construction related consultant selection training may 2015 for state operated campuses 1
TRANSCRIPT
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Construction Related Consultant Selection
Training
May 2015 for State Operated Campuses
SUNY Office for Capital Facilities 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
2015
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Procurement Requirements
2015
Polices and Procedures• 7553 – Purchasing• 7552 – Procurement
Lobbying• 7554 – Consultants • 7555 – Construction• 7556 and 7557 – MWBE
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Architectural, Engineering and Surveying Services
•Contracts are negotiated with the most qualified consultant
•Applicability: >$25,000•SUNY Procedure #7555
2015
NYS Finance Law §136-A
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State Finance Law §136-a
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
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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 2014
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
listContract Awarded
PC reviews the completed consultant
rating form, cost proposal, and staffing
list to evaluate GFE
must have MWBEs
WaiversPC = MWBE Program Coordinator
Consultant Selection Process
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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
Campus Let vs.Campus Funded
Funding Source
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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)
•Require Sub-consultant Staffing list with the submittals (7555-15, 16, 17)
Pre Solicitation
MWBE
SUNY Procedure 7557
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Sub-consultant Staffing List
7555-15Architecture
7555-16Construction Management
7555-17Commissioning
•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
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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
2015
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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
2015
NYS State Finance Law § 139-j
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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
2015
For more, read Procedure 7552
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Conflict of Interest
Contact your campus ethics officer or counsel2015
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.
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SUNY Form 7555-01
2015
Request for Qualifications
•Advertisement for at least 15 business days prior to the bid due date
•Individual ad for contracts in excess of $50,000
•Request qualifications from a minimum of five consultants
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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)
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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
2015
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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)
2015
Score in ink. Do not write comments on the score sheets.
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Evaluating Firms
2015
RatingTotal of 20
PointsTotal of 10
Points Excellent 17 to 20 8 to 10 Good 11 to 16 5 to 7 Fair 5 to 10 3 to 4 Poor 0 to 4 0 to 2
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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.)
2015
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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.
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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
Roles and
Responsibilities
Statement of Qualifications (SOQ)
are submit
ted
A short list is
developed
Short listed firms are
interviewed and
evaluated
using the
rating form
The most
qualified
consultant is selecte
d PC reviews the SOQ and provides the GFE form to the selection
committeeThe cost
proposal, and
update
d staffing list with
dollar values
is requir
ed
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
WaiversPC = MWBE Program Coordinator
Consultant Selection Process
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. <Usually there are not networking sessions for consultants>
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 butnot 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;
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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)
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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
2015
Forms available online
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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.
2015
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Consultant Procureme
nt ChecklistLink to form
2015
Ensure all required documentation is submitted
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Jessica R. Miller
Campus Let [email protected]
518-320-1129
Pamela Swanigan
U-wide MWBE [email protected]
518-320-1628
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Backup Slides
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Documentation Required with Submittals of Qualifications
•Add LIST
2015
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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)
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• 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
2015
Division of Budget Bulletin 1184
B-1184
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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
2015
NYS State Finance Law §163
•OSC Guide to Financial Operations
, Section XI.16 Vendor Responsibility
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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
2015
• General Liability
• Auto
• Workers Comp and Disability
• Owners and Contractors Protective Liability (const)
• Builders Risk (const)
• Professional Liability (design)
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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
2015NYS State Finance Law § 8 and § 163
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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
2015
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MWBE
All certified MWBEcontractors, 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)
Commercially Useful Function (CUF) DefinedA MWBE performs a CUF when it is responsible for:
Execution of the work on the contractCarrying out its responsibilities by actually
PerformingManagingSupervising …the work involved.
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
CUF Evaluation – Test Questions1. 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?
When to Request a WaiverVII. 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