on behalf of any person seeking a contract award or on behalf of a group of interested individuals or members seeking a contract award. DATE ISSUED: 10/3/ of 20

3 PROCUREMENT METHODS APPLICABILITY EXCEPTION TIME PERIOD Texas Education Code Section allows for the purchase of goods and services through one of the multiple procurement methods. The restricted contact period applies to the acquisition of goods or services using the procurement methods identified above as well as renewal periods for contracts previously awarded by the Board with renewal options. Restricted Contact Period shall mean a prohibition on any communication regarding any request for proposal (RFP), bid, or other competitive solicitation (as defined in the procurement methods above) between: 1. Any person who seeks an award from the District or its affiliated entities including a potential vendor or vendor s representative; and 2. Any Board member, Superintendent, senior staff member, principal, department head, director, manager, or other District employee who has influence in the evaluation or selection process. Furthermore, campaign contributions, gifts, donations, and any other items of value are prohibited between the parties defined above for any known contract under consideration during the restricted contact period. The District shall review historical campaign finance reports to identify campaign contributions for the applicable period and hold newly elected Board members to the same accountability standard as existing Board members during the restricted contact period. The restricted contact shall not apply to communication with the District s Legal Services, Procurement Services staff, and Minority and Women Business Enterprises staff. Such communications shall be limited to the purpose of obtaining clarification or information concerning the subject solicitation or conducting contract negotiations. The restricted contact period shall begin upon the issuance of an RFP, bid, or other competitive solicitation (as defined under procurement methods above) and will officially end upon execution of an award by the Board and/or the execution of a negotiated contract, whichever represents the final act in the procurement process. A weekly notification shall be sent to the Board, Superintendent, and cabinet-level staff members of open competitive solicitations, and the notification shall remain in effect until the execution of the awarded contract by all required parties. The Procurement Services Department shall also provide public notice on DATE ISSUED: 10/3/ of 20

4 the District s website at the same time the notification is sent. Regardless of the above time period, it is not acceptable for a potential vendor to participate in determining the scope of work, strategic direction, technical specifications, or evaluation criteria of such projects. Nothing contained in this policy shall prohibit any potential vendor or vendor s representative from: 1. Making public representations at scheduled pre-bid conferences or scheduled selection and negotiation committee meetings; 2. Engaging in contract negotiations during any scheduled meeting; 3. Making a public presentation to the Board during any duly noticed public meeting; or 4. Conducting business on contracts previously executed and currently in force. The potential vendor or vendor s representative shall send all written communication directly to the designated procurement staff. Nothing in this policy shall prohibit the procurement staff from initiating a contact with a potential vendor or vendor s representative and subsequent communication for the purpose of obtaining clarifying information regarding a response to an RFP, bid, or competitive solicitation. Such contact shall be in writing and shall be provided to the members of the applicable procurement staff, including any response thereto. E-Rate program employees and Board members, to the best of their knowledge, shall not communicate with any E-Rate vendor/service provider, related officers, and/or key employees prior to the issuance of an RFP. Once an RFP is issued and until contract execution, E-Rate program employees and Board members shall not communicate with any E-Rate vendor/service provider, related officers, and/or key employees except for certain limited conditions allowed for the Procurement Department. The restricted contact period does not apply to communications regarding existing E-Rate contracts or day-to-day operational matters. VIOLATION Any suspected violation of the restricted contact period shall be reported to the Office of Internal Audit or the Office of Legal Services and may result in the recommendation for award, to the potential vendor or vendor s representative, being withdrawn or may DATE ISSUED: 10/3/ of 20

5 result in a vendor s contract being deemed void or voidable. The potential vendor or vendor s representative determined to have violated this rule shall be subject to debarment from bidding and contracting activities of current and future projects for a period up to two calendar years (24 months). In addition to any other penalty provided by law, violation of the restricted contact period by a District employee shall subject the employee to disciplinary action up to and including dismissal. Board members who have violated the restricted contact period and/or received campaign contributions, gifts, donations, or any other items of value from such vendor representatives during the restricted contact period shall abstain from voting on such matters for a period up to two calendar years (24 months). In the event that a Board member or candidate unknowingly accepts a campaign contribution, gift, donation, or any other item of value from a vendor representative during the restricted contact period, it shall be his or her duty to return the contribution within ten business days after becoming aware of the conflict with this policy. FORMAL COMPLAINTS VENDOR CONTACT WITH BOARD MEMBERS BOARD MEMBER CONTACT WITH VENDORS This policy is not intended to prohibit contractors and their representatives from issuing formal complaints or concerns about potential conflicts of interest during the restricted contact period. Persons doing business with the District shall refrain from contacting individual members of the Board regarding any aspect of the business during the restricted contact period as described above. Communication with the Board regarding any aspect of the business during this time period shall be in writing and addressed to all Board members. Individual Board members who are contacted by persons regarding their commercial business matters with the District shall refer such persons to the office of the Superintendent of Schools for administrative response. [See BBFA,, and E for policies and (REGULATIONS).] Conducting business shall include participation in a pending procurement, the negotiation of any contract, the performance of any contract, the selling of any product, and the performance of any service. [See policies at BBFA] Board members shall refrain from contacting persons seeking to do business with the District during the restricted contact period as described above. DATE ISSUED: 10/3/ of 20

6 VENDOR OFFERS TO INSTRUCTIONAL / SUPPORT PERSONNEL INSTRUCTIONAL SERVICES APPROVAL TENOLOGY SERVICES APPROVAL E-RATE COMPLIANCE OFFICER APPROVAL REQUIRED CONSTRUCTION PURASING AUTHORITY Vendors are prohibited from offering gifts or favors that could influence, or that could be construed to influence, purchases utilizing District funds. Employees shall refuse any such offers and shall report such offers to their principal or department head. The principal or department head shall immediately report any such incidents to the Procurement Services Department. [See policies at DBD and E] No campus or department may initiate any transaction for any goods, services, or technology, including pilot programs, relating to the instructional process, including, but not limited to, supplemental programs, speakers, professional services, and resources (other than state-adopted materials), unless approved by the Superintendent of Schools or designee for curriculum and instruction for alignment with the District's curriculum standards as stated in the current Board-adopted District Improvement Plan or its successor document. No campus or department may initiate any transaction for any goods, services, or equipment, including pilot programs, relating to the technology program of the District, including, but not limited to, software, professional services, networks, hardware, programmers, and service personnel, unless approved by the Superintendent of Schools or designee for technology, for compatibility and compliance with the District Technology Plan as stated in the current Board-adopted District Improvement Plan or its successor document. No request to purchase E-Rate eligible goods, services, equipment, or pilot programs, for which the District will seek E-Rate reimbursement, shall be submitted to the Board for final approval unless the E-Rate compliance officer or designee has previously reviewed the request and issued a written approval. The E-Rate compliance officer s approval shall be sought only after the E-Rate purchase request has first been approved by the Superintendent of Schools or designee for technology. Procurement requirements for renovations, alterations, new buildings, and other construction-related work are outlined in the CV policy series. Except as otherwise authorized or required by law, the Board shall determine the method of purchasing that provides the best value for the District for all purchases valued at $50,000 or more in the aggregate for each 12-month period. Construction contracts shall be governed by the CV series. Contracts for professional services and items that are available from only one source shall be governed by state law, except as otherwise required by federal law or this policy. DATE ISSUED: 10/3/ of 20

7 Unless otherwise determined by the Board, the Board shall annually review the methods proposed in the Purchasing Manual to determine which methods provide the best value for the District. To assist the Board, the Superintendent of Schools or designee may recommend the method of purchasing determined to provide the best value for the District. BOARD APPROVAL SIGNATURE AUTHORITY PROFESSIONAL SERVICES USE OF PROFESSIONAL SERVICES CONSULTANTS REASONS FOR LIMITING COMPETITION The Board requires that all transactions and/or contracts that have a value of $150,000 or greater, singly, or in the aggregate per fiscal year, be approved by the Board. In the case of an approved cooperative vendor, the Board requires that all transactions and/or contracts that have a value of $250,000 or greater, singly, or in the aggregate per fiscal year, be approved by the Board. The Procurement Services Department shall provide a list of approved contracts valued at $50,000 up to $149, to the Board monthly as an information item. All interlocal agreements require Board approval. Excepting documents required by state law to have the Board President s signature, the Board delegates to the Superintendent of Schools signature authority for all District contracts. The Superintendent of Schools may provide for designees to sign contracts at appropriate amounts by publishing a regulation or written delegation. Professional services shall be procured as prescribed in Chapter 2254 of the Government Code, except for contracts funded by grants through the Department of Education. This shall cover all professional services valued at $150,000 or more in the aggregate for each 12-month period, excepting interlocal agreements and documented sole-source items, where no like services are available that would serve the same purpose or function. The requirements and limitations, as updated by federal guidelines, state law, or appropriate authority, shall continue to govern where any conflicts exist in Board policy and shall be incorporated into the current Purchasing Manual. The current version as maintained by the Procurement Services Department shall govern and be considered the master copy. The Board finds that where services of legal counsel are required; where services as related to litigation or neutral mediation are required; or where the District is conforming to federal law or regulation, litigation, settlement, or finding under administrative or civil DATE ISSUED: 10/3/ of 20

8 law or hearing, that sufficient reason exists to limit competition to effect compliance with the regulation, settlement, or finding. EMERGENCY PURASES DEFINITION OF EMERGENCY WAIVER OF BOARD APPROVAL AND POLICIES IN AN EMERGENCY APPLICABLE TO ALL PROPOSALS OR STATEMENTS OF QUALIFICATION AND REQUIREMENTS OF RESPONSES COMPETITIVE BIDDING The Superintendent of Schools shall implement such procedures as may be necessary to provide for emergency replacement or repair of equipment, a school facility, or part of a school facility in accordance with the requirements of the Texas Education Code Section (h). An emergency is an unforeseen combination of circumstances that calls for immediate action. The mere necessity for quick action does not constitute an emergency when the situation calling for such action is one that reasonably should have been anticipated. An emergency is a situation arising suddenly and unexpectedly, not caused by any neglect or omission of the person in question, which calls for immediate action. An emergency or urgent public necessity exists only when immediate action is required of the Board because of an imminent threat to public health and safety or a reasonably unforeseen situation. In a declared emergency, emergency purchases do not have to have Board approval, as required for nonemergency purchases of $150,000 or greater. Further, Board approvals and policy regulations not required by statute are considered waived in a declared emergency; for example, but not limitation, Board approvals required by CV for noncampus alterations. The Superintendent of Schools or designee may take actions he or she deems reasonable and may submit these actions to the Board at a subsequent meeting for ratification. Submission of a response indicates prospective contractor s or vendor's acceptance of the evaluation technique and their recognition that some subjective judgments must be made by the District during the assigning of points and consideration of a proposal. The judgment of the evaluators is not subject to appeal. The Purchasing Department may publish additional requirements, permissions, or restrictions to conform to current financial practice, electronic commerce system requirements and abilities, specific legal or practical requirements, and other pertinent information. If competitive bidding is chosen as the purchasing method, the Superintendent of Schools or designee shall prepare bid specifications. The bid shall be advertised in accordance with Texas Education Code (g). [See E(LEGAL)] All bids shall be submitted in sealed envelopes, plainly marked with the name of the bidder and the time of opening. All bidders shall be invited to attend the bid opening. Any bid may be withdrawn DATE ISSUED: 10/3/ of 20

9 prior to the scheduled time for opening. Bids received after the specified time shall not be considered. COMPETITIVE SEALED PROPOSALS SOLE-SOURCE ITEMS RIGHT OF REJECTION RIGHT TO PROTEST If a competitive sealed proposal is chosen as the procurement method, the Superintendent of Schools or designee shall prepare the RFPs and/or specifications for items to be purchased. The proposal shall be advertised in accordance with the Texas Education Code (g). All proposals shall be submitted in sealed envelopes, plainly marked with the name of the proposer and the time of opening. Proposals received after the specified time shall not be considered. Proposals shall be opened at the time specified, and all proposers shall be invited to attend the proposal opening. Proposals may be withdrawn prior to the scheduled time for opening. Changes in the content of a proposal, and in prices, may be negotiated after proposals are opened. Items considered to be available only from one source as defined by Texas Education Code Section may be required to have further supporting documentation, including advice from legal counsel, prior to issuing a commitment to purchase. The Superintendent of Schools or designee may determine if competition is being restricted and may direct necessary changes when complying with educational specifications and guides for example, but not limited to, where performance criteria is indicated for an item by listing a single brand or manufacturer. The District has the absolute right through the Board, its representatives, agents, and designees, at its sole discretion, to reject any and all bids, proposals, competitive sealed proposals, statements of qualification, or other submittal when deemed in the best interests of the District, and at any time up to the entering of an agreement or an authorized transaction. Such rejection may involve returning of the proposal or bid security and public notification of the rejection, which may be oral and may be contemporaneous with the delivery or reading of the submittals at a public opening. The Board, in the process of determining the most advantageous award of a contract, requires full and open competition of its contracts and shall not knowingly allow restraint of that competition. All respondents, by submittal of documents, acknowledge and agree to this right of rejection by the District and waive all rights and claims, if any, resulting from the rejection. Any bidder or proposer who is aggrieved in connection with a procurement, excepting right of rejection, may protest to the chief financial officer. The protest shall be submitted in writing within ten District business days after the facts or occurrence giving rise to the protest. DATE ISSUED: 10/3/ of 20

10 PROCUREMENTS AFTER PROTEST AUTHORITY TO RESOLVE PROTESTS DETERMINATION AND APPEAL RESPONSIBILITY FOR DEBTS AUTHORIZED TRANSACTIONS UNAUTHORIZED TRANSACTIONS In the event of a timely protest, the responsible office shall not proceed further with the procurement unless the chief financial officer makes a determination that the award of the contract is necessary to protect the substantial interests of the District. The chief financial officer shall have the authority to take any action reasonably necessary to resolve a protest of an aggrieved bidder or proposer concerning a procurement. The chief financial officer shall promptly issue a determination relating to the protest. The determination shall: 1. State the reasons for the action taken; and 2. Inform the protesting party of the right to appeal the determination to the Board within 15 District business days of the receipt of the notice of determination and proceed to the Superintendent of Schools and/or the Board. A copy of the determination shall be transmitted or mailed immediately to the protesting party and the other bidders or proposers involved in the procurement. The Board shall assume responsibility for debts incurred in the name of the District so long as those debts are for purchases and services made in accordance with adopted Board policy and current administrative procedures. The Board shall not be responsible for debts incurred by persons or organizations not directly under Board control; persons making unauthorized purchases shall assume full responsibility for all such debts. A transaction shall be considered authorized if one of the following conditions is met: A valid purchase order, in accordance with established administrative procedures, exists; A check request, in accordance with established administrative procedures, exists; An electronic fund transfer, consistent with established administrative procedures, occurs; A written Notice to Proceed per Board action is given to the vendor, consistent with established administrative procedures; or A ratification of the transaction by the Board occurs. Purchases and services performed without an authorized transaction shall be considered unauthorized transactions made without the consent of the Board. DATE ISSUED: 10/3/ of 20

11 All unauthorized transactions shall be reported to the chief financial officer. Anyone creating or authorizing such a commitment may be personally liable for payment of such agreement. The Board may ratify any otherwise unauthorized transaction. Board approval of a purchase shall be considered sufficient authority to initiate it. If the Board has previously approved the dollar amount to be spent and the time period of the transaction, and a contract has been fully signed by authorized staff, a transaction that is unauthorized because of the failure to follow established administrative procedures shall not require Board ratification. Employees who fail to follow established administrative procedures shall be subject to disciplinary action. The District shall not be responsible for articles delivered and/or services performed without a specific written purchase order or other authorized transaction. All vendors and potential vendors, by submitting documents, accepting purchase orders, or delivering goods or services, accept and abide by these requirements. Vendors and potential vendors delivering or attempting to deliver goods and services without an authorized transaction are in violation of District policy and shall not be paid or reimbursed for any good or service not requested through an authorized transaction. Vendors delivering goods or performing services without an authorized transaction shall be placed on hold in the electronic commerce system currently in use and shall be ineligible for ongoing or future work. Evidence of attempts by vendors to create unauthorized purchases may be acted on after reasonable documentation is submitted to the Purchasing Department. Vendors may be removed from hold in the electronic commerce system currently in use by submitting a letter certifying to remain in compliance with District policy and regulations and agreeing to voluntary exclusion from District procurement and contracts if unauthorized purchases occur. [See policy DH for District employees who attempt to create unauthorized purchases.] PURASE COMMITMENTS CONTRACT AMENDMENTS In accordance with the current Purchasing Manual, the Superintendent of Schools or designee shall make all purchase commitments on a properly drawn and issued authorized transaction or purchase order form. Every contract requiring Board approval may contain a contingency allowance. The contingency allowance is to be used only for expenditures that do not require a contract amendment. The contingency allowance may be used to pay for changes in the work, including, but not limited to, those resulting from hidden or DATE ISSUED: 10/3/ of 20

12 unforeseen conditions. The contingency allowance may be used to pay claims. Use of the contingency allowance must be authorized in advance by the Superintendent of Schools or designee. Every contract for goods and/or services shall contain a provision for contract amendments. Contract amendments shall be used to document any change in contract time or contract sum or any material change in scope of work. For services contracts valued at less than $150,000, the Superintendent of Schools or designee may authorize and approve any contract amendment unless the amendment would increase the value of the contract $150,000 or more, in which case Board approval is required. In the case of an approved cooperative vendor, for service contracts valued at less than $250,000, the Superintendent of Schools or designee may authorize and approve any contract amendment unless the amendment would increase the value of the contract to $250,000 or more, in which case Board approval is required. For service contracts valued at $150,000 or more, the following approval process shall apply. If a contract amendment is the result of a hidden or unforeseen condition, force majeure, or for a savings in cost, the Superintendent of Schools or designee is authorized to execute the amendment, transfer the necessary funds, and submit the changes to the Board for ratification. In the case of an approved cooperative vendor, for service contracts valued at $250,000 or more, the following approval process shall apply. If a contract amendment is the result of a hidden or unforeseen condition, force majeure, or for a savings in cost, the Superintendent of Schools or designee is authorized to execute the amendment, transfer the necessary funds, and submit the changes to the Board for ratification. Any other contract amendment must be approved by the Board prior to the commencement of any work covered by the proposed amendment. Accepting or declining an option year of a contract by amendment, if authorized by prior Board resolution, is not considered an aggregate increase. Unless expressly waived by the Board, contract amendments that result in an aggregate increase exceeding 25 percent of the original contract amount shall be submitted to the Board for approval. Unless expressly waived by the Board, if a contract amendment would alter the value of the contract by more than 25 percent, the amendment shall be submitted to a separate competitive procurement. DATE ISSUED: 10/3/ of 20

13 PERSONAL PURASES RECOVERY OF COSTS OF PROCUREMENT AND PROJECT MANAGEMENT REQUIRED CONTRACT PROVISIONS FULL AND COMPLETE RELEASE OF DISTRICT M / WBE PROGRAM AND GUIDELINES M / WBE GOALS District employees shall not be permitted to purchase supplies or equipment for personal use through the District's business process. The Superintendent of Schools or designee may seek to recover costs of procurement and/or project management through applicable federal and state grants and programs for both direct and indirect costs and through other administrative methods for designated projects. Such recovered costs may be utilized to improve procurement means and methods and may be indexed to performance measures for the respective procurement areas. The Purchasing Manual, standard contract forms, and procurement documents shall contain provisions for prohibiting indemnification by the District of a vendor or supplier; prohibiting arbitration; and requiring a funding out clause at the end of each budget year; as well as requirements for venue in Dallas County, Texas, and Texas state law as governing law. The Board, as a condition to entering into an agreement, purchase order, or other financial obligation, may require the bidder, contractor, proposer, their agents, or their successors or assigns (respondent or respondents) to provide a full and complete release of the District from any and all claims, demands, and causes of action whatsoever that respondents have or may have against the District under provisions of any prior contract or agreement. The respondent shall not contract with any consultant, person, or firm without requiring of the consultant, person, or firm a full and complete release of the District from any and all claims, demands, and causes of action whatsoever that any consultant, person, or firm has or may have against the District under provisions of any prior contract or agreement or theory. At the District s request, sufficient written and binding evidence of compliance with these requirements shall be submitted to the District, including copies of contracts or agreements with any consultant, person, or firm for the anticipated agreement. Failure of a consultant, person, or firm to comply with the respondent or respondent s successors or assign request for release of the District as described herein shall cause the District to reject the employment by the respondent or the respondent s successors or assigns of the consultant, firm, or person as stated elsewhere in this policy. It is a continuing goal of the District to involve minority- and women-owned businesses to the maximum extent possible in all facets of the District's contracting and purchasing activities. The District s aspirational M/WBE goal is 30 percent of the total dollar value of all DATE ISSUED: 10/3/ of 20

14 contracts for goods, services, and construction. For bond-funded contracts, the District s aspirational M/WBE goal for construction is 30 percent and 35 percent for professional services. However, many District contracts shall be assigned a contract specific M/WBE goal. Additionally, the M/WBE goal is applicable to any change orders, modifications, and/or revisions to the original contract. M / WBE ADVISORY COMMITTEE M / WBE PROGRAM The District shall appoint an M/WBE advisory committee composed of persons appointed by the executive director of Procurement Services or designee and approved by the Board. The M/WBE advisory committee may be asked to provide periodic reports to the Board. The mission of the M/WBE advisory committee is to promote the District's mission and goals and to serve as an avenue for community involvement in the District by offering advice on issues of concern related to the M/WBE program to the Superintendent of Schools or designee. The advisory committee shall include, but is not limited to, members of the business community, members of minority and women advocacy groups, and representatives of minority and women business enterprises who are knowledgeable in the M/WBE field and dedicated to expanding the role of minority and women participation in District business. Members shall serve for terms of two years and may be reappointed. The M/WBE advisory committee shall be advisory only, in which capacity it shall: Serve as a source of knowledge and information on developments in different fields and segments of economic and social life that affect minority and women business enterprises; Periodically review the District's minority and women business enterprise program for results and make recommendations for improvement; Serve as a liaison between the District and M/WBE organizations and M/WBEs; and Review applicable state statutes affecting purchasing and contracting procedures, and when necessary, draft recommendations for appropriate statutory changes providing greater accessibility for minority and women entrepreneurs. The District has developed within its Financial and Accounting Services Division, and shall continue to support, an M/WBE department with responsibilities to administer the program, make periodic reports to the Board, and act as a reference point for all minori- DATE ISSUED: 10/3/ of 20

15 ty/women businesses interested in pursuing purchasing and contracting opportunities with the District. Collateral duties of the M/WBE staff shall include, but not be limited to: 1. Developing and maintaining procedures to ensure that M/WBEs are afforded an equitable opportunity to compete on all District contracts. Such procedures include, but are not limited to: a. Attending prebid/preproposal conferences; b. Providing M/WBE program compliance assistance; c. Providing bond referral assistance; d. Disseminating bidding, procurement, and contracting information to M/WBEs; e. Monitoring contracts for M/WBE program compliance; f. Developing guidelines and procedures for administering sanctions for noncompliance with policies, procedures, or commitments; g. Establishing an outreach program to identify M/WBEs as potential vendors; h. Conducting workshops, trade fairs, and related educational activities; i. Identifying areas of District policies or practices that restrict the participation of M/WBEs; j. Advocating for M/WBEs relating to contracting and small business issues; and k. Participating as full voting members in all preproposal, selection, review, and other relevant committees. Evaluation shall be inclusive of the entire bid/proposal and shall not be limited or restricted to specific areas. 2. Establishing narrowly tailored goals, which shall be based on current evidence of utilization and availability. Such goals are applicable to any contract change order, modification, and/or revision. 3. Coordinating the development of the District's M/WBE goal as a joint effort with each department and school within the District. DATE ISSUED: 10/3/ of 20

16 4. Obtaining periodic payment activity reports from the prime contractors/vendors to allow the District to continuously monitor the M/WBE commitment throughout the life cycle of a contract. 5. Preparing and presenting quarterly and ad hoc reports to the Board on the activities of the M/WBE program and also recommending M/WBE goals and program changes. 6. Developing and maintaining listings of certified M/WBEs and providing listings of appropriate M/WBEs to vendors for possible utilization. 7. Reviewing the certification status of M/WBEs. 8. Evaluating documentation of good-faith effort by bidders/proposers/contractors. 9. Initiating and tracking the success of vendor rotation initiatives. 10. Evaluating the contractor's performance regarding M/WBE utilization as part of the contract closeout process. 11. Representing the District on the Board of Directors for the North Central Texas Regional Certification Agency (NCTR- CA). 12. Making administrative revisions to the M/WBE program as deemed necessary. Procedural changes shall require Board approval. 13. Ensuring and maintaining the M/WBE program's continued compliance with any current and legislative (federal, state, or local) changes and incorporate those changes into the program. ALL DEPARTMENTS RESPONSIBILITIES Responsibilities for all departments shall include, but are not limited to: 1. Establishing the participation and utilization of M/WBEs as a departmental goal; 2. Providing the M/WBE Department with advance information about contracting opportunities sufficient for the M/WBE Department to establish narrowly tailored goals; 3. Adhering to a process for timely reviews and approval of all bids and proposals by the M/WBE Department, prior to recommendation to the Board to allow adequate time to address and maximize M/WBE utilization; DATE ISSUED: 10/3/ of 20

17 4. Ensuring the inclusion of an M/WBE Department representative as a voting member on all preproposal, selection, review, and other relevant committees; 5. Including a standard M/WBE score of 20 percent as part of the evaluation criteria on bids/proposals; 6. Providing the M/WBE Department with timely notification of change orders that would impact, either positively or negatively, the utilization of M/WBEs; 7. Recommending M/WBEs when available, for all quotations; 8. Ensuring the inclusion of all M/WBE compliance guidelines and forms in the bid/proposal package; 9. Notifying the M/WBE Department of any issues that arise concerning M/WBEs (i.e., performance, subcontractor complaints, and the like); and 10. Appointing a department representative(s) to serve as an M/WBE point of contact(s) and attend outreach activities when requested by the M/WBE Department. CONSTRUCTION SERVICES (BOND PROGRAM) The District shall seek creative mechanisms for achieving the spirit and intent of the District's goals to involve minority- and womenowned businesses to the maximum extent possible in all facets of the District's contracting and purchasing activities. Responsibilities shall include, but are not limited to: 1. Establishing the M/WBE Department as the primary contact and the authority for compliance, monitoring, and enforcement of the District's M/WBE program relating to any current and future bond program(s); 2. Providing the M/WBE Department with advance information about contracting opportunities sufficient for the M/WBE Department to establish narrowly tailored goals; 3. Ensuring the allocation of resources to the M/WBE Department to assist with the implementation, monitoring, enforcement, and compliance regarding bond-related projects; 4. Including an M/WBE representative as a full voting member on all prebid meetings, preproposal, selection, review, and other relevant committees; 5. Including a standard M/WBE score of 20 percent as part of the evaluation criteria on bids/proposals; DATE ISSUED: 10/3/ of 20

18 6. Including all M/WBE compliance guidelines and forms with the bid/proposal packages; 7. Providing the M/WBE Department with timely written notification of upcoming bond-related projects; 8. Providing the M/WBE Department with timely written notification of any change orders to projects that would impact, either positively or negatively, the utilization of M/WBEs; 9. Obtaining the M/WBE Department's evaluation of the contractor's performance regarding M/WBE utilization as a part of the contract closeout process; 10. Providing a department representative at outreach activities and educational workshops upon request by the M/WBE Department; 11. Encouraging joint ventures and participation in the Mentor Protégé Program among M/WBEs and between majority firms and women business enterprises bidding for District contracts; 12. Placing certified M/WBEs on the District's bid list; 13. Encouraging prime vendors to utilize M/WBEs to meet or exceed the District's M/WBE goal; 14. Providing minority/women vendors with a list of companies who request bid/proposal packages (plans and specifications); and 15. Providing M/WBE program compliance assistance to all vendors upon request. M / WBE COMPLIANCE GUIDELINES AND FORMS The completed and signed M/WBE compliance guidelines and forms must be attached to all responses to procurement documents totaling $50,000 or more (single transaction of fiscal year aggregate). If the completed and signed M/WBE compliance guidelines and forms are not attached by the due date, responses to the procurement documents shall be considered nonresponsive. Evaluation of the completed compliance guidelines and forms shall be the responsibility of the M/WBE Department or designated representative, and the M/WBE Department reserves the right to contact respondent(s) for additional information or clarifications after responses to procurement documents are due. Respondents who will subcontract portions of the work shall be required to submit a letter of intent to subcontract for each proposed subcontractor prior to an agreement being executed by the Board DATE ISSUED: 10/3/ of 20

19 or District or committing the District to an expenditure of funds. Changes to the list of subcontractors must be reviewed and approved by the M/WBE Department prior to any changes being made. The District shall determine whether the bidder's efforts were those that, given all relevant facts and circumstances, meet the standards for a good-faith effort as contemplated and defined by the District s M/WBE program. SANCTIONS M / WBE CONCERNS Violation of M/WBE program policies, procedures, or contractual obligations may result in any one or more of the following sanctions imposed by the Superintendent of Schools or designee: 1. Administrative Warning: issued for first-time violations or minor violations. 2. Administrative Reprimand: issued for repeated violations, deliberate violations, or major violations. 3. Loss of points on future bids/proposals (may be imposed incidental to an administrative warning at the discretion of the Superintendent of Schools). 4. Denial of opportunity to bid on future quotation or proposals (may be imposed incidental to an administrative warning at the discretion of the Superintendent of Schools). Any person desiring to express a concern involving the District's M/WBE program shall observe the following: 1. Notify the M/WBE program director in writing. The program director shall schedule a meeting at the earliest possible time with all concerned parties. Parties may include, but are not limited to, principals and representatives from the bond program, purchasing, facilities maintenance, or M/WBE Departments. 2. If the matter remains unresolved, the M/WBE program director shall schedule, at the earliest possible time, a meeting with the executive director of Procurement Services or designee. 3. If the matter remains unresolved, the chief operating officer - Business Services division or designee may place the matter on the agenda for consideration at the Business Committee briefing if the matter remains unresolved. 4. The Board, at its discretion, may place the matter on the agenda for consideration by the full Board. DATE ISSUED: 10/3/ of 20

20 M / WBE CERTIFICATIONS AND LISTINGS FEDERAL REQUIREMENTS ADOPTION OR LAST AMENDED DATE Vendors do not have to be certified as M/WBE to participate in the District s contracting and purchasing activities. However, only certified M/WBEs may be counted toward meeting the District s M/WBE goal at the subcontracting level. Bidders/proposers may not apply one of its subsidiary companies or its own workforce toward meeting its M/WBE subcontracting goals. As a result, the District strongly recommends and encourages M/WBE certification(s). The District shall recognize the following certifications for M/WBEs firms: NCTRCA; State of Texas Historically Underutilized Business (HUB); Department of Transportation (DOT); Small Business Administration (SBA) 8A or SDB; South Central Texas Regional Certification Agency (SCTR- CA); City of Houston; Corpus Christi Regional Transportation Authority; Texas Department of Transportation; Dallas/Fort Worth Minority Business Council; National Minority Supplier Development Council; Women s Business Council; City of Austin; and Other certifications on an individual basis. Policies, procedures, and contract clauses required under applicable federal regulations are hereby specifically incorporated under the District's M/WBE program. All federal requirements shall be specifically passed on to the District's contractors and shall be in full compliance. The District's M/WBE Department shall have the responsibility for implementation, coordination, monitoring, and compliance with applicable federal requirements. This policy was last adopted or amended on September 22, DATE ISSUED: 10/3/2016 ADOPTED: 20 of 20