Doing Business with the State University Construction Fund

1. SUNY System Administration Building, Albany, NY Doing Business with the State University Construction Fund 2011

2. How to do Business with the State University Construction Fund • Intro to the State University Construction Fund • Overview of SUNY & Capital Plan • Overview of Procurement & Services Procured • Design and Construction Related Services Procurement • Construction Contract Procurement • MWBE Opportunities Program • Vendor Responsibility • Procurement Lobbying Act • Payment Process • SUCF Contact Information SUNY Brockport -Rochester Educational Opportunity Center

3. SUNY Capital Program Summary Notes:(1) Square footage and funding expressed in millions. (2) Average age (expressed in years) represents a straight average with no consideration given to the size of buildings or subsequent renovations. (3) Includes $550M in future appropriations for critical maintenance projects.

4. State University Construction Fund • Public Benefit Corporation established under Article 8-A of NYS Education Law • Provides capital funding, planning, design and construction administration for SUNY SUNY College of Optometry Multipurpose Space – 3rd Fl.

5. Mission Statement

6. SUNY Campuses University Centers - University at Albany - Binghamton University - University at Buffalo - Stony Brook University • Comprehensive • - College at Brockport • - Buffalo State College • - Cortland State College • - Fredonia State College • - Geneseo State College • New Paltz State College • - Old Westbury State College • - Oneonta State College • - Oswego State College • - Plattsburgh State College • - Potsdam State College • - Purchase State College • - Empire State College • Doctoral • - Downstate Medical Center • - Upstate Medical Center • - College of Environmental Science and Forestry • - College of Optometry • - College of Ceramics Alfred University • Cornell University Agriculture and Technology - Alfred State College - SUNY Canton - SUNY Cobleskill - SUNY Delhi - Farmingdale State College - Morrisville State College - Institute of Technology at Utica/Rome - Maritime College

7. SUNY Campuses

8. Architectural & Engineering • Construction Management • Commissioning • Construction Services Procured SUNY at Stony Brook – Rehab Old Chem Classroom Bldg.

9. Design - Construction Manager - CommissioningProcurement Opportunity Listings Design & Construction Related Services • Contract Opportunities: • NY State Contract Reporter • www.nyscr.org • SUCF Website • www.sucf.suny.edu SUNY at Albany – New Business School

10. Design Procurement Overview • Qualification Based Selection • Statement of Qualifications (SOQ) • Required Standard Format • Tailored to scope of work/project • Selection Committee • Fund Staff/Campus Representative SUNY ESF – Gateway Building

11. Design Procurement Overview • Site Visits/Interviews (At Fund’s Option) • Evaluation Criteria • Firm and Personnel Qualifications & Experience • Previous Experience with Specific Project Scope • Project Approach • MWBE Utilization • References • Final Selection - Highest Aggregate Scoring SUNY College at Plattsburgh Hudson Hall Reconstruction

12. Design Procurement Overview • Additional Services • Program Studies • Qualification Based Selection • “Schedule B” Services • Surveys, Hazardous Materials Testing, Borings, etc. • Scope - Fee Proposal • Extra Compensation Authorizations • Design Term Agreements • A/E Design Services • Facility Planning • Structural Consultation Services • Cost Consultant Services

13. Construction Manager Procurement Overview • CM as Agent • Best Value Selection • Qualifications + Cost • SOQ • Proposals (RFP Process): • Technical Proposal based on detailed project scope/services required • Cost Proposal based on staffing in Technical Proposal • Billable Hours must match hours from Technical Proposal • Not-to-Exceed Contract Amount • CM Term Agreement SUNY Upstate Medical Center – Vertical Expansion

14. Commissioning Procurement Overview • Qualification Based Selection (SOQ Required) • Technical Proposal • Cost Proposal • Not-to-Exceed Amount • Term Agreements SUNY at Buffalo – Replace AHUs – Hochstetter Hall SUNY at Stony Brook Rehab Graduate Chem Bldg., Ph I

15. Design ContractsCommon Pitfalls

16. Sample of Upcoming Design Projects For current information related to upcoming design projects, visit the SUCF website at the link below: http://www.sucf.suny.edu/business/status.cfm

17. Construction ContractProcurement Overview • Sealed Bids – Publicly Opened • Lowest Responsible Bidder • Wick’s Law Exempt SUNY College at Oneonta –Rehab Fine Arts Building Ph. II

18. Construction Contract Opportunities • NYS Contract Reporter • www.nyscr.org • Local Newspapers • Albany Times Union • Minority Commerce Weekly • SUCF Website www.sucf.suny.edu State University College at Brockport Special Events Recreation Center

19. Construction Contract Opportunities Plans and Specifications • May be viewed free of charge at: • Architect/Engineer’s Office • Campus Facilities Offices • FTP Site (designated projects) • Local Plan Rooms – Eastern Contractors Assoc., Dodge Reports • Complete document available from Architect/Engineer upon payment of a deposit. • Electronic distribution (Plan & Print Systems) available only on designated projects).

20. Construction Contracts • Sealed Bids – Publicly Opened • Requirements for Bidding • Original Documents Only • Bid Deposit – 5% of Total Bid • Bank draft, certified check, bid bond • Size of Projects previously completed • Successful completion of similar work • Not less than 50% of Total Bid • Ample Financial Resources – Working Capital Test SUNY College at Buffalo Renovate Science Bldg. 15

21. Construction Contracts Within 48 Hours of Bid Opening • NYS Vendor Responsibility Questionnaire For-Profit Construction • Form CCA-2 • Affidavit of No Change (if CCA-2 submitted within past year) • Proposed Major Subcontractors • HVAC, Electrical, Plumbing and Asbestos Abatement • Appendix A (Bid Breakdown by Trade or Section) Within 7 Calendar Days of Bid Opening • CCA-2’s for all proposed major subs (or Affidavit of No Change) • MWBE Utilization Plan • Equal Employment Opportunity Statement

22. Construction Contracts Within 24 hours of Notice of Award – Bonding • Performance Bond – 100% of Total Contract • Labor and Material Bond – 100% of Total Contract • Insurance • Workers Compensation • General Liability and Property Damage • Builders Risk • Owners Protective Liability • Hazardous Material (if applicable) SUNY College at Oswego Historic Preservation – Sheldon Hall

23. Construction BidsCommon Pitfalls

24. Sample of UpcomingConstruction Projects For current information related to upcoming construction projects, visit the SUCF website at the link below: http://www.sucf.suny.edu/business/status.cfm

25. MWBE Opportunities • Article 15-A of Executive Law • Disparity Study • Good Faith Effort • NYS Certified MWBEs • Goals Based Upon Project Type & Location • Posting of MWBE Utilization Plans • MWBE Registry SUNY Farmingdale – Hale Hall Rehab

26. MWBE Opportunities Program Design and Construction Related Services • Include MWBE Participation with SOQ submission • Meaningful disciplines and participation • Basic Fee Scope • Additional Services Prime Responsibilities Subconsultant Opportunities • Review lists of firms requesting RFQ • Review lists of SOQs submitted • Market for subconsultant and joint venture • opportunities No Contract awarded without an approved MWBE Utilization Plan

27. MWBE Opportunities Program Construction Services Prime Responsibilities • MWBE Utilization Plan submitted 7 days after bid • Plan Development • Reviewed for response to goals and Good Faith Effort • Identify issues; work with contractor on resolutions • Utilize advertising resources: NYS Contract Reporter, • SUCF Website, MWBE Associations, Minority • Commerce Weekly • Identify and quote to firms holding plans • Identify and quote to low bidder • Network with larger firms Subcontracting Opportunities No Contract awarded without an approved MWBE Utilization Plan

28. MWBE Opportunities Program

29. What is Vendor Responsibility? • Form of Due Diligence • Designed to provide the Fund with sufficient facts to make an informed decision • Elements • Authorization to do Business • Financial • Integrity • Past Performance • Compliance with Procurement Lobbying Act Cornell Ag & Life Sciences – Rehab Stocking Hall

30. I. Authorization to do business • Engineering/Land Surveying Firms • Certificate of Authorization from Education Dept. • Distinct from an individual license • Architectural/Landscape Architecture Firms • PC and LLC need Education Dept. approval • General Partnerships and LLPs are exempt • 518-474-3817 – Education Department • www.op.nysed.gov • 518-473-2492 – State Dept., Division of Corporations

31. Insurance • Exempt From Workers’ Compensation Insurance • An individual owner who is not incorporated • One or two-person corporations • LLC, LLP PLLP, RLLP organized under NYS law • General partnership under NYS law • Each entity having NO employees, day labor, leased employees, borrowed employees, part-time employees, unpaid volunteers including family members • CE-200 • Who Must Be Covered • PC or Inc. with employees or more than 2 shareholders or officers (penalties)

32. Insurance • Disability Benefits Insurance • PC or Inc. must have coverage • Exempt From Coverage • Same exemptions as Workers’ Compensation Plus • A business with no business location in NYS and no employees in NYS on any 30 days in a calendar year (this does not apply to workers’ comp)

33. Proof of Insurance • C-105.2 Certificate of Workers’ Compensation Insurance • U-26.3 State Insurance Fund Version of Certificate of Workers’ Compensation Insurance Coverage • SI-12 Certificate of Workers’ Compensation Self-Insurance • GSI-105.2 Certificate of Workers’ Compensation Group Self-Insurance • DB-120.1 Certificate of Disability Benefits Insurance • DB-155 Certificate of Disability Benefits Self-Insurance • CE-200 Business Does Not Require Workers’ Compensation and/or Disability Benefits Coverage http://www.wcb.state.ny.us/icpocinq/icpocdisclaimer.jsp • For further information, contact the Workers’ Compensation Board Compliance Bureau at (518) 486-6307 or (518) 402-6735

34. II. Integrity Vendor Responsibility Filing Requirements • NYS Vendor Responsibility Questionnaire For-Profit Construction (CCA-2) • Standard Vendor Responsibility Questionnaire (SVRQ): Design/Construction Related Services State University College at Buffalo – Kapoor Hall Renovation

35. OSHA CITATIONS Question 7.2 of the CCA-2 and Question 14(m) of the Standard Vendor Responsibility Questionnaire ask about serious and willful OSHA citations: • All citations must be disclosed even if • A citation was resolved as other than serious or withdrawn • A citation is pending • The final resolution is irrelevant to the Question • A “Yes” answer requires a written explanation of each citation and a statement regarding remedial measures http://www.osha.gov/oshstats/

36. III. Procurement Lobbying Act

37. Procurement Lobbying Act Penalties • First Impermissible Contact: • Offerer will be found to be a • non-responsible bidder, • Offerer will not be awarded the • contract, and • Offerer’s name will be placed on • a public list of non-responsible • bidders. • Second Impermissible Contact: • If made within four years of first non-responsibility determination, • offerer will be debarred from all state procurement contracts for a four-year period measured from the date of the second violation.

38. vendor ResponsibilityCommon Pitfalls

39. Integrity Hotline(866) 543-8107 or (518) 320-1290

40. Payment Process

41. For More Information Visit… www.sucf.suny.edu

42. SUCF Contact Information

43. State University Construction Fund Thank you for joining us this evening! We look forward to working with you on future State University Construction Fund Projects! SUNY College of Ag & Tech at Morrisville - Building Conversion/Design Facility