Columbia University & M/W/L Vendors: Increasing Partnerships

Columbia University Facilities and Operations

Supplier Onboarding

Published JUNE 2019

Table of Contents

Slide #

Columbia University Overview

Campus Overview 4-7

Primary Contacts 8-10

Public Safety 11

Working With Columbia

Supplier Approval Process 12

Procurement Process 13-14

Contract Types 15

University Requirements and Policies

Insurance 16

Supplier Performance 17-18

Supporting Minority-, Women-, and Locally-owned Business Enterprises 19-21

Systems 22

Policies 23

Appendix: Requirements by Contract Type 24-29

Exhibits *

*Please contact

[email protected] to obtain copies of Exhibits

Columbia University Campuses

Columbia University Facilities and Operations departments manage the renovation and construction projects at Baker

Athletics Complex, Nevis Labs, Manhattanville, Morningside, Columbia University Irving Medical Center, Lamont-Doherty Earth

Observatory

Columbia University Campuses

Managed by CU Morningside Facilities and Operations

Baker Athletics Complex

Located at 218th Street and Broadway, Baker Athletics Complex is the primary athletics

facility for Columbia outdoor sports programs, featuring Robert K. Kraft Field at Lawrence

A. Wien Stadium, Rocco B. Commisso Soccer Stadium, Columbia Softball Field, Robertson

Field at Satow Stadium, the Columbia Field Hockey Venue, The Dick Savitt Tennis Center,

The Remmer and 1929 Boathouses, the Chrystie Field House and the Campbell Sports

Center.

Manhattanville Campus

The newly constructed Manhattanville Campus includes more than 17 acres of property on

the blocks from West 125th Street to 133rd Street between Broadway and 12th Avenue, as

well as several properties on the east side of Broadway, from 131st to 134th Street. It is

home to the Jerome L. Greene Science Center, Lenfest Center for the Arts, and the

University Forum.

Morningside Campus

Columbia’s Morningside Campus is located on the Upper West Side of Manhattan, with the

core campus located between 114

Street and 120

Street from Morningside Drive to

Broadway. This campus includes both academic and residential buildings.

Nevis Laboratories

Nevis Laboratories is a physics research facility operated by the Physics Department

located in Irvington, NY.

For more information on Facilities Management of these campuses, visit: https://cufo.columbia.edu/

Columbia University Campuses

Managed by Columbia University Irving Medical Center

Facilities Management and Campus Services

Columbia University Irving Medical Center (CUIMC)

CUIMC sits on a 20-acre campus in northern Manhattan located between 165th Street

and 173rd Street from Riverside Drive to Audubon Avenue (with one building at 390

Fort Washington Avenue). CUIMC is a center for excellence in transformative health

care, education and healing.

For more information visit:

http://www.cumc.columbia.edu/facilities-management/

Faculty Practices

ColumbiaDoctors provides patients with the expertise of more than 1,700 highly

regarded physicians, surgeons, dentists, and nurses at locations throughout New York

City and the surrounding area.

For a full list of locations, please visit:

https://www.columbiadoctors.org/locations

Lamont-Doherty Earth Observatory (LDEO)*

LDEO sits on a high, forested bluff on the Palisades overlooking the Hudson

River, about fifteen miles north of Manhattan.

For more information and directions, visit: http://www.ldeo.columbia.edu/about-ldeo/maps-

contacts

*Large capital projects are managed by CU Morningside Facilities and Operations

Columbia University Campuses

Managed by Lamont-Doherty Earth Observatory (LDEO)

Topic Contact Person / Group E-Mail Address / Website Telephone Number

Accounts Payable

Assistance

CUFO Accounts Payable cufaphelp@columbia.edu 212-854-6679

Invoice Submission* CUFO Accounts Payable cufap@cuf.columbia.edu 212-854-6679

General Questions /

Onboarding

Manny Vasquez m[email protected] 212-854-8574

Certificates of Insurance Manny Vasquez

[email protected] or

[email protected]

212-854-8574

Procurement (Bids,

Contracts, Purchase Orders,

Change Orders)

Theresa Formato [email protected] 212-854-2501

Change of Address or

Company Information

Central Vendor

Management

http://finance.columbia.edu/proc

urement/vendor-management

N/A

*Please contact the individual Accounts Payable representatives for specific invoice submission instructions. Do Not utilize

the instructions included in Exhibit A.

Public Safety

For more information about Columbia Public Safety and emergency protocols please

visit:

https://publicsafety.columbia.edu/

Please save the emergency number for the campus you will be working on in your cell

phone

Location Phone Number Emergency Phone Number

Columbia University Irving Medical

Center

212-305-8100 212-305-7979

Lamont-Doherty Earth Observatory 845-359-2900 911 then 555

Manhattanville Campus 212-853-3301 212-853-3333

Morningside Campus 212-854-2797 212-854-5555

Nevis Laboratories 914-591-2870 911

Supplier Approval Process

• All suppliers of the University must be approved in the University’s Finance system, ARC, in order to begin work

with the University.

• Vendor Management is the central unit responsible for approving suppliers in ARC. The supplier will receive a

series of automated emails from Columbia University Supplier Management to complete company and financial

information.

• Upon approval, you will be issued a vendor ID number. Keep this number on file so that you may update your

profile if needed. Columbia University can now transact with your firm, but this does not guarantee business.

• If any firm information changes during the course of business, firm must initiate changes to Columbia Supplier

Profile. Please refer to Exhibit B: “Instructions for Suppliers to Update Columbia Supplier Profile Information”

utilizing your ARC Vendor ID as the starting point.

• If you have a change of address, banking account, EIN, you MUST update this information on your Columbia

Supplier Profile immediately, as this will affect your receipt of payment.

• http://finance.columbia.edu/procurement/vendor-management

• Supplier will define a primary trade their firm specializes in and up to 10 specialties. It is important to complete this

accurately to ensure CU can identify your firm for their needs.

• Once approved, your firm is eligible for inclusion in procurement of facilities related goods and services.

Procurement Process – Construction Related

Services

Overview of Competitive Procurement Process:

• A Request for Proposal or Quotation will be sent to selected vendors through our Electronic Bidding module in the Unifier

project management system. Comprehensive instructions will be included in each RFP invitation.

• Bidders are provided with a comprehensive scope of work, drawings and specifications (if applicable), contact

information for questions, a procurement schedule, a sample contract, a contract acknowledgement form, CU

instructions to bidders and policies.

• Proposals must be received before due date and time. Proposals must include a completed pricing sheet and exceptions

to the scope of work (if applicable).

• Proposals are reviewed amongst a group of University officers. Bidders may be requested to interview, submit a

clarification bid, or engage in a negotiation of terms or cost.

• An award decision is communicated to all bidders regardless of award or non-award.

• A valid certificate of insurance is required to work with the University before a contract can be issued.

• Contract is sent to vendor for execution. CU provides counter signature. Under no circumstances can work begin

without a fully executed contract.

• A purchase order is issued to the vendor for payment of invoices. This purchase order number must be noted on all

invoices when submitted to Accounts Payable.

Procurement Process – Non-Construction Related

Services

• Non-construction, maintenance and facilities related services are generally procured without a contract

• The Purchase Order terms dictate the terms of the agreement -

https://finance.columbia.edu/files/gateway/forms/PO_Terms_and_Conditions.pdf

• Examples of these types of services include services such as training, workshops, and the purchase or rental of

minor goods and equipment

Overview of Procurement Process:

• Project manager will request a quote / proposal for specific goods or services

• If you are coming to a Columbia University property, a valid certificate of insurance is required to work with

the University before a purchase order can be issued

• A purchase order is issued to the supplier for payment of invoices. Work should not begin before a purchase

order is generated.

• This purchase order number must be noted on all invoices when submitted to Accounts Payable

Contract Types

All construction, maintenance and facilities related work is contracted utilizing one of the following

contract types. The contract will detail all needed information for successful completion of your job

including the contract term, work dates, scope of work, insurance, billing, and change order

requirements. Details on each contract type and requirements for working within this contract are

included as an Appendix to this presentation.

Contractor Agreements Consultant Agreements

Task Order Term Consultant

Service Agreement Consultant Letter of Agreement

Construction Manager Service Provider

General Contractor

• All suppliers must meet University insurance requirements. These requirements are based on an

assessment of risks related to type, scope and dollar value of work to be completed. All insurance

requirements are finalized in the contract or purchase order terms and conditions.

• All Certificates of Insurance must be submitted to the primary email contact listed on pages 6-8 upon

communication of project award and prior to the start of work.

• Submit new Certificates of Insurance at least 30 days prior to the expiration of your current certificate.

• Each certificate of insurance shall provide for a 60-day written notice of cancellation or material

change.

• With the exception of Workers' Compensation, Professional Liability, and Employer's Liability Insurance,

the Description of Services shall name "The Trustees of Columbia University in the City of New York,

its Trustees, officers, agents and employees" as an additional insured.

• The Certificate Holder must be designated as: “The Trustees of Columbia University in the City of New

York – Attn: Risk Management – 615 West 131

Street, 3

Floor – New York, NY 10027.”

• See Exhibit I: Certificate of Insurance Sample

Insurance Requirements

Supplier Performance Expectations

• Doing business with Columbia requires business capacities on the part of suppliers, including but are not limited to: internet

access, electronic billing and invoicing, financial reporting and administrative capabilities, and maintaining proper insurance

• Regardless of size, any company wishing to do business with Columbia will be required to provide high-quality goods and

services, timely delivery, and competitive pricing

• All suppliers who provide services to Columbia must adhere to the highest standards of professionalism, including, but not

limited to:

ETHICS

• Appropriate, professional

conduct

• Ethical business practices

• Disclosure of any

conflicts of interest with

the University and it’s

employees

• Integrity

• Ensure that all

employees have

undergone background

checks

BUSINESS PRACTICES

• Offer competitive and fair pricing

• Responsive to Columbia’s

requests

• Timely execution of work

• Financial capacity to perform

work awarded

• Honor terms and commitments

of the contract

• Maintain required insurance

levels

• Maintain current licenses and

certifications

• Ongoing safety and compliance

trainings

ACCOUNTING PRACTICES

• Knowledgeable staff to

manage invoicing and

contracts

• Professional billing system

(ex: Quickbooks)

• Internet access and e-mail

proficiency

• Understanding of facility

management systems

Supplier Performance Rating

• All Suppliers will be reviewed and evaluated by the project manager at the end of every job using the Supplier

Scorecard, pictured below. Additionally, all new Suppliers will be reviewed every six months

• The purpose of the Supplier Performance Review is to evaluate the quality of service provided to Columbia

University by our suppliers

• Suppliers with low performance will be reviewed by the University

Supporting Minority-, Women-, and Locally-owned

Business Enterprises

Overview:

• Columbia University has a long-standing commitment to working with minority-, women-, and locally-owned (MWL)

business enterprises, whether by establishing purchasing relationships with suppliers, entering into consulting

agreements for services, or contracting for construction, renovation, or repair services.

• This commitment is related directly to the maintenance of a strong and healthy free enterprise system, the goals of

equal opportunity and diversity, and increasing the participation of qualified minority- and woman-owned and locally-

based businesses working with the University.

Supplier Requirements (See Exhibit F: MWL Requirements and Forms):

• General Contractors and Construction Managers that are awarded work over $100,000 but under $1M are required to

make their BEST EFFORTS to subcontract at least 35% of their overall award to MWL firms. Columbia has resources /

suggestions of qualified firms readily available, if needed. Reporting requirements are outlined in Exhibit F.

• General Contractors and Construction Managers that are awarded work over $1M are REQUIRED to subcontract at

least 35% of their overall award to MWL firms and hire 40% MWL workforce for the project. Reporting requirements

are outlined in Exhibit F.

• For any questions regarding Columbia’s commitment to Minority, Women or Local business enterprises please e-mail

MWLBEsupport@columbia.edu

Minority- and Women-owned Business Enterprises

• In order to participate in contracting opportunities as a Minority and/or Women Business Enterprise (M/WBE), firms

must be able to demonstrate that they are certified.

• Typically, certification by established governmental and quasi-governmental agencies is required and the University will

rely on M/WBE certifications granted by specifically identified agencies or institutions in New York, New Jersey and

Connecticut.

• Columbia accepts certifications from the agencies listed below:

o New York Empire State Development (ESD): https://esd.ny.gov/mwbe/certification.html

o New York Metropolitan Transit Authority (MTA): http://web.mta.info/mta/procurement/d-m-wbe.htm#begin

o New York School Construction Authority (SCA): http://www.nycsca.org/MWLBE/Certification-Process

o New York City Department of Small Business Services (SBS):

http://www.nyc.gov/html/sbs/nycbiz/html/summary/certification.shtml

o Port Authority of New York/New Jersey: http://www.panynj.gov/business-opportunities/sd-become-certified.html

o Women's Business Enterprise National Council (WBENC): https://www.wbenc.org/certification/

o New York & New Jersey Minority Supplier Development Council (NY NJ MSDC): http://nynjmsdc.org/get-certified/

o Connecticut State Minority Business Enterprise: https://portal.ct.gov/DAS/Procurement/Supplier-Diversity/SBE-MBE-

Program-Certification-Application-Small-or-Minority-Business-Enterprise

o New Jersey Minority/Women Certification: https://www.nj.gov/njbusiness/documents/contracting/NEW%20MBE-

WBE%20%20Web%20Application%20JAN_2012.pdf

• In the event a firm is certified by an agency other than the ones listed above, the Office of Construction Business Initiatives can

provide an exception waiver on an as needed basis.

Locally-Owned Business Enterprises

South Bronx (4 zip codes)

As a Harlem-based institution, the University principally defines its “local” catchment area as those communities

located in the 13 zip codes in Harlem, Washington Heights, Inwood and the four zip codes within the South Bronx. In

select cases, local may be defined as all five boroughs of New York City. You should inquire with your Columbia

contact to determine if this is the case for your project.

Upper Manhattan Empowerment Zone (UMEZ)

(13 zip codes)

Complete list of Zip Codes

10025

10026

10027

10029

10030

10031

10032

10033

10034

10035

10037

10039

10040

10451

10454

10455

10474

Systems

Unifier and Maximo are the primary project management and work order management systems utilized

by CU Morningside Facilities and Operations and CU Irving Medical Center Facilities and Operations

Unifier Maximo

Primary Use Project Management System Work Order and Repair Management System

Functionality Allows vendor to submit potential change

orders (PCOs) and invoices directly into the

system for payment. Allows vendor to track

these items for approval. Utilized as

mechanism for electronic bidding.

Allows vendor to receive task order or repair

requests, submit proposal for requested

work, receive approval of the work plan, and

submit invoices directly into the system for

payment. Allows vendor to track these items

for approval.

Suppliers with Access Selected general contractors and

construction managers will be granted

access, a license and training.

Most task order vendors and service

maintenance providers will be granted

access, a license and training.

Suppliers who are not granted access to either system must submit their change orders directly to the

project manager, and their invoices directly to accounts payable.

Relevant Policies for Vendors:

• CU Morningside Facilities and Operations Design Requirements: https://facilities.columbia.edu/design-requirements

• Contractor Compliance Guidelines:

https://facilities.columbia.edu/files_facilities/imce_shared/Contractor_Compliance_Guideline_2019.pdf

• Minority- and Women-owned Business Enterprises, Locally-based Business Enterprises (M/W/LBEs) Non-Discrimination and

Affirmative Action Requirements:

https://policylibrary.columbia.edu/minority-and-womenowned-business-enterprises-

locallybased-business-enterprises-mwlbes-nondiscriminat

• Purchasing Code of Ethics: https://policylibrary.columbia.edu/code-ethics-purchasing

• Conflict of Interest: https://policylibrary.columbia.edu/conflicts-interest

• Vendor Gift Policy: https://policylibrary.columbia.edu/files/policylib/imce_shared/Vendor_Gift_and_Invitation_Policy.pdf

• Protection of Minors: https://policylibrary.columbia.edu/protection-minors-columbia-reporting-suspected-abuse-and-

maltreatment-minors

• Environmental Stewardship: https://sustainable.columbia.edu/

For a complete listing of all the University’s policies, please visit: http://policylibrary.columbia.edu/

Columbia University Administrative Policy Library

APPENDIX

Requirements by Contract Type:

• Task Order Contract

• Service Maintenance Contract

• Construction Manager and General Contractor

• Term Consultant

• Consultant Letter of Agreement and Service Provider

Task Order Contract

Description

• University Wide contract for a vendor to perform task-based jobs on an as-requested basis

• Award value is limited to $30,000 for single trade jobs, and $70,000 for multiple trade jobs

• Hourly wage rates, overhead and profit, and task-specific/unit rates are negotiated at beginning of contract for

the duration of the contract term

• Manager will solicit quote from vendor for work and provide written acceptance and authorization to proceed

• Depending on the type of project you may be requested to submit a work plan in Maximo. Upon approval of the

plan you may proceed with the work.

Proposal

Requirements

• Proposal must clearly breakdown hourly wage rates, cost of materials and equipment, and overhead and profit

(See Exhibit C: Task Order Proposal Template)

• Proposals are required for use of all sub-contractors

• A purchase order number is not generated for each individual task-based job within these limits

Change Order

Requirements

• Change orders must clearly breakdown hourly wage rates, cost of materials and equipment, and overhead and

profit (See Exhibit D: Change Order Template)

• Must be submitted to Project Manager who will provide written acceptance and authorization to proceed

Invoice

Requirements

• Work shall be invoiced upon completion

• Required backup includes but is not limited to: breakdown of hours worked by category of labor, approved wage

rates, cost of materials and equipment, overhead and profit, and a release and waiver of lien (See Exhibit E:

Partial and Final Waivers of Lien)

• Timesheets / payroll backup is required for all scopes of work utilizing a total of 100 labor hours or more

• Invoices are required for payment of any material charge with a unit cost of $2,500 or more

• Invoices are required for all subcontractors utilized. Subcontractors invoice must be broken down by labor

hours, hourly wage rates, cost of materials and equipment, and overhead and profit.

• At the discretion of CU, any additional supporting documentation may be requested

Service Maintenance Contract

Description

• Scope specific contract for preventative / regular maintenance services

• Hourly wage rates, overhead and profit, and task-specific/unit rates are negotiated at beginning of contract for

the duration of the contract term

• A purchase order will be issued

Proposal

Requirements

• Proposals must be broken down by service and site / building name

• Proposal must clearly state frequency of preventative maintenance services

Change Order

Requirements

• Any repairs completed outside of the service/ preventative maintenance scope of work must clearly breakdown

hourly wage rates, cost of materials and equipment, and overhead and profit (See Exhibit D: Change Order

Template)

• Proposals are required for use of all sub-contractors

• Repair or change order requests must be submitted to Project Manager for written approval to proceed

• Depending on the dollar value of the repair work, you will be issued a Maximo work order or a purchase order

Invoice

Requirements

• Work shall be invoiced on a periodic basis as dictated by the contract (i.e.: monthly / quarterly / annually)

• Timesheets / Payroll backup is required as backup

• Invoices are required for payment of any material charge with a unit cost of $2,500 or more

• Invoices are required for all subcontractors utilized. Subcontractors invoice must be broken down by labor

hours, hourly wage rates, cost of materials and equipment, and overhead and profit

Construction Manager and General Contractor

Description

• Project specific contract for general contracting or construction management services

• Hourly wage rates, overhead and profit, and task-specific/unit rates for additional work are negotiated at

beginning of contract for the duration of the contract term

• A purchase order will be issued

Change Order

Requirements

• Change orders must clearly breakdown hourly wage rates, cost of materials and equipment, and overhead and

profile (See Exhibit D: Change Order Template)

• Must be submitted to Project Manager who will provide written acceptance and authorization to proceed

• Proposals are required for use of all sub-contractors.

• Selected General Contractors and Construction Managers will be granted access to the Unifier project

management system and can submit Proposed Change Orders (PCOs) directly in the system. GC/CM can

proceed with PCOs only when they have a status of “Approved PCO”

Invoice

Requirements

• Invoices must be submitted in AIA format in the same structure as the Rider A proposal (by trade/CSI code)

• Lien Waivers are required for all invoices from both the GC/CM and subcontractors (See Exhibit E: Partial and

Final Waivers of Lien)

• For awards over $100K, Minority, Women and Local Effort Reporting is required (See Exhibit F: MWL

Requirements and Forms)

• For Construction Managers only, invoices for General Conditions must be accompanied by supporting

documentation as required in the contract

Term Consultant

Description • University Wide contract for a vendor to perform task-based jobs on an as-requested basis

• Hourly wage rates and task-specific rates are negotiated at beginning of contract for the duration of the

contract and must be utilized when preparing proposals and invoices

• Award value is limited to $100,000

• A purchase order is generated for proposals exceeding $5,000

• Manager will solicit quote from vendor for work and provide written acceptance and authorization to proceed

Proposal

Requirements

• Proposal must clearly breakdown hourly wage rates (See Exhibit G: Term Consultant Proposal Template)

• Proposals are required for use of all sub-consultants

Change Order

Requirements

• Change orders must clearly breakdown hourly wage rates (See Exhibit H: Term Consultant Change Order

Template)

• Proposals are required for use of all sub-consultants

• Must be submitted to Project Manager who will provide written acceptance and authorization to proceed

Invoice

Requirements

• Invoices shall be submitted monthly based upon actual labor and reimbursables expended during the prior

billing month

• Invoices are required for all subconsultants utilized

• Copies of receipts are required for reimbursement of allowed reimbursable expenses

Consultant and Service Provider Agreement

Consultant Letter of Agreement and Service Provider

Description • Project specific contract for a vendor to perform architectural or engineering services (Consultant Contract)

or consulting services other than architectural or engineering related services (for example: marketing)

(Service Provider Contract)

• Hourly wage rates for additional work are negotiated at beginning of contract for the duration of the contract

term

• A purchase order will be issued

Change Order

Requirements

• Change orders must clearly breakdown hourly wage rates (See Exhibit H: Consultant Change Order Template)

• Proposals are required for use of all sub-consultants

• Must be submitted to Project Manager who will provide written acceptance and authorization to proceed

Invoice

Requirements

• Invoices shall be submitted monthly based upon actual labor and reimbursables expended during the prior

billing month

• Invoices are required for all subconsultants utilized

• Copies of receipts are required for reimbursement of allowed reimbursable expenses

Questions?