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CDTA COMMITTEE AGENDA

Performance Oversight Committee

January 18, 2017

Start Time: 12:00 pm; Anticipated End Time: 1:45 pm

110 Watervliet Avenue

Committee Item Responsibility

Call to Order David Stackrow

Ascertain Quorum David Stackrow

Agenda Approval David Stackrow

Approve Minutes of December 07, 2016 David Stackrow

Consent Agenda Items

• Approve Bus Purchases (two separate awards - 10 minutes) Stacy Sansky

• Approve Contract and Purchase for Trolleys (5 minutes) Stacy Sansky

• Approve Contract for Paratransit Operations (10 minutes) Stacy Sansky

• Approve Contract for Credit Card Processing Services (5 minutes) Stacy Sansky

• Approve Contract for Audit Services (5 minutes) Stacy Sansky

• Approve Contract for Panel Counsel (5 minutes) Stacy Sansky

• Approve Contract for Purchase of Filters (5 minutes) Stacy Sansky

• Annual Procurement Report (10 minutes) Stacy Sansky

Audit Committee

• Approval of Independence of Internal Audit (5 minutes) Sarah Matrose

Investment Committee

• Update on Committee Activities / Reports (5 minutes) David Stackrow

Administrative Discussion Items

• Monthly Management Report (10 minutes) * Mike Collins

• Monthly Non-Financial Report (10 minutes) * Chris Desany

Executive Session

• Security Update Monthly Report (5 minutes) Rick Vines

For the Good of the Order

Next Meeting Date: February 15, 2017

Adjourn David Stackrow

* Indicates Material (Or Additional Material) Will Be Provided at Meeting

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Capital District Transportation Authority

Performance Oversight Committee

Meeting Minutes – December 07, 2016 at 12:00 pm at 110 Watervliet Avenue

In Attendance

Dave Stackrow (acting Chair), Art Young, Joe Spairana, Corey Bixby, Carm Basile (CEO), Christopher Desany (CSL), Mike Collins, Amanda Avery, Lance Zarcone, Fred Gilliam, Stacy Sansky, Jaime Watson, Lauren Bailey, Erika Reilly, Sarah Matrose, Claire Leonard, Phil Parella, Jonathan Scherzer, Mark Wos, Ross Farrell, Thomas Guggisberg, Kathy Colbert.

Meeting Purpose: Regular meeting of the Performance Oversight Committee

It was noted that a quorum was present. The minutes from the October 18, 2016 meeting were reviewed and approved.

Consent Agenda Items

Approve Contract for Paratransit Dispatching Software

The original Computer Aided Dispatch / Automatic Vehicle Location system was competitively procured and awarded in 2001. In September, a replacement for the system was awarded to Innovations in Transportation (INIT).

As part of the solicitation, it was determined that Trapeze Group had the best solution to meet CDTA’s paratransit needs. Therefore, staff will be removing paratransit functionality from the scope of the ITMS contract awarded to INIT, and seeks to implement the Trapeze DriverMate paratransit solution as a partner project.

Therefore, CDTA requested a technical approach and cost proposal from Trapeze Software Group to provide for the paratransit functionality identified in the ITMS RFP.

The Committee recommends awarding a two-year sole source contract with three one-year extensions for a paratransit dispatching system to Trapeze Software Group, Inc. of Cedar Rapids, IA for a total amount not to exceed $843,667.50 for the system implementation (this includes a contingency), and $155,954 for the first two years of maintenance.

Approve Contract for Construction of River BRT Stations

As discussed at prior Performance Oversight meetings, certain components of the BRT are being accelerated as funding becomes available. In 2015, CDTA was awarded $2.05 million from the New York State Department of Transportation for some of the BRT sites. This work includes installing pedestrian signals and lighting, expanded sidewalks, countdown timers, curb extensions, crosswalks, ADA curb ramps, and traffic signal improvements.

An IFB was released and interested vendors represented a good cross section of local companies that do this type of civil work. Three bids were received and Callanan Industries provided the lowest cost. CDTA has extensive experience working with Callanan, as they performed the work for the original BRT Red Line, the Rensselaer Rail Station parking lot, and Crossgates Commons. CDTA and our engineers qualified the bid.

The Committee recommends awarding a contract to Callanan Industries in an amount not to exceed $2,777,355. This includes a 10% contingency. Due to the nature of the funding source, execution of a contract is contingent upon NYSDOT approval.

Approve Contract for Purchase of Batteries

CDTA vehicles requires two types of batteries, group 8D and 31. The numbers define the physical size of the battery case. CDTA uses these two types of batteries in our fixed route and STAR fleet.

Bids were solicited and five were received. The lowest qualified bidder for the group 31 battery is The Battery Store of Schenectady, New York (A WBE firm). The 8D battery does not require Board action due to the value of the contract. CDTA is currently doing business with both firms and is satisfied with their product and service.

The Committee recommends awarding a two-year contract to The Battery Store of Schenectady, New York for group 31 batteries for an estimated amount of $117,483.

Approve Contract for Bike Share

A Request for Proposals was issued for a self-service bicycle sharing system. The system will allow the public to rent bicycles at low cost within a network of stations and return them to any station within the system. Six firms downloaded the RFP and three submitted proposals. Two of these firms were invited to participate in interviews with a review team comprised of Marketing, Finance and Planning staff.

After consideration of the proposals, interviews and reference projects staff recommends an award to Social Bicycles of Brooklyn, New York. The scope includes bike purchases, infrastructure and operations. Upon Board approval, a contract will be executed immediately with an initial order of 160 bikes for a summer 2017 program start.

The Committee recommends awarding a two-year contract for bike share program equipment and services to Social Bicycles of Brooklyn, New York for a total amount not to exceed $900,000.

Audit Committee Items

No items scheduled.

Investment Committee Items

The Hugh Johnson Advisors report was received prior to the meeting, and the Committee will meet next week prior to the Board meeting as such time a verbal report will be given.

Administrative Discussion Items

Fleet Inspection Annual Report

Mike Collins gave the fleet inspection annual report. The Transit Resource Center has completed its annual fleet maintenance audit. Key findings were that “A” defects decreased from 24 to 23, continuing the 8-year downward trend, with significant improvements in Schenectady in particular. Total defects are up from 268 to 286 with a total defect average of 4.1 defects per bus, compared to last year’s 3.8 defects per bus.

The audit included positive results with facility inspections, and 100% of sampled preventive maintenance inspections were completed on time. Going forward, we will focus our proactive approach to quality assurance inspections, concentrating on defects driven by PMI’s, implementing dedicated staff to the address body conditions of our fleet, and reporting scheduled vs. unscheduled work.

The report was accepted by the Committee.

Risk Management & Workers’ Compensation Quarterly Report

Our procedures require a quarterly review of the adequacy of the Risk Management Self-Insurance Account and the Workers Compensation Self-Insurance Account. The Committee has determined that our accounts are adequate at this time. Amanda Avery can provide details.

Monthly Management (financial) Report

Mike Collins gave the monthly management report. Mortgage tax receipts exceeded budget expectations for the last four months and we are ahead of budget by 16% for the year. Customer fares have also been ahead of projections for the last four months. Wages were over budget by 1.4% for the month due to the new service, and was over budget by 1% for the year. Workers’ compensation exceeded projections due to a large loss of use award and a NYS special assessment. Other benefits and liability – claims are both under budget for the month and year. We are in a satisfactory cash flow position at this time. We will be starting the budget process for FY18 beginning at the Planning meeting.

Monthly Non-Financial (performance) Report

Chris Desany gave the monthly non-financial report. Total ridership was down 3% for the month. On time performance was 68% and there were two PMI’s not on time. Missed trips were at 25 this month. MDBSI was at 36,501. Scheduled work was at 84%. There were 11 preventable and 38 non-preventable accidents, and 90% of customer complaints were closed within 10 days.

For The Good of the Order

No items scheduled.

Executive Session

Amanda Avery gave the pending litigation report. No action was taken.

Capital District Transportation Authority

Agenda Action Proposal

Subject: Fixed route vehicle purchases from Gillig, LLC and New Flyer of America, Inc.

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

The current fleet replacement plan calls for annual vehicle purchases and disposal of vehicles that have reached the end of their useful life.

Purpose:

To insure the effective operation of fixed route service.

Summary of Proposal:

Requests for Proposals were issued for 40’ diesel buses and 60’ articulated buses. These contracts were awarded to Gillig, LLC and New Flyer of America, Inc. respectively. Staff is recommending the purchase of ten vehicles from the Gillig contract and four from the New Flyer contract.

At this time staff recommends purchasing ten 40’ buses from Gillig, LLC for a cost of $463,049 per vehicle, and four 60’ buses from New Flyer of America for a cost of $800,592. This cost includes extended warranties for engine, HVAC and transmission for the 40’ buses. Anticipated delivery is November 2017 for the 40’ buses and August 2017 for the 60’ buses.

Financial Summary and Source of Funds:

These orders will be funded from the FY2018 capital plan.

|Description |Vendor |Unit Cost |Quantity |Extended Cost |

|Base Bus - 40’ |Gillig, LLC |$463,049 |10 |$4,630,490 |

|Extended Warranties - 40’ |Gillig, LLC |$9,801 |10 |$98,010 |

|Base Bus - 60’ |New Flyer of America, Inc. |$800,592 |4 |$3,202,368 |

|TOTAL: | | | |$7,930,868 |

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Lance Zarcone, Director of Maintenance

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Memorandum

Date: January 18, 2017

To: Members, Performance Oversight Committee

From: Lance Zarcone, Director of Maintenance

Subject: Fixed Route Bus Acquisition

Overview

On June 29, 2016, the Board awarded a five-year contract for the purchase of accessible low floor heavy – duty transit vehicles to the Gillig Corporation of Hayward, California. Staff would like to recommend the purchase of ten additional vehicles for fixed route operations from this contract.

The vehicle model is a Gillig, powered by an 8.9L Cummins diesel engine, meeting Environmental Protection Agency (EPA) regulations. The bus is 40’ long with thirty-eight seats and allows for two-wheel chair passengers when two bench seats are folded up.

These buses will replace an equal number of vehicles currently used to run the fixed route service that have reached the end of their useful life. Delivery is anticipated for November 2017.

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Memorandum

Date: January 18, 2017

To: Members, Performance Oversight Committee

From: Lance Zarcone, Director of Maintenance

Subject: Fixed Route Articulated Bus Acquisition

Overview

On December 17, 2014, the CDTA Board of Directors awarded a five-year contract for the purchase of articulated buses to New Flyer of America, LLC. Staff is recommending the purchase of four additional vehicles for fixed-route service operations from this contract. This will bring the articulated bus fleet to a total of eight.

The vehicle model is an articulated New Flyer Xcelsior heavy duty transit bus. This articulated bus is 60’ long, however, maintains a comparable turning radius of a 40’ bus. It has three doors, and due to its high passenger capacity it will help alleviate routes with overcrowding issues.

These buses will replace an equal number of vehicles currently used to run our fixed route service that have reached the end of their useful life. Delivery is anticipated for September 2017.

Capital District Transportation Authority

Agenda Action Proposal

Subject: Contract award for sole source procurement of trolleys from Hometown Trolley of Crandon, WI.

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

The contract for trolleys has expired.

Purpose:

Additional trolleys will be utilized to connect downtown Schenectady with Rivers Casino.

Summary of Proposal:

Due to the timing of the agreement and service start date with Rush Gaming (operator of Rivers Casino) a Request for Proposal process was not feasible. Staff recommends purchasing two trolleys through a sole source purchase from Double K Inc. (d.b.a. Hometown Trolley) for use in revenue service. Hometown Trolley was our vendor in the last competitive trolley procurement and can deliver trolleys by May 2017. Utilizing this vendor also allows for fleet continuity in parts/maintenance and trolley operation. Staff has reviewed this pricing and finds it to be fair and reasonable in comparison to previous trolley purchases.

Staff recommends a sole source contract for the purchase of two trolleys be awarded to Double K Inc. d.b.a. Hometown Trolley for an amount not to exceed $304,184. Upon Board approval a contract will be executed immediately.

Financial Summary and Source of Funds:

Total not to exceed $304,184 for the purchase of two trolleys

This purchase will be included in the FY2018 capital plan.

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Lance Zarcone, Director of Maintenance

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Memorandum

Date: January 18, 2017

To: Members, Performance Oversight Committee

From: Lance Zarcone, Director of Maintenance

Subject: Trolley Acquisition

Overview

Recently, CDTA partnered with Rush Gaming to provide transportation service to Rivers Casino in Schenectady, New York. We have agreed to a universal access partnership designed to transport employees and customers to their facility. That service will begin on February 5, 2017.

We also have been working with Schenectady’s hospitality leadership on a plan for trolley service within the downtown entertainment district, including Mohawk Harbor. We anticipate this area will generate ridership between the casino, hotels, event destinations, along with the bus and train stations. The “Downtowner” will provide improved access for hotel guests, and event visitors as the new developments in the city come to fruition.

In 2010, the Board awarded a five-year contract for the purchase of trolleys to Double K Inc., DBA as Hometown Trolley. Two trolleys were purchased off the contract. Both trolleys successfully operate in service today. The contract expired in November 2015. Due to the timing of this new service need, it was determined a Request for Proposal was not feasible. Staff would like to recommend a sole source award to Double K Inc., DBA as Hometown Trolley. Staff has reviewed this pricing and finds it to be fair and reasonable in comparison to previous trolley purchases.

The vehicle model is a Villager, Hometown Trolley manufactured body on a Ford chassis powered by a 6.8L gas engine. The trolley is 31’ long, seats 32 passengers and includes two wheelchair positions. The trolleys are 100% American made.

These trolleys will be an addition to the current trolley fleet. Delivery is anticipated for May 2017.

CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

____ Construction & Maintenance __X__ Goods, Commodities & Supplies ____ Bus Purchase

____ Services & Consultants ____ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

__X__ One-Shot Deal: Complete scope and fixed value

____ Fixed Fee For Services: Time and materials - open value

____ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

__$304,184_______________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

____ Request for Proposals (RFP) ____ Invitation for Bids (IFB) __X__ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

____ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) ____ Request for Proposals (RFP)

____ Professional Services (Over $25,000) __X_Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #__1_____ or Advertised

Number of Proposals/Bids Received #___1____

Attach Summary of Bids/Proposals

7. Disadvantaged Business Enterprise (DBE) involvement

Are there known DBEs that provide this good or service? Yes No

Number of DBEs bidding/proposing __________

DBE Certification on file? Yes No Not Applicable

Number of DBE Subcontractors _____0_____

8. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: __Double K Inc, DBA Hometown Trolley_________

__701 N Railroad Ave__________________________

__Crandon, WI 54520__________________________

9. SOURCE OF FUNDS: ___FY18 Capital Budget___________________________________________________________

10. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

11. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

___Stacy Sansky, Director of Procurement____ DATED: __January 9, 2017_______________________

Capital District Transportation Authority

Agenda Action Proposal

Subject: Contract awards to A+MeditTrans and Capitaland both of Albany, New York.

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

The current contract for outsourcing of paratransit services is set to expire.

Purpose:

A percentage of STAR trips is contracted out to ensure quality and reliable service to our customers in the most efficient manner possible.

Summary of Proposal:

A Request for Proposals (RFP) was issued for firms to provide reliable and high quality services to STAR customers. The RFP outlined CDTA, Federal, and New York State requirements for paratransit service. The RFP requires the contractor to hire, screen and supervisor their employees to meet our service requirements. The vehicles they use will be high quality and subject to approval by CDTA.

Sixteen firms downloaded the RFP and three submitted proposals. All three firms participated in interviews and staff conducted site visits to each location. Staff recommends that contracts be awarded to two contractors to provide this service as outlined in the attached justification memo.

Staff recommends three year contracts with two optional one year renewals be awarded to A+ MediTrans (MBE firm) and Capitaland both of Albany, New York for approximately 45% of all paratransit service. Upon Board approval, contracts will be executed immediately with service provider changes taking affect in February 2017.

Financial Summary and Source of Funds:

Estimated annual value is $3,540,000 based on quoted hourly rates and projected ridership.

• A+ MediTrans: $3,200,000

• Capitaland: $340,000

This service is funded through the operating budget starting in FY2017.

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Fred Gilliam, Director of Transportation

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Memorandum

Date: January 4, 2017

To: Carm Basile, Chief Executive Officer

From: Fred Gilliam, Director of Transportation

Re: Flexible Services Contract Award Justification & Recommendation

Recommendation:

Award contracts to A+ MediTrans of Albany, New York, and to Capitaland Taxi of Albany, New York to provide services to support our paratransit operation (STAR). Both contracts will be for three years with two one-year renewal options.

Background:

In October 2016, we issued a Request for Proposals for carriers to transport STAR customers. We contract a percentage of STAR trips to insure that quality and reliable service is provided to our customers in the most efficient manner possible. In the transit industry, this is called load shedding; on the average weekday, about 50% of all STAR trips are provided by a contractor.

Proposal Requirements

We sought services from qualified firms to provide safe, reliable and quality services for STAR customers. The selected contractor(s) will provide trips under the direction of CDTA. Trips are reserved and scheduled by CDTA and provided for completion by the contractor on a daily basis. The contractor(s) is reimbursed based on hourly rates provided in their proposal. The contractor will hire, screen and supervise their employees and insure that they meet our service requirements. The vehicles that they use will be high quality, as defined in the RFP, and will be subject to approval by CDTA. The contractor(s) will follow all operating requirements that are used for STAR operations. The service will be as seamless as possible for customers – high quality service shall be maintained, whether a trip is provided by CDTA or by a contractor.

Current Vendor

Advantage Transit Group has provided contract service to support STAR for nearly 10 years. They also provide taxi service from the Rensselaer Rail Station. They have subsidiary operations that provide contract service, traditional taxi service, medical transportation and hospitality services (party buses, limousines). Their service in STAR has been average to good. They have had issues keeping pace with the growth in trips, reservations and customer demand. This has been a concern for us and it was taken into account during the review process.

Proposal Review and Recommendations

A staff team reviewed each proposal, interviewed management from the proposing teams and made a number of site visits. The objective was to select the contractor or set of contractors that could provide the most reliable service to customers at the best price to CDTA. This involves insurances that the contractor can work in a hectic environment with demanding constraints (same or next day service). The environment requires experience, sound judgment and an unyielding concern for customers and their transportation needs.

The review team recommends that we engage two contractors to provide this service. The use of two contractors will maximize our scheduling and efficiency to provide the best service possible. Capitaland provides traditional taxi service, mostly for ambulatory customers and they have a fleet of vehicles for customers who require more assistance. A+ is a specialized firm that can meet the needs of customers requiring assistance. We plan to use the two contractors in concert to deliver the best service possible.

As part of a broader conversation about STAR, we have improved reservation systems and the capabilities of our employees. We are upgrading the capacity of our scheduling software system (Trapeze) and we are improving STAR employee capacity in the scheduling functions; by the end of this year, we will install a mobile app for customers to allow them to locate their bus and the scheduling information attached to it. This will give customer real time information and link them directly to their trip status.

Cost:

Both Capitaland and A+ provided lower hourly rates for service than Advantage. Based on service projections for the next year, we estimate that the contractors will be responsible for 45% of all service production. Based on the quoted hourly rates, the estimated annual cost in Year 1 is $3.54 million ($3.2 million to A+ and $340,000 to Capitaland).

Copy: Senior Staff

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CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

__ _ Construction & Maintenance _ ___ Goods, Commodities & Supplies ____ Bus Purchase

____ Services & Consultants __X __ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

_ _ _ One-Shot Deal: Complete scope and fixed value

__X_ Fixed Fee For Services: Time and materials - open value

__ _ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

__$340,000 (estimated, annual)________________________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

_ X___ Request for Proposals (RFP) __ __ Invitation for Bids (IFB) ____ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

__ _ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) __X __ Request for Proposals (RFP)

____ Professional Services (Over $25,000) ____ Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #_16____ or Advertised

Number of Proposals/Bids Received #_3______

Attach Summary of Bids/Proposals

7. Disadvantaged/Minority Women’s Business Enterprise (D/MWBE) involvement

Are there known D/MWBEs that provide this good or service? Yes No

Number of D/MWBEs bidding/proposing ___1_______

D/MWBE Certification on file? Yes No Not Applicable

Was contract awarded to a D/MWBE? Yes No

Number of D/MWBE Subcontractors ___0_______

8. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: Capitaland_________________________________

22 Kraft Avenue_____________________________

_Albany, NY 12205__________________ _________

8. SOURCE OF FUNDS: _FY2017, FY2018, FY2019, FY2020 Operating budgets _______________________

9. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

10. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

__Stacy Sansky, Director of Procurement_____ DATED: __January 10, 2017_________

CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

__ _ Construction & Maintenance _ ___ Goods, Commodities & Supplies ____ Bus Purchase

____ Services & Consultants __X __ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

_ _ _ One-Shot Deal: Complete scope and fixed value

__X_ Fixed Fee For Services: Time and materials - open value

__ _ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

__$3.2 million (estimated, annually)________________________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

_ X___ Request for Proposals (RFP) __ __ Invitation for Bids (IFB) ____ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

__ _ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) __X __ Request for Proposals (RFP)

____ Professional Services (Over $25,000) ____ Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #_16____ or Advertised

Number of Proposals/Bids Received #_3______

Attach Summary of Bids/Proposals

8. Disadvantaged/Minority Women’s Business Enterprise (D/MWBE) involvement

Are there known D/MWBEs that provide this good or service? Yes No

Number of D/MWBEs bidding/proposing ___1_______

D/MWBE Certification on file? Yes No Not Applicable

Was contract awarded to a D/MWBE? Yes No

Number of D/MWBE Subcontractors ___0_______

9. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: A+ Meditrans_______________________________

23 Railroad Ave_____________________________

_Albany, NY 12205__________________ _________

10. SOURCE OF FUNDS: __FY2017, FY2018, FY2019, FY2020 Operating budgets_______________________________

11. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

12. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

__Stacy Sansky, Director of Procurement_____ DATED: __January 10, 2017_________

Capital District Transportation Authority

Agenda Action Proposal

Subject: Sole source contract award to Nationwide Payment Solutions, LLC of Portland, Maine

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

Payment card processing is utilized as part of the management of the Rensselaer Rail Station parking system.

Purpose:

The current system for payment card processing does not allow for chip secure transactions (EMV), and an alternative is required to remain compliant.

Summary of Proposal:

CDTA’s current payment card processor has no plans to integrate to EMV transactions. A sole source contract is requested to allow for seamless transition of payment card processing services to make CDTA’s system EMV compliant as quickly as possible. Nationwide Payment Solutions is already familiar with the Amano fee system that CDTA utilizes. Staff has reviewed the pricing provided by Nationwide Payment Solutions, and CDTA will see an annual decrease in fees, and therefore finds the cost to be fair and reasonable.

Staff recommends a sole source contract be awarded to Nationwide Payment Solutions, LLC of Portland, ME for credit card processing for a term not to exceed three years. Upon Board approval a contract will be executed immediately.

Financial Summary and Source of Funds:

Total cost for three years is estimated at $162,000. Actual cost will vary based on volume of transactions. This will be funded through the appropriate operating budget beginning with FY2018.

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Christopher Desany, Vice President of Planning and Infrastructure

Date: January 18, 2017

To: Chairman, Performance Oversight Committee

Members, Performance Oversight Committee

From: Christopher Desany, Vice President of Planning and Infrastructure

Re: Sole Source Recommendation for Payment Card Processing at Rensselaer Rail Station

Background:

In March 2016, CDTA awarded a contract to Access Technology Integration, Inc. (ATI) for the implementation of a new Amano McGann fee computer system at the Rensselaer Rail Station. The new system will ensure that CDTA is PCI compliant and able to support all current and future payment card technologies. This includes a standard for credit cards that uses computer chips to secure transactions (EMV). With the current system, CDTA is not able to accept these types transactions at RRS.

Our current payment card processor, Bank of America, has no schedule to integrate EMV transactions with our system, necessitating the switch to a different payment processor. Amano and ATI have both recommended Nationwide Payments as a new provider, and it allows for the most straight-forward and cost effective transition.

For the new solution, a technical review and cost analysis were completed. The cost analysis was based on actual transactions for the last 12 months. It showed that CDTA will save approximately $23,404 annually in processing fees. This savings is due to a reduction of our transaction effective rate from 4.52% to 3.15%.

The objectives for the new payment processing provider are:

• To provide compliant debit and credit card processing services for all transactions at the Rensselaer Rail Station.

• To establish a bank card clearing and fee structure that follows standards deployed by the banking industry.

• To ensure efficient (timely) and reliable (secure) authorizations of electronic funds transactions.

Justification:

This recommendation is to award a sole source contract to Nationwide Payments for credit card processing for the new Amano system. Nationwide Payments is recommended by Amano and ATI. Additional reasons to support this sole source recommendation include:

• Access Technology Integration, Inc. is familiar with implementation of the Amano fee system with Nationwide Payments as the payment processor and it relationship to our requirements, and therefore has full knowledge of CDTA needs.

• Utilizing this vendor is projected to reduce credit processing fees by approximately $23,404 annually.

• Utilizing this vendor will ensure no additional third-party integration or customization, which reduces the risk inherent in integration between multiple vendors.

• Utilizing this vendor ensure that CDTA can accept EMV transactions, reducing the overall liability of CDTA.

Recommendation

I am recommending that a three-year contract for credit card processing services be awarded to Nationwide Payment Solutions, LLC of Portland, ME for a total amount of approximately $162,000. The actual amount will be based on the volume of transactions.

CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

__ _ Construction & Maintenance _ ___ Goods, Commodities & Supplies ____ Bus Purchase

__X_ Services & Consultants __ __ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

_ _ _ One-Shot Deal: Complete scope and fixed value

__X Fixed Fee For Services: Time and materials - open value

__ _ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

_$162,000 (estimated, over three years)_________________________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

_ ___ Request for Proposals (RFP) __ __ Invitation for Bids (IFB) __X__ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

__ _ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) __ __ Request for Proposals (RFP)

____ Professional Services (Over $25,000) __X_ Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #__1___ or Advertised

Number of Proposals/Bids Received #__1___

Attach Summary of Bids/Proposals

7. Disadvantaged/Minority Woman’s Business Enterprise (D/MWBE) involvement

Are there known D/MWBEs that provide this good or service? Yes No

Number of D/MWBEs bidding/proposing ____0______

D/MWBE Certification on file? Yes No Not Applicable

Was contract awarded to a D/MWBE? Yes No

Number of D/MWBE Subcontractors _____0_____

8. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: Nationwide Payment Solutions, LLC___________

_320 Cumberland Ave________________________

Portland, ME 04101_________________ _________

9. SOURCE OF FUNDS: _________FY18-20 Operating Budgets______________________________________________

10. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

11. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

__Stacy Sansky, Director of Procurement_____ DATED: January 10, 2017_________________

Capital District Transportation Authority

Agenda Action Proposal

Subject: Contract award for Lumsden & McCormick, LLP of Buffalo, NY.

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

The current contract for external audit services will expire this month.

Purpose:

CDTA is required to have an independent audit completed annually. A new contract is required to maintain compliance with this requirement.

Summary of Proposal:

A Request for Proposal (RFP) was issued for a firm to provide audit services for CDTA and CDTC. The fees were to be inclusive for all requirements outlined in the RFP. Thirteen firms downloaded the RFP and three submitted proposals. All three firms were deemed qualified to perform the work. The incumbent firm (Lumsden & McCormick) provided the lowest price by 12%.

Lumsden and McCormick has performed excellent work in the past. The price proposal represents a .5% increase and staff recommends a three-year contract with two optional renewals be awarded to Lumsden & McCormick LLP of Buffalo, NY for audit services.

Upon Board approval, this contract will be executed immediately.

Financial Summary and Source of Funds:

The three-year total is not to exceed $163,800 and it will be funded from the appropriate operating budget for each year fiscal year.

Year 1: $54,000

Year 2: $54,600

Year 3: $55,200

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Philip Parella, Jr, Director of Finance

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Memorandum

Date: January 18, 2017

To: Members, Performance Oversight Committee

From: Philip Parella, Jr, Director of Finance

Re: CDTA-FIN 17-4000 Audit Services

Background

CDTA is required to have an independent audit completed on an annual basis. The audit results are reported to New York State, and can be accessed by the public and other state entities through the Public Authority Reporting Information System (PARIS). Our current agreement with Lumsden and McCormick expires in January 2017. In December 2016, a Request for Proposal was issued for external audit services.

Justification

In review of the proposals, the review team found that each was professionally qualified and had appropriate experience, although one firm had not recently audited the National Transit Database (NTD) piece. Lumsden and McCormick has several years of experience with CDTA, which warranted a higher score in experience.

From a price perspective, all prices were reasonable however Lumsden and McCormick was the least expensive, giving them the highest total score.

|CDTA FIN 17-4000 Audit Services-Cumulative Scorecard |

|Criteria |EFPR Group |Lumsden |Bonadio |

|Price Proposal 105 points |90 |105 |78 |

|Overall Experience 180 points |150 |180 |165 |

|D/MWBE 15 points |15 |15 |15 |

|TOTAL |255 |300 |258 |

CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

____ Construction & Maintenance _ ___ Goods, Commodities & Supplies ____ Bus Purchase

__X__ Services & Consultants __ __ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

_ ___ One-Shot Deal: Complete scope and fixed value

__X_ Fixed Fee for Services: Time and materials

__ _ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

_$163,800 (NTE for total of years 1-3)______________________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

_ X___ Request for Proposals (RFP) ____ Invitation for Bids (IFB) ____ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

____ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) __X Request for Proposals (RFP)

____ Professional Services (Over $25,000) ____ Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #__13_____ or Advertised

Number of Proposals/Bids Received #__3_____

Attach Summary of Bids/Proposals

7. Disadvantaged/Minority Women’s Business Enterprise (D/MWBE) involvement

Are there known D/MWBEs that provide this good or service? Yes No

Number of D/MWBEs bidding/proposing __0________

D/MWBE Certification on file? Yes No Not Applicable

Number of D/MWBE Subcontractors ___1 WBE_______

8. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: Lumsden & McCormick, LLP.

403 Main St Suite 430________

Buffalo, NY 14203__________

9. SOURCE OF FUNDS: __FY2013 Operating Budget________________________________________________________________

10. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

11. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

__Stacy Sansky, Director of Procurement_____ DATED: __January 9, 2017 ________________________

Capital District Transportation Authority

Agenda Action Proposal

Subject: Award recommendation for Legal Services Panel Counsel

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

General Counsel maintains contracts with law firms to assist in a wide array of specialties on an as needed basis.

Purpose:

The current contracts are set to expire.

Summary of Proposal:

A Request for Proposals (RFP) was issued for firms to provide legal services in up to six areas of expertise. The RFP outlined the current case volume of the authority and asked firms to provide competitive hourly rates for each individual engagement.

Twelve (12) firms submitted proposals in multiple areas of expertise out of fifty-four (54) prospective proposers. Six (6) firms were dismissed as too costly after an initial proposal review. Four (4) firms were invited to participate in interviews and one firm who already does work with CDTA presented a proposal that did not require a follow-up interview.

Staff recommends that contracts be awarded to the following firms in the specified areas of practice:

• Girvin & Ferlazzo, PC: Labor, Real Property/Landlord Tennant, Corporate Governance & Compliance, Subrogation/Recovery,

• Goldberg Segalla, LLP: Corporate Governance & Compliance, Subrogation/Recovery, Labor and Contracting/Procurement,

• Towne, Ryan and Partners, PC (WBE): Personal Injury/Claim Litigation and Subrogation/Recovery,

• O’Connor, O’Connor, Bresee & First, PC: Personal Injury/Claim Litigation and Subrogation/Recovery,

• Carter Conboy, PC: Personal Injury, Labor

Upon Board approval, contracts will be executed immediately for a five-year term.

Financial Summary and Source of Funds

If outside legal services are required, up to $100,000 is budgeted in the appropriate fiscal year starting with FY2017.

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Amanda Avery, General Counsel

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Memorandum

Date: January 18, 2018

To: Chairman, Performance Oversight Committee

Members, Performance Oversight Committee

From: Amanda Avery, Esq., General Counsel

Subject: Recommendation for Panel Counsel

Through the General Counsel, CDTA’s internal legal department provides legal services, risk management and administrative assistance to the Authority

From time to time, the legal department requires the assistance of outside counsel covering certain distinct practice areas: Corporate Governance & Compliance, Contracting/Procurement, Real Property, Labor, Personal Injury and Subrogation/Recovery. As the need for these particular services can be predicted, it is in the best interests of the Authority to enter into term contracts covering these practice areas. Term contracts allow the legal department to utilize outside firms on an as-needed basis, as matters arise, at specified rates that are agreed-upon in advance.

After issuance of a Request for Proposals, proposals were received and reviewed by General Counsel. A number of proposals were dismissed as either too costly or otherwise not in the Authority’s best interests, while five firms warranted further consideration. After conclusion of the interview process, a number of firms were deemed well qualified and suited to provide legal services as proposed: Girvin & Ferlazzo, PC; Goldberg Segalla, LLP; Towne, Ryan and Partners, PC; O’Connor, O’Connor, Bresee & First, PC; and Carter Conboy, PC.

It is recommended that the Authority enter into five-year term contracts with the aforementioned firms. Please note that these contracts merely set the terms and conditions for the possible future performance of legal services – there is no guarantee that any work will be requested or performed.

CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

____ Construction & Maintenance _ ___ Goods, Commodities & Supplies ____ Bus Purchase

__X__ Services & Consultants __ __ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

_ ___ One-Shot Deal: Complete scope and fixed value

__X__ Fixed Fee For Services: Time and materials - open value

__ _ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

__$100,000/yr (total budget)_____________________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

_ _X__ Request for Proposals (RFP) ____ Invitation for Bids (IFB) ____ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

____ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) _X_ __ Request for Proposals (RFP)

____ Professional Services (Over $25,000) ____ Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #__54_____ or Advertised

Number of Proposals/Bids Received #__12_____

8. Disadvantaged/Minority Women’s Business Enterprise (D/MWBE) involvement

Are there known D/MWBEs that provide this good or service? Yes No

Number of D/MWBEs bidding/proposing _____2_____

D/MWBE Certification on file? Yes No Not Applicable

Number of DBE Subcontractors _____0_____

8. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: (Full Addresses Available Upon Request)

• Girvin & Ferlazzo, PC-Albany, NY

• Goldberg Segalla, LLP-Albany, NY

• Towne, Ryan & Partners, PC (WBE)-Albany, NY

• O’Connor, O’Connor, Bresee & First, PC-Albany, NY

• Carter Conboy, PC-Albany, NY

9. SOURCE OF FUNDS: _ Starting with FY2017 Operating Budget__________________________________________

10. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

11. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

__Stacy Sansky, Director of Procurement_____ DATED: __ _December 12, 2016_______________________

Capital District Transportation Authority

Agenda Action Proposal

Subject: Contract award for bus filters to Vehicle Maintenance Program of Boca Raton, Florida.

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

Filters are procured on a regular basis to ensure price and availability. The current contracts for bus filters is expiring.

Purpose:

CDTA utilizes a variety of different filters for our vehicles. Filters are part of ongoing maintenance and upkeep and are replaced as required.

Summary of Proposal:

An Invitation for Bids (IFB) was issued for bus filters. The IFB indicated requirements for each filter type as well as estimated quantities based on usage history. Nine vendors downloaded the IFB and six bids were received. Bid sheets are available upon request. Vehicle Maintenance Program is the incumbent provider of bus filters.

Vehicle Maintenance Program requires approval because the contract value is greater than $100,000.

Staff recommends a contract to purchase bus filters from Vehicle Maintenance Program of Boca Raton, Florida for an estimated $126,913 over two years. Upon approval, a contract will be executed for a term of two years.

Financial Summary and Source of Funds:

The total contract value is estimated at $126,913 with funds coming from FY17 & FY18 Operating Budgets. Actual costs will be determined by usage. The anticipated cost breakdown is below:

Year 1: $62,169

Year 2: $64,744

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Lance Zarcone, Director of Maintenance

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Memorandum

Date: January 18, 2017

To: Members, Performance Oversight Committee

From: Lance Zarcone, Director of Maintenance

Subject: Vehicle Filters

Overview

CDTA recently solicited an Invitation for Bid (IFB) asking a firm to supply bus filters. A filter is a device used for removing impurities from a liquid or gas. CDTA utilizes an assortment of different filters such as oil, air and fuel for our vehicles. Filters can minimize the risk of breakdowns and prolong the life of engine, transmission and other components. They are part of CDTA’s preventative maintenance program.

Bids were solicited and six bids were received. The lowest qualified bidder for filters is Vehicle Maintenance Program of Boca Raton, Florida. CDTA is currently doing business with this firm and is satisfied with their product and service.

At this time staff recommends award to Vehicle Maintenance Program of Boca Raton, Florida.

CAPITAL DISTRICT TRANSPORTATION AUTHORITY

Staff Contract Award Certification

1. TYPE OF CONTRACT (check one):

__ _ Construction & Maintenance _ X___ Goods, Commodities & Supplies ____ Bus Purchase

____ Services & Consultants __ __ Transportation & Operational Services

2. TERMS OF PERFORMANCE (check one):

_ _ _ One-Shot Deal: Complete scope and fixed value

____ Fixed Fee For Services: Time and materials - open value

_X _ Exclusive Purchase Contract: Fixed cost for defined commodity with indefinite quantity

____ Open Purchase Contract: Commitment on specifications and price but no obligation to buy

____ Change Order: Add on to existing contract

3. CONTRACT VALUE:

_$126,913_________________________ fixed estimated (circle one)

4. PROCUREMENT METHOD (check one):

_ ___ Request for Proposals (RFP) __X __ Invitation for Bids (IFB) ____ Other

5. TYPE OF PROCEDURE USED (check one):

____ Micro Purchases (Purchases up to $2,499.00) ____ Small Purchases ($25,000 up to $$100,000)

_X _ Sealed Bid/Invitation for Bids (IFB) (Over $100,000) __ __ Request for Proposals (RFP)

____ Professional Services (Over $25,000) ____ Sole or Single Source (Non-Competitive)

6. SELECTION CRITERION USED:

Number of Proposals/Bids Solicited #__9___ or Advertised

Number of Proposals/Bids Received #__6_____

Attach Summary of Bids/Proposals

7. Disadvantaged/Minority/Women’s Business Enterprise (D/MWBE) involvement

Are there known D/MWBEs that provide this good or service? Yes No

Number of D/MWBEs bidding/proposing _0_________

D/MWBE Certification on file? Yes No Not Applicable

Was contract awarded to a D/MWBE? Yes No

Number of D/MWBE Subcontractors _0_________

8. LEGAL NAME and ADDRESS OF CONTRACTOR/VENDOR: Vehicle Maintenance Program, Inc.____________

3595 N Dixie Bay #7__________________________

Boca Raton, FL 33431_______________ _________

9.. SOURCE OF FUNDS: ____FY17&18 Operating Budget___________________________________________________

10. COMPLIANCE WITH STATE AND FEDERAL RULES:

Non-Collusion Affidavit of Bidder (Yes, No, N/A)

Disclosure & Certificate of Prior Non-Responsibility Determinations (Yes, No, N/A)

Disclosure of Contacts (only RFPs) (Yes, No, N/A)

Certification with FTA’s Bus Testing Requirements (Yes, No, N/A)

11. RESPONSIBLE STAFF CERTIFIES THE INTEGRITY OF THIS PROCUREMENT/CONTRACT:

__Stacy Sansky, Director of Procurement_____ DATED: _December 12, 2016 _______

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Memorandum

January 18, 2017

To: Members, Performance Oversight Committee

From: Stacy Sansky, Director of Procurement

Copy: Mike Collins, Vice President of Finance & Administration

Re: Calendar Year 2016 Procurement Report Summary

This is the annual report on procurement activities. This report reviews the procurement process for: surplus sale, change orders, sole source contracts and our Minority/Women Business Enterprise (MWBE) program.

Surplus Sale

A surplus sale is a method for staff to dispose of equipment, vehicles and parts that have surpassed their useful life. Items are disposed through recycling, donation and sale through eBay auction. Sales tax is collected for applicable transactions.

The Agenda Action Proposal for is attached for the 2016 Surplus Sales.

Change Orders

A change order is work that is added to or deleted from the original scope of a contract, which alters the original contract amount and/or completion date. Change orders that exceed 20% of the original contract value or $100,000 (whichever is greater) require Board approval. There were no change orders that required board action.

There were five change orders that fell under the Board approval threshold for the past year. The change orders ranged from a 1% increase to an 18% increase of the original contract value. Each change order was reviewed with the project manager and they were all deemed to be fair and reasonable in justification and price.

Sole Source Contracts

Sole source contracts are used when no competition is available or when there is an emergency procurement. All sole source contracts valued at $25,000 or more require Board approval. Sole source agreements are closely monitored and minimized whenever possible. During 2016 one sole source agreement was executed under the Board approval threshold. The Maintenance Department required a software upgrade for transmissions from the manufacturer (Voith) valued at $23,000. Staff found the cost to be fair and reasonable.

Please note that there were several single source contract awards and each one was noted as such in the award resolution.

Minority/Women’s Business Enterprise (MWBE)

The Minority/Women’s Business Enterprise (MWBE) program is a state required initiative to level the playing field for qualified minority/women owned businesses in the state.

We continue to improve MWBE participation to meet the state mandated goal of 30%. Our MWBE participation rate in CY16 was 34%. This shows significant improvement from previous years (CY15 was 22%; CY14 was 18%; CY13 was 14%).

In addition to the current contracts with MWBE firms, the following contracts were issued to MWBE firms during CY16:

• Bus Batteries (WBE)

• Asbestos Removal from Roof Drain (WBE)

• Temporary Staffing Services (WBE)

• Parking Computer Upgrade (WBE)

• Computer Toner (MBE & WBE)

Capital District Transportation Authority

Agenda Action Proposal

Subject: Summary of vehicles, equipment and parts disposed of in 2016.

Committee: Performance Oversight

Committee Meeting Date: January 18, 2017

Board Action Date: January 25, 2017

Background:

The Board passed Resolution 05-2005 to allow staff to dispose of equipment, vehicles and parts that have surpassed their useful life and then report these disposals on an annual basis. CDTA disposes of items in the best way possible, through recycling, donation and sale through eBay auction. CDTA collects sales tax for applicable transactions.

Purpose:

Surplus sale allows staff to remove items from physical inventory that are past its useful life, no longer needed, or not working properly and require replacement.

Summary of Proposal:

Several vehicles were transferred to local law enforcement agencies and the remaining vehicles were auctioned to the highest bidder on eBay. A few miscellaneous pieces of equipment and electronics with some value were also auctioned. The remaining items had little or no value on the open market and were either recycled or disposed of in the most environmentally friendly way possible.

Financial Summary and Source of Funds:

A total of $4,345 was returned to the operating budget as proceeds from the disposition of surplus materials in 2016.

Prepared by:

Stacy Sansky, Director of Procurement

Project Manager:

Stacy Sansky, Director of Procurement

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Memorandum

Date: January 18, 2017

To: Audit Committee

CC: Carm Basile, Chief Executive Officer

From: Sarah Matrose, Internal Auditor

Subject: Annual Confirmation of Independence

The audit charter requires the Internal Auditor to confirm the organizational independence of the internal audit function annually to the Committee.

To date, the internal audit function remains independent and the Internal Auditor is objective in all work performed. All audit activity is free from interference in determining audit selection, scope, timing, work performed, or report content. All activities are performed with proficiency and due professional care. The Internal Auditors knowledge, skills, and other competencies continue to be enhanced through professional development.

The Internal Audit Department has no direct operational responsibility or authority over any of the activities audited. The Internal Auditor exhibits the highest level of professional objectivity in gathering, evaluating, and communicating information about the activity or process being examined. The Internal Auditor forms a balanced assessment of all the relevant circumstances and is not unduly influenced by her own interests or by others in forming judgements.

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