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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