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

1

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


Procurement Requirements

2015

Polices and Procedures• 7553 – Purchasing• 7552 – Procurement

Lobbying• 7554 – Consultants • 7555 – Construction• 7556 and 7557 – MWBE


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


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


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


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


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

http://www.suny.edu/sunypp/lookup.cfm?lookup_id=774





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


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


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


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

https://www.suny.edu/sunypp/documents.cfm?doc_id=430


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.


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

https://www.suny.edu/sunypp/lookup.cfm?lookup_id=485


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)

2015


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


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.


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


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



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.


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;


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)


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

https://www.suny.edu/sunypp/documents.cfm?doc_id=431


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


Consultant Procureme

nt ChecklistLink to form

2015

Ensure all required documentation is submitted

https://www.suny.edu/sunypp/lookup.cfm?lookup_id=720


Jessica R. Miller

Campus Let [email protected]

518-320-1129

Pamela Swanigan

U-wide MWBE [email protected]

518-320-1628

Backup Slides


Documentation Required with Submittals of Qualifications

•Add LIST

2015


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)

2015


• 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


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

http://www.osc.state.ny.us/vendrep/info_vresp_agency.htm

http://www.osc.state.ny.us/vendrep/info_vresp_agency.htm

https://www.osc.state.ny.us/agencies/guide/MyWebHelp/



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)


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



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


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

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

Documents

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