· If
the background information about the acquisition presented to the Board changes
in any material way, the Executive Director, in consultation with the
Contracting Officer, will determine whether the item should be resubmitted to
the Board.
· If
a Board approved acquisition cannot be progressed, a report must be provided to
the Board detailing the reasons that the item is not being progressed. In limited circumstances as determined by the
Executive Director, in consultation with the Contracting Officer, an item may
be submitted to the Board withdrawing the prior authorization.
4. Procedure
Real
property may be acquired in fee by deed via a negotiation or a competitive
process, or by exercise of the power of eminent domain, or through an easement
or lease. Typically, the Authority will
ask the New York State Department of Transportation (DOT) to assist with the
acquisition of real property using eminent domain, in which event coordination
with DOT will be necessary, and should be initiated as soon as
practicable. Acquisitions under the
delegated Contracts Program are not included in this procedure.
4.1. Review
of the Proposed Acquisition
4.1.1. The Chief Engineer will determine that an acquisition is necessary
for Thruway engineering, maintenance, and/or operations; or the Director of
Administrative Services, to meet administrative space needs. The Chief Engineer or Director of
Administrative Services will notify the Bureau of Real Property Management (BRPM)
to coordinate the acquisition process.
4.1.2. For leases and acquisitions not done through eminent domain or
intergovernmental transfers, involving a property value of greater than $15,000,
the Lobbying Law applies. See Executive
Instruction entitled INAPPROPRIATE LOBBYING INFLUENCE IN AUTHORITY/ CORPORATION
PROCUREMENTS for requirements.
4.1.2.1. For negotiated acquisitions, the BRPM will
notify the owner who the official contacts are and that the “restricted period”
will commence.
4.1.2.2. For a competitive process, the “restricted
period” will begin with the request for proposal (RFP). The official contact during the procurement
process will be identified in the RFP.
4.1.3. If a competitive process is required for the acquisition by an RFP
process, BRPM or DOT will coordinate the process following procurement policies
and procedures. For negotiated
acquisitions, BRPM or DOT will coordinate the negotiations.
4.1.4. BRPM will coordinate with Division personnel to conduct any necessary
site visits.
4.1.5. BRPM will initiate the State Environmental Quality Review Act
(SEQRA) reviews required following SOP-STATE ENVIRONMENTAL QUALITY REVIEW ACT
(500-2-02.4).
4.1.6. Where a survey and appraisal are required, BRPM will follow
SOP-APPRAISALS AND SURVEYS (500-2-02.2).
For transactions involving the acquisition of real property by DOT the
following additional steps will be taken:
4.1.6.1. The Authority’s Engineering Real Property
Unit (ERPU) will coordinate the survey process with DOT’s Regional Right-of-Way
Unit.
4.1.6.2. Upon receipt of the preliminary survey map,
BRPM will forward a copy to the DOT regional real estate office and request
that DOT carry out the acquisition for and on behalf of the Authority.
4.1.6.3. Upon receipt of the final survey map, BRPM
will forward the survey map to the DOT regional real estate office and request
that it initiate the appraisal process in accordance with DOT policies and
procedures.
Note: If a decision is made to proceed via
eminent domain, the EDPL contains provisions that have a bearing on value and
appraisals, and it also will need to be consulted and followed.
4.1.6.4. BRPM will confirm that the appraisal cost estimate
is within the Authority’s budget or request a budget revision, if necessary.
4.1.7. BRPM will keep the Contracting Officer apprised of the
acquisition. The Contracting Officer
will keep the Board apprised.
4.1.8. BRPM will provide the Thruway Real Property Management Committee (TRPMC)
with the complete proposed acquisition package.
The TRPMC will review the proposed transaction. BRPM will incorporate any modifications or
conditions recommended by the TRPMC. If
the TRPMC rejects the proposed acquisition, BRPM will notify DOT (where
applicable), and the real property owner, and the procedure will stop here.
4.1.9. Following a competitive process or negotiated acquisition, the Contracting
Officer, assisted by BRPM, will prepare a Board Agenda Item to place the
proposed acquisition on the agenda of the Board.
4.1.10. The Contracting Officer will provide the Board with a brief overview
of the process of review, including any recommendations from Division, DOT, or
others, the result of any competition, and responsibility determinations where
required.
4.1.11. The Board will authorize or reject the transaction. BRPM will notify the owner, the Division
Director (DD) and/or DOT (where applicable) and applicable personnel of the
Board’s approval or rejection. If
rejected, the procedure will stop here.
4.2. Executing the Acquisition
4.2.1. Acquisitions of real property other than leases will be handled
through DOT using the following steps:
4.2.1.1. DOT will coordinate the preparation of
acquisition documents, signatures and all submittals to the Offices of the
State Comptroller (OSC) and Attorney General (OAG). If OSC and/or OAG rejects the proposed
transaction, DOT will notify BRPM. BRPM
will notify the Contracting Officer, owner of the property and other applicable
Authority personnel. The procedure will
stop here.
4.2.1.2. DOT will coordinate filing of the acquisition
map and forward BRPM two copies of the recorded notice of appropriation with
filing data. BRPM will keep one copy of
the notice in the Transaction Record and forward one copy to the ERPU to enter
the acquisition into the Authority’s geographic information system.
4.2.1.3. DOT will notify OSC to pay the acquisition
amount and copy BRPM on the notice. BRPM
will notify Accounts Payable and request a copy of the OSC check warrant for
the Transaction Record.
4.2.2. For lease acquisitions handled by the Authority the following
steps would be taken:
4.2.2.1. The Bureau of Management Analysis and
Projects (BMAP) will coordinate the preparation of the complete lease package
and forward it to the Legal Department.
4.2.2.2. BMAP will send the lease agreement to the lessor. For leases where the total contract payment
exceeds $15,000, BMAP will inform the lessor that the lease agreement is not
final until approved by OSC and OAG. The
letter will direct the lessor to sign the lease and return it to the Authority.
4.2.2.3. Upon receipt of the signed lease, BMAP will
forward it to the Legal Department, Contracting Officer, Chief Financial
Officer, and Executive Director for signatures.
4.2.2.4. For leases where the total contract payment
is over $15,000, the Legal Department will prepare a package for submittal to
the OAG for approval as to form.
4.2.2.5. If rejected by the OAG, Legal will work with
BMAP to revise as necessary and resubmit to the OAG.
4.2.2.6. Upon approval by the OAG, BMAP will forward
the package to the OSC following SOP-SUBMITTALS TO THE OFFICES OF THE ATTORNEY
GENERAL AND THE STATE COMPTROLLER (500-2-02.3).
4.2.2.7. If rejected by the OAG or OSC, BMAP will
notify the lessor, the Legal Department, and other Authority personnel as
applicable.
4.2.2.8. BMAP will forward a copy of the executed lease
to Accounts Payable, the Legal Department, and other Authority personnel as
applicable. BMAP will maintain the
original document in the Transaction Record.
5. Complying with §139-j
and §139-k of the State Finance Law (Lobbying Law)
Any contact (inquiry, etc.) made regarding
a real property transaction following approval for negotiated acquisitions and
subsequent to the first notice of a competitive process for acquisition of such
real property (solicitation, RFP, etc.) is subject to the Lobbying Law and must
be recorded. See the Executive Instruction
entitled INAPPROPRIATE LOBBYING INFLUENCE IN AUTHORITY/CORPORATION PROCUREMENTS.
6. Responsibilities
The Board will authorize acquisitions of
real property that are not otherwise delegated.
BMAP will coordinate lease acquisitions for the Authority.
BRPM will coordinate the acquisition process for the Authority including coordination
with DOT as applicable.
The Contracting Officer is responsible for
compliance with and enforcement of Authority policies as it applies to
acquisitions. The Contracting Officer will
present the proposed acquisition to the Board for authorization or rejection
and keep the Board apprised of the progress of the acquisition. The Contracting Officer, Legal Department, Chief
Financial Officer, and the Executive Director will sign acquisitions on behalf
of the Authority.
The TRPMC will review proposed
acquisitions and make recommendations, approve or reject the transaction.
7. Flowchart
