1. Campus Let Contracts Regional Training Session Insert Date for State Operated Campuses Oct 20131SUNY Office for Capital Facilities

2. Objective Increase knowledge and understanding of: Procurement Requirements Consultant Selection Financial Management of Capital Funds Oct 2013SUNY Office for Capital Facilities2

3. Office for Capital Facilities OCF Newsletter OCF Website Guidance Documents Listservs Visit our Website Oct 2013SUNY Office for Capital Facilities3 Campus Let Contracts Program Community College Capital Program Environmental Health and Safety Energy Management and Planning Residence Hall Capital Program Environment Health and Safety Office for Sustainability

4. Oct 2013SUNY Office for Capital Facilities4

5. Procurement Requirements and Thresholds Oct 2013SUNY Office for Capital Facilities5 for State Operated Campuses

6. 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? Oct 2013SUNY Office for Capital Facilities6

7. 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 Oct 2013SUNY Office for Capital Facilities7 Learn more, see Guidance Document CLC-3

8. Procurement Requirements Oct 2013SUNY Office for Capital Facilities8

9. Procurement Requirements Oct 2013SUNY Office for Capital Facilities9 Polices and Procedures 7553 – Purchasing 7552 – Procurement Lobbying 7554 – Consultants 7555 – Construction 7556 and 7557 – MWBE See Handout #1

10. Campus Let Design Project Identify 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 Oct 2013SUNY Office for Capital Facilities10

11. Campus Let Construction Project Identify 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 Oct 2013SUNY Office for Capital Facilities11

12. Most Qualified Selection (Consultant) Contracts are negotiated with the most qualified consultant Applicability: >$25,000 SUNY Procedure #7555 Oct 2013SUNY Office for Capital Facilities12 NYS Finance Law §136-A

13. Competitive Bid (Construction) Awards made by public letting to the lowest qualified bidder Applicability: >$20,000 SUNY Procedure #7554 Oct 2013SUNY Office for Capital Facilities13 NYS Education Law §376

14. Campus Let vs. Campus Funded Oct 2013SUNY Office for Capital Facilities14 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

15. 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 Oct 2013SUNY Office for Capital Facilities15 Division of Budget Bulletin 1184 B-1184

16. Wicks Law (Construction) Oct 2013SUNY Office for Capital Facilities16 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

17. Wicks Law (Construction) Oct 2013SUNY Office for Capital Facilities17 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

18. Wicks Law (Construction) Oct 2013SUNY Office for Capital Facilities18 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.

19. 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 websiteDepartment of Labor website Oct 2013SUNY Office for Capital Facilities19 NYS Labor Law, Article 8 & 9

20. Minority and Women Owned Business Program The MWBE requirements for construction are currently being updated. Look for them in December. Training will be provided by the MWBE Program Office. For more information contact Pamela Swanigan at 518-320-1628 or pamela.swanigan@suny.edupamela.swanigan@suny.edu Oct 2013SUNY Office for Capital Facilities20

21. New York State Contract Reporter Advertisement for at least 15 business days prior to the bid due date Individual ad for contracts in excess of $50,000 Quarterly ad for anticipated contracts >$10,000 but <$50,000 NYSCR Website Oct 2013SUNY Office for Capital Facilities21 NYS Economic Development Law (§142)

22. 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 Oct 2013SUNY Office for Capital Facilities22

23. 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 Union Oct 2013SUNY Office for Capital Facilities23 NYS Education Law (§376) and Public Building Law (§8)

24. 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 Oct 2013SUNY Office for Capital Facilities24 NYS State Finance Law § 139-j

25. 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 Oct 2013SUNY Office for Capital Facilities25 For more, read Procedure 7552Procedure 7552

26. Vendor Responsibility For all contracts vendors and contractors must be deemed responsible Contracts >$100,000 require Vendor Responsibility Questionnaire using VendRepVendRep Agency certification of Vendor Responsibility Oct 2013SUNY Office for Capital Facilities26 NYS State Finance Law §163 OSC Guide to Financial Operations, Section XI.16 Vendor Responsibility OSC Guide to Financial Operations

27. 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 Oct 2013SUNY Office for Capital Facilities27 General Liability Auto Workers Comp and Disability Owners and Contractors Protective Liability (const) Builders Risk (const) Professional Liability (design)

28. Oct 2013SUNY Office for Capital Facilities28 Learn more, see Guidance 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

29. Consultant Reporting Annual reporting of all consultant contracts and purchase orders OSC Form A OSC Form B OSC Guide to Financial Operations, Section XI.18.C Consultant Disclosure Legislation OSC Guide to Financial Operations Oct 2013SUNY Office for Capital Facilities29 NYS State Finance Law § 8 and § 163

30. 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 Oct 2013SUNY Office for Capital Facilities30

31. Consultant Selection Procedure 7554 Construction Related Consultant Procedure Oct 2013SUNY Office for Capital Facilities31

32. Consultant Agreements >$25,000 State Finance Law §136-a 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. Oct 2013SUNY Office for Capital Facilities32

33. Oct 2013SUNY Office for Capital Facilities33

34. Pre Solicitation Identify the funding source: Capital dollars, including 384 Campus Let Contracts Campus dollars Campus Funded Contracts Oct 2013SUNY Office for Capital Facilities34

35. Pre Solicitation If capital, follow the Campus Administered Procedures Capital Project Request Form (Attachment D) Division of Budget B-1184 approval Project Funding Request (Attachment F) MWBE Goals – 9 Point Memo See Handouts #2, #3, #11 Oct 2013SUNY Office for Capital Facilities35 Project Funding Requests must be approved by the Fund prior to placing an advertisement

36. Request for Qualifications Link to form Oct 2013SUNY Office for Capital Facilities36

37. 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 Oct 2013SUNY Office for Capital Facilities37

38. Conflict of Interest A conflict of interest occurs when the Committee member or an immediate family member (spouse/domestic partner, parent, sibling or child) has a financial interest in or has been employed by any of the firms under consideration within the previous five years. Contact your campus ethics officer or counsel Oct 2013SUNY Office for Capital Facilities38

39. 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) Oct 2013SUNY Office for Capital Facilities39 See Handouts #5 and #6

40. Short List At a minimum the five firms with the highest ratings are to continue in the selection process. In the event that the fifth and sixth firms’ ratings are tied both firms are to continue in the selection process. Ratings may be reconsidered if pool of firms is too large or too small Oct 2013SUNY Office for Capital Facilities40

41. Oct 2013SUNY Office for Capital Facilities41

42. Evaluating Firms Detailed review of Submittal of Qualifications Site visits and Interviews, as applicable Contact References (Form 7555-07) Committee members individually complete the Consultant Selection Rating Form (7555-06) Oct 2013SUNY Office for Capital Facilities42 Score in ink. Do not write comments on the score sheets. See Handouts #7 and #8

43. 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.) Oct 2013SUNY Office for Capital Facilities43 See Handout #8

44. Evaluating Firms Oct 2013SUNY Office for Capital Facilities44

45. 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 Oct 2013SUNY Office for Capital Facilities45 Forms available onlineonline See Handout #9

46. Negotiate a Fair and Reasonable Fee Request and evaluate the cost proposal Hours Rates Multipliers No cost proposals are to be submitted with the qualifications. Cost proposals are to be requested after a consultant selection is made. Oct 2013SUNY Office for Capital Facilities46

47. Consultant Procurement Checklist Link to form Oct 2013SUNY Office for Capital Facilities47 Ensure all required documentation is submitted

48. Oct 2013SUNY Office for Capital Facilities48 Consultant Agreements <$25,000

49. Campus Documentation DOB B-1184 Approval (applies >$20,000) Purchase Order or Agreement Exhibit A Exhibit A-1 (applies >$25,000) Project scope and requirements If processed as a Contract - Campus Procurement Certification (Form XV, Procedure 7553) Oct 2013SUNY Office for Capital Facilities49 Agreements <$25K

50. Consultant Documentation Procurement Lobbying Forms (applies >$15,000) Certificates of Insurance Certificate of Workers Comp and Disability OSC Form A - State Consultant Services Contractor’s Planned Employment (applies >$15,000; applicable to salaries, does not include travel or reimburseables) Oct 2013SUNY Office for Capital Facilities50 Agreements <$25K

51. Term and Backdrop Agreements Oct 2013SUNY Office for Capital Facilities51

52. Term Agreements *New* Agreement Template available onlineonline Oct 2013SUNY Office for Capital Facilities52 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.

53. 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. Oct 2013SUNY Office for Capital Facilities53

54. 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 Oct 2013SUNY Office for Capital Facilities54

55. 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 ’ Oct 2013SUNY Office for Capital Facilities55

56. Term Contract Limits Tier 1Tier 2Tier 3 Contract Limit$225,000 $700,000$3,500,000 (Consultant Cost) Contract Est. $1,500,000 $5,000,000$17,500,000 Construction Value Project Limit $75,000 $200,000 $500,000 (Consultant Cost) Project Est. $525,000 $1,300,000 $3,500,000 Construction Value Oct 2013SUNY Office for Capital Facilities56

57. Oct 2013SUNY Office for Capital Facilities57

58. Financial Management of Capital Funds Oct 2013SUNY Office for Capital Facilities58

59. Oct 2013SUNY Office for Capital Facilities59 SUNY Capital Program # of Bldgs Sq. Foot (1) Avg Age (2) Funded By Projects Managed By Educational Facilities 1,84458.545.4StateFund/Campus Hospitals193.328.2 Hospital Revenues Fund/Campus Residence Halls 48520.534.8Room Rents DASNY/ Campus Community Colleges 50318.941.3 50% State 50% Local Local Totals2,851101.241.9 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.

60. The State’s Fiscal Year is April 1 st through March 31 st The State, SUNY, and the Fund are currently preparing for the next Fiscal Year 2014-15 January - March June – September/October September/October- December November - January Budget Cycle Oct 201360SUNY Office for Capital Facilities

61. Types of Appropriation Oct 2013SUNY Office for Capital Facilities61

62. Management of Capital Funds Oct 2013SUNY Office for Capital Facilities62 Bond proceeds must be used only for capital costs Useful life of Project Tax exempt vs. taxable bonds Annual Private Use Survey

63. 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 - Group III Oct 2013SUNY Office for Capital Facilities63

64. 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 Oct 2013SUNY Office for Capital Facilities64 Operating vs. Capital Expense

65. Approval To Use Appropriated Funds Sept 2013SUNY Office for Capital Facilities65 B-1184 approval is provided for a specific project Certificate of Approval (now called budget journal in SFS) is provided for a specific purpose or project Division of Budget Allocation/Segregation is issued by OSC for a specific purpose or project Office of State Comptroller Capital Project Requests and Project Funding Requests are approved and coding is issued for a specific project The Fund

66. Managing Disbursements Oct 2013SUNY Office for Capital Facilities66 Take away

67. Limitations Imposed by Disbursement Targets: ($ in millions) Ed Facilities & Hospital Capital Program Bonded Disbursements 67SUNY Office for Capital FacilitiesOct 2013

68. SUNY Office for Capital Facilities68

69. 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 Oct 2013SUNY Office for Capital Facilities69 SUNY Procedure 7302

70. 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 Oct 2013SUNY Office for Capital Facilities70 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

71. 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). Oct 2013SUNY Office for Capital Facilities71 Renovations are an asset. In accounting, capitalization is when we spread the cost of an asset across the life of that asset. SUNY Procedure 7004SUNY Procedure 7004

72. 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. Oct 2013SUNY Office for Capital Facilities72 Closeout Capitalization

73. 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. Oct 2013SUNY Office for Capital Facilities73 Closeout Capitalization

74. Equipment Guidance Oct 2013SUNY Office for Capital Facilities74

75. Oct 2013SUNY Office for Capital Facilities75 Take away

76. Contact Information: Jessica R. Miller 518-320-1129 Jessica.Miller@suny.edu Office for Capital Facilities Website Oct 2013SUNY Office for Capital Facilities76

77. Oct 201377SUNY Office for Capital Facilities