3-D. FORM 1295 INSTRUCTIONS.pdf

REGION ONE EDUCATION SERVICE CENTER

CERTIFICATE OF INTERESTED PARTIES – FORM 1295

Definitions and Instructions for Completing Form 1295 Region One Education Service Center is required to comply with House Bill 1295, which amended the Texas Government Code by adding Section 2252.908, Disclosure of Interested Parties. Section 2252.908 prohibits Region One ESC from entering into a contract resulting from this RFP with a business entity unless the business entity submits a Disclosure of Interested Parties – Form 1295 to Region One ESC at the time the business entity submits the signed contract. The Texas Ethics Commission has adopted rules requiring the business entity to file Form 1295 electronically with the Texas Ethics Commission.

As a “business entity,” all vendors must electronically complete, print, sign, and submit Form 1295 with their proposals or contracts even if no interested parties exist.

Proposers must file Certificate of Interested Parties – Form 1295 with the Texas Ethics Commission using the following online application.

Instructions to Vendors:

1. Go to the Ethics Commission Website https://www.ethics.state.tx.us/filinginfo/1295/

2. Register and complete Form 1295 online – include the proposal number, the contract/RFP name, and a short description of the services, goods, or other property.

3. Print a copy of the submitted Form 1295 - it will have a certification # in the top right corner,

4. Include a copy of the completed, signed Form 1295 with the proposal response.

Definitions:

• Contract means a contract between Region One ESC and a business entity at the time it is voted on by the Region One ESC Board of Directors or at the time it binds the Region One ESC, whichever is earlier, and includes an amended, extended, or renewed contract.

• Business Entity includes an entity through which business is conducted with Region One ESC regardless of whether the entity is a for-profit or nonprofit entity. The term does not include a governmental entity or State agency.

• Controlling Interest means:

1) an ownership interest or participating interest in a business entity by virtue of units, percentage, shares, stock, or otherwise that exceeds ten percent (10%);

2) membership on the board of directors or other governing body of a business entity of which the board or other governing body is composed of not more than ten (10) members; or

3) service as an officer of a business entity that has four (4) or fewer officers, or service as one of the four (4) officers most highly compensated by a business entity that has more than four (4) officers. This section does not apply to an officer of a publicly held business entity or its wholly owned subsidiaries.

• Interested Party means:

1) a person who has controlling interest in a business entity with whom Region One ESC’ contracts; or

2) an intermediary.

• Intermediary: a person who actively participates in the facilitation of the contract or negotiation the contract, including a broker, advisor, attorney, or representative of or agent for the business entity who:

1) receives compensation from the business entity for the person’s participation;

2) communicates directly with the Region One ESC on behalf of the business entity regarding the contract; and

3) is not an employee of the business entity or of an entity with a controlling interest in the business entity.

• Signed includes any symbol executed or adopted by a person with present intention to authenticate a writing, including an electronic signature.

• Value of a contract is based on the amount of consideration received or to be received by the business entity from the Region One ESC under the contract.

Exemptions:

(1) a sponsored research contract of an institution of higher education;

(2) an interagency contract of a state agency or an institution of higher education;

(3) a contract related to health and human services if:

(A) the value of the contract cannot be determined at the time the contract is executed; and

(B) any qualified vendor is eligible for the contract;

(4) a contract with a publicly traded business entity, including a wholly owned subsidiary of the business entity;

(5) a contract with an electric utility, as that term is defined by Section 31.002, Utilities Code; or

(6) a contract with a gas utility, as that term is defined by Section 121.001, Utilities Code.

Resources:

Form 1295 Frequently Asked Questions: https://www.ethics.state.tx.us/resources/FAQs/FAQ_Form1295.php Instructional Video – First Time Business User:

• https://www.ethics.state.tx.us/filinginfo/videos/Form1295/FirstLogin-Business/Form1295Login-Business.html Instructional Video – How to Create a Certificate:

• https://www.ethics.state.tx.us/filinginfo/videos/Form1295/CreateCertificate/CreateCertificate.html https://www.ethics.state.tx.us/filinginfo/1295/ https://www.ethics.state.tx.us/resources/FAQs/FAQ_Form1295.php https://www.ethics.state.tx.us/filinginfo/videos/Form1295/FirstLogin-Business/Form1295Login-Business.html https://www.ethics.state.tx.us/filinginfo/videos/Form1295/CreateCertificate/CreateCertificate.html