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Procurement Plan Template for NC’s School Food Authorities

Procurement Plan Template for NC’s School Food Authorities. “we think nutrition because students can’t think without it.”. School Nutrition Services | NC Department of Public Instruction. USDA is an equal opportunity provider and employer. Today’s discussion.

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Procurement Plan Template for NC’s School Food Authorities

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  1. Procurement Plan Template forNC’s School Food Authorities “we think nutrition because students can’t think without it.” School Nutrition Services | NC Department of Public Instruction USDA is an equal opportunity provider and employer.

  2. Today’s discussion • Purpose of a Procurement Plan Template • Why BOE approval is required • New Procurement requirements 1. Code of Ethics/Conduct 2. Contract Monitoring • Completing the template for the SFA • Using the Procurement Plan as a SOP • Monitoring and modifying the plan

  3. Procurement Plan Template • is a sample; it is not all inclusive and must be completed by each SFA; • reflects Federal regulations and policy; • reflects State General Statutes; • reflects State Purchasing procedures; • does not include local policies/procedures; • will serve as the SFA’s authoritative procurement guide.

  4. Procurement Plan Template The Procurement Plan Template is based on • 2 CFR 200.318 – 326 • 7 CFR 210.16 • 7 CFR 210.21 • USDA Policy Memoranda and Guidance The Procurement Plan covers all Federal food assistance programs operated by the SFA.

  5. BOE/BOD Signature Page • BOE/BOD is the legal authority to bind the SFA into a contract • Signature of BOD/BOE Chair helps ensure compliance with Federal, State and local laws/policies • Invites qualified contractors • Builds foundation for ethical behaviors • MUST be signed by BOE/BOD Chair • Must be signed by Superintendent (or equivalent) ref: Procurement Plan Template - Page 1

  6. School Nutrition Procurement Plan Part I: Code of Ethics/ Conduct ref: Procurement Plan Template - Page 2

  7. Part I: Code of Ethics/Conduct No employee, officer or agent of the SFA may participate in the procurement process be part of the procurement process if there is a real or perceived conflict of interest. Procurement process includes: • development of a solicitation • selection of a contractor • administration of a contract ref: Procurement Plan Template – Page 2

  8. Part I: Code of Ethics/Conduct Conflicts of interest arise when one of the following has a financial or other interest: • any employee, officer or agent of the contractor; • any member of the immediate family of the contractor; • the contractor’s partner; and/or • an organization which employs or is about to employ one of the above. ref: Procurement Plan Template - Page 2

  9. Part I: Code of Ethics/Conduct Employees, officers or agents may not solicit nor accept gratuities, favors, or anything of monetary value from contractors, potential contractors or parties to sub-agreements ref: Procurement Plan Template - Page 2

  10. Part I: Code of Ethics/Conduct SFAs may establish local policy indicating: • School Nutrition personnel may accept an unsolicited item of nominal value where the exact value is established and recorded the Procurement Plan, and/or • School Nutrition personnel may participate in a group event where the financial interest is not significant and the event is open to all attendees. ref: Procurement Plan Template - Page 2

  11. Part I: Code of Conduct There are consequences for violating the Code of Conduct/Ethics: • Loss of trust and integrity • Reprimand by the Superintendent • Dismissal by the Board of Education • Possible legal action • Career ruined The BOE’s/BOD’s Code of Ethics/Conduct should be included with the Procurement Plan. ref: Procurement Plan Template - Page 2

  12. School Nutrition Procurement Plan Part II: Procurement Methods ref: Procurement Plan Template – Pages 4-12

  13. Part II: Procurement Methods A. Formal Purchases Invitation for Bid (IFB) Request for Proposal (RFP) B. Informal Purchases Request for Quote (RFQ) Micro-purchasing C. Sole Source Purchases D. Emergency Purchases ref: Procurement Plan Template – Pages 4-12

  14. Part II: Procurement Methods “Simplified Acquisition Threshold” or SAT (formerly called “Small Purchase Threshold”) IS the critical factor in determining which procurement method will be used. Federal SAT = $150,000 State SAT = $90,000 Local SAT = varies by SFA* *You must know the SFA’s SAT in order to proceed. ref: Procurement Plan Template – Page 4

  15. Procurement Plan Template Part I: Code of Ethics/Conduct Part II: Methods of Procurement (Specific Procurement Procedures) Part III: Purchasing Cooperatives Part IV: Additional Procurement Provisions Part V: Records Retention Part VI: Other Procurement Provisions Part VII: Contract Oversight

  16. Part II: Procurement MethodsFormal Purchasing Methods Assign Personnel to: • Determine purchasing method • Perform cost analysis • Advertise • Respond to questions for IFB/RFB • Manage/document the procurement process • Complete the Procurement Checklist • Review/sign the bid tabulation or evaluation score sheets signifying fair/equitable review ref: Procurement Plan Template – Pages 4-9

  17. Part II: Procurement MethodsFormal Purchasing Methods Assign Personnel to: • Review the Written Procurement Plan annually • Document that actual products/services specified are received (or not) • Approve/document the procedure for determining acceptable alternate/substitutes • Oversee compliance with Buy American Provision • Maintain documentation for all procurements ref: Procurement Plan Template – Pages 4-9

  18. Part II: Procurement Methods Group Activity: Who’s Who in SFA procurement? Review Pages 4 – 8 and discuss who within the SFA/LEA will be responsible for various Formal Procurement Activities

  19. Part II: Procurement MethodsInformal Purchasing Methods Assign Personnel to: • Communicate with potential vendors when price quotes are needed • Award, based on lowest, best quote • Maintain records to document vendor selection, names of all vendors contacted, price quotes and written specifications • Document actual products specified are received • Sign quote tabulations indicating fair/equitable process ref: Procurement Plan Template – Pages 8-10

  20. Part II: Procurement Methods Group Activity: Who’s Who in SFA procurement? Review Pages 8 – 10 and discuss who within the SFA/LEA will be responsible for various Informal Procurement Activities

  21. Part II: Procurement Methods Micro-purchases* Micro-purchasing procedures may be used for goods or services of separate or aggregate purchases in an amount equal to or less than $3,500 on an annual basis. *Micro-purchases MUST be documented.

  22. Part II: Procurement MethodsMicro-purchasing Procedures Assign Personnel to: • Determine/document the aggregate amount and determine “reasonableness” • Ensures distribution of purchases • Contacts State agency for questions • Maintains documentation of all MPPs • Document rationale for MPP (over other methods) • Documents actual product purchased was received ref: Procurement Plan Template – Pages 9-11

  23. Part II: Procurement Methods Micro-purchase Documentation (Required for all SFAs) • Rationale for choosing MPP • Estimated cost of the item/service to be procured • Name/address of the vendor • Purchases are made from a variety of potential vendors as opposed to a single vendor • Approval by the School Nutrition Director prior to the initiation of a single MPP ref: Procurement Plan Template – Pages 9-11 and handout

  24. Part II: Procurement MethodsSole Source Purchases Assign Personnel to: • Prepare, issues, evaluates Request for Information (RFI) • Review sole source documentation • Contact State agency for approval • Maintain documentation of all sole source purchases (item, dollar amount, vendor, justification) • Obtain written approval from the BOE ref: Procurement Plan Template – Pages 11-12 and handout

  25. Part II: Procurement MethodsEmergency Purchases Emergency procurements must be documented: • Good or service required • Cost • Vendor, and • Reason for Emergency • Approval by designated authority The SFA must designate person to approve and document emergency purchases ref: Procurement Plan Template – Pages 9-11 and handout

  26. Part II: Procurement MethodsEmergency Purchases “Piggybacking” on the solicitation of another SFA Specific conditions MUST be followed Piggybacking laws in NC are more restrictive than in other States; exercise caution ref: Procurement Plan Template – Page 13

  27. School Nutrition Procurement Plan Part III: Purchasing Cooperatives

  28. Part III: Purchasing Cooperatives • Voluntary participant in the NC School Nutrition Procurement Alliance • Voluntary participant in another informal “purchasing group” • Written procedures are required should the SFA choose to engage the services of a Group Purchasing Organization (GPO) ref: Procurement Plan Template – Page 13

  29. School Nutrition Procurement Plan Part IV: Additional Procurement Provisions

  30. Part IV: Additional Procurement Provisions • Must develop procedures to evaluate a new product • Must update specifications periodically • Must describe procedures to use the services of a third-party to obtain rebates • SFA will designate a person to monitor each contract • All contracts will result in a firm, fixed price contract or firm price plus fixed fee ref: Procurement Plan Template – Page 14

  31. School Nutrition Procurement Plan Part V: Records Retention

  32. Part V: Records Retention SFA must retain: • All invoices, records and other documentation related to contracts • Written rationale for method of purchase • Original solicitations (all) • Bids/Proposals and negotiation history • Basis for contractor selection/rejection ref: Procurement Plan Template – Page 15

  33. Part V: Records Retention SFA must retain: • Basis for award where cost is not the primary consideration • Terms/Conditions of all contracts • Any/all contract amendments/modifications • Billing/payment records • History of contractor performance • History of contractor claims • History of contractor breeches ref: Procurement Plan Template – Page 15

  34. School Nutrition Procurement Plan Part VI: Other Procurement Requirements

  35. Part VI: Other Procurement Requirements • Jessica Lunsford Act • Reasonable efforts to assure Historically Underutilized Business (HUBs) are engaged in solicitations • Solid Waste Disposal Act • Environmental protection Act • Criminal Background Checks • Iran Divestment Act ref: Procurement Plan Template – Pages 15-16

  36. Part VI: Other Procurement Requirements If out-sourcing to a qualified caterer, SFA agrees to: • Notify the State agency • Use the NCDPI RFP/Contract template If out-sourcing to a for-profit Food Service Management Company, SFA agrees to: • Notify the State agency at least 6 months in advance • Use the NCDPI RFP/Contract template ref: Procurement Plan Template – Pages 14-15

  37. School Nutrition Procurement Plan Part VII: Contract Oversight

  38. Part VII: Contract Oversight • Designate an individual to oversee each contract to ensure compliance with terms and conditions and fulfillment of deliverables • Monitoring frequency established and implemented; non-compliance acted upon promptly • SFA will be responsible to resolve all disputes, protests, litigations, etc. • USDA nor NCDPI are responsible parties to the procurement, but will exercise oversight responsibilities ref: Procurement Plan Template – Pages 17-18

  39. School Nutrition Procurement Plan Part I: Attachments A, B, C

  40. Attachments Attachment A: LEA Code of Ethics/Code of Conduct (Page 19) Attachment B: Specific Procurement Procedures (Pages 20– 23) Attachment C: Procurement Checklist (Pages 23 – 25)

  41. Thank you for your participation Do you have questions?

  42. USDA Nondiscrimination Statement In accordance with Federal civil rights law and U.S. Department of Agriculture (USDA) civil rights regulations and policies, the USDA, its Agencies, offices, and employees, and institutions participating in or administering USDA programs are prohibited from discriminating based on race, color, national origin, sex, disability, age, or reprisal or retaliation for prior civil rights activity in any program or activity conducted or funded by USDA. Persons with disabilities who require alternative means of communication for program information (e.g. Braille, large print, audiotape, American Sign Language, etc.), should contact the Agency (State or local) where they applied for benefits. Individuals who are deaf, hard of hearing or have speech disabilities may contact USDA through the Federal Relay Service at (800) 877-8339. Additionally, program information may be made available in languages other than English. To file a program complaint of discrimination, complete the USDA Program Discrimination Complaint Form, (AD-3027) found online at: http://www.ascr.usda.gov/complaint_filing_cust.html, and at any USDA office, or write a letter addressed to USDA and provide in the letter all of the information requested in the form. To request a copy of the complaint form, call (866) 632-9992. Submit your completed form or letter to USDA by: (1) mail: U.S. Department of Agriculture Office of the Assistant Secretary for Civil Rights 1400 Independence Avenue, SW Washington, D.C. 20250-9410; (2) fax: (202) 690-7442; or (3) email: program.intake@usda.gov. This institution is an equal opportunity provider.

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