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CONNECTICUT STATE DEPARTMENT OF EDUCATION
The New Procurement Review
for School Nutrition Programs
What schools need to know
Fall 2016
Connecticut State Department of Education Revised September 2019 2
The Procurement Review for School Nutrition Programs
What schools need to know
Connecticut State Department of EducationBureau of Health/Nutrition, Family Services and Adult Education
Connecticut State Department of Education Revised September 2019 3
Assigned Reviewers
Monica Pacheco Andy Paul
Connecticut State Department of Education Revised September 2019 4
Procurement 101 Child Nutrition Programs
Connecticut State Department of Education Revised September 2019 5
The purchase of goods and services
What is Procurement?
Awarding
a ContractManaging
a Contract
Advertising
Procurement
Drafting
SpecificationsPlanning
Connecticut State Department of Education Revised September 2019 6
Procurement 101
Connecticut State Department of Education Revised September 2019 7
Procurement 101 Informal Procurement Process
Connecticut State Department of Education Revised September 2019 8
Procurement 101 Formal Procurement Process
Connecticut State Department of Education Revised September 2019 9
Use when purchase value is less than $3500
What to do
• Write a product specification and any additional vendor requirements
• Make a purchase from responsive and responsible vendor at a reasonable price
Procurement 101Micro-purchase Threshold
Connecticut State Department of Education Revised September 2019 10
Procurement 101Micro-purchase Threshold
Requirements and Reminders
• Document the purchase (file product specifications/invoices)
• Do not arbitrarily split procurements
Connecticut State Department of Education Revised September 2019 11
Develop a specification
• Apples, US No. 1, five 185-count boxes per week for September through December
Solicit bids
• Contact vendors (by phone, fax, e-mail or in person and provide them with specifications
Procurement 101Informal Procurement: “Three Bids and a Buy”
Connecticut State Department of Education Revised September 2019 12
Bid Documentation
• Write down each vendor’s bid and constraints
• File and save all documents
Procurement 101Informal Procurement: “Three Bids and a Buy”
Connecticut State Department of Education Revised September 2019 13
Procurement 101Informal Procurement: “Three Bids and a Buy”
Connecticut State Department of Education Revised September 2019 14
Procurement by competitive sealed bidding by issuing an IFB
Use when• A complete, adequate and realistic specification is
available
• The contract can be awarded solely on the basis of price
Procurement 101Formal Procurement: Invitation for Bid (IFB)
Connecticut State Department of Education Revised September 2019 15
Procurement by competitive proposal by issuing an RFP
Use when
• Conditions are not appropriate for a sealed bid
• Price won’t be the sole basis for the award
Procurement 101Formal Procurement: Request for Proposal (RFP)
Connecticut State Department of Education Revised September 2019 16
Contract type (fixed price/cost reimbursement) Introduction/scope General description of goods and services
(specifications) Timeline and procedures Technical requirements Evaluation criteria
Procurement 101Sections of a Solicitation (RFP)
Connecticut State Department of Education Revised September 2019 17
Procurement 101Sections of a Solicitation (RFP)
7 CFR 210.21 and 220.16 2 CFR 200.317-326
Contractual responsibilities
Written code of conduct
Buy American provision
Geographic preference
Documented procurement procedures
Written code of conduct
Full and open competition
Connecticut State Department of Education Revised September 2019 18
Reflect federal, state, and local laws and regulations provided that the procurements conform to applicable federal law
Maintain all records to detail procurement history
Product specifications
Ensuring responsive and responsible vendors
Contract responsibilities, including evaluation, protests, disputes, and claims
Documented Procurement Procedures
Connecticut State Department of Education Revised September 2019 19
Governs performance of employees engaged in procurement for entities receiving federal funds
Written Code of Conduct
Connecticut State Department of Education Revised September 2019 20
Prohibits employees from soliciting gifts, travel packages, and other incentives from prospective contractors
Written Code of Conduct
Connecticut State Department of Education Revised September 2019 21
Prohibits employees from participating in the selection, award, and administration of any contract to which an entity, or certain persons connected to them, have financial interest
Written Code of Conduct
Connecticut State Department of Education Revised September 2019 22
School food authorities (SFAs) must set standards when financial interest is not substantial or the gift is an unsolicited item of nominal value and may be accepted
Written Code of Conduct
Connecticut State Department of Education Revised September 2019 23
Must provide for disciplinary action to be applied in the event the standards are violated
Written Code of Conduct
Connecticut State Department of Education Revised September 2019 24
SFAs must purchase, to the maximum extent practicable, domestic commodities or products
• An agricultural commodity produced in the United States
• A food product that is processed in the United States substantially using agricultural commodities that are produced in the United States
Buy American
Connecticut State Department of Education Revised September 2019 25
Applies to SFAs and entities purchasing on their behalf
• Food service management companies (FSMC), cooperatives, intergovernmental and inter-entity agreements and GPOs
• Use a specification of 100% domestically grown and processed
• Requires advance notice/documentation if an exception is required to be substituted
Buy American
Connecticut State Department of Education Revised September 2019 26
Limited exceptions
• A product is not produced or manufactured in the United States in sufficient and reasonable quantities of a satisfactory quality
• Competitive bid reveals the costs of United States product are significantly higher than the foreign product
• No dollar threshold to trigger exception
• Must document the exemption
Buy American
Connecticut State Department of Education Revised September 2019 27
SFAs may apply a geographic preference when procuring unprocessed locally grown or locally raised agricultural products
Unprocessed means agricultural products retain their inherent characteristics
SFA has discretion to determine local area to which this option will be applied
Geographic Preference
Connecticut State Department of Education Revised September 2019 28
• Solicitation must clearly outline how responses will be evaluated and scored, including geographic preference
• Application of preference option must leave an appropriate number of qualified firms, given the nature and size of the procurement
Geographic Preference
Connecticut State Department of Education Revised September 2019 29
Institute of Child Nutrition (ICN)
Procurement in the 21st Century
https://doe.sd.gov/cans/documents/ICN-procurement.pdf
Procurement 101Resources
Connecticut State Department of Education Revised September 2019 30
ICN Online Courses USDA State Agency Guidance to Procurement
(Topics 1, 2, and 3)
Procurement 101Resources
https://theicn.docebosaas.com/learn (search “procurement”)
Connecticut State Department of Education Revised September 2019 31
Procurement 101Resources
https://www.fns.usda.gov/farmtoschool/procuring-local-foods
USDA
Procuring Local Foods for Child Nutrition Programs
Connecticut State Department of Education Revised September 2019 32
Procurement 101Resources
www.nfsmi.org/documentlibraryfiles/PDF/20111129111739.pdf
ICN
First Choice: A Purchasing Systems Manual for School Food Service
Connecticut State Department of Education Revised September 2019 33
Procurement 101Resources
https://www.fns.usda.gov/tn/food-buying-guide-for-child-nutrition-programs
USDA
Food Buying Guide for Child Nutrition Programs
Connecticut State Department of Education Revised September 2019 34
Procurement 101
Questions?
Connecticut State Department of Education Revised September 2019 35
The New Procurement Review
Connecticut State Department of Education Revised September 2019 36
Ensure program integrity
Ensure SFA’s compliance with USDA regulations
Ensure SFAs are good stewards of federal dollars received
Purpose of Procurement Review
Connecticut State Department of Education Revised September 2019 37
1. In summer prior to review year, CSDE identifies SFAs requiring a review
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 38
2. In August, CSDE sends letters to business officials informing SFAs they are having two reviews (Administrative and Procurement)
Administrative Review dates assigned
Procurement Review occurs about same time, depending if on-site visit is necessary
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 39
3. CSDE issues second letter to food service director with specific information
Documents needed in advance of the review
Procurement Review Tool
Review looks at prior school year, e.g.,for school year 2018-19, documents are for school year 2017-18
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 40
4. SFAs submit completed procurement review tool and all requested documents to lead reviewer by specified due date
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 41
5. Based on responses provided on the Procurement Review Tool, CSDE sends e-mail to food service director/business official specifying additional documents needed for specific procurements
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 42
6. CSDE determines whether there will be an on-site portion of review (one day)
Determined on case-by-case basis
• Requested documents
• Procurement Review Tool responses
• Technical assistance/corrective action needed
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 43
On-site portion (if applicable)
Upon arrival, CSDE conducts entrance conference with food service director and at least one SFA administrator
Workspace and internet access required for review of documentation
All requested documents should be organized and ready for review when CSDE arrives
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 44
7. After completing review of all required documentation (on-site or off-site), CSDE conducts exit conference with food service director and SFA administrator
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 45
8. Within 30 days, CSDE provides report that identifies
areas requiring corrective action
corrective action due date
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 46
9. SFA must submit written corrective action plan to CSDE lead reviewer
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 47
10. When CSDE receives, reviews and approves all corrective action, CSDE sends letter closing the procurement review to superintendent, business official and food service director
Connecticut Procurement Review Process
Connecticut State Department of Education Revised September 2019 48
Will be sent to SFA after training
Asks SFA questions about their program and requests information
CSDE works collaboratively with SFA to gather information
Allows CSDE time to focus on areas of noncompliance and provide technical assistance
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 49
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 50
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 51
Identify staff involved in procurement
Identify if SFA is part of group purchasing organization (GPO) or co-op
Identify SFA small purchase threshold
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 52
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 53
Identify Micro Purchases
Identify Informal Purchases
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 54
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 55
Identify Formal Procurements
Vendor Goods/services provided Contract Value Solicitation Type (IFB or RFP) Contract Type Duration Number of responses Was GPO/Coop involved Amendments
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 56
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 57
Identify FSMC contracts Vendor Goods/services provided Contract value Solicitation type (IFB or RFP) Contract type Duration Number of responses Was GPO/Coop involved Amendments
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 58
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 59
Identify Processing Contracts for USDA Foods Processor Goods provided contract value Solicitation Type (IFB or RFP) Contract type Duration Number of responses Was GPO/Coop involved Amendments Value pass-through used
Procurement Review Tool
Connecticut State Department of Education Revised September 2019 60
How Does CSDE Select Procurements to Review?
Connecticut State Department of Education Revised September 2019 61
Type of Procurements
• Informal procurement/small purchase
• Formal procurement/IFB and RFP
FSMC contract
Processing USDA Foods contracts
How Does CSDE Select Procurements to Review?
Connecticut State Department of Education Revised September 2019 62
CSDE will request copies and review
• Written code of conduct (2 CFR 200.318(c)(1))
• Documented procurement procedures (2 CFR 200.318(a))
• Vendor paid list/summary report of expenditures by vendor
• Additional documents if needed
General Procurement Documents
Connecticut State Department of Education Revised September 2019 63
Report from SFA accounting system that
• identifies all vendors paid from nonprofit food service account
• summarizes total amount paid to each vendor for the period of review (SY 2015-16)
Vendor Paid List (Summary of Expenses)
Connecticut State Department of Education Revised September 2019 64
Connecticut Procurement Review Process
Questions?
Connecticut State Department of Education Revised September 2019 65
Andy Paulandrew.paul@ct.gov860-807-2048
Procurement Review Contacts
Connecticut State Department of Education
Bureau of Health/Nutrition, Family Services and Adult Education
450 Columbus Boulevard, Suite 504
Hartford, CT 06103-1841
Monica Pachecomonica.pacheco@ct.gov860-807-2086
Connecticut State Department of Education Revised September 2019 66
https://portal.ct.gov/SDE/Nutrition/Procurement-for-School-Nutrition-Programs
CSDE Procurement Webpage
Connecticut State Department of Education Revised September 2019 67
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/BuyAmericanForm.pdf
Buy American Justification Form
CSDE Procurement Resources
Connecticut State Department of Education Revised September 2019 68
Procurement Acronyms and Definitions
CSDE Procurement Resources
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/ProcureDefinitions.pdf
Connecticut State Department of Education Revised September 2019 69
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/ProcureDocumentationReview.pdf
Sample Documentation for Procurement Review
CSDE Procurement Resources
Connecticut State Department of Education Revised September 2019 70
Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion – Lower Tier Covered Transactions
CSDE Procurement Resources
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/ProcureDebarment.pdf
Connecticut State Department of Education Revised September 2019 71
Sample Code of Conduct
CSDE Procurement Resources
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/ProcureConductCode.doc
Connecticut State Department of Education Revised September 2019 72
Sample Procurement Procedures (Version 1)
CSDE Procurement Resources
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/ProcurePlan1.doc
Connecticut State Department of Education Revised September 2019 73
https://portal.ct.gov/-/media/SDE/Nutrition/NSLP/Procure/ProcurePlan2.doc
Sample Procurement Procedures (Version 2)
CSDE Procurement Resources
Connecticut State Department of Education Revised September 2019 74
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: How to File a Complaint, 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.
USDA Nondiscrimination Statement
Connecticut State Department of Education Revised September 2019 75
The Connecticut State Department of Education is committed to a policy of equal opportunity/affirmative action for all qualified persons. The Connecticut Department of Education does not discriminate in any employment practice, education program, or educational activity on the basis of age, ancestry, color, criminal record (in state employment and licensing), gender identity or expression, genetic information, intellectual disability, learning disability, marital status, mental disability (past or present), national origin, physical disability (including blindness), race, religious creed, retaliation for previously opposed discrimination or coercion, sex (pregnancy or sexual harassment), sexual orientation, veteran status or workplace hazards to reproductive systems, unless there is a bona fide occupational qualification excluding persons in any of the aforementioned protected classes.
Inquiries regarding the Connecticut State Department of Education’s nondiscrimination policies should be directed to: Levy Gillespie, Equal Employment Opportunity Director/Americans with Disabilities Coordinator (ADA), Connecticut State Department of Education, 450 Columbus Boulevard, Suite 607, Hartford, CT 06103, 860-807-2071, levy.gillespie@ct.gov.
CSDE Nondiscrimination Statement
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