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DPW Leasing/Property Transfer Overview

This session provides an overview of the leasing and property transfer process, including the Statewide Capital and Facilities Plan, request for space process, agency responsibilities, lease compliance, and more.

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DPW Leasing/Property Transfer Overview

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  1. DPW Leasing/Property Transfer Overview

  2. DPW Leasing/Property Transfer Overview AGENDA • INTRODUCTIONS • PURPOSE OF SESSION • REVIEW: • STATEWIDE CAPITAL AND FACILITIES PLAN (FACCAP) (PAT O’BRIEN – OPM) • REQUEST FOR SPACE PROCESS (BOB CODY – DPW) • INTERIM SPACE PROCESS (BOB ) • NEW EXPANDED SPACE REQUEST FORM (BOB) • YOUR AGENCY’S RESPONSIBILITIES (SHANE MALLORY – DPW) • GENERAL PARAMETERS REGARDING LEASES (SHANE) • DISCUSS LEASE PROCESS (SHANE – DPW) • DISCUSS 4B27 (SHANE) • DISCUSS LEASE COMPLIANCE (SHANE) • DISCUSS STATE STANDARD LEASE (SHANE) • DISCUSS ANNUAL INSPECTIONS of EMERGENCY EQUIPMENT AND FIRE SYSTEMS (SHANE) • DISCUSS STATE’S/AGENCIES RESPONSIBILITIES TO REPORT TO LESSORS (SHANE) • QUESTION/ANSWER

  3. DPW Leasing/Property Transfer Overview • PURPOSE OF SESSION IS; • To ensure you are fully informed about the leasing/property transfer process • To reduce the amount of time the process takes • To ensure all of us are in compliance with statutes • To help DPW meet your agencies’ real estate needs

  4. DPW Leasing/Property Transfer Overview REVIEW OF THE STATE FACILITY PLAN PATRICK O’BRIEN OFFICE OF POLICY AND MANAGEMENT BUREAU OF ASSETS MANAGEMENT

  5. DPW Leasing/Property Transfer Overview • WHAT IS THE STATE FACILITY PLAN? • Also known as FACCAP. • Mandated by CGS 4b-23 - “The state facility plan shall be used as an advisory document for the leasing of property for use by state agencies and departments and for related capital projects.” • Any State agency wishing to make use of leased space to meet its facility needs must be approved for the necessary square footage under the Plan. • If the agency is not approved for the necessary costs & square footage under the State Facility Plan, then the agency may not legally enter into a lease. • OPM is required to prepare the State Facility Plan on a biennial basis. • The Plan goes into effect July 1st of each odd-numbered year and remains in effect until June 30th of the following odd-numbered year.

  6. DPW Leasing/Property Transfer Overview STATE FACILITY PLAN – AGENCY TIMELINE • Late spring/early summer of even numbered years, agencies will receive a package of information from OPM which includes: • Form for each existing lease • Form for new space requests • Form to account for “missing” leases • Forms for energy savings, building demolition, utilization of owned space etc., • Agencies required to: • Check information provided on the forms, and • Correct any errors, and • Provide any missing information and update request based on future projections. • Agencies are required to submit the information to OPM by August 1st of each even numbered year. • Failure to submit the information will result in the agency not being approved for square footage in the State Facility Plan.

  7. DPW Leasing/Property Transfer Overview STATE FACILITY PLAN – AGENCY TIMELINE • Late spring/early summer of even numbered years, agencies will receive a package of information from OPM which includes: • Form for each existing lease • Form for new space requests • Form to account for “missing” leases • Forms for energy savings, building demolition, utilization of owned space etc., • Agencies required to: • Check information provided on the forms, and • Correct any errors, and • Provide any missing information and update request based on future projections. • Agencies are required to submit the information to OPM by August 1st of each even numbered year. • Failure to submit the information will result in the agency not being approved for square footage in the State Facility Plan.

  8. DPW Leasing/Property Transfer Overview STATE FACILITY PLAN – REPORT TIMELINE • June-August (even numbered years) – Agencies prepare & submit requests for Plan. • August-September – OPM works to ensure that submissions are complete & accurate. • September – OPM provides copies of agency submissions to DPW • October–January- Agency submissions are forwarded to OPM budget analyst who is responsible for making cost and square footage recommendations in conjunction with preparation of the State Budget. • February 15th (odd-numbered years) – OPM is required to submit to the State Properties Review Board (SPRB) a Proposed State Facility Plan. • March 1st – SPRB required to makes recommendations regarding the Plan to OPM. • March 15th – OPM required to present the Plan to the General Assembly. • March-June – General Assembly passes an operating and capital budget • July 1st – State Facility Plan goes into effect.

  9. DPW Leasing/Property Transfer Overview STATE FACILITY PLAN – INTERIM SPACE REQUESTS • Interim Space Requests were formerly known as Emergency Certification Requests. • Interim Space Requests are required when: • An agency wishes to lease space, but is not approved for the space under the Plan, or • An agency wishes to lease space which is in excess of their Plan approval by 10% or more, • Interim Space Requests consists of: • Completed DPW Level III Space Analysis • Letter from agency head to the Secretary of OPM requesting approval of the Interim Space Request • Once the Secretary has approved the Interim Space Request, DPW may then begin the space acquisition process. • CGS 4b-23(k) states “No action may be taken by the state to lease…such additional facilities unless the secretary makes such a determination.”

  10. DPW Leasing/Property Transfer Overview STATE FACILITY PLAN – MAJOR PROBLEM AREAS • Failure to submit all of the required information. • Failure to submit information by the required deadlines. • Failure to account for all leased locations; • “Its an existing lease, so I don’t need to report it.” • “We’ve been at this location for years so I don’t need to report it.” • “My budget analyst knows we have this location so I don’t need to report it.” • “I was approved for this space under the old Plan, so I don’t need to request it again.” • “I won’t be using State funds to pay for the lease so I don’t need to submit it for the Plan.” • “We started the leasing process when the old Plan was in effect.” • State Facility Plans expire on June 30th of each odd-numbered year, and all approvals in those plans expire at the same time. • Only those approvals in the current State Facility Plan, or approved Interim Space Requests, can legally be acted upon.

  11. DPW Leasing/Property Transfer Overview STATE FACILITY PLAN - MAJOR PROBLEM AREAS (continued) • Technically, Interim Space Requests expire when the Plan expires, however, DPW and OPM have jointly agreed that Interim Space Request will be good for 18 months from the date of OPM approval. • It is possible that your space request will not be approved under the Plan or you will be approved for a lesser square footage and/or cost. • In such cases, an Interim Space Request approval is still required before a lease can be entered into by an agency. • There are no “special circumstances” or “really important” projects that negate State law. • To legally enter into a lease your agency must either: • Be approved for the cost and square footage under the current State Facility Plan, or • Have an Interim Space Request that has been approved within the previous 18 months • Providing information that is complete, accurate and on time is the best way to ensure that the leasing process proceeds as quickly as possible.

  12. DPW Leasing/Property Transfer Overview REVIEW NEW EXPANDED SPACE REQUEST FORM

  13. DPW Leasing/Property Transfer Overview • REQUEST FOR SPACE FORM • New Leases • If new space was not included in FACCAP a New and Expanded Space Form must be sent by the AGENCY to OPM for processing. Once returned – Agency should forward signed copy to Facilities Planning along with the draft of the RFS. We will work with you to complete the RFS and return it to you for your commissioner’s signature. • If new lease is in FACCAP – fill out the rough draft of the RFS and send to Facilities Planning. We will review it and work with you to complete it for proper signatures.

  14. DPW Leasing/Property Transfer Overview REVIEW REQUEST FOR SPACE PROCESS BOB CODY (DPW PLANNING)

  15. DPW Leasing/Property Transfer Overview • REQUEST FOR SPACE FORM • Existing Leases • 18 month notice letter is sent to agency stating lease end date. The old RFS form is included (if available) in this package. • The agency must fill out the RFS form as a rough draft and return it to Facilities Planning for basic review. We will call you back to discuss any details and explain what other info is required to complete the form. • If the amount of space is less than 10% over the amount in FACCAP, we can proceed with the commissioner signatures. If it is more than 10% over the amount in FACCAP – an interim space request is needed. • The interim space request form ----- Pat O’Brien • When the existing lease is NOT in FACCAP (happens when the agency fails to submit space request in each even year to OPM!) the 1st step is to have the agency fill out the New and Expanded Space Form. This form is sent by the AGENCY to their OPM budget analyst. Once received back from OPM, the AGENCY sends a copy to Facilities Planning along with the rough draft of the RFS for further processing.

  16. DPW Leasing/Property Transfer Overview REVIEW INTERIM SPACE REQUEST (EMERGENCY CERTIFICATION) PROCESS

  17. DPW Leasing/Property Transfer Overview DISCUSS LEASE/PROPERTY TRANSFER PROCESS

  18. DPW Leasing/Property Transfer Overview GENERAL PARAMETERS REGARDING LEASES/PROPERTY TRANSFER: • Leasing/Property Transfer does not solicit bids, but rather request for proposals • Once advertised we can look at anything • A new lease is necessary if an existing lease is expiring and there is no renewal option or it is a new location • A purchase and sale agreement will be necessary on a transfer • The leasing process, and to a lesser extent property transfer, is based on statutes, policies and procedures • The leasing/property transfer process is not negotiable, it must be followed

  19. Step 1 FASCAP (5 yr..) Agency Identifies Need Submits Requests OPM Reviews & Approves Approval EM Request Approval RFS Not Approved RFS Approved DPW Planning Reviews & Approves Request Request for Space (RFS) Not approved if square footage > 10% New Lease Step 2 Lease Renewal Only Step 2

  20. Step 1 New Lease DPW Facilities Planning Reviews, recalculates RFS & Level 3 based on OPM approved staffing Agency Identifies Need Agency Signs RFS DPW Facilities Planning Either reviews or prepares RFS and Level 3. Checks to ensure State Owned space is NOT available If no Emergency Certification is required DPW Facilities Planning Administrator Signs RFS, the DPW Commissioner Signs RFS DPW Facilities Planning Sends Approved RFS to Leasing If RFS has vacant/projected positions, DPW forwards to OPM Budget OPM - Budget Reviews & Approves Emergency Certification Request OPM - Asset Mgt. Reviews & Approves if not in FACCAP or more than 10% of space is requested Approved RFS

  21. Step 2 Lease Renewal Option DPW Leasing DPW Bid/Contracts Receives responses, summarizes them for Leasing Responses from LLs Advertise Request if 2,500 sq.ft. or over Proposals from LL. DPW Leasing Agency Comptroller DPW Bid/Contracts Receives Ad from DPW, places ad and receives responses Rent Control Card SPRB Advertising Lease Renewal Resolve Issues Landlords (LL) Submit Proposals Renewal OK Lease Renewal Not OK Rent Control Card DPW Leasing “End” Landlord Lease Renewal Letter

  22. Step 2 New Lease DPW Facilities Planning Approves Space Request Approved Space Request Form DPW Security Conducts Audit In Parallel on Selected Site DPW Leasing Prepares ad DPW Leasing DPW Bid/Contracts Advertises, receives LL Proposals DPW Leasing DPW & Agency Visit Sites & Picks Site DPW Leasing Negotiates Lease & Fit-Out Agency DPW Leasing sends letter informing of agency’s need Landlord Mayor IT Web-site Board of Realtors As Built Prelim Design Agency Reviews/Modifies & Approves Plans DPW Leasing (Estimating, compiling costs) Step 3 Landlord Resolve Issues Signed Lease Agency Design & Est. Or LL Designs DPW prepares & forwards standard lease Financial Affidavit

  23. Step 3 New Lease (Con’t) DPW D. Comm./ Comm. SPRB Visit site, etc. Signed Lease Resolve Issues Re-write Lease Signed Lease OK/Not OK Signed lease OK/Not OK Resolve Issues DPW Leasing DPW Leasing Agency Signed Lease Resolve Issues Resolve Issues Re-write Lease OPM Signed Lease & AG Check list AG Approve Lease for Form (Content) Signed Lease OK Not OK Step 4 Signed Lease OK Resolve Issues DPW Leasing DPW Leasing Signed Lease Signed Lease OK Resolve Issues Resolve Issues

  24. Step 4 New Lease (Con’t) Agency DPW Leasing Prepares Rent Control Card Rent Control Card Move-in coord, Space Planning, Data, T-Com, Etc.. Landlord Day to Day Issues Annual Inspection Unresolved LL/Agency Issues DPW Leasing (Facil. Mgt. If Req’d) Comptroller Fit-out is Completed DPW/Agency Approve/sign off Rent Control Card Sent by Agency, last step Town Hall End/ Lease Notice Recorded

  25. DPW Leasing/Property Transfer Overview DISCUSS 4B27 Discussing your agency’s real estate needs with anyone outside your agency and DPW, jeopardizes the leasing/property transfer process • Can result in the elimination of a prospective site • Will result in slowing everything down • May result in having to start over again • Confuses prospective lessors/buyers/sellers • Violation of 4B27 is a class A misdemeanor

  26. DPW Leasing/Property Transfer Overview YOUR AGENCY’S RESPONSIBILITIES: • Provide timely accurate information throughout entire process • Sign all documents correctly • Deliver all documents to DPW directly • Please do not discuss your agency’s real estate needs outside of DPW or your Agency • Read your lease (s), understand your obligations and the lessor’s obligations, CALL US WHEN IN DOUBT • If you don’t hear from DPW, call us

  27. DPW Leasing/Property Transfer Overview Discuss Lease Compliance • Ensures Lessor is in compliance with lease • Ensures user agency is in compliance with lease • Ensures both parties are in compliance with life/fire safety, codes, etc.

  28. DPW Leasing/Property Transfer Overview DISCUSS STATE STANDARD LEASE

  29. DPW Leasing/Property Transfer Overview Annual Inspections of Emergency Equipment and fire systems Agencies must: • Perform fire drills – a minimum of two per year • self inspect fire extinguishers, date and initial tag, monthly • Self inspect emergency lighting, monthly

  30. DPW Leasing/Property Transfer Overview AGENCIES’ RESPONSIBILITIES UNDER STATE STANDARD LEASE • Notify Leasing: • Give prompt notice of damage or other casualty to Leasing so we can inform lessor • of any water penetration IMMEDIATELY • Of any matter/issue regarding the lease (i.e., lessor not performing duties, etc…)

  31. DPW Leasing/Property Transfer Overview Annual Inspections of Emergency Equipment and fire systems LESSORS must: • Annual alarm testing by licensed alarm equipment contractor (annual is minimum, may need to be more frequent, depending on type of occupancy • Annual inspection of sprinkler systems by licensed contractor • Annual fire extinguisher service by licensed contractor • Proof of all should be sent to Dave Maura at 713-7260

  32. DPW Leasing/Property Transfer Overview QUESTIONS/ANSWERS THANK YOU FOR COMING!

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