LO: I can multiply a two digit number by another two digit number using the Grid Method.
Doing Business with NYSDOT - Empire State Development ... · item number is a 3-digit root number,...
66
Doing Business with NYSDOT 1
Transcript of Doing Business with NYSDOT - Empire State Development ... · item number is a 3-digit root number,...
Doing Business with NYSDOT 1
2
AGENDA
• Overview of NYSDOT WorkSmart Program
• Overview of NYSDOT Procurement
• Benefits of DBE Certification
3
About the Speaker: Carol Phelps, Compliance Supervisor Email: [email protected] 1-866-486-8859 www.mhmiles.com MH Miles Company, CPA,PC -Niche Accounting and Consulting Firm -Offices in DC, Georgia -Certified DBE firm -Specialties: Transportation and Government
4
WHAT IS WORKSMART NY?
NYSDOT INITIATIVE TO ADDRESS:
WHO?
WHO is NYSDOT- (i.e. How is agency structured; who’s who)?
WHAT? What do they procure & what types of firms/companies are they looking for?
WHEN? When do you decide to bid on a project(Developing a Bid-No Bid Strategy)
WHERE? Where do you locate potential opportunities?
WHY? Why should you pursue a relationship with OCR(i.e. referrals;DBESS)?
HOW? How do you position your firm to maximize opportunities for work on federal-aid projects?
5
Session 3 June 15, 2016 NYSDOT Region 4 1530 Jefferson Rd Rochester, NY 14623
Session 4 September 22, 2016 NYSDOT Region 8 4 Burnett Blvd 3rd Floor Classroom Poughkeepsie, NY 12603
Session 5 October 4, 2016 NYSDOT Region 5 100 Seneca St. Buffalo, NY 14203
Session 6 November 1, 2016 NYSDOT Region 10 250 Veterans Memorial Highway Hauppauge, NY 11788
Session 1- held March 30, 2016- Albany, New York Session 2- held April 28, 2016-Utica, New York
New York Statewide Orientation Programs
6
WORKSMART ORIENTATION CONTENT
Introduction to NYSDOT
Understanding NAICS and Work Codes
Pricing & Billing for NYSDOT A&E Agreements
Navigating the NYSDOT Website & Accessing the NYSDOT Contract Reporter
Understanding the Pre-Bid and Pre-Award Process
Introduction to the NYS Thruway Authority
Utilizing Available Resources/Q&A/Networking
NYSDOT Organizational Structure
Main Office
Policy & Planning
Operations
Engineering
External Relations
Administrative Services
Legal Affairs
Civil Rights
IT
7
8
DOT Utilization Summary-FY 1516
Construction Construction Consultants Services/Consulting Commodities
Total Spend -$299.5M* *does not include OGS
9
$0.00
$5,000,000.00
$10,000,000.00
$15,000,000.00
$20,000,000.00
$25,000,000.00
$30,000,000.00
Q1 Q2 Q3 Q4 FY 2015-16
SPEND BY BUSINESS TYPE MBE Prime
MBE Sub
WBE Prime
WBE Sub
NYSDOT Office of Civil Rights
The DBE program is a federally regulated program that is required on all federally assisted contracts. The New York State Department of Transportation (NYSDOT) is a recipient of federal funds and, therefore, administers the DBE Program on all federally funded highway construction contracts. .
Civil Rights
10
NYSDOT Engineering Division Engineering
Mission - We develop and deliver transportation projects, provide related specialty expertise, develop and issue technical policies, standards and guidance, and provide technical training for ourselves and our stakeholders.
• Office of Technical Services • Office of Design • Office of Right of Way • Office of Environment • Office of Structures • Office of Construction
11
NAICS
12
The North American Industry Classification System (NAICS) • United States
• Canada • Mexico
What is a NAICS Code?
• NAICS is 6-digit code system that is currently the standard used by federal statistical agencies in classifying business establishments. NAICS organizes establishments into industries according to the similarity in the processes used to produce goods or services.
13
How to read a NAICS Code?
EXAMPLE: Sector
541370 54
LAND SURVEYING/TOPOGRAPHICAL MAPPING Professional and technical services
Subsector 541 Professional and technical services
Industry Group
5413 Architectural and engineering services
Industry 54137 Other surveying and mapping services
U.S. Industry 541370 Other surveying and mapping services
14
The first two digits designate the largest business sector, the third digit designates the subsector, the fourth digit designates the industry group, and the fifth digit designates particular industries. The last digit designates national industries.
How are DBEs issued NAICS Codes?
15
Dear Owner Name, The New York State Department of Transportation (NYSDOT), a certifying partner in the New York State Unified Certification Program (NYSUCP), has reviewed your application for certification as a Disadvantaged Business Enterprise (DBE) and is pleased to inform you that your firm meets the eligibility criteria established by the U.S. Department of Transportation (USDOT) in Title 49, Part 26 of the Code of Federal Regulations. Accordingly, Firm Name is now CERTIFIED as a DBE with the NYSUCP in the following classifications: • NAICS Code # – Description Related NYSDOT Code: # - Description • NAICS Code # – Description Related NYSDOT Codes:
16
TOP NAICS CODES
237310-Highway,Street, and Bridge
541330-Engineering Services
238910-Site Preparation
238210-Electrical Contractors & Other Wiring
238120-Structural Steel & Precast
NAICS Codes & Small Business Status
17
Avg. # of Employees 13 CFR 121.106
Avg. Annual Revenues 13 CFR 121.104
NYSDOT WORK CODES
18
NYSDOT Work Codes
19
NYSDOT Work Code = Contract Pay Item
NYSDOT Work Codes
20
Contract Pay Item
A specifically described unit of work for which a price is provided in the contract. The basic format of a standard specification contract pay item number is a 3-digit root number, a decimal point, and either a 2, 4, or 6 digit extension number. The 3-digit root number denotes the standard specifications section to which the contract pay item relates.
Mapping NYSDOT Work Codes to NAICS Codes Construction Example
21
NYSDOT WORK CODE NYSDOT STANDARD SPECIFICATIONS CODE DESCRIPTIONS/DEFINITIONS
NAICS CODE
201 CLEARING and GRUBBING 238910
202 REMOVAL OF STRUCTURES & OBSTRUCTIONS
238910
203 EXCAVATION AND EMBANKMENT 238910
204 CONTROLLED LOW STRENGTH MATERIAL
238910
Mapping NYSDOT Work Codes to NAICS Codes A&E Example
22
DOT CODE CODE DESCRIPTION/CODE DEFINITIONS
NAICS CODE
010 ENGINEERING SERVICES 541330
010A HIGHWAY DESIGN PHASES I-IV 541330
010B HIGHWAY DESIGN PHASES V-VI
541330
010C ROADWAY LIGHTING 541330
O10D DRAINAGE 541330
010E UTILITIES 541330
010F CONSTRUCTIBILITY 541330
010G ESTIMATING 541330
Full list mapping of NYSDOT Work Codes to NAICS Codes– url below
23
https://www.dot.ny.gov/main/business-center/civil-rights2/civil-rights-repository/Copy%20of%20NYSDOTWorkCodes_20151105.xls
CATEGORIES
• AUDIT
• CIVIL RIGHTS
• CONSTRUCTION
CONTRACTING
• TRANS-PORT
• CONSULTING
• ENGINEERING
• PURCHASING
• EQUITABLE
BUSINESS
OPPORTUNITIES
26
28
Getting Started
Construction Contracting
29
Pre-Bid / Pre-Award
• (Prime Contractor) Bid deposit/Bid bond submitted with
bid- 25% of bid total
• Awards made to the lowest responsive/responsible
bidder
• New York State Vendor Responsibility Questionnaire -
for Profit Construction (CCA-2)
• Active corporation status in New York State:
http://www.dos.ny.gov/corps/bus_entity_search.html
30
New York State Vendor Responsibility
Questionnaire- for Profit Construction (CCA-2)
• Access from NYSDOT website: https://www.dot.ny.gov/bids-and-lettings/construction-contractors/general-info
• All sections must be completed and all questions must be answered
• NYSDOT does NOT require firms to obtain a NYS vendor identification number from OSC (vendor id) to complete the CCA-2
• Valid for one calendar year, unless major changes have occurred (firm purchased by another business, bankruptcy, etc.)
• Renew annually and timely
• NYDOT does not distribute a completion notification
• 30 day notification of expiration 31
Professional Services- Engineering
32
Pre-Bid / Pre-Award
• Qualification-based selection (QBS)
– Cost not a consideration for the selection. Fair and reasonable price negotiated based on SOW
• Active corporation status in New York State: http://www.dos.ny.gov/corps/bus_entity_search.html
• Proof of authorization to provide professional services- NYS Education Department: http://www.op.nysed.gov/opsearches.htm
• Electronic Expression of Interest (EOI)
33
Pre-Bid / Pre-Award
• Consultant Selection System (CSSWeb): https://www.dot.ny.gov/main/business-center/consultants/css-web
• CONR 385 Package https://www.dot.ny.gov/main/business-
center/audit/conr-385-388
– Annual submission due 6 months after the end of each firm's
fiscal year
– Federal acquisition regulation [FAR] audit report (*)
– CONR 385 contract service firm annual financial ownership and
accounting practices report
– Documentation of reasonableness of executive compensation
– Financial statements (*) Firms with annual gross income of less than one million dollars during two of the last three fiscal years are not required
to have a FAR Audit Report performed. However, if one has been performed (e.g. for other States) it must be submitted
with the CONR package.
34
Pre-Bid / Pre-Award
Consultant Instructions (CI) • Salary & Non-salary: https://www.dot.ny.gov/main/business-
center/consultants/architectural-engineering/consultant-instructions/salary-and-non-salary
• Technical Requirements https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/technical-requirements
• Selection Process: https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/selection-process
• Business Practices: https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/business-practices
• Overhead: https://www.dot.ny.gov/main/business-center/consultants/architectural-engineering/consultant-instructions/overhead
35
Professional Services
Non-Engineering
36
Professional Services
• Non-engineering services: https://www.dot.ny.gov/main/business-center/consultants/non-
architectural-engineering
• Request for Proposal (RFP)
• Posted on NYSCR website
• Posted on NYSDOT website Best value
acquisition
– Technical, price, and other programmatic
factors
37
38
DOING BUSINESS with the NYSDOT
Purchase Unit and NYSDOT facilities
throughout the state
39
About the Speaker: Linda Carmody Compliance Specialist II NYSDOT Purchase Unit, Minority Business Unit 7 years of service at NYSDOT (8 years total with NYS; formerly with private industry construction firm) Email: [email protected] Phone: (518) 485-9457 Duties Include: • Responsible for compliance with the DMWBE and SDVOB programs in all formal
and informal procurements issued by the Purchase Unit for commodities and misc. services;
• Providing assistance to Department staff in locating MWBE and SDVOB and/or DBE firms;
• Distributing information to MWBE, SDVOB and DBE firms on upcoming procurement opportunities (addition to bid mailing lists, canvass vendors etc.); and
• Distributing DBE,MWBE and SDVOB vendor information to Department purchasers as requested by firms looking to do business with the Department.
40
NYSDOT Facilities: • Main Office in Albany, NY • 11 Regional facilities throughout the state • 62 highway maintenance facilities (called our residency locations) • 10 fleet shops and bridge maintenance shops • All facilities purchase goods and services on behalf of their offices to support their
daily operations. A list of the facilities is available on the DOT website and by request from the Purchase Unit general emailbox: [email protected]
• The majority of commodities and miscellaneous service purchases are made using
state funding. In fiscal 2015-16, NYSDOT spent $65.7 million on discretionary and Department-specific Commodity and Miscellaneous Service contracts with $15.2 million or 23% of those purchase order and contract expenditures coming from certified MWBE.
41
NYSDOT Program Areas and Purchasing Authority NYSDOT has many program areas that buy goods and services on behalf of the Department. Some of the programs include Transportation Maintenance and Operations, Fleet Administration, Design, Construction, Public Transportation Bureau, Traffic Safety and Mobility, and Civil Rights. A complete list of programs is available from the NYSDOT website at: www.dot.ny.gov
Certain program staff are delegated authority to procure goods and services up to certain dollar thresholds to support their daily operations.
There are approximately 290 NYSDOT users throughout the state authorized to purchase on behalf of the Department.
42
Order of Procurement Precedence under SFL • Purchasers must buy goods and services in a
certain order of procurement as outlined under State Finance Law Article 11, Section 163. Purchases in excess of $50,000 in a 12 month period from the open market require a formal competitive bid (in accordance with SFL and EDL) or a one-time Increased Discretionary Threshold Request for Quotations with advertising in the NYS Contract Reporter and pre-approval by the Comptroller’s office
NY STATE MANDATED PROCUREMENT
ORDER OF PRECEDENCE
Tier 1 Preferred Sources
Tier 2-
OGS
Tier 3-Agency or Multi Agency Established
Contracts
Tier 4-Open Market
43
44
1. Preferred Sources – Corcraft, NYS Industries for the Disabled, NYSPSP
• Preferred Sources for NYS are disadvantaged groups that meet socio-economic goals of the state by employing incarcerated, disabled, and blind citizens of the state that may not otherwise have gainful means of employment.
• Preferred source offerings are reviewed and approved by the Office
of General Services and the Department must purchase from the Preferred Source if the item or service meets the user’s form, function, and utility needs.
• Examples of Preferred Source offerings include: Apparel, Furniture, Janitorial Products, Janitorial Services, certain Office Supplies, and Toner cartridges.
45
2. OGS Centralized Contracts are established and administered by the NYS Office of General Services for numerous types of Commodities, Services and Technology. When available, OGS contracts must be utilized. OGS places all of their contract awards online via their website at: https://nyspro.ogs.ny.gov/ • Over 75% of all NYSDOT Commodity and Service purchases are made from OGS
contracts. In Fiscal Year 2015-16, NYSDOT spent $247.7 million ($232 mil. commodities, $15 mil. services).
• When purchasing for the Department, due diligence is required to make OGS contract purchases available to SMWBE and SDVOB firms. Opportunity to use certified OGS Contract holders and certified Value Added Resellers (VARs) is strongly encouraged.
• Certified firms MUST familiarize themselves with OGS contracts and the process to bid an OGS contract or become a VAR with a prime contract holder on contract. VARs are easily identified using the OGS Contract Award Notifications that are posted online. We recommend firms contact the OGS contract holder listed in the OGS contract award notice for more information. The OGS Contract Manager listed in the award may also be able to answer questions about the contract.
46
3. NYSDOT (Agency-specific) Contracts for Commodities and Services • The Purchase Unit establishes contracts for use by NYSDOT personnel
when no OGS centralized contract or preferred source exists. Examples include:
Maintenance Work Order Contracts • Tree Removal Services • Guiderail Repair and Maintenance • Culvert Repair and Maintenance • Deer Carcass Removal Services • Mowing and Litter Removal Services for Region 1 • Printing Services Miscellaneous Service Contracts • Towing contracts for Parkways in Region 8 and Region 10 • Highway Emergency Local Patrol (HELP) Trucks • Traffic Signal Maintenance • Traffic Data Counts
47
3.(Agency –specific) Contracts –cont.
Commodity Contracts • Elastomeric Concrete Repair Materials for Bridge Repairs
• Genuine OEM Replacement Parts for Equipment (Cummins, Case, Mack, Henderson, Viking, International)
• Tanker Trailers for Road Salt
• Traffic Signal Cabinets
• Bridge Expansion Joints and Components
48
4. Discretionary and Open Market Procurements are guided by NYSDOT GENERAL GUIDELINES and MAP procedures. • Discretionary purchases are procurements from the open
market made below statutorily established monetary levels which are made at the discretion of the agency. While discretionary purchases may not require a formal competitive procurement process, NYSDOT must document and justify the selection and responsibility of the vendor including: reasonableness of price; compliance with the internal agency policies and procedures; and assurance that the purchase meets form, function, and utility requirements.
49
Value of Purchase Purchasing Guideline
$2,500 or less Require informal verbal quotes and /or advertised pricing
Purchase up to $5,000 Require a written quote and assurance of reasonableness of price, selection of vendor
$5,000.01 to $25,000 Require 3 or more written quotes with placement of purchase order to vendor offering lowest price or in favor of SMWBE vendor when fair and reasonable price is documented
$25,000 to $49,999.99 Require 3 or more written quotes with documentation of Good Faith Efforts to solicit MWBE and SBE. A purchase order may be prepared in favor a SMWBE vendor whenever supporting documentation exists of fair and reasonable pricing.
$50,000 and over Require public advertisement and formal competitive bid or increased threshold SMWBE Request for Quotations*with pre-approval by the State Comptroller before a contract/PO is approved and order placed
NYSDOT General Guidelines for Open-Market Purchases require:
*Increased discretionary threshold purchases are conducted as Request for Quotations for purchases between $50,00 and $200,000 if a viable
pool of MWBE, small business concerns, and /or SDVOB firms exists.
50
• Vehicle Parts and Services • Guide Rail • Pipe products • Variable Message Signs and Parts • Fuel • Heavy Equipment and Traffic
Equipment Rentals and Purchases
• Traffic Control Devices • Snow and Ice Control Agents • Signs and Sign Posts • Concrete Supplies and Materials • Vehicles • Bridge repair materials
• Highway Construction Supplies and Materials
• Traffic Paint • Hardware • Fasteners • Electrical Work • Printing Services • Vehicle Maintenance • Emissions Testing Equipment • Laboratory Equipment • Safety Equipment • Safety Apparel
NYSDOT Frequently Purchased Commodities and Services
51
NYS Contract Reporter • The New York State Contract Reporter is the State’s official publication of
procurement activity for all state agencies, public authorities, and public benefit corporations. Municipalities and local governments may also, but are not required to, post procurement opportunities. The Contract Reporter publishes new opportunities every business day. All ads are searchable, archived and retrievable.
• The Contract Reporter is the primary means of distributing opportunities formally for commodity and miscellaneous service bid and increased discretionary threshold purchase opportunities and all ads contain materials necessary to submit proposals to the Purchase Unit.
• The Contract Reporter is completely free but businesses must register for general access. An enhanced notification is available which emails an account holder when an ad is posted in the business category of interest. Registered users must set up an opportunities profile and choose filters such as the types of ads and categories of interest. eAlert messages may contain the solicitation title with a link to the ad, the location of the project, the name of the agency soliciting goods or services, and the bid due date.
• The NYS Contract Reporter is available online at: www.nyscr.ny.gov
52
Vendor List
• The Purchase Unit maintains historic mailing list data and bids are solicited from firms on these mailing lists, as well as those firms that respond to advertisements in the NYS Contract Reporter. The Purchase Unit also maintains a vendor database of firms that express interest in working with the Department. Our office is constantly seeking new, qualified suppliers for our commodities and services needs.
• If your business is interested in being added to our vendor
database and solicitation mailing lists, contact our office at (518) 457-4401 or via email at [email protected]
53
Upcoming Opportunities • All formal bid opportunities are posted to the NYS Contract
Reporter website and to the NYSDOT website. In addition, the bid documents are available in electronic format from the Contract Reporter advertisement Documents tab.
• Opportunities for discretionary purchases are ongoing throughout
the state with the various program areas and regional facilities. Vendors are encouraged to reach out to the NYSDOT facility contacts to introduce their products and services and to follow up with an email to the Purchase Unit for distribution to the Department purchasing personnel.
54
Upcoming Purchase Unit Bid Opportunities: • BA15-012 TMC Video Wall Maintenance Due: 5/27/16 • BA15-009 International and Cummins OEM Parts Due: 5/27/16 • BA15-011 Audio Visual Equipment and Installation Due: 6/03/16 • BA15-003 Weigh In Motion Truck Monitoring Sites Due: 6/10/16 • BA15-017 Mack Truck OEM Replacement Parts Due: 7/06/16 • BA15-013 Deer Carcass Removal Services Due: TBD • BA15-016 Guide Rail Repair and Maintenance Due: TBD • BA15-019 Drainage and Video Inspection Due: TBD • BA15-020 Drainage and Culvert Cleaning Due: TBD • BA15-021 Glass Spheres for Pavement Markings Due: TBD • BA16-001 Traffic Monitoring Sites Due: TBD
55
• https://a856-cityrecord.nyc.gov/ • http://www.ogs.ny.gov/purchase/searchbrowse.asp • https://ny.newnycontracts.com/FrontEnd/General/BidOpportunitie
s1.asp?TN=ny&XID=5279 • https://www.panynj.gov/business-opportunities/bid-proposal-
advertisements.html • http://web.mta.info/nyct/procure/nyctproc.htm • https://www.dot.ny.gov/doing-business/opportunities/const-
highway • https://www.dot.ny.gov/main/business-center/audit/dbe-
certification
Information on Other Opportunities
56
NYSDOT DBE CERTIFICATION
57
About the Speaker:
Johnny Cisneros DBE Certification Supervisor
1 ½ years with DOT, 3 years with NYS and 14 years with NYC
Email: [email protected]
(518) 417-6631
The New York State Unified Certification Program (UCP) makes all certification decisions on behalf of all USDOT recipients in the state of New York with respect to participation in the DBE Program
58
DBE CERTIFICATION BENEFITS
Over $3.6 B in federal funds issued to NYS in 2016 (FTA/FHWA & FAA)
Listing in NYS UCP Directory which is available online to Prime Contractors and Consultants
Access to Training and Supportive Services https://www.dot.ny.gov/main/business-center/civil-rights/dbe-ojt There are four Certifying agencies in NY State: -NYSDOT -MTA -Niagara Frontier Transportation Authority -Port Authority of New York and New Jersey
59
ELIGIBILITY FACTORS:
Disadvantaged Status
Small Business Status
Ownership/Control
60
ELIGIBILITY
• 51% of ownership must be socially and economically disadvantaged individual(s)
• Must be a for-profit small business (3 year average gross receipts <$23.98M or SBA cap for work type, whichever is less)
• Firm must be owned and controlled by socially and economically disadvantaged owner(s)
61
Application Process • Download application/ PNW statement online
https://www.dot.ny.gov/main/business-center/civil-rights/forms-and-applications
• Follow supporting document checklist • Submit documents to any of the four certifying
partners • Typically takes 90-120 days for new applications • Within 60 days for interstate applications • There is an appeal process to USDOT if denied
62
SUGGESTIONS FOR APPLICANTS Review eligibility requirements before submission Ensure accuracy of information During entire application process – be prepared to discuss all
aspects of your business Resume – explanations for experience, management team, roles
and responsibilities of each director or employee Explanations regarding majority owners outside employment or
business interests-ensure no conflicts with management of the firm Know you have a right to appeal adverse certification decision. Be
familiar with the process-your appeal must be timely
63
COMMON AVOIDABLE ISSUES FOR CERTIFICATION DENIAL
Incomplete application submission
Unsigned documents: tax returns, stock certifications-without explanation
Incomplete documentation for interstate certifications
No proof of spousal renunciation when required
Holding outside employment or business interests which conflict with the management of the firm-See 26.71 (j) of 49 CFR Part 26
Applying for incorrect NAICS codes
Unclear control ownership of firm- confusing boilerplate bylaws or articles of incorporation
64
OTHER MAJOR CONSIDERATIONS
Correct Code Assignments
Updated Contact Information
65
REMINDER
• Getting Certified is no guarantee of work: you still have to market yourselves, establish typical business relationships, etc.
Thank You
66
