1. Construction Related Consultant Selection Training May 2015 for State Operated Campuses 1

2. Learning Objectives Increase knowledge and understanding of: The process for consultant selections The procurement requirements associated with consultant selections The role of the Minority and Women Owned Business Enterprises (MWBE) Program Coordinator and MWBE participation in consultant selections Committee chairs: fulfill the requirement in Procedure 7555 to have completed consultant selection training 2015SUNY Office for Capital Facilities2

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4. Procurement Requirements 2015SUNY Office for Capital Facilities4 Polices and Procedures 7553 – Purchasing 7552 – Procurement Lobbying 7554 – Consultants 7555 – Construction 7556 and 7557 – MWBE

5. Architectural, Engineering and Surveying Services Contracts are negotiated with the most qualified consultant Applicability: >$25,000 SUNY Procedure #7555 2015SUNY Office for Capital Facilities5 NYS Finance Law §136-A

6. State Finance Law §136-a 2015SUNY Office for Capital Facilities6 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.

7. 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 Negotiations and Consultant Forms: MWBE, Procurement Lobbying, Vendor Responsibility Insurance, Consultant Reporting Campus Certification Contract Award Oct 2014SUNY Office for Capital Facilities7

8. Statement of Qualifications (SOQ) are submitted A short list is developed Short listed firms are interviewed and evaluated using the rating form The most qualified consultant is selected PC reviews the SOQ and provides the GFE form to the selection committee The cost proposal, and updated staffing list with dollar values is required Rating Form, cost proposal, and staffing list are provided to PC PC reviews and signs off on the staffing list Contract Awarded PC reviews the completed consultant rating form, cost proposal, and staffing list to evaluate GFE must have MWBEs Waivers PC = MWBE Program Coordinator Consultant Selection Process

9. 2015SUNY Office for Capital Facilities9 Project Funding Requests must be approved by the Fund prior to placing an advertisement If capital, follow the Campus Administered Procedures Capital Project Request Form (Attachment D) Division of Budget B-1184 approval Project Funding Request (Attachment F) Pre Solicitation

10. 2015SUNY Office for Capital Facilities10 Minority and Women Owned Business Enterprise (MWBE) Participation Assign Goals State-wide Goals - 15% and 15%; or Determine Contract Specific Goals Complete the Goal Setting Form (7557- 115)7557- 115) Require Sub-consultant Staffing list with the submittals (7555-15, 16, 17)7555-151617 Pre Solicitation

11. 2015SUNY Office for Capital Facilities11 Sub-consultant Staffing List 7555-15 Architecture 7555-16 Construction Management 7555-17 Commissioning Architecture Civil Engineering Landscape Architecture Structural Plumbing/Fire Protection HVAC Electrical Cost Estimating Asbestos/Hazmat Other CM-Primary Services Pre-Construction- Constructability Review Pre-Construction-Scheduling Cost Estimating Construction Phase Scheduling Safety Review Construction Phase Technical Staffing MWBE & EEO Other Commissioning Agent Engineering Indoor Air Quality Testing Inspection Services Balancing Other

12. 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 2015SUNY Office for Capital Facilities12

13. 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 2015SUNY Office for Capital Facilities13 NYS State Finance Law § 139-j

14. 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 2015SUNY Office for Capital Facilities14 For more, read Procedure 7552Procedure 7552

15. Conflict of Interest Contact your campus ethics officer or counsel 2015SUNY Office for Capital Facilities15 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.

16. SUNY Form 7555-01 2015SUNY Office for Capital Facilities16 Request for Qualifications Advertisement for at least 15 business days prior tothe bid due date Individual ad for contracts in excess of $50,000 Request qualifications from a minimum of five consultants

17. 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) 2015SUNY Office for Capital Facilities17

18. 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 Provide the MWBE Program Coordinator copies of the Submittal of Qualifications and Sub-consultant Staffing Lists (SUNY Form 7555-115, 116 or 117) for each short listed firm 2015SUNY Office for Capital Facilities18

19. 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) 2015SUNY Office for Capital Facilities19 Score in ink. Do not write comments on the score sheets.

20. Evaluating Firms 2015SUNY Office for Capital Facilities20

21. Evaluating Firms Consultant Selection Rating Form (7555-06)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.) 2015SUNY Office for Capital Facilities21

22. 2015SUNY Office for Capital Facilities22 MWBE Program Coordinator Appointed by Campus President or Designee MWBE Program Coordinator or designee is responsible for full implementation of Procedure 7557 and monitoring for compliance on contracts. Determine whether goals are feasible in the participation of certified MWBEs in the procurement opportunity. Conduct a vendor and spend analysis to determine whether there are NYS certified MWBEs that are available to participate in the procurement.

23. 2015SUNY Office for Capital Facilities23 MWBE Program Coordinator Reviews MWBE documentation which is required with the submittal of qualifications Approves whether the MWBE component is meaningful and acceptable using GFE Evaluation & Rating Form (7557-124) Collaborates with MWBE campus facilities & design professionals to complete reviews Approves the Sub-consultant Staffing List (Form 7555-115, 16, 17) after selection

24. Statement of Qualifications (SOQ) are submitted A short list is developed Short listed firms are interviewed and evaluated using the rating form The most qualified consultant is selected PC reviews the SOQ and provides the GFE form to the selection committee The cost proposal, and updated staffing list with dollar values is required Rating Form, cost proposal, and staffing list are provided to PC PC reviews and signs off on the staffing list Contract Awarded PC reviews the completed consultant rating form, cost proposal, and staffing list to evaluate GFE must have MWBEs Waivers PC = MWBE Program Coordinator Consultant Selection Process

25. Good Faith Efforts Consultant’s Good Faith Efforts (NYCRR § 142.8)– must document GFEs toward utilizing certified MWBEs - at a minimum must include: 1.Copies of its solicitations of MWBEs and responses. 2.If responses were received, but MWBE not selected – specific reasons was not selected. 3.Copies of any ads – general circulation, trade, and MWBE oriented publications – copy of listing, dates of ads. 4.Dates of attendance at any pre-award, or other meetings scheduled by the campus awarding the contract, with certified MWBEs which the campus determined were capable of performing the State contract scope for the purposes of fulfilling the goals.

26. Good Faith Efforts Consultants' Good Faith Efforts (NYCRR § 142.8)– must document GFEs toward utilizing certified MWBEs - at a minimum must include: 5.Information describing the specific steps undertaken to reasonably structure the contract scope of work to provide opportunities to certified MWBEs. 6.whether the consultant provided relevant information (i.e. plans, specifications or terms and conditions) to certified minority- and women-owned business enterprises sufficiently in advance to enable them to prepare an informed response to a contractor request for participation as a Subconsultant; 7.the extent to which consultant's own actions, including but not limited to, any failure by consultant to discharge consultant’s duties pursuant to this Part or article 15-A of the Executive Law, contributed to contractor’s inability to meet the maximum feasible portion of the contract goals;

27. 2015SUNY Office for Capital Facilities27 MWBE Program Coordinator Evaluates Good Faith Efforts Completes GFE Form (7557-124) and provides it to the selection committee Selection committee uses this information to determine the MWBE rating on the Consultant Selection Rating Form (7555-06)

28. 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 2015SUNY Office for Capital Facilities28 Forms available onlineonline

29. 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. 2015SUNY Office for Capital Facilities29

30. Consultant Procurement Checklist Link to form 2015SUNY Office for Capital Facilities30 Ensure all required documentation is submitted

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34. Backup Slides

35. Documentation Required with Submittals of Qualifications Add LIST 2015SUNY Office for Capital Facilities35

36. Consultant Agreements <$25,000 Required 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) 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) 2015SUNY Office for Capital Facilities36

37. 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 2015SUNY Office for Capital Facilities37 Division of Budget Bulletin 1184 B-1184

38. 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 2015SUNY Office for Capital Facilities38 NYS State Finance Law §163 OSC Guide to Financial Operations, Section XI.16 Vendor Responsibility OSC Guide to Financial Operations

39. 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 2015SUNY Office for Capital Facilities39 General Liability Auto Workers Comp and Disability Owners and Contractors Protective Liability (const) Builders Risk (const) Professional Liability (design)

40. 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 2015SUNY Office for Capital Facilities40 NYS State Finance Law § 8 and § 163

41. 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 2015SUNY Office for Capital Facilities41

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43. All certified MWBE contractors, subcontractors and suppliers that bid on or participate in a state contract regardless of the procurement approach or the payment method must perform a Commercially Useful Function (CUF). 5 NYCRR §140 (f)

44. Commercially Useful Function (CUF) Defined A MWBE performs a CUF when it is responsible for:  Execution of the work on the contract  Carrying out its responsibilities by actually Performing Managing Supervising …the work involved.

45. What a CUF is Not… When the MWBEs role: Adds no substantive value Limited to acting as an extra participant to the transaction, contract or project Acting as a pass through to give appearance of participation

46. CUF Evaluation – Test Questions 1.Does the MWBE hold the licenses, certificates or ESDC commodity codes to perform the work? 2.Will the MWBE be performing work that is normal for its business, services and function? 3.Will the MWBE actually be performing, managing, or supervising any element of the State contract? 4.Is the MWBE responsible for the execution of a distinct element of the State contract? 5.Is there any further subcontracting that is greater than that expected to be subcontracted by normal industry practices? 6.Is the amount the MWBE is to be paid under the contract commensurate with the work it is to perform?

47. When to Request a Waiver VII. MWBE DOCUMENTATION REVIEW AND APPROVAL (Procedure 7557) Firm Selected Meets Goal Subconsultant Staffing List Approved & Sent back to Selection Committee SUNY FMS sends notice to PRISM Contract is Approved MWBE Subplan is entered into PRISM No Waiver Request Needed Firm Selected Does Not Meet the Goal MWBE PC sends notice of deficiency w/20 days to Selection Committee and Selected Firm Contractor has seven (7) business days to respond MWBE PC Receives correction of deficiency MWBE PC sends approved Subconsultant Staffing List to Selection Committee SUNY FMS sends notice to PRISM Contract is Approved MWBE Subplan is entered into PRIS No Waiver Request Needed MWBE PC does not receive correction of deficiency Contractor must submit partial or total waiver request w/in 5 business days to MWBE PC Waiver Request Is Needed