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SUNY Office for Capital Facilities 1
For State Operated Campuses
An Introduction to Campus Let Contracts
September 2015
SUNY Office for Capital Facilities 2
Objective
Increase knowledge and understanding of:
• Financial Management of Capital Funds
• Procurement Requirements
• Consultant Selection Overview
• Minority and Women Owned Business Requirements
September 2015
SUNY Office for Capital Facilities 3
Office for Capital Facilities
Visit our Website
September 2015
• Campus Let Contracts Program
• Community College Capital Program
• Energy Management , EO88 and Sustainability
• Environmental Health and Safety
• Energy Procurement and Utility Regulatory Affairs
• Residence Hall Capital Program
•Guidance Documents
•Listservs
•Newsletter
•OCF Website
SUNY Office for Capital Facilities 4September 2015
SUNY Office for Capital Facilities 5
Financial Management of Capital Funds
September 2015
SUNY Office for Capital Facilities 6September 2015
SUNY Capital Program
Notes: (1) Square footage and funding expressed in millions. (2) Average age (in years) represents straight average with no consideration given to the size of buildings or
subsequent renovations. Data as of Fall
2013
# ofBldgs
Sq. Foot(1)
AvgAge(2) Funded By
Projects Managed By
EducationalFacilities
1,859 58.6 46 State Fund/Campus
Hospitals 18 2.9 27Hospital
RevenuesFund/Campus
ResidenceHalls
487 21.1 36 Room RentsDASNY/Campus
CommunityColleges
523 19.3 4250% State50% Local
Local
Totals 2,887 101.9 43
SUNY Office for Capital Facilities 7
The State’s Fiscal Year is
April 1st through
March 31st
The State, SUNY, and the Fund are
currently preparing for
the next Fiscal Year 2014-15
SUNY Budget Preparation
& Board Approval
Budget DivisionReview
Governor'sDecisions
LegislativeAction
BudgetImplementation
Janu
ary -
Mar
chJune –
September/October
September/October-
December
Novem
ber -
Janu
ary
Budget Cycle
September 2015
SUNY Office for Capital Facilities 8
Capital Appropriations
September 2015
SUNY Office for Capital Facilities 9
Types of Appropriation
September 2015
94%
5%
1% FY 2014/15 Disbursements
Advanced 384
Other
Advanced = Bonded = 30 year loan
SUNY Office for Capital Facilities 10September 2015
Campus Let Projects
• Campus managed construction projects funded by SUCF appropriations.
• Campus Administered Procedures apply
Campus Funded Projects
• Campus managed construction projects funded by SUNY appropriations or other funds such including those from the Foundation, Research Foundation, Auxiliary Service Corporation, Alumni Association, Income Fund Reimbursable (IFR) accounts or Grants.
Campus Administered Projects See Handout #2
SUNY Office for Capital Facilities 11
Management of Capital Funds
September 2015
• Bond proceeds must be used only for capital costs
• Useful life of Project
• Tax exempt vs. taxable bonds
• Annual Private Use Survey
See Handout #2
SUNY Office for Capital Facilities 12
Operating vs. Capital Expense
Operations and Maintenance
• Budgeted staff payroll
• Utilities
• Office supplies and janitorial supplies to support regular operations
• Disposal of hazardous waste from academic or research activities
Capital
• Architecture and Engineering Studies
• Design
• Construction
• Construction Material
• Equipment - Fixed
September 2015
SUNY Office for Capital Facilities 13
Operations and Maintenance expense, unless done as part of a new construction or major renovation project
• Landscaping
• Painting
• Carpet
• Furniture
• Moving expenses
• Resealing, resurfacing or relining parking areas
September 2015
Operating vs. Capital Expense
SUNY Office for Capital Facilities 14
Procurement Requirements and Thresholds
September 2015
for State Operated Campuses
SUNY Office for Capital Facilities 15
Construction Authority and Funding
•New York State Education Law (§355 and §376) establishes the authority for design, construction and
rehabilitation of SUNY facilities on SUNY property
•Who has that authority?
September 2015
SUNY Office for Capital Facilities 16
Construction Authority and Funding
•Who does NOT have the authority to procure design and construction work?
• Research Foundation
• Campus Foundation
• Auxiliary Service Corporation
• 3rd party occupants (Barnes & Noble, Starbucks, Sodexo, Marriott)
• Campus-affiliated corporations
September 2015
Learn more, see
Guidance Document CLC-3
SUNY Office for Capital Facilities 17
Procurement Requirements
September 2015
SUNY Office for Capital Facilities 18
Procurement Requirements
September 2015
Polices and Procedures• 7553 – Purchasing• 7552 – Procurement
Lobbying• 7554 – Consultants • 7555 – Construction• 7556 and 7557 – MWBE
See Handout #1
SUNY Office for Capital Facilities 19
Campus Let Design ProjectIdentify
Estimates, Budget, Funding Source
B-1184, MWBE 9
Point Memo
Develop RFQ
Advertise (NYSCR)
Consultant Selection
Consultant Forms, including:
Procurement Lobbying, Vendor
Responsibility Insurance, Consultant Reporting
Campus Certification
Contract Award
September 2015
SUNY Office for Capital Facilities 20
Campus Let Construction ProjectIdentify
Estimates, Budget, Funding Source
B-1184, Wicks
Waiver, MWBE 9
Point Memo
Develop Bid Documents
Advertise (NYSCR)
Public Bid Opening
Consultant Forms, including:
Procurement Lobbying, Vendor
Responsibility Insurance,
Construction Bonds
Campus Certification
Contract Award
September 2015
SUNY Office for Capital Facilities 21
Most Qualified Selection (Consultant)
•Contracts are negotiated with the most qualified consultant•Applicability: >$25,000•SUNY Procedure #7555
September 2015
NYS Finance Law §136-A
SUNY Office for Capital Facilities 22
Competitive Bid (Construction)
•Awards made by public letting to the lowest qualified bidder
•Applicability: >$20,000•SUNY Procedure #7554
September 2015
NYS Education Law §376
SUNY Office for Capital Facilities 23
• Division of Budget’s authorization to spend capital funds
• Done online through the Agency Spending Controls Application (ASCA)
•Does NOT apply to professional staff and site reps
•Applicability: Capital projects >$20,000
September 2015
Division of Budget Bulletin 1184
B-1184
SUNY Office for Capital Facilities 24
Wicks Law (Construction)
September 2015
Contracts over the threshold require separate specifications and bids for;• General Contracting• Mechanical: steam heating, hot water heating,
ventilating and air conditioning apparatus• Electrical: electric wiring and standard
illuminating fixtures• Plumbing: plumbing and gas fitting
SUNY Office for Capital Facilities 25
Wicks Law (Construction)
September 2015
Wick’s Applicability thresholds by county• >$3M in Bronx, Kings, NY, Queens, and
Richmond• >$1.5M in Nassau, Suffolk, and Westchester• >$0.5M in all other counties within the state
SUNY Office for Capital Facilities 26
Wicks Law (Construction)
September 2015
Campus Let
(Campus Administered)
•Campuses may apply for a Wick’s Waiver with the Fund
•Construction must be funded entirely with capital appropriations made to the Fund (includes 384)
Campus Funded
•Construction Contracts funded by operating or other funds are not eligible for a Wick’s Waiver
•Contracts under the applicable thresholds must have bidders submit with their bid a separate sealed list that names each subcontractor.
SUNY Office for Capital Facilities 27
Campus Let vs. Campus Funded
September 2015
Campus Let
(Campus Administered)
• Capital Appropriation, including 384
• Project Initiation: Campus Administered Procedures apply
• Eligible for Wick’s Waiver
• Advertisement in Albany paper and a paper of general circulation
Campus Funded
• Operating Appropriation and other campus funding
• Project Initiation: Campus process applies
• Subject to Wick’s• Advertisement in a
paper of general circulation
SUNY Office for Capital Facilities 28
Prevailing Wage Rates (Construction)
• Applicability: All contracts and purchase orders
• Provide a copy to the prime contractor and incorporate it into the contract
• Primes provides schedules to subcontractors
• Prime provides copies of certified payroll to SUNY
• Request a wage schedule from the Department of Labor website
September 2015
NYS Labor Law, Article 8 & 9
SUNY Office for Capital Facilities 29
New York State Contract Reporter
•Advertisement for at least 15 business days prior tothe bid due date
•Individual ad for contracts in excess of $50,000
•Quarterly ad for anticipated contracts >$10,000 but <$50,000
•NYSCR Website
September 2015
NYS Economic Development Law (§142)
SUNY Office for Capital Facilities 30
Emergency Procurements and Exemption from Advertising
•Declaration of the emergency and waiver of competitive bidding, signed by a senior campus officer
•Establish reasonableness of price by obtaining a minimum of three verbal or written quotes
•Notify your Fund Program Manager or SUNY OCF
•A waiver for publication in the NYSCR is required from OSC prior to contract award
September 2015
SUNY Office for Capital Facilities 31
Newspaper Advertisement (Construction)
•Campus Let contracts require a one day ad in an Albany paper and in a local paper of general circulation
•Campus Funded contracts require an ad in a local paper of general circulation
•Contact a reasonable number of local contractors, a minimum of 5, if feasible
• Applicability: >$50,000
Albany Paper = Times UnionSeptember 2015
NYS Education Law (§376) and Public Building Law (§8)
SUNY Office for Capital Facilities 32
Procurement Lobbying Act
•Limits communications during the Restricted Period – from Contract Reporter Ad to Contract Execution
•All inquires must be directed to the Designated Contact
•Requires vendor affirmation, certification and disclosure of compliance
•Applicability: >$15,000
•SUNY Procedure #7552
September 2015
NYS State Finance Law § 139-j
SUNY Office for Capital Facilities 33
Procurement Lobbying Act
“Contact” means an oral, written or electronic communication to SUNY related to the procurement by or on behalf of the Offerer during the Restricted Period that could be inferred as intending to influence the procurement
"Restricted period" means from the earliest written notice, advertisement or solicitation of a request for proposal, invitation for bids, or solicitation of proposals, or any other method for soliciting a response from offerers intending to result in a procurement contract
September 2015
For more, read Procedure 7552
SUNY Office for Capital Facilities 34
Vendor Responsibility
•For all contracts vendors and contractors must be deemed responsible
•Contracts >$100,000 require
• Vendor Responsibility Questionnaire using VendRep
• Agency certification of Vendor Responsibility
September 2015
NYS State Finance Law §163
•OSC Guide to Financial Operations
, Section XI.16 Vendor Responsibility
SUNY Office for Capital Facilities 35
Certificate of Insurance
•Required for ALL contracts and purchase orders
•At a minimum, insurance limits must equivalent to the limits in the construction and consultant
agreements
•Construction Forms: ACORD 25 and ACORD 855
•Design Forms: ACORD 25
September 2015
• General Liability
• Auto
• Workers Comp and Disability
• Owners and Contractors Protective Liability (const)
• Builders Risk (const)
• Professional Liability (design)
Do not collect yet - guidance coming
on 855 form
SUNY Office for Capital Facilities 36September 2015
Learn more, seeGuidance Document CLC-1
NYS State Finance Law § 139-f
Bonds Construction Bonds
•Applicability: >$50,000
•Performance Bonds
• May be waived when only one (1) payment is made to the contractor upon successful completion of the work
•Labor & Material Bonds cannot be waived
•Multiple contracts for project - the entire project value
must be fully bonded
SUNY Office for Capital Facilities 37
Campus Procurement Certification
•SUNY procedures require a Campus Procurement Certification for all contracts (not purchase orders) •>$250,000 – signed by a Campus Vice President and uploaded to the “SUNY Procurement Officers” space in Confluence
September 2015
SUNY Office for Capital Facilities 38September 2015
SUNY Office for Capital Facilities 39
Consultant Selection Overview
Procedure 7554 Construction Related Consultant
Procedure
September 2015
SUNY Office for Capital Facilities 40
Campus Let Design Project
Estimates, Budget, Funding Source
B-1184, MWBE Goal
Development
Project Funding Request (if Capital)
Develop RFQ , include MWBE
Goals
Advertise (NYSCR)
Consultant Selection
MWBE Participation
Analysis
Negotiations and Consultant Forms:
Procurement Lobbying, Vendor
Responsibility Insurance,
Consultant Reporting
Campus Certification
Contract Award
September 2015
SUNY Office for Capital Facilities 41
State Finance Law §136-a
May 2015
Most Qualified It is the policy of New York state to negotiate contracts for architectural and/or engineering services and/or surveying services on the basis of demonstrated competence and qualification for the type of professional services required and at fair and reasonable fees.
Negotiate
SUNY Office for Capital Facilities 42
Selection Committee
•A minimum of three members are required•If interviews are held, all voting committee members must attend all interviews •At a minimum the committee chair must have
completed the Consultant Selection Training
September 2015
SUNY Office for Capital Facilities 43May 2015
Request for QualificationsSee Handout
#3
SUNY Office for Capital Facilities 44
Short List
•Brief review of all Submittals of Qualifications•Each committee member individually completes a Short List Rating Form (7555-03)•Short List Ratings are complied in the Short
List Summary Form (7555-04)
September 2015
See Handout #4 & #5
SUNY Office for Capital Facilities 45
Evaluating Firms
•Detailed review of Submittal of Qualifications
•Site visits and Interviews, as applicable
•Contact References (Form 7555-05)
•Committee members individually complete the Consultant Selection Rating Form (7555-06)
September 2015
Score in ink. Do not write comments on the score sheets.
See Handout #6 & #7
SUNY Office for Capital Facilities 46
Evaluating Firms
•Consultant Selection Rating Form (7555-06)
• Firm Qualifications and Experience (20 Pts.)
• Personnel Qualifications and Experience (20 Pts.)
• Previous Experience with Work Specific to Project Scope (20 Pts.)
• Approach & Capability (20 Pts.)
• MWBE Utilization (10 Pts.)
• References (10 Pts.)
September 2015
See Handout #7
SUNY Office for Capital Facilities 47
Make Selection
•Compile the Selection Committee members individual scores
•The highest ranking consultant is determined by calculating the average of all Selection
Committee member’s scores
•Forward a Letter of Intent (Form 7555-08) to the most qualified consultant
•Negotiate a fair and reasonable fee
•Complete the Procurement Checklist (Form 7555-00)
September 2015
Forms available online
See Handout #8 & #9
SUNY Office for Capital Facilities 48September 2015
SUNY Office for Capital Facilities 49September 2015
Subcontractor goals apply to:
Construction Contracts >$100,000
Construction Related Services Contracts >$25,000
Commodities and Services Contracts >$25,000
Pamela Swanigan
U-Wide MWBE Program Director
518-320-1628 or pamela.swanigan@suny.edu
Minority and Women Owned Business Program
MWBE
SUNY Procedure 7557 Executive Law 15-A
SUNY Office for Capital Facilities 50September 2015
Jessica R. MillerCampus Let Contracts
jessica.miller@suny.edu518-320-1129
SUNY Office for Capital Facilities 51September 2015
SUNY Office for Capital Facilities 52
Additional Slides
September 2015
SUNY Office for Capital Facilities 53September 2015
SUNY Office for Capital Facilities 54
Charging Staff to Capital Appropriations
•Professional staff and site representatives Fully dedicated to supporting capital program No day to day or routine responsibilities on campus One staff member or site representative per project
•Only payroll charges can be charged to the account
•Charge the capital account directly, or
•Charge one of the IFR accounts, and process journal vouchers monthly
September 2015
SUNY Procedure 7302
SUNY Office for Capital Facilities 55
•Critical Maintenance projects between $5,000 and $150,000•Project completion in less than 12 months
•Discrete scope Limited to a specific building or group
of buildings Limited to discrete components of the
building(s) Addresses specific aspects of the campus
site or infrastructure
•Project has useful life of 10 years or more
September 2015
Critical Maintenance:
projects to preserve facilities in good
working condition, suitable for their
current utilization, and compliant with
all applicable codes, rules,
regulations, and standards.
Minor Critical Maintenance
SUNY Office for Capital Facilities 56
Capitalization - SUNY
•All land acquisitions
•All buildings acquisitions
•Building renovations and improvements projects costing more than $100,000
•Land improvements and infrastructure projects costing more than $100,000, and,
•Equipment costing more than $5,000 with a useful life beyond a single reporting period (generally one year).
September 2015
Renovations are an asset. In accounting, capitalization is when we
spread the cost of an asset across the life of that asset. SUNY Procedure 7004
SUNY Office for Capital Facilities 57
Capitalization - SUNY
Complete the SUNY Capitalization Form when:
• The project has reached substantial competition
• The asset is placed in service (beneficially occupied)
• The project costs are known and/or can be reasonably estimated
Submission of this form will NOT close out financial accounts. Outstanding payments can still be processed for the project.
September 2015
Closeout Capitalization
SUNY Office for Capital Facilities 58
Closeout – The Fund
•At substantial completion update the beneficial occupancy milestone (800) via the Fund’s web portal
•When all payments have been processed and paid Reduce any outstanding encumbrances on the project
to zero Submit the Account Closeout form (Attachment G) to
the Fund Upon receipt of the Account Closeout form, the Fund
will close out the associated accounts and return any unexpended balances to the campus’ balance account.
September 2015
Closeout Capitalization
SUNY Office for Capital Facilities 59
Project Sunlight
The law requires that SUNY employees who are decision makers or decision advisors report all substantive “appearances” with non-government entities (both individuals and firms) regarding one of five designated categories to an on-line searchable database within five days of the appearance IF the cost of the procurement / contract could be more than $25,000; All entries will be published on a public-facing website.
For more, see SUNY’s compliance websiteSeptember 2015
SUNY Office for Capital Facilities 60
Term and Backdrop
Agreements
September 2015
SUNY Office for Capital Facilities 61
Term Agreements
*New* Agreement Template available onlineSeptember 2015
A pre-awarded agreement for the preparation of a study or for design services and/or contract administration of small projects with similar scopes of work.
SUNY Office for Capital Facilities 62
Backdrop Agreements
For small projects with diverse scopes of work.
Backdrop term agreements involve the selection of three to six firms to serve as a “backdrop” of consultants and a mini-selection process is used to determine the most qualified consultant for each project.
September 2015
SUNY Office for Capital Facilities 63
Term Agreement Process
•Provide a project notification & summary to the consultant
• Term Project Initiation (Form 7555-13)•Negotiate a fair and reasonable fee•Verify funding source •Provide Authorization to Proceed (7555-14)
Term Agreements do not require a selection process to assign a project
September 2015
SUNY Office for Capital Facilities 64
Backdrop Agreements Process
•Provide a project notification & summary to all consultants on the backdrop term agreement.
•Give consultants the opportunity to update qualifications
•Evaluate and select the most qualified consultant
•Document justification for selection in using the Backdrop Term Contract Mini Selection Form 7555-07
•Negotiate a fair and reasonable fee
•Provide Authorization to Proceed - 7555-14
Mini selections are done as a ‘desktop analysis’
September 2015
SUNY Office for Capital Facilities 65
Term Contract Limits
Tier 1 Tier 2Tier 3
Contract Limit $225,000 $700,000$3,500,000(Consultant Cost)
Contract Est. $1,500,000 $5,000,000$17,500,000Construction Value
Project Limit $75,000 $200,000 $500,000(Consultant Cost)
Project Est. $525,000 $1,300,000 $3,500,000
Construction Value
September 2015
SUNY Office for Capital Facilities 66September 2015
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