Management of Construction Projects

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MANAGEMENT OF

CONSTRUCTION PROJECTS

STATE UNIVERSITY

CONSTRUCTION FUND

353 Broadway, Albany, New York 12246353 Broadway, Albany, New York 12246353 Broadway, Albany, New York 12246353 Broadway, Albany, New York 12246

518 320518 320518 320518 320- -- -3210321032103210FaxFaxFaxFax: 518 689 : 518 689 : 518 689 : 518 689- -- -2638 2638 2638 2638

www.sucf.suny.eduwww.sucf.suny.eduwww.sucf.suny.eduwww.sucf.suny.edu

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Office of Construction Management Page 2 Management of Construction Projects Construction Prologue

PAGE NO.Construction Document Phase Prologue 3

Construction Prologue 4

Construction Contracts 7

Table 1 – Contract Check List 8

Table 2 – Contract Distribution 9

Construction Phase 10

Payments and Reimbursements 17

Closeout of Construction Contract 35

Publicity and Disclosures 40

Appendix 41

TABLE OF CONTENTS




Construction Document Phase Prologue

Construction Prologue

Activities Prior To Bidding

The Bidding Period

Addenda and Amendments to Fund Documents

Bid Tabulation

After Bid Opening

Bid Analysis Meeting

Pre-Award Meeting

Contract Award

Building Permits




Construction Prologue

The Consultant has been guided through the design phases of its project by the StateUniversity Construction Fund’s three objectives – achieving quality architecture, on scheduleand within budget limitations. The product of these efforts will be lost unless it continues topursue these objectives during the construction of the project. Final achievement of theseobjectives depends not only on the Consultant’s proper involvement during design but on itscontinued and proper involvement during construction. This document does not supersede anyprovisions of the Contract

In achieving these objectives during design, the Fund has emphasized the Consultant’sresponsibility for project development and management. Therefore, it is imperative that theresponsibility for the management of projects under construction rests with the Consultant.

This manual is devoted to the design and construction phase procedures and requirementsnecessary to achieve the Fund’s objectives during construction and to assist the Consultant inassuming its full responsibilities1. It is understood the purpose of this manual is to provideguidance in these procedures and does not supersede any provisions of the contracts.

The Consultant is required to provide proper staffing capacity and resources for taking projectsthrough design phases. It is equally important to properly organize and staff a project duringconstruction. The Fund expects the Consultant to provide complete services during theconstruction phase with frequent inspections of the work at the job site by its office personneland those of its Consultants. In addition, the Fund requires that the Consultant maintain, atthe site, a field staff sufficient to provide for the daily administration of construction. Planning

and organizing for the staffing of this field office should begin well before the project is put onthe construction market. The number and composition of the field staff should be planned inconsideration of the type and complexity of the construction project and with the aim oforganizing the staff to meet the Fund’s major objectives.

ACTIVITIES PRIOR TO BIDDING: During the construction document phase, the Consultant isto develop a plan of organization for its field staff and submit the proposed plan to the FundAssistant General Manager, Office of Construction Management, for approval.

After approval of the plan, the Consultant and its Consultants shall conduct interviews to fill theauthorized positions after bid. The nominations (with the proposed salaries and a resume of

the candidates' experience) are to be sent to the Assistant General Manager, Office ofConstruction Management. Final interviews will be arranged and, upon consent of the Fund, asalary and starting date for employment will be established.

THE BIDDING PERIOD: The most important role the Consultant plays during the biddingperiod is in attracting and interesting qualified Contractors to participate in the bidding forconstruction of SUCF projects. To best attract and interest qualified Contractors in Fundprojects, the Consultant may have to begin these activities prior to putting a project on themarket. This may require the Consultant to make an inventory of Contractors who have bid or

1Where Federal funds are involved, the separate Fund bulletin dealing with projects involving Federal Funds should be

followed




might be expected to bid on projects in its area and to seek out those Contractors to determinetheir willingness to bid on the project or to attempt to stimulate such interest. An assessmentof Contractor interest is important for developing a final cost estimate for the project.

During the bidding period, the Consultant shall report weekly, in writing, to the Fund’s DesignProject Coordinator2 the names, addresses and roles of all those requesting plans andspecifications. In addition, the report should indicate its appraisal of the sincerity of potentialbidders. It should describe the activity that it is engaging in to attempt to interest additionalContractors or subcontractors in bidding the project. The Consultant must also submit a finalreport, three days prior to the bid opening, which then currently identifies likely bidders.

ADDENDA AND AMENDMENTS TO FUND DOCUMENTS: No addenda, revisions, deletionsor additions will be made by the Consultant to the Fund’s standard documents without priorapproval by the Fund. All addenda issued by the Consultant during the bid period are to be

approved by the Fund prior to being issued, and only in extreme cases will an addendum beissued during the last week of the bidding period.

AFTER BID OPENING: With the opening of bids, responsibility for monitoring the bid projectcontinues within the Design Section of the Office of Design. The Consultant’s primary point ofcontact in the Fund remains the designated Design Project Coordinator. The Fund’s ProjectCoordinator assignment, from design to construction, will be changed effective with award ofthe construction contract.

BID ANALYSIS MEETING: After the bid opening there may be a Bid Analysis Meeting at theFund offices with representatives of the Design Section of the Office of Design andConstruction Management for the purpose of analyzing bids. This meeting must be attended

by the Consultant and its principal Consultants. The Consultant chairs the meeting and mustprepare minutes for distribution to the participants.

The Consultant, Design Project Coordinator and Regional Director of Design are provided withone copy of all bid proposals for use in analyzing bids. There is a Post-Bid Checklist specimenincluded in the Appendix, which is to be followed. At the end of this meeting, the originalcopies of all bids must be deposited with the Fund for inclusion in the permanent record.

Immediately after the three lowest bids have been identified, the Fund will notify these biddersvia email, requesting each bidder name its principal subcontractors and provide all otherqualifying data within the 48-hour time limit specified in Information for Bidders, Section 8,

“Submission of Post-Bid Information”. This may be an update of previously filed data inthe case of Contractors who previously submitted this material. The request also emphasizesthat submission must be prepared in duplicate, one copy to be submitted directly to theConsultant’s main office and one copy directly to the Fund Assistant General Manager, Officeof Construction Management. The necessary documents must be received no later than 2:00P.M. of the second business day following opening of bids.

PRE-AWARD MEETING: As soon as possible after the qualifying data has been reviewed, aPre-Award Meeting may be scheduled and convened by the Consultant with the concurrence

2Fund Project Coordinator will be designated for each project.




of the Fund. The purpose of the Pre- Award Meeting is to assess the capacity of the low-bidContractor to perform the necessary work. The assessment considers the character and

scope of the Contractor’s past performance, financial capacity, availability of personnel,equipment, and the capability of the nominated subcontractors. In some instances it may bedesirable to review the qualifications of Contractors other than the lowest bidder at thismeeting to provide the Consultant with information necessary to permit a viablerecommendation for the award of the Contract.

Prior to this meeting the Consultant must review the experience and qualifications of the lowbidder and its designated subcontractors with other Consultants, Contractors, and the Ownerfor whom they have previously performed work.

Usually, the Pre-Award Meeting is held at the Fund office. The Consultant chairs the meeting

and prepares the minutes. Attendees at this meeting should include the Consultant and itsPrincipal Consultants, the low-bidding Contractor with, if special project conditions warrant, itsproposed Principal Subcontractors and Fund representatives.

On the basis of the qualifying data and any other information received and discussed at thePre-Award Meeting, the Consultant will submit to the Design Regional Director, in writing, itsrecommendation on the award of a Contract.

CONTRACT AWARD: The Bidding Period ends with an affirmative decision by the Fundregarding the award of the Contract. The successful low bidder will be sent a “Notice ofAward” letter which serves as the Funds’ formal letter of intent. Concurrently, the Fund’s legaloffice will assemble the complete formal Contract for execution by the Contractor, and the

Fund. The Contract will be forwarded to the Contractor for execution under cover of a separateFund letter, as described in the next section of this manual titled “Construction Contracts”.

It is important that Contractors, Consultants and other involved parties recognize no paymentsmay be made under the authority of the Notice of Award letter. Full execution of the Contractis required prior to physical work commencing on the site.

Issue of the “Notice of Award” letter also marks, internal to the Fund, the transition of projectcoordination responsibility from the Design Section to the Construction Management Section.A construction phase Project Coordinator will be assigned who will monitor formal Contractexecution status and, when nearly complete, contact the Consultant and Contractor to

schedule a Pre-construction Orientation Meeting.

BUILDING PERMITS: Building Permits will be issued by the Design Section of the Office ofPre-Construction Services. Prior to construction, the Fund will mail to the Contractor thebuilding permit for the project or, if applicable, a waiver of the building permit. This documentmust be posted conspicuously on the construction site for the duration of the project.



Office of Construction Management Page 7 Management of Construction Projects Construction Contracts

Construction Contracts

CONTRACT DOCUMENTS: The Construction Contract is the agreement between the Fundand the Contractor for the construction of the Project.

By the Bid Opening, the Project Consultant must have delivered to the Fund Assistant GeneralManager, Office of Construction Management six (5), unbound copies of the followingdocuments:

A. Covers and Cover SheetB. Table of ContentsC. Notice to BiddersD. Information for BiddersE. Agreement

F. List of allowances included in bidding documentsG. List of unit prices included in bidding documents (prices are to be left blank)H. Performance BondI. Labor and Material BondJ. Division I of the Technical SpecificationsK. All Addenda

After the project is awarded, the Fund’s legal office prepares the Contract (Agreement) andforwards the documents to the Contractor for execution. A copy of a letter of transmittalcontaining instruction for Contract execution is included as Item 2 of the Appendix.

After the Contractor signs the Contract (Agreement) and returns to the Fund, the Fund will

then sign and return one original Contract back to the contractor. When the Contractorreceives the completed Contract, the Fund will issue the Notice to Proceed letter. TheContract start date is at receipt of the Notice to Proceed letter.

REFERENCE TABLES:

Table 1 is a Contract checklist indicating the items that must be completed in all Fundconstruction Contracts.

Table 2 indicates the distribution of Fund construction Contracts after execution by both partiesand approvals by the necessary governmental agencies.




TABLE 1CONTRACT CHECKLIST

PROPOSAL

PAGE P-1 Bidder’s Name and Address Full Project Title Project Location SUCF Project Number Completion Date Liquidated Damages (If none, so state)

PAGE P-2

Item 5.A: Total Bid (Words and Figures) Item 5.B: Alternates (Words and Figures) for

Proposed Work Item 5.C: Unit Prices Item 6: Allowance

PAGE P-3

Bid Security Amount Contractor Name Signature/Title of Contractor’s Authorized Officer Seal (If Corporation) Item 9: Addenda, with date(s)

PAGE P-4 Bidder’s Official Address. If Bidder is a corporation listof corporate officers, or partners or joint venture, or individualowner, with names and addresses.

AGREEMENT

PAGE A-1 Contractor’s Name and Address Date (Effective Date in Notice of Award) Full Project Title, including SUCF Number Completion Date

Liquidated Damages

PAGE A-15 4.01: Total Contract Amount (words/figures)

PAGE A-28:

Contractor’s Name Signature of Contractor’s Authorized Officer Seal (If Corporation)

PAGE A-29 Acknowledgements

SCHEDULE Unit Prices (must confirm with those in Notice of

award; if none, so state)

SCHEDULE II Allowances (Type/amounts; if none, so state)

LABOR AND MATERIAL BOND

PAGE B-1

Contractor’s Name and Address Surety Company Name and Address Contract Amount (words/figures) Contract Date Project Title, including SUCF No. Date (On or after Contract Date) Contractor’s Name Signature of Contractor’s Authorized Officer Seal (If Corporation) Surely Name

Signature of Surety’s “Attorney-in-Fact” or otherrepresentative Seal of Surety (If corporation)

ACKNOWLEDGEMENT BY PRINCIPAL

PAGE B-3 Complete all blanks in Acknowledgement of Principal

(Contractor), including notary signature, notary seal,showing expiration date of notary’s commission.

Complete all blanks in Acknowledgement of Surety,including notary signature, notary seal, date (should be

on or after Contract date).

PERFORMANCE BOND

PAGE B-2

Contractor’s Name and Address Surety Company Name and Address Contract Amount (words/figures) Contract Date Project Title, including SUCF No. Date (on or after Contract date) Contractor’s Name Signature of Contractor’s Authorized Officer Seal (If Corporation) Surety name Signature of Surety’s “Attorney-in-Fact” or other

representative Seal of Surety (If Corporation)




TABLE 2CONTRACT DISTRIBUTION3

Document

General Construction Contract: Total Copies Required: 4

Distribution (Executed)2 To the Fund1 To the Consultant

1 To the Contractor

Federal Contract: Total Copies Required: 5

Distribution (Executed)

2 To the Fund1 To the Consultant1 To the Contractor1 To Federal Government

3 The Contractors corporate seal must appear on all papers which it signs.



Office of Construction Management Page 10 Management of Construction Projects Construction Phase

Construction Phase

Pre-Construction Orientation Meeting

Correspondences, Reports, Construction Phase Submittals

Communication between Fund Consultants and Contractor

Communication with Bonding Company

Reports to the Fund

Construction Phase Review of Submittals

Full-Time Superintendent

Job Meetings

Backcharging

Asbestos and Lead Abatement Projects

PCB and Regulated Materials Projects

Sales and Use Taxes and Exemption

Changes to the Contract

Claims and Disputes



Office of Construction Management Page 11 Management of Construction Projects Payments and Reimbursements

Construction Phase

The Consultant shall furnish general administration for each construction Contract awarded forthe project until final completion and acceptance by the Fund for construction of the project,including services throughout the guarantee period.

Pre-Construction Orientation Meeting: The Orientation Meeting is held to review thepurpose, goals, organization and Contract requirements as related to the project. The meetingaffords an opportunity for those individuals who will be working together to become familiarwith each other, clarifying the responsibilities of each party.

The meeting will be chaired by the Consultant and is usually held at the project site.Attendees will include Fund personnel, Consultant’s representative, General Contractor(designed mechanical, electrical, and other proposed principal subcontractors as required),

and a representative of the University/College if applicable. A representative of the FederalGovernment (or any other relevant potential sponsor) may be present if a Federal project isincluded.

The purpose of the meeting will be to review:

• The administrative aspects of the construction phase.

• An overview of the project, drawing attention to any particular aspect or specialcondition associated with the project, along with a generic discussion of the Contractorsproposed overall construction schedule. Special attention is to be given to contractual

phasing requirements.

This meeting is also for the implementation of solutions to the coordination of issues related tomaintenance and control of pedestrian and vehicular traffic, construction fencing (long andshort duration), safety, Contractor’s control to the site, parking, temporary utilities, etc.

Correspondence, Reports Construction Phase Submittals

COMMUNICATION BETWEEEN FUND, CONSULTANTS, AND CONTRACTOR: TheConsultant and the Contractor will communicate directly with each other unless directedotherwise. Copies of all correspondence are to be issued to the Fund Project Coordinator onall matters.

The Consultant, as the Fund’s Representative, will provide determinations of the content/intentof the technical plans and specifications.

The Consultant has the sole responsibility for receiving and acting upon all technical submittalsof all types, including samples, shop drawings, catalog cuts, brochures, test data, etc. Forinterpretation affecting Contract cost and/or material substitution, prior concurrence of theinterpretation must be obtained from the Fund.

It is the Consultant’s responsibility to monitor the Contractor’s scheduling of submissions.




There are particular items for which the Consultant should instruct the Contractor to submit,

simultaneously to the Fund Project Coordinator at the time the originals are sent to theConsultant: These items are as follows:

1. PROJECT SCHEDULE: An initial project schedule in the form of a suitable chart,diagram or bar graph is required to be submitted for approval within 15 days afterreceipt of Notice to Proceed, showing sufficient detailed information to reflect the first90 days of Contract activity. Since the Fund strives to hold the initial project orientationmeeting as soon as possible after award, the 90-day schedule should be available forreview at this meeting.

Within 60 days after receipt of Notice to Proceed, the Contractor shall submit a Working

Plan Schedule, which shall be a critical path method schedule.

The Contractor’s provided schedule is reviewed for constructability and conformity tothe Contract requirements. Therefore, if the Contractor chooses to accelerate theproject’s completion date from the contractual completion date, the Fund realizes that itis everyone’s benefit to progress a project schedule as efficient and timely as theContractor deems appropriate. It should be noted that the Contractor’s schedule doesnot change the contractual completion date. The project schedule is to be reviewed bythe Consultant and forwarded to the Fund with comments. The Fund will respond tothe Consultant with the Fund’s review prior to responding to the Contractor. TheProject schedule is not to be approved, only returned to the Contractor with comments.The project schedule must indicate the Contract completion date. Both of these items

must be submitted and reviewed before the Contractor may receive its initial paymentand that said date should be shown on the project schedule, along with any earlytargeted completion date.

2. CONTRACT BREAKDOWN (Fund Form CF-C2): Prior to submitting an initialpayment, the Contractor must obtain an approved Contract breakdown (Schedule ofValues) for the purpose of tracking Contract completion and payment. The breakdownshall provide sufficient detail on one page, as required by both the Consultant and theFund, to have a full understanding of Contract progress. If the scope and size of theproject does not allow enough detail to be provided on the CF-C2 (Appendix Item 6),supplemental details shall be shown on Fund Form DC-5 (Appendix Item 9).

In general, the Fund only pays for work in place, and the Contract breakdown shouldonly reflect these types of activities, with the exception of bonds. Bonds should belisted as Item 1 on the Contract Breakdown Sheet (CF-C2); proper proof of payment ofthe bonds as required by the Fund shall be provided before payment of said item. Theguarantee item, if required by the Contract, shall be listed as the last item. Anydeviations to this format as requested by the Contractor, shall have the approval of boththe Consultant and the Fund. The Contract breakdown should be forwarded to theFund with recommendations. The Consultant must have the Fund’s concurrence of theContract breakdown prior to approval.




After review of the Contractor’s Contract Breakdown and the Consultant’srecommendation, the Fund will advise, in writing, the Consultant of its decision. Thisdecision will be communicated, in writing, by the Consultant to the Contractor.

3. LIST OF PROPOSED SUBCONTRACTORS AND VENDORS:All subcontractors are approved by the Consultant but only with Fund’s concurrencewith the exception of the subcontractors designated by the Fund in the Notice of Award.The General Contractor is responsible to submit a complete subcontractor’s listing withqualification within 30 days of Notice of Award.

4. COST PROPOSALS: (See Change Order / Field Order Section for more detailedinformation).

5. CLAIMS: (See Claims and Disputes). When a Contractor reserves his rights and

submits a claim, the Consultant must then review the claim and provide comments andrecommendations to the Fund. No copy of this correspondence is sent to theContractor or the Campus. The Fund will review the Consultant’srecommendations and respond.

COMMUNICATION WITH BONDING COMPANY: No communication should be sent by theConsultant employed by the Fund to a Contractor’s Bonding Company unless such a letter hasbeen approved, in writing, by either the Fund’s Counsel or Assistant General Manager, Officeof Construction Management.

REPORTS TO THE FUND: The Consultant must submit the following reports to the Fund:

• Log of shop drawings and sample submittals (Substitutions and equivalentsmust be identified) - Monthly

• Daily Field Reports - As Requested

• Open Item Log at Project Meetings

• RFI Log at Project Meetings

• Log of required tests – At onset of project, updated as requested

• O&M Training and Commissioning Requirements – As requested

The format for each respective report shall be submitted by the Consultant within the first 30days to the Fund for approval.

CONSTRUCTION PHASE REVIEW OF SUBMITTALS: For all Fund projects which include aliquidated damages clause, every effort is to be made to avoid situations that would stimulateclaims for delay or impact to be made against the Fund. Such claims nullify the effectivenessof the liquidated damages clause and cause untenable delays in construction.

During the construction phase, shop drawings and other submittals of the Contractor are to bereviewed and, when acceptable, approved promptly. Shop drawings are to be reviewed asquickly as possible after their receipt and approval letters sent to the Contractor immediatelywhen such drawings and other submittals are acceptable.




When shop drawings and other submittals are found unacceptable or incorrect, their rejectionshould be prompt, complete and documented. Whenever shop drawings and other submittalsdo not meet Contract requirements, the Consultant is to notify the Contractor immediately, in

writing, with a copy of the notification to the Fund.

FULL-TIME SUPERINTENDENT: Section 2.06 of the Contract requires a full-timesuperintendent. In his absence, an individual must be named, acceptable to the Consultantand Fund, having authority to receive and execute instructions given by the Consultant or itsrepresentative. The full-time superintendent with qualifications must be submitted to theConsultant and the Fund for acceptance.

JOB MEETINGS: Job meetings are to be scheduled and conducted by the Consultant at leastbi-weekly and more frequently, if deemed necessary. The Consultant representative,subconsultants (as stipulated in the Consultant’s Agreement), the Fund Project Coordinator,

the Contractor and subcontractor or subcontractors (as requested) are to attend. Arepresentative of the University/College may also participate, as an observer. Meetingminutes are to be issued by the Consultant.

BACKCHARGE: When a Contractor fails to perform what the Consultant considers Contractwork, the Consultant must direct the Contractor, in writing, to perform the work prior to takingany other action to complete the work. The Consultant must obtain prior approval from theFund before such a letter is transmitted to the Contractor (see Item 20 of Appendix for sampleletter).

ASBESTOS ABATEMENT: The Contractor will be required to provide substantialdocumentation, in duplicate, for Asbestos Abatement work. Appendix Item 21 is an Asbestos

Material Removal Fact Sheet that must be completed and submitted to the Fund prior to anywork commencing on asbestos abatement. In addition to this Fact Sheet, the Contractor willbe required to provide documentation relative to the required notification, tests, licenses,approvals, certifications, etc., that are required by specifications for the project.

Prior to the commencement of work involving asbestos demolition, removal and/or renovation,the Contractor must submit to the Fund the name of its on-site asbestos supervisorresponsible for such operations, together with documentation that such supervisor hascompleted an Environmental Protection Agency approved training course for asbestossupervisors. A Pre-Abatement Meeting will be held prior to commencement of work.This information must be recorded on the Asbestos Material Removal Fact Sheet (Appendix

Item 21).

PCB TRANSFORMERS AND CONTAMINATED MATERIAL: Projects that require theremoval and disposal of regulated material such as PCB Transformers, contaminated ductwork, hazardous and non-hazardous contaminated material, etc. will require detailed recordkeeping. Appendix Item 22 is a fact sheet for record keeping on these types of projects. Theactual records that should be kept in the project files will vary, depending on the project andtype of material removed. The fact sheet should be completed by the Fund ProjectCoordinator from information supplied by the Contractor and the Consultant.




SALES AND USE TAXES AND EXEMPTIONS: Under the Fund’s lump-sum contract, allsupplies and materials incorporated into the project are exempt from all local and State salesand compensating use taxes, unless stated otherwise by the Fund.

No sales tax exemption certificate or other certificate is required to be issued by the Fund forsuch exemption. However, under the requirements of the New York State Department ofTaxation and Finance (518-457-5431 or www.tax.ny.gov), each Contractor must file a requestfor Tax Exemption Certificate (Form ST-120.1) which it will be required to supply to its vendorsand subcontractors.

CHANGE AND FIELD ORDERS: Fund procedures are intended to minimize the number ofchange and field orders. All change and field orders must be authorized by the Fund inwriting. No action should be taken by the Consultant to solicit proposals for changed work from the Contractor without prior approval of the Fund.

Whenever feasible, changes must be priced before work is authorized. In the case ofemergency or under conditions where the scope of work cannot be determined in advancewithout causing unacceptable impact to the progress of the work, the Fund will direct theConsultant to issue an Authorization to Proceed letter. Proceed Orders are issued only whentime is of the essence and proper staffing of an anticipated change will materially impact thecompletion of a project or result in additional costs to the Fund. The accepted form for such aletter appears in the Appendix of this document (Item 19).

Prompt payment for all work satisfactorily completed is Fund policy. Therefore, timelyprocessing of change and field orders is required so as to not impede job progress.This necessitates the Contractor to submit a complete package with breakdowns for

processing.

Information copies of all correspondence between the Consultant and the Contractor regardingchange orders and field orders are to be furnished concurrently to the designated Fund ProjectCoordinator and the field office. After a change has been authorized in principle by the Fund,the Consultant must request the Contractor to present a proposal showing a detailedbreakdown of items of work including an overall value for labor and material and the portionsof work to be done by the Contractor and/or Subcontractors. Unsupported lump-sumquotations are not acceptable. Where appropriate, Contract unit prices should be utilized andidentified as such.

The Consultant must review the Contractor’s proposal for reasonableness of the itemization,quantities and prices and for Contract compliance. If the proposal is acceptable, theConsultant should submit the proposal together with their review and recommendations, to theFund’s Project Coordinator to obtain authorization to either prepare a formal change order/ Field Order approval. The Letter of Recommendation should include the following items:

a. Statement describing the change.b. The reason for the change.c. A copy of the detailed quotation (proposal) submitted by the Contractor, suppliers, and

subcontractors.




d. The Consultant’s stated evaluation of the reasonableness of quantities and price inaccordance with Sections 2.04, 2.05 and 4.02 through 4.05A of the Contract.

e. Attachment of, or reference to, supplementary data such as descriptive literature,

sketches, revised drawings, etcf. The Consultant’s recommendation for an extension of time (which the Contractor must

have explicitly requested in writing for a specific period).g. An indication as to whether the change will require work of other trades and if so,

whether work will involve additional costs, changes or credits.h. Recitation of form, agent and date of advance authorization by the Fund.i. Any other pertinent data.

The Contractor is not to be copied with the Consultant’s letter of recommendation to theFund.

The Fund will electronically transmit change orders, Form CF-C9, to the Consultant. TheConsultant will sign three (3) copies and transmit same to the Contractor directing same tosign all three (3) copies and to return all originals to the Change Order Section of the Fund.Upon approval of the change order, approved copies will electronically be transmitted. ForField Orders, the Fund will electronically transmit the authorization letter to the Contractor.The Contractor can then request payment for any completed work via the Contract allowance.

The change/field order form contains the cost and a description of the work with reference toapplicable drawings. Necessary deletions from and/or additions to the specifications shouldappear in the body of the change/field order under the “Description of Change” portion or on aseparate attached sheet.

The total amount shown on the body of each change/field order, including those computed onthe basis of unit prices, is to be a lump sum.

After a change order has been processed by the Fund, the Fund will forward two copies to theConsultant, who, in turn must retain one copy and deliver one to the Contractor.

The Contractor’s Monthly Application for Payment should list all executed change orders onSUCF Form CF-C3 with the summation of additive and deductive change orders posted onForm CF-C2 (see Appendix Items 6 and 7). All approved field orders will be listed on SUCFForm CF-C11 (see Appendix Item 8).

CLAIMS AND DISPUTES: If a Contractor maintains that any work being performed is extrawork to the Contract and the Consultant does not agree with the Contractor’s position, theContractor must follow the procedures outlined in Article 11, Section 2.03 of the Contract. TheContractor must also follow these procedures if he believes any action by the Consultant or theFund is contrary to terms and conditions of the Contract.

When a Contractor fails to perform what the Consultant considers Contract work, theConsultant must direct the Contractor, in writing, to perform the work prior to taking any otheraction to complete the work. The Consultant must obtain prior approval from the Fund beforesuch a letter is transmitted to the Contractor (see Item 20 of Appendix for sample letter).




Payments and Reimbursements

CONTRACTORS’ MONTHLY REQUESTS

Initial Request

Electronic Payment Application Procedures

Regular Monthly Payment Meetings

Payment Forms

Table 3 – Payment Forms

Review and Payments

Payment for Materials

SUBSTANTIAL COMPLETION

FINAL PAYMENT

WAGE RATE CERTIFICATIONS

GUARANTEE PERIOD

INSPECTIONS

GUARANTEE PAYMENT

LABOR AFFIDAVITS FROM GENERAL CONTRACTOR




Payments and Reimbursements

It is policy of the Fund to ensure prompt action is taken on requests for payment. The

following procedure has been established to expedite Contractor’s Monthly Applications forPayment:

Introduction

This document provides a step-by-step reference for submitting Contractor paymentapplications electronically via the Fund’s web-based Contract Management Reporting System,also known as CMR.

Any questions regarding these procedures or the payment request process should be directedto your SUCF Construction Project Coordinator.

Primary Steps of the Payment Submission Process

Step 1 Obtain access to CMR through your construction coordinator.Step 2 Log in to CMR System.Step 3 In CMR, enter schedule of values and submit for approval.Step 4 Verify that contractual requirements and supporting documentation

required for payment approval is up-to-date and/or completed (seeConstruction Management Procedures Manual).

Step 5 In CMR, enter application for payment, submit for approval and printCertification. Obtain required signatures on Certification and forward withrequired supporting documentation to Project Coordinator.

Step 1 - Obtaining Access to CMR

In order to submit payment requests electronically, you will need access to the SUCFCMR system. In order to obtain access, please complete the Contractor AccessRequest Form provided to you during your orientation meeting and return it to yourSUCF Construction Project Coordinator.

Once your request has been processed, you will receive an e-mail with your log-in IDand initial password. Please note that passwords will need to be changed every 90days.

Step 2 – Logging into CMR

• Go to appls.sucf.suny.edu using your internet browser

• Select “Business Partners”

• Enter the user ID and password provided to you

• Select “Contract Management Reporting” from the menu on the left, which will bring

you the CMR Main Menu.




General Information

The Main Menu can always be accessed at any point by clicking on “ContractManagement Reporting” on the left side of the screen. To go back to a previoussubmenu, you can click either the “Back” button at the bottom of the screen or yourbrowser back button. It is recommended that you return to the Main Menu prior toexiting the application.

Data entry in CMR may result in system messages that will appear near the top of thescreen. Messages in Green appear when an action, such as submitting a paymentapplication for approval, has been successful, messages highlighted in Yellow areinformational only, and messages highlighted in Red indicate that a correction isneeded before you can proceed any further.




At any time prior to electronically submitting the payment request to the Fund, you mayedit and save the information by clicking on the “Save” button at the bottom of thescreens. The system is designed to “time out” after a period of 30 minutes of no

activity, at which time all unsaved work will be lost. It is therefore a good idea to saveyour work regularly. Saved work can always be edited later until it is actually submitted.

Step 3 – Entering and Submitting the Schedule of Values for Approval• From the Main Menu, select the “Schedule of Values (Contractor)” option. Enter the

Contract Number and click “Go”.

• When the Schedule of Values screen appears, click on the first blank line and enter

a short description for the first work item. Tab to the amount column and enter the

value of the work item.

• After the work item amount been entered, tab to the CSI Type field and use the drop

down menu to select the CSI type most closely affiliated with that work item.

Repeat this procedure for all work items. Note: The number of work items is

limited to 24. The Guarantee Amount will automatically be calculated and will

appear as the last work item at the bottom of the Schedule of Values.




• You may save your work at any time by clicking on the “Save” button. However, if

the total of the values entered does not equal the Contract Value, an “out of

balance” message will appear. Your work will stay “out of balance” until you saveyour work.

• After all information has been entered and verified, you can submit the Schedule of

Values to the Fund for approval. Please note that the system will not allow you to

submit the schedule until it is in balance.

• Once the Schedule of Values has been submitted to the Fund for approval, you will

no longer be able to make any changes. However, you will be able to view or print

the Schedule of Values at any time.

Step 4 – Contractual Requirements and Supporting Documentation

Attach all needed documents, see Table 3.

Step 5 – Entering Payment Application and Submitting for Approval

• From the CMR Main Menu, select “Application – Setup/View (Contractor)” –You can

add or view payment requests from this screen. A list of your payment requests,

along with their current status will appear on the lower portion of the screen.

• To view a payment application that you have previously submitted, click on “view” at

the right of the appropriate payment application on the list.

• To enter a new payment application, enter the contract number and click on “Add

Request for Payment”. The contract number will begin with T00. Be sure to enter

the complete contract number . The Entry screen is separated into tabs to organize

the information for input.




Basic Data Tab

• Work Period Ending date – This is the last date through which work has been

completed for this payment application. The work period ending date must be

before the contract end date.

• Last Payment – Check this box if all work has completed and this is the last and

final application request.

Schedule of Values Tab




• All items of work listed in the approved Schedule of Values will appear here, along

with the cumulative percent complete amounts for all approved payment

applications. For the first payment application on a project, all values will be at 0%.• For each item, Tab to the “Percent Complete” Column and edit the percentages to

reflect the percent complete for the payment application you are submitting. The

system will calculate the corresponding “Present Estimate” and “Uncompleted

Balance” for each work item.

Field Orders Tab

• Approved field orders along with their related proposals will appear on this screen.

Field orders that have been billed in full will appear at the bottom of the screen and

cannot be edited.

• Similar to the Schedule of Values tab, the field orders and related proposals will be

listed and the corresponding cumulative percent complete amounts will appear in

the “Percent Complete” column. If no payment has been made for a particular field

order proposal, the corresponding value will be at 0%.

• Tab to the “Percent Complete” Column and edit the percentages to reflect the

percent complete for the payment application you are submitting. The

corresponding “Present Estimate” and “Uncompleted Balance” will be calculated

automatically. (To see additional information on a particular proposal, click on the

proposal number.)




Change Order Tab

• Approved change orders along with their related proposals will appear on this

screen. Change orders that have been billed in full will appear at the bottom of the

screen and cannot be edited.

• Similar to the Schedule of Values and Field Orders tabs, the change orders and

related proposals will be listed and the corresponding cumulative percent completeamounts will appear in the “Percent Complete” column. If no payment has been

made for a particular field order proposal, the corresponding value will be at 0%.

• Tab to the “Percent Complete” Column and edit the percentages to reflect the

percent complete for the payment application you are submitting. The

corresponding “Present Estimate” and “Uncompleted Balance” will be calculated

automatically. (To see additional information on a particular proposal, click on the

proposal number.



Office of Construction Management Management of Construction Project

Retention Tab

• Amounts withheld f

calculated and dis

MWBE Tab

• All MWBE Contractor

approved plan values

Pay

rom the current payment request, based o

layed on this tab.

in the approved MWBE Utilization Plan will app

.

Page 25 ents and Reimbursements

n the contract, will be

ear here, along with the




• For each contractor listed, enter the scheduled start date and end date for that contract in the

appropriate columns.

•

In the “Amount Paid Since Last Pay App” column and enter the value of the amount actuallypaid to the MWBE firm since the last application for payment was submitted to the Fund.

• If any changes have been made to the contractors shown or plan values, including the addition

of new MWBE contractors or increase to plan amounts, you must contact the Opportunities

Program Office by calling (518) 320-1650 or via e-mail at [email protected]

before submitting the payment application.

• Once the Opportunities Program Office has been contacted, you can add new contractors to

the MWBE Tab by entering the following information:

o The name of the Contractor

o The Contractor’s federal ID number

o Select the appropriate trade designation from the drop down menuo Select MBE or WBE

o Provide start date and end date for the contract

o Enter the Plan amount (full value of the signed subcontract)

o Enter the amount paid since the last payment application was submitted.

Summary Tab

• A payment application can only be submitted to the Fund for approval from this tab.

Click on the “Submit” button at the bottom of the screen to submit the application for

approval. Once the application has been submitted, it cannot be changed.




Payment Certification

• After a payment request has been submitted to the Fund, a button to print the

Payment Certification Page will appear. (The certification page can also be printed

at a later date from the reports tab.)

• Once printed, the Certification Page must be signed by the Contractor’s authorized

representative (and notarized) and then signed by the Consultant. (It is not

acceptable for someone to sign “on behalf of” or “for” the authorized representative

of the Contractor or the Consultant.)

• After the necessary signatures have been obtained, the signed Certification Page,

along with any supporting documentation (see SUCF Project Coordinator for details)

should be forwarded to the SUCF Project Coordinator.

• Last and Final Payment – if the application is the last payment, an additional section

is printed on the certification. (Consult your SUCF Project Coordinator for additional

information).

CONTRACTOR’S MONTHLY REQUESTS: At the joint review sessions, both the Contractor’sand Consultant’s representative must have authority to commit their firms in reference toapproval of monthly payment applications.

For the review session, the Contractor should prepare the draft requisition in such a way thatall items have necessary backup data and all computations are accurate. A thoroughunderstanding of Fund procedures and adherence to them will avoid delay in the processing ofrequisitions by the Fund Controller, and in subsequent payment by the State Comptroller.

INITIAL REQUEST: Three approvals are required before a Contractor’s first monthly requestfor payment may be processed. They are: (1) approval of the Contract by the Fund, andassignment by it of a Contract number, (2) acceptance by the Fund of the Contractor’sContract breakdown and job progress schedule, and (3) MBE/WBE Program. These shouldbe approved before the first payment meeting. In addition, before a first monthly request for




payment may be processed, proof of required Contractor’s insurance must have been receivedand approved by the Fund. The Contract breakdown must include an item for the one-yearguarantee obligation and the amount thereof is to be $5,000 or one-half of one percent of the

original Contract award, whichever is the lesser amount.

REGULAR MONTHLY PAYMENT MEETINGS: In general, monthly payment meetings areheld at approximately the same time each month at the jobsite. It is encouraged that apayment meeting be held in conjunction with a bi-weekly project meeting.

Approximately five working days prior to the monthly payment meeting the Contractor shallprepare and review on site a draft copy of the payment application with the Consultant/SiteRepresentative. Draft copy is to include Contract Breakdown CF-2, listing of Change Ordersand Field Orders, and any appropriate Requisition Work Sheet DC-5’s. Initial comments andquestions by the Consultant should be addressed at this time.

At the ensuing monthly payment meeting a final review of the application will be performed bythe Fund and the Consultant(s). The Contractor will have prepared three copies of its paymentapplication which is to include all pertinent payment forms.

The Contractor prepares the Monthly Application as follows: The CF-C1, CF-C2; CF-C3, CF-C8, CF-C11 and DC’5’s where applicable will be filled in and signed, as verification, by theConsultant and Contractor before the meeting is adjourned. The Fund Project Coordinatorshould leave the payment meeting with two executed Payment Forms that will be returned tothe Fund’s main office for processing. It is not the intent for payment applications to be mailedback and forth from Contractor to Consultant to the Fund.

The hard copy of the CF-C1 Form is to be signed, notarized, dated and submitted the Fund.




PAYMENT FORMS: The Contractor’s Monthly Application for Payment is to be made used bythe Fund’s Contract Management Reporting (CMR) System, samples of which are included inthe Appendix.

CF-C1 Statement of Account – Contractor’s Monthly Application for Payment (Date ofContractor’s signature cannot be prior to the work period ending date). Formrequires a notarized contractor signature.

CF-C1A Payment Summary Report – A detailed summary of the payment application.

CF-C2 Contract Breakdown - The form should be limited to one page. The RequisitionWorksheet, DC-5 Form, is a backup form which may be used to provide a detailedbreakdown of items listed on CF-C2.

CF-C3 List of Change Orders. This is a supplemental form to the requisition, for listing of

all change orders that have been executed. Only fully executed Change Orders areto be listed.

CF-C11 List of Field Orders. This is a supplemental form to the requisition, for listing of allfield orders that have been executed. Only fully executed Field Orders are to belisted.

CF-C4As Wage Rate Certifications. These are payment affidavits required by the New YorkState Department of Labor pursuant to Section 220-a of the Labor Law, and must becompleted in duplicate with original signatures. These forms are required from theGeneral Contractor, all subcontractors and sub-subcontractors performing workunder the Contract. One copy is for the Fund Accounting Unit, and a third copy

must be placed in the Fund project file. These forms are only required on thefinal payment and the guarantee payment when work is performed during thewarranty period.

CF-C5 Verification of subcontractor(s) payment from previous payment application. Thisform is required only for the third set when requested by the Fund Project Coordinator. Each subcontractor who has received payment from the previous requisition must file one. The Requisition Number on the form references theGeneral Contractor’s payment application number.

CF-C7A Summary of Subcontractors and Sub-subcontractors. (Submit in duplicate withfinal payment only.)

CF-C8 Minority/Women’s Business Enterprise Program Payment Report. Each paymentapplication shall include Detail of Payments to MBE/WBE Subcontractors andSuppliers, Form CF-C8. The Contractor shall transfer all information to this formrelative to MBE/WBE Subcontractors and suppliers. If no payment is due to one ormore listed subcontractors or suppliers enter “None” in the appropriate space.

C-5 Release. Submit in duplicate with final payment or at a time as determined by theFund Project Coordinator.




In summary, one (2) original set of the completed payment forms, with backup, as required,must be submitted, with original signatures, by the contractor to the SUCF Coordinator, asshown in the table below.

“Foreign Contractors” as defined by Section 4.15 Paragraph (d) of the contract are additionallyrequired to submit, as part of each initial and final contract payment request, a certificate fromthe New York State Tax Commission stating that all New York State taxes have been satisfied.

TABLE 3PAYMENT FORMS IN ADDITION TO ELECTRONIC PAYMENT APPLICATION

SetNo.

Set No. 1Original Signature

Set No. 2Original Signature

Set No. 3Copy

Set No. 4Copy

TO FUND Accounting Unit FUND Project File Consultant File Contractor File

Electronic CMR Electronic CMR Hard Copy CMR Electronic CMR

CF-C1 CF-C1 CF-C1

CF-C4As CF-C4As

CF-C7A CF-C7A

C-5 C-5

Backup Data Backup Data Backup Data

Backup data may include DC-5, or approved equivalent, as requested by the consultant or theFund. Additional documents may be requested to substantiate a request for payment and anycertifications required for payment of materials stored off the job site.

INSURANCE RENEWALS: If any component of insurance coverage lapses during the

contract, the contractor’s monthly payment will not be processed.

Asbestos Abatement Insurance – The contractor shall notify the consultant when asbestosabatement work has been completed by the contractor. The consultant reviews work and iffinalized issues letter to Construction Project Coordinator stating asbestos abatement workhas been completed. Copy will be forwarded to SUCF Controller’s Services and SUCFCounsels Office to eliminate need to renew asbestos abate insurance.

PAYMENT FOR MATERIALS: Payment for materials delivered to site will be in accordancewith Section 4.12 of the Construction Agreement. Payment for materials stored off-site will bein accordance with Section 4.14. The Contractor shall notify in advance, prior to the paymentmeeting, that materials stored off site will be requisitioned for. It is the Contractor’s

responsibility to coordinate and provide assistance to the consultant for verification of materialsstored off site. For materials stored off-site a “Certificate of Insurance for Material Stored Off-site” must be completed, appendix item 23.

SUBSTANTIAL COMPLETION: When the project is substantially complete, in accordancewith the provision of Section 4.10 of the Agreement, a final inspection is to be conducted inaccordance with the provisions of the Section entitled “Closeout of Construction Contracts.” Atthat time the Consultant shall prepare a list of all uncompleted, unaccepted and correctivework to be performed together with the estimated value thereof. After approval of this list bythe Fund, the Contractor’s retainage may be reduced to the cost of performing the work on thelist plus an amount necessary, in the Fund’s judgment, to satisfy any claims, liens or




judgments against the Contractor which have not been suitably discharged. Before suchpayment is to be made, the following items must be addressed, except that a dollar value maybe assigned to the items having an asterisk (*), with such items placed on the punch list. The

Checklist for Substantial Completion, form CF-C6, appendix item 29, may be utilized toexpedite this process.

*KEYS: The Fund Project Coordinator has verification that the door keys, keyboardsand master keys have been received by the campus.

*MONEY DUE TO THE CAMPUS: All water, power, fuel, telephone and otheroutstanding bills due to the Campus have been satisfied.

*OPERATING INSTRUCTIONS AND SPARE PARTS LISTS: Basic mechanical andelectrical systems of the project and all special equipment, complete operating

instructions and spare parts lists have been formally transmitted to the campus.

*BONDS, WARRANTIES and GUARANTEES: The Construction Project Coordinatorhas obtained verification that, as required by the SUCF Agreement, all bonds,guarantees and warranties exceeding the normal one-year guarantee period have beenreceived by the Campus. All guarantees and warranties shall identify the respectiveSUNY Campus as the Owner.

*CHARTS AND DIAGRAMS: Wiring diagrams, valve charts and other charts ordiagrams required by the specifications must be framed under glass and mounted onthe walls in the mechanical and electrical equipment rooms as required by the Contract.

*OPERATING TESTS: All required tests must be been made and the results furnishedto the Fund, the Campus and the Consultant prior to the turnover of projects.Especially important are the results of life safety tests and their certification. TheConsultant is responsible for turning over to the Fund a testing log and respective testreports at the completion of the project.

RELEASE: The Contractor must provide an executed C-5 Final Release, appendix item5, which accompanies the final application for payment.

*RECORD INFORMATION FROM THE CONTRACTOR: The Consultant has receivedfrom the Contractor all record information required by SUCF Agreement Section 2.24 -

Record Drawings and General Requirements.

*CAMPUS PERSONNEL TRAINING / DEMONSTRATIONS: Mechanical, electricalsystems and equipment have been demonstrated to the Campus operating personnel,in the presence of the Contractor and under the supervision of the consultant.Operation and Maintenance Manuals must be submitted by the Contractor, reviewedand approved by the Consultant and turned over to the Campus prior to schedulingtraining/demonstrations.

PUNCH LIST: The Consultant, Sub-Consultants, Contractor, Fund Project Coordinator,and a representative of the Campus have verified by inspection that the final punch list




has been established. The punch list must be incorporated into SUCF finalacceptance.

*RECORD OF TRANSMITTALS: The consultant must document, in detail by formalletter(s) of transmittal, every item that it is required to be transferred to the Campus. Aninformation copy of each transmittal must be furnished to the Fund Project Coordinatoras evidence that the material has been transmitted.

FINAL PAYMENTS: For projects that do not include a guarantee payment, the term “FinalPayment” is used for processing an application for payment when all work has been accepted,excluding guarantee obligations, judgments, claims or liens against the contractor. Whenprocessing “Final Payments” please follow the instructions below for the Electronic PaymentApplication.

___________________________________________________________________________

Basic Data Tab

• Work Period Ending date – This is the last date through which work has been

completed for this payment application. The work period ending date must be

before the Contract end date.

• Last Payment – Check this box if all work has completed and this is the last and

final application request.

WAGE RATE CERTIFICATIONS: Contractors are required to submit the following prior to orat final application for payment:

• CF-C4A1 - Prime Contractor’s Certification, appendix Item 11• CF-C4A2 - Subcontractor’s Certification, appendix Item 12




• CF-C4A3 - Sub-subcontractor’s Certification, appendix Item 13• CF-C7A - Summary of Wage Rate Certification, appendix Item 14

Failure to furnish the required forms will result in SUCF withholding a portion of

the contract sum.

The following outlines the final certification and reporting procedures required to implementChapter 698, Laws 1988 (Labor Affidavits) for all public improvement contracts.

1. The Prime Contractor must provide each subcontractor with a copy of the schedule ofwages and supplements specified in the Contract before the subcontractor’s work isstarted.

2. The Prime Contractor must immediately obtain the subcontractor’s certification. Suchcertification must be submitted by the prime contractor prior to or with the final payment,

see form CF-C4A2 - Subcontractor’s Certification - appendix item 12.

3. If a sub-subcontractor is involved, it is the subcontractor’s responsibility to obtain thecertification from the sub-subcontractor that he/she has in fact received the wage ratescontained in the subject project. The Prime Contractor must immediately obtain thesub-subcontractor’s certification from the subcontractor which must be submitted by thePrime Contractor with the final payment. See CF-C4A3 - Subcontractors Certification – appendix item 13.

4. If revised schedules of wages and supplements are published, the Prime Contractormust provide each subcontractor with such revised schedules and obtain a revisedsubcontractor’s certification, and the subcontractor must follow the same procedure

with each sub-subcontractor. Revised schedules must be obtained for each updatedwage rate period when the respective contractor is working on site.

5. Sub-subcontractor’s certification, subcontractor’s certification, and Prime Contractor’scertification must be submitted to the Office of State Comptrollers prior to or with thePrime Contractor’s final payment request. Failure to obtain and provide the requiredcertifications will impact the Contractor’s final payment.

6. Updated wage rates are to be obtained by the Prime Contractor at the time theybecome effective from the Department of Labor. Wage rates will be posted at theDepartment of Labor’s website:

www.sucf.suny.edu/design/wage.shtml

It is the Prime Contractor’s responsibility to provide the wage rate updates to everysubcontractor and obtain all certifications as described in paragraph 4 above. TheFund is not responsible for issuing wage rate updates after the project is bid.

Additionally, the Prime Contractor is responsible for obtaining and collecting the certifications.Prior to or for the final payment, a CF-C7A - Summary of Wage Rate Certification will berequired and the certifications from the subcontractors and sub-subcontractors listed must beattached.




Final payment will not be made without these certifications and it is recommended that threeoriginals be obtained promptly by the prime contractor at the time a subcontract is executed.

Please note that sending the Fund a copy at the time of certification does not relieve the PrimeContractor from the responsibility of attaching all original certifications to the final payment.

GUARANTEE (LAST) PAYMENT: For projects that include a guarantee payment, the term“Guarantee Payment” is the last payment application processed once the punch list andwarranty items are completed and the guarantee period expires.

When project completion has been verified, the Contractor must submit to the Consultant theguarantee application for payment including CF-C1, CF-C4A1 accompanied by C-5 - ReleaseForm throughout the Fund’s Electronic Payment Application. The C-5 Release Form is onlyrequired if changes in the final value of the Contract occurred between final acceptance and

the end of guarantee period.

PRIME CONTRACTOR’S CERTIFICATION FROM GENERAL CONTRACTOR: The GeneralContractor must submit a Prime Contractor’s Certification (Ref. CF-C4A1 Item 11) for its workon both the final and guarantee payments. The payroll period ending date must cover the timeperiod of the payment.



Office of Construction Management Page 35 Management of Construction Projects Closeout of Construction Contract

Closeout of Construction Contract

GENERAL

COMPLETION AND ACCEPTANCESubstantially Complete

Facility ReadyPunch List Development

Contact RequirementsProject Delays

Partial TurnoverCertificates of Occupancy

Turnover to the Campus

END OF ONE-YEAR GUARANTEE PERIOD




GENERAL

Except where the Campus requires partial acceptance or possession prior to completion of thecontract, the steps detailed in this section of this manual entitled “Final Payment” and “End ofGuarantee Period” will apply.

The following guidelines are intended to standardize Fund procedures for closeout ofconstruction Contracts and are published for the information and guidance of CampusesConsultants, Contractors and the Fund.

“Final Inspections” are made before turning over a project to Campus control. Guaranteeinspections are made near the end of the guarantee period, normally just prior to one full yearafter formal acceptance of the project by the Fund and project turnover to Campus control.

COMPLETION AND ACCEPTANCE

SUBSTANTIALLY COMPLETE: When all Contract work is substantially complete and theproject can be utilized for its intended purpose the Contractor must submit a letter to theDirector of Construction, copied to the Consultant, stating that the project is ready forinspection. If a building permit has been issued on the project, see section Certificates ofOccupancy below for required documentation.

FACILITY READY: The Consultant and the Fund Project Coordinator have jointly determinedthat the facility is prepared for final inspection.

INSPECTION AND PUNCH LIST DEVELOPMENT: The process of developing and issuingthe punch list will vary depending on the scope, value and type of project. Projects with limitedscope and value may condense process into fewer phases. Projects with vast scope andvalue may expand process into several phases. The following provides an outline fordeveloping the punch list:

1. The Consultant must prepare a complete list with explicit descriptions of alluncompleted work for the project. Concurrently, the Consultant shall have all sub-consultants prepare a complete list with explicit descriptions of all uncompleted work forthe project. The list must be issued as a single uniform document from the Consultantincorporating items provided by all sub-consultants. The list of deficiencies will beutilized for a final inspection walk through by the Fund, Campus, Consultant, Sub-consultants and Contractor.

2. The Campus, Consultant, Contractor and Fund must review the list independently or asa group prior to or while physically inspecting the project.

3. The inspection shall be performed as follows:

• Roof• Interior space• Mechanical and electrical systems




• Exterior• Site work

4. After the inspection has been completed, any new items discovered during theinspection will be added to the list. The uncompleted work list, as amended during theinspection, should be reproduced by the Consultant and furnished to the Contractor, theCampus and the Fund. If necessary, the Campus, Consultant, Sub-consultants,Contractor, and Mechanical and Electrical Subcontractors will assemble for a meetingconducted by the Fund representatives. Questions will be addressed concerningincomplete or missing items and punch list completion schedule. The Fund will utilizethe list of items as the basis for the final acceptance punch list. It shall be theprerogative of the Fund as the result of the inspection to make the decision to acceptthe facility from the Contractor. Additional punch list items shall not be added after theFund has issued the punch list with the “Final Inspection and Acceptance” letters. The

Contractor must complete the punch list prior to the end of guarantee and beforereceiving final payment.

Items will not be added to the punch list after final inspection. In the event a defect developsor is discovered subsequent to final acceptance, the issue will be identified as a guaranteeitem. Guarantee items are to be resolved as soon as possible, during the guarantee period.

The heating, ventilating and air conditioning systems of a building may not be effectivelybalanced until the building is fully occupied. Preliminary balancing may be required ahead ofthe final inspection, may be required. Final balancing of these systems may be considered tobe a Contract requirement to be met after final acceptance. All equipment in the building mustbe running during the walk-through.

The Campus will be given the opportunity to acknowledge the Final Inspection andAcceptance, but concurrence by the Campus is not required to close out a project.

This procedure will be modified, as required, depending on scope and size of project.

CONTRACT REQUIREMENTS: Conditional to the scope and value of the project, theContract documents will require various forms of documentation and inspections required forfinal acceptance of a project. Therefore, each project will entail development of a uniqueprocess leading to final acceptance. The process may include, and not be limited to:

• Demonstration of equipment• Development and review of operation manuals• Testing• Development and review of record drawings• As built drawings• Warranties• Commissioning electrical, mechanical and plumbing systems• Coordination of commissioning agent requirements

PARTIAL ACCEPTANCE: Contracts which include multiple buildings, phased construction,rehabilitation of limited areas of buildings, or site utility work may be partially accepted using




the procedure described above for each building, phase, building segment or specific utilityindividually.

When a project is ready for final inspection in the winter and the exterior and site work cannotbe properly inspected. The Fund will follow the above procedure, excluding exterior and sitework for later inspection and turnover.

CERTIFICATES OF COMPLETION OR OCCUPANCY: A project for which a building permithas been issued requires a Certificate of Completion or Certificate of Occupancy to be issuedby the Office of Design and Construction Management - appendix item 30. A TemporaryCertificate of Completion or Occupancy may be issued for a partial acceptance – appendixitem 31.

Prior to issuance of a Certificate of Occupancy, the following forms and letters must be

completed:

• Completion letter from the Contractor – appendix Item A-27• Acceptance letter from the Consultant with uncompleted work list – appendix Item A-28• The Construction Inspection Report – appendix item A-32• The Final Inspection Report – appendix item A-33• The Fact Sheet – appendix item A-34

A project for which a Building Permit Waiver has been issued will not require a Certificate ofCompletion or Occupancy. The Construction Inspection Report, Final Inspection Report, andFact Sheet are not required for projects with Building Permit Waivers.

PROJECT DELAYS: Timely acceptance and turnover to the Campus and timely execution ofproject documentation is important. A memo must be included in the project close outdocumentation for any project which has been accepted more than 6 months after the Contractcompletion date as indicated in the bid documents. Likewise, a memo must be included in theproject close out documentation for any project which is being accepted effective more than 6months prior to the date of the Final Inspection and Acceptance letters. The Project DelayMemo should detail the extent of and reasons for the delay.

TURNOVER TO THE CAMPUS: The turnover is documented by formal letters of “FinalInspection and Acceptance,” to the Campus President and the Contractor from the AssistantGeneral Manager, Office of Design and Construction Management or the Director of

Construction. Turnover of a portion of the project shall be documented similarly. Prior toissuing formal letters of Final Inspection and Acceptance, all projects require the followingdocuments to be completed and submitted for inclusion in the Contract file.

• Completion letter from the Contractor – appendix Item A-27• Acceptance letter from the Consultant with uncompleted work list – appendix Item A-28• Campus Sign-off – appendix Item A-35• Building Permit Waiver as previously issued or Certificate of Completion or Occupancy

and related documents• Project Delay Memo, if required




END OF ONE-YEAR GUARANTEE PERIOD

The one-year guarantee normally starts with the jointly agreed upon date of turnover for eachportion of a facility. Approximately, thirty days prior to end of the one-year guarantee period,the Fund shall request the Campus to submit a list of items, in writing, to be considered forinclusion in the Consultant’s formal “guarantee list” to be transmitted to the Contractor. TheFund will provide this listing to the Consultant who in turn will notify the Campus and the Fundof items that are not considered covered by the guarantee and issue the final list to theContractor. Additional items will not be added once the final consultant/campus guarantee listhas been generated. The Campus will be given the opportunity to acknowledge the End ofOne Year Guarantee Period, but concurrence by the Campus is not required to execute anEnd of One Year Guarantee Period.

The Consultant or the Fund will, after the Contractor corrects all guarantee deficiencies,

schedule the End of Guarantee inspection after coordinating with the Campus and the Fund. Ifany guarantee items are still not completed at the time of inspection, the Contractor will haveto complete all guarantee items before a guarantee payment is made.

Timely completion of work and timely execution of project documentation is important. Amemo must be included in the project close out documentation for any project for which End ofOne Year Guarantee Period letters are dated more than 18 months after the effective date ofproject acceptance. The Project Delay Memo should detail the extent of and reasons for thedelay.

The end of the one year guarantee period will be documented by formal letters to the Campus

and the Contractor. Prior to issuing formal End of One Year Guarantee letters, all projectsrequire the following documents to be completed and submitted for inclusion in the Contractfile.

• Campus Sign-off – appendix item A-38• End of One Year Guarantee Period letter to Campus – appendix item A-39• End of One Year Guarantee Period letter to Contractor – appendix item A-40• Delay Memo, if required



Office of Construction Management Page 40 Management of Construction Projects Publicity and Disclosures

Publicity and Disclosures

Fund projects frequently are newsworthy. The Fund is interested, not only in cooperating withvarious news media, but also in utilizing any available material to communicate with the public.Each Fund project is related to other similar projects, to the entire Campus and to the generalconstruction program of the University. Coordination of information to be disseminated to thepublic is required, regardless of the media to be employed. This dictates careful review of anyreleases, statements, statistics, estimates, utterances, etc. to verify their accuracy and toinsure their compatibility with other information.

There may be no disclosure of information regarding Fund plans, Contracts, related matters,etc. without written permission from the Fund. All releases, regardless of their form (newsrelease, photograph, article, speech, press interview, schemes, maps, etc.) must be

transmitted to the Fund’s main office, via the Fund’s Project Coordinator, to assure appropriateand rapid approval by the Fund.

You should be aware that the internet is not a completely reliable transmission medium.The State University Construction Fund does not accept any liability for any data transmission errors such as data loss or damage or alteration of any kind, including,but not limited to any direct, indirect or consequential damage, arising out of the use of the Fund’s online system.



Office of Construction Management Page 41 Management of Construction Projects Appendix A -- Forms

APPENDIXES

APPENDIX A -- FormsAPPENDIX B – Process Flow Charts



Office of Construction Management Page 42 Management of Construction Projects Appendix A -- Forms

APPENDIX A -- FORMSTABLE OF CONTENTS

Post Bid Checklist (DC-1) ..................................................................................... A-1Construction Contract Transmittal Letter (to Contractor) ....................................... A-2Project Administrative Activity Schedule ............................................................... A-3Listing of Project Reports Required During Construction Period ........................... A-4Contractor’s Monthly Application for Payment (CF-C1) ......................................... A-5Contractor’s Monthly Application for Final Payment (CF-C1) .............................. A-5APayment Summary Report (CF-C1A) ................................................................. A-5BContractor’s Monthly Application for Payment (Contract Breakdown) (CF-C2) ..... A-6Listing of Change Orders (CF-C3) ........................................................................ A-7Listing of Field Orders (CF-C11) ........................................................................... A-8Requisition Work Sheet (DC-5) ............................................................................. A-9Certification of Monthly Payment (CF-C5)........................................................... A-10Prime Contractor’s Certification (CF-C4AI) (2 pages) ......................................... A-11Subcontractor’s Certification (CF-C4A2) ............................................................. A-12Sub-subcontractor’s Certification (CF-C4A3) ...................................................... A-13Summary of Subcontractors Wage Rate Certifications (CF-C7A) ....................... A-14M/WBE – Payment Report (CF-C8) .................................................................... A-15Release (C-5) ..................................................................................................... A-16Certificate of Insurance (C-10) ............................................................................ A-17Contract Change Order (CF-C9). ........................................................................ A-18Contract Field Order (CF-C9A) ......................................................................... A-18ASample Authorization-To-Proceed Letter ............................................................ A-19Form of Backcharge Letter ................................................................................. A-20

Asbestos Material Removal Fact Sheet (2 Pages) .............................................. A-21Regulated Materials Disposal Fact Sheet ........................................................... A-22Materials Stored Off-Site Certificate of Insurance ............................................... A-23Request for Federal Tax Identification Number ................................................... A-24Building Permit.................................................................................................... A-25Waiver of Building Permit .................................................................................... A-26Letter from Contractor Advising Contract Complete ............................................ A-27Letter from Consultant Recommending Acceptance and Occupancy ................. A-28Checklist for Substantial Completion Payments (CF-C6) .................................... A-29Certificate of Occupancy ..................................................................................... A-30Temporary Certificate of Occupancy ................................................................... A-31Construction Inspection Report ........................................................................... A-32

Final Inspection Report ....................................................................................... A-33Fact Sheet for Projects with Building Permit/Certificate of Occupancy ............... A-34Final Inspection Acceptance Sign-off .................................................................. A-35Final Inspection Acceptance Letter (to Campus) ................................................ A-36Final Inspection Acceptance Letter (to Contractor) ............................................. A-37End of One Year Guarantee Sign-off .................................................................. A-38End of One Year Guarantee Letter (to Campus) ................................................. A-39End of One Year Guarantee Letter (to Contractor) ............................................. A-40Labor Rate Breakdown (CF-C10) ....................................................................... A-41CMR Quick Reference Guide ............................................................................. A-42SUCF Electric Payment Request System Set-Up Form ...................................... A-43



ITEM A-1

STATE OF NEW YORK

STATE UNIVERSITY CONSTRUCTION FUND

POST BID CHECKLIST

Present at Post Bid Meeting:

SUCF No. ______________________________

Campus ________________________________

NAME FIRM Project Title ___________________________

_______________________ _______________________________________________________________________

_______________________ _______________________________________________________________________

_______________________ _______________________________________________________________________

_______________________ _______________________________________________________________________

ACTIONS YES NO REMARKS

•All participants informed as to confidential nature of discussions.

•Proposals checked for possible information (addenda

acknowledged, corporate seal, all blanks filled)

•Fax sent for 48-hour data

•Appendix ‘A’ requested in Fax

•

Bid deposit checks returned to other than “low 3”•Time and place set for Pre-Award Meetings:

Place Date Hour

__________ _________ _________

•Consultant requested to tabulate and analyze unit prices from all

bidders prior to Pre-Award Meeting

•Consultant requested to review alternates and recommend selection

to SUCF

•Consultant furnished Contract checklist (copy attached), and

requested to start assembly of 6 copies of contract, (7 copies if

assigned-sub, or a Federal Grant is involved)

•Consultant furnished copy of “ Management of SUCF Projects”

•Consultant furnished copy of Federal Grant Check List (when

applicable)

ADDITIONAL REMARKS:

Signed:________________________________ Date: __________________

DC-1



ITEM A-2

STATE UNIVERSITY CONSTRUCTION FUNDState University Plaza • 353 Broadway

Albany, NY 12246www.sucf.suny.edu

(Date)

(Contractor Name)(Address)(Address)

Re: (Project Title)(Campus)SUCF Project No.

Dear Sirs/Mesdames:

You are the apparent low bidder for the referenced Project and your proposal is being evaluatedfor acceptance and contract award. In order to expedite the contract award process, please execute all ofthe four enclosed copies of the Contract Documents in the following manner:

1. On the signature page of the Agreement (A-33), have an authorized officer or principal of yourfirm sign on the line below the name of the firm. If a corporation, also affix the corporate seal. On

the Acknowledgments page (A-34), see the enclosed "Instructions For Execution ofAcknowledgments".

2. On the Labor and Material Bond (page B-1) and the Performance Bond (page B-2), see theenclosed "Instructions For Execution of Labor and Material Bond and Performance Bond". Onthe Acknowledgments page (B-3), see the enclosed "Instructions For Execution ofAcknowledgments".

After the Contract Documents have been executed in accordance with the above directions,kindly return all of the enclosed documents to the Fund as soon as possible. If the Fund accepts yourProposal and awards the Contract to you, it will issue a Notice of Award to you and execute the copies ofthe Contract Documents you have returned. It will then return to you a fully executed copy of the ContractDocuments.

We also enclose copies of the following forms, to be filled out and returned to the Fund with theContract Documents:

a. Certificate of Insurance;* andb. Builder's Risk Insurance Breakdown.

Foreign contractors (i.e., entities not organized under the laws of the State of New York) mustalso furnish, with their initial and final payment applications, a certificate from the New York StateDepartment of Taxation and Finance, Tax Compliance Division, to the effect that all of the contractors'taxes have been paid.



Unless these forms are promptly furnished by you, properly filled out, it will not be possible for theFund to fully process your Contract and no payments may be made thereunder.

This letter does not constitute an award of the Contract. If you are awarded the contract, you will benotified by a separate Notice of Award. Please also forward the necessary certificates of insurance to theFund. Without proof of all required insurance coverage, no payment can be made.

Very truly yours,

William K. BarczakCounsel

Enclosures

* In the event that this contract requires asbestos abatement work, it is your responsibility,under Section 5.06, sub-division e of the Agreement, to obtain asbestos abatement insurance.



ITEM A-3PROJECT ADMINISTRATIVE ACTIVITY SCHEDULE

DATA / REPORT FULFILLMENT DATE ROUTING FROM / TO

BIDDING DOCUMENTS (NB, IB)CONTRACT DOCUMENTS (A, PB, LMB)

REFERENCE

Shop drawings and sampleSubmission Schedule (for approval)

In accordance with shop drawing and sampleschedule

Contractor / Consultant A, Section 2.19

Approval of Shop Drawings Within 15 days after receipt Consultant / Contractor A, Section 2.19

Submission of one copy of all approved Shop Drawings At project completion Contractor / Consultant A, Section 2.19

Names of subcontractors (other than those named in48-hour information)

Within 30 days after Notice of Award Contractor / ConsultantA, Section 2.18 (Consultant must have Fundconcurrence of their approval of subcontractors)

Approval of Subcontractors Within 10 days of submission Consultant / Contractor A, Section 2.18

Payment of Subcontractors by Contractor Within 10 days of date Contractor receivespayment

Contractor / Subcontractors A, Section 2.18

Submission of Record Drawings Prior to acceptance of work by Fund Contractor / Consultant A, Section 2.24

Guarantee Period One Year (minimum) or longer if so agreed Fund / Contractor A, Section 2.25

Proof of Contractor’s Compensation and liabilityinsurance coverage

Prior to commencing work Contractor / Fund A, Section 5.06

Builders Risk Insurance coverage provided byContractor

Prior to approval of progress payment coveringinsurable work

Contractor / Fund A, Section 5.07

Owners Liability Insurance Prior to commencement of work at site Contractor / Fund A, Section 5.06

Approval of products other than specified Prior to incorporation into the project Contractor / Consultant A, Section 2.20

Notice of Award 45 days after bid opening Fund / Contractor, Consultant IB, Section 9

Performance, Labor, and Material Bonds 10 days after Notice of Award Contractor / Fund, Consultant IB, Section 10

Formal Contract signing 10 days after Notice of Award Contractor / Fund, Consultant P, Section 10

Work Commencement Receipt of Notice to Proceed Letter Fund/Contractor A, Section 3.01

Time Progress Schedule 30 days after Notice of Award Contractor / Consultant A, Section 3.02

Notice of Conditions Causing Delay (in writing)Within 10 days after commencement of condition(s) causing delay

Contractor / Fund, Consultant A, Section 3.04

Appeal from Consultant’s decision (verified) Within 10 days of decision date Contractor / Fund (cc Consultant) A, Section 2.02

Dispute based on Fund or Consultant determination (inwriting)

Within 10 days after Fund or Consultantdetermination

Contractor / Fund, Consultant A, Section 2.02

Claim for disputed work (documented statement)Within 30 days after being required to performdisputed work

Contractor / Consultant A, Section 2.03

Right to Default Contractor (written notice) 3 days’ notice (anytime) Fund / Contractor, Consultant A, Section 2.26

Requests for Progress Payments Monthly Contractor / Fund, Consultant A, Sections 4.10, 4.11

Billing Breakdown of Contract amountPrior to submission of first partial paymentrequest

Contractor / Fund A, Section 4.08

Final requisition and final payment (written notices) Acceptance of Contract work Contractor / Fund, Consultant A, Section 4.18

Guarantee Payment Contr.One year following acceptance of work by Fundand request by Contractor

Contractor / Consultant, Fund A, Section 4.20

A = Agreement IB = Information for Bidders PB = Performance Bond LMB = Labor of Material Bond NB = Notice to Bidders



ITEM A-4

LISTING OF PROJECT REPORTS REQUIRED DURING CONSTRUCTION PERIOD

TITLE PERIOD COVERED PREPARED BY DISTRIBUTION FORMAT

Field Report Monthly Consultant Fund (1 copy) Developed by Consultant

Shop Drawing Log Bi-Weekly Consultant Fund (1 copy) Developed by Consultant

RFI Log Bi-Weekly Consultant Fund, Contractor Fund Standard

Open Item Log Bi-Weekly Consultant Fund, Contractor Fund Standard

Pre-award MeetingReport

Ad hoc Consultant Minutes to Attendees Developed by Consultant

Pre-Construction OrientationMeeting Report Ad hoc Consultant Minutes to Attendees Developed by Consultant

Testing Lab ReportsPeriodically (as

required)Testing Lab

Consultant (2 copies)(1 field office,1Consultant)Contractor (1 copy)Fund (when requested)

Consultant/Lab.

Progress Photos –Digital Monthly Contractor Fund Coordinator – (1

copy)Fund Standard

Substantial CompletionPayment (Item 27 Appendix)

Ad hoc Contractor Attendees (3 copies)

At inspectionFund Standard

Accident Reports Ad hoc Contractor Consultant, FundAs required bycircumstances

Asbestos/Reports,Regulated Materials

Ad hoc Contractor Fund (1 copy)SUNY (1 copy)

Consultant (1 copy)As required



ITEM A-5



ITEM A-5A

CF-C1



ITEM A-5B



ITEM A-6

CF-C2



ITEM A-7

CF-C3



ITEM A-8

CF-C11



DC-5

REQUISITION WORK SHEETSTATE UNIVERSITY CONSTRUCTION FUND353 Broadway ALBANY, NY 12246

CONTRACTOR: ___________________________________________________________ REQUISITION NO. _______________PROJECT NO. TITLE: LOCA

No.1

Description2

Quantity3

Unit4

UnitPrice

5

TotalPrice

6

% Compl.Last

Request7

Amt Compl.Last

Request8

%Compl.to Date

9



ITEM A-10

CF-C5

STATE UNIVERSITY CONSTRUCTION FUND 353 Broadway Albany, New York 12246

CERTIFICATION OF MONTHLY PAYMENT

SUCF Project No. ___________________Date: ___________________

Project Title: _________________________________________________________________

This is to certify that the General Contractor ______________________________________ has

made payment of $ for work performed by this subcontractor as covered by

Requisition No. , for the period from ______________ to ________________ inclusive.

____________________________________________________ __________ Name of Subcontractor Date

___________________________________________________________________________________________________

Signature

General Contractor to complete all blanks at top of sheet and forward to subcontractor with payment.Subcontractor to execute and immediately return to General Contractor for inclusion with next requisition.



ITEM A-11

CF-C4A1

OFFICE OF THE STATE COMPTROLLER

DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDSBUREAU OF STATE EXPENDITURES

New York State Labor Law, Section 220-aPrime Contractor’s Certification

1. That I am an officer of

and am duly authorized to make this affidavit on behalf of the prime Contractor on Public

Contract No.

2. That I fully comprehend the terms and provisions of Section 220-a of the Labor Law.

3. That, except as herein stated, there are no amounts due and owing to or on behalf of laborersemployed on the project by the Contractor. (Set forth any unpaid wages and supplements, ifnone, so state).

Name Amount

4. That the Contractor hereby files every verified statement required to be obtained by theContractor from the subcontractors.

5. That, upon information and belief, except as stated herein, all laborers (exclusive of executive orsupervisory employees) employed on the project have been paid the prevailing wages andsupplements for their services through , the last day worked on the project bytheir subcontractor. [Set forth any unpaid wages and supplements, if none, so state and utilizeclause 5 (A)].

Name Amount

(5A) That the Contractor has no knowledge of amounts owing to or on behalf of any laborers ofits subcontractors.

( continued )



CF-C4A1

New York State Labor Law, Section 220-aPrime Contractor’s Certification(Page 2)

6. In the event it is determined by the Commissioner of Labor that the wages or supplements or bothof any such subcontractors have not been paid or provided pursuant to the appropriate scheduleof wages and supplements, then the Contractor shall be responsible for payment of such wagesand supplements pursuant to the provision of Section 223 of the Labor Law.

Signature

Print Name

Title

ACKNOWLEDGEMENT:

STATE OF NEW YORK }COUNTY OF } SS

On this day of 20_____________

before me personally came __________________________________________ to me known and known to me to be the person described in and who executed the foregoinginstrument and he/she acknowledged that he/she executed the same.

____________________________________ Notary Public

If this affidavit is verified by an oath administered by a notary public in a foreign country other than Canada, itmust be accompanied by a certificate authenticating the authority of the notary who administers the oath. (SeeCPLR § 2309(c); Real Property Law, § 311,312).



ITEM A-12

CF-C4A2

OFFICE OF THE STATE COMPTROLLER


New York State Labor Law, Section 220-aSubcontractor’s Certification

1. That I am an officer of _________________________________________________a subcontractor on Public Contract No. and I am duly authorized to make

this affidavit on behalf of the firm.

2. That I make this affidavit in order to comply with the provisions of Section 220-a of the LaborLaw.

3. That on , we received from (theprime Contractor) a copy of the initial/revised schedule of wages and supplements Prevailing Rate

Schedule Case Number (PRC) specified in the public improvementcontract.

4. That I have reviewed such schedule(s), and agree to pay the applicable prevailing wages and to

pay or provide the supplements specified therein.

Signature

Print Name

Title

ACKNOWLEDGEMENT:

STATE OF NEW YORK }

COUNTY OF } SS

On this day of 20

before me personally came _____________________________________________to me known and known to me to be the person described in and who executed the foregoing

instrument and he/she acknowledged that he/she executed the same.

Notary Public

If this affidavit is verified by an oath administered by a notary public in a foreign country other than Canada, it must be

accompanied by a certificate authenticating the authority of the notary who administers the oath. (See CPLR § 2309(c); Real

Property Law, § 311,312).



ITEM A-13OFFICE OF THE STATE COMPTROLLER


New York State Labor Law, Section 220-a

Sub-subcontractor’s Certification

1. That I am an officer of a subcontractor to _____________, asubcontractor of the prime Contractor on Public Improvement

Contract No. and I am duly authorized to make this affidavit on behalf

of the firm.

2. That I make this affidavit in order to comply with the provisions of Section

220-a of the Labor Law.

3. That on , we received from (the subcontractorof the ) (Contractor) a copy of the initial/revised schedule of wages and supplementsPrevailing Rate Schedule Case Number (PRC) specifiedin the public improvement contract.

4. That I have reviewed such schedule(s), and agree to pay the applicable prevailing wages andto pay or provide the supplements specified therein.

Signature

Print Name

Title

ACKNOWLEDGEMENT:STATE OF NEW YORK }

COUNTY OF } SS

On this day of 20 before me

personally came to me known andknown to me to be the person described in and who executed the foregoing instrument and he/sheacknowledged that he/she executed the same.

Notary Public

County

If this affidavit is verified by an oath administered by a notary public in a foreign country other than Canada, it must be accompanied bya certificate authenticating the authority of the notary who administers the oath. (See CPLR § 2309(c); Real Property Law, § 311,312).

CF-C4A3



ITEM A-14STATE UNIVERSITY OF NEW YORK


SUMMARY OF WAGE RATE CERTIFICATION(S)

INSTRUCTIONS: List each subcontractor and/or sub-subcontractor used on this Contract and their last day of work. When

submitting your Final and End-of-Guarantee payment applications, attach this form (in triplicate ) along with the latest Wage Rate

Certifications, in triplicate, for your own firm and each subcontractor and/or sub-subcontractor.

*NOTE: Last day or work must be within the time frame of the latest Wage Rate Certification.

CONTRACTOR CAMPUS

SUCF NO. CONTRACT NO. PROJECT TITLE

SUBCONTRACTOR OR SUB-

SUBCONTRACTORLAST DAY OF WORK

DATE OF LATEST WAGE RATE

CERTIFICATION

The foregoing is a true and accurate listing of all subcontractors and sub-subcontractors employed on this Contract to date of

completion.

______________________________________________ By ______________________________________________Legal name of person, partnership or corporation Signature

_______________________________________________ _________________________________________________Address (Street, City) Name, Title

(State, Zip Code)

CF-C7A



CF-C8 revised 02/11



ITEM A-16

C5

STATE OF NEW YORK


RELEASE

KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned hereby acknowledges that pursuant to acontract dated the __________day of _______________________________, wherein the undersigned agreedto furnish for the State University Construction Fund all the work necessary to complete the construction of

the Fund has paid or will pay the undersigned, or a person, firm or corporation claiming by or through theundersigned, the sum of _________________________________________________________________ dollars ($_______________________), said amount being the full and entire sum due from the Fund to theundersigned under said contract, except for monies being retained by the Fund pursuant to the provisions of theaforesaid contract, including, but not limited to, money, if any, due to the undersigned by reason of extra work,labor or materials furnished or performed in connection with, relating to, or arising out of the subject matter ofsaid contract. In consideration of such payment, the undersigned hereby releases and discharges the Fund, itsofficers, agents and employees, of and from all claims of liability to the undersigned for anything furnished orperformed in connection with, relating to or arising out of the contract or out of the work covered by saidcontract, including but not limited to, all claims for extra work, labor or materials and for any prior act, neglect ordefault on the part of the Fund or any of its officers, agents, or employees in connection therewith, except for theaforesaid retained monies.

The undersigned further acknowledges that neither the aforesaid payment nor acceptance by the Fund of thework covered by the aforementioned contract shall in any way or manner operate as, or constitute a release orwaiver of the undersigned's obligations, undertakings or liabilities under said contract or in any way affect or limitthe same.

IN WITNESS WHEREOF, the undersigned has caused its name to be hereunto subscribed and its seal to behereunto affixed this __________ day of ________________________________.

_______________________________________________________ Name of Contractor

By _____________________________________________________

Affix Seal here



ITEM A-17

CONTRACTOR’S CERTIFICATE OF INSURANCE

TO: State University Construction FundState University Plaza353 BroadwayAlbany NY 12246

This is to certify that the insurance policy listed below has been issued by the undersigned and is in full force and effect on the date borne by this Certificate.

Name/Address of Insured Contractor __________________________________________________________

__________________________________________________________

__________________________________________________________

Title/Proj Number to which this Certificate applies __________________________________________________________

Insurance Type Limits of Liability Policy No. Effective Expiration

Workers’ Compensation As required by law

Contractor’s Comprehensive General

Bodily Injury Liability and

Property Damage Liability

$ ___________ Each Occurrence

$ ___________ Aggregate

$ ___________ Combined Single Limit

Contractor’s Automobile Liability



$ ___________ Each Accident or Occurrence


Owner’s Protective Liability



$ ___________ Each Occurrence

$ ___________ Aggregate


Builder’s Risk

Excess or Umbrella

As an inducement to the Fund to approve the undersigned as an insurance company issuing the policies listed above, and this Certificate as being in compliancewith the construction Contract between the Fund and _______________________________________________________the undersigned insurance company,duly licensed to do business in the State of New York, hereby agrees as follows:

1. That the insurance policies listed above conform, in all respects, with the requirements set forth in Sections 5.06 and 5.07 of Article V of the Agreement beenthe Fund and Contractor.

2. That the insurance policies listed above shall not be changed or cancelled and that they will automatically be renewed upon expiration and continued in forceuntil final acceptance by the Fund of all the work covered by the aforesaid construction Contract unless the Fund is given thirty (30) days’ written notice to thecontrary.

3. That the Fund shall not be liable for the payment of the premium on any of the insurance policies listed above and that such premium shall be payable by theContractor named above who shall also receive any dividends or other refunds due under the above-listed insurance policies.

4. The Insurer certifies that there is no inconsistency or conflict with or between any of the terms, provisions and conditions hereof and any of the terms,provisions and conditions of the policies listed above except for the following:

________________________________________________________________________________________________________________

5. That without the undersigned’s foregoing agreements neither it nor this Certificate of Insurance would be approved by the Fund.Name of Insurance Company Phone

Authorized Representative (Original Signature Required) Date



CF-C9

Item A-18



CF-C9

Item A-18A



ITEM A-19



Date

Re: SUCF Project No.Project TitleCampus

ConsultantConsultant Address

Attention:

SUBJECT: PROCEED ORDER AUTHORIZATION

Gentlemen:

You are hereby authorized to have the following work performed:

Proposal No.

It is understood that the amount of the Contract Consideration is to be increased on a time andmaterial basis for this change by the execution of a subsequent documented change to theContract.

In order that the Contractor be paid promptly for this work, a detailed proposal must be obtainedfrom the Contractor and submitted promptly with your review and recommendation permitting theissuance of a formal change authorization to the Contract.

Very truly yours,

John K. Hagen, Jr., P.E.

Director of Construction Management

C: ContractorChange Proposal File

John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management

(518) 320-3210 ♦♦♦♦ Fax: (518) 689-2638♦♦♦♦ E-Mail: “[email protected]”



ITEM A-20

FORM OF BACKCHARGE LETTER

DATE

Re: SUCF Project No.TitleCampus

Contractor Name

Address

Gentlemen:

You are hereby directed to perform the following work:

(Describe work and location thereof)

In the event that you fail to comply with this directive within three (3) working days of thereceipt hereof, the Fund, under Section 4.06 of the Agreement, will omit said work from yourContract, may have the same performed by another Contractor and will backcharge your

Company by the issuance of a credit change order for all costs and expenses it incurs inconnection with your failure to comply with this directive. Such work is preliminarilyestimated to be valued at (amount in words) dollars ($numeric value) but this amount isnot firm and in no way limits the amount of the credit change order(s).

This direction or the issuance of the aforesaid credit change order(s) are without prejudiceto any other rights, remedies or claims of the Fund under the Contract.

Very truly yours,

Signed by Consultant or SUCF



ITEM A-21

STATE OF NEW YORKSTATE UNIVERSITY CONSTRUCTION FUND

ASBESTOS MATERIAL REMOVAL FACT SHEET

_____________ _________________________________________ __________ SUCF PROJ NO. PROJECT TITLE DATE

SCOPE OF WORK: ______________________________________________________________________

ASBESTOS CONTRACTOR: GENERAL CONTRACTOR:

Name/Address (if applicable) _________________________________________ ________________________________ _________________________________________ ________________________________ _________________________________________ ________________________________

Phone # ____________________________ Phone # _______________________________ Contract Awd Amt: ____________________ Asbestos Lic #: ________________________________ Contract Completion Date: ______________ Expiration Date: _______________________________

ASBESTOS ABATEMENT PERSONNEL: (Attach Additional Sheets as Required)

Social CertificateName Title/Function Sec. # Number Expiration Date1. ___________________________________________________________________________________ 2. ___________________________________________________________________________________ 3. ___________________________________________________________________________________ 4. ___________________________________________________________________________________

5. ___________________________________________________________________________________

ASBESTOS ABATEMENT WORK : (Attach Additional Sheets as Required)

Bldg. (1) Removal Location Material (2) Methods ofUsage (Bldg./Room) Removed Quantity (3) Removal

1. __________________________________________________________________________________ 2. __________________________________________________________________________________ 3. __________________________________________________________________________________ 4. __________________________________________________________________________________ 5. __________________________________________________________________________________

Date Removal Begins: ________________________ Ends: ___________________________

Asbestos Carrier: ___________________________ Disposal Site: ____________________ __________________________________________ ________________________________ __________________________________________ Phone No.: ______________________________ Phone No.: _______________________

Hauler Permit No(s).:__________________________________________________________________ __________________________________________________________________________________________

NOTE: In addition to the above information, the Contractor shall submit all required documentation as stipulated by the New York State Labor Law Article 30; Part 56, 12NYCRR, which includes a copy of the asbestos contractor license and all asbestos handling certificates, waste transporter permits, disposal receipt acknowledgement, and air test reports (prior, during, and after abatement).



STATE OF NEW YORKSTATE UNIVERSITY CONSTRUCTION FUND

ASBESTOS MATERIAL REMOVAL FACT SHEET KEY

1. BUILDING USAGE

A. AdministrationB. AcademicC. LibraryD. Health/Physical EducationE. Dining HallsF. DormitoryG. Mechanical RoomH. Steam TunnelI. Other

2. MATERIAL REMOVED

A. Acoustical/Decorative Plasters ADPB. Fireproofing Materials FMC. Troweled Wall/Ceiling Plasters TCPD. Mud Joints/Tees MJTE. Pipe Covering (List Size Pipe) PCF. Boiler/Hot Water Tank Insulations BHTIG. Panels/Ceiling Tiles . PCT

H. Transite Panels TPI. Vent/Drain Pipes (List Size) VDPJ. In-Place Gaskets IPGK. Vinyl Asbestos Siding VASL. Vinyl Asbestos Tile . VATM. Vinyl Asbestos Roofing VARN. Other (Describe) O

3. QUANTITY OF MATERIAL

S.F. Square Feet (i.e. walls, ceiling, structural members, etc.)L.F. Linear Feet (i.e. pipe, etc.)

4. REMOVAL METHODS

A. WetB. DryC. GlovebagD. TentE. Other



ITEM A-22

CF-C9

State University Construction FundRegulated Materials Disposal Fact Sheet

________________________ ______________________________________________________________________ SUCF Project No./Campus Project Title Date

Scope of Work: ______________________________________________________________________

Campus’ Generator No.: _________________________________________________________

General Contractor: Subcontractor:

Name / Address: _____________________________ (if applicable) _____________________ _____________________________ _________________________________ ___________________________________ ________________________________________

Telephone No. _____________________________ Telephone No. ____________________

Contract Award Amount: _____________________________________ Contract Completion Date: _____________________________________ Contract No.: _____________________________________

Listing of Regulated Materials Removed: (attach additional sheets as required)

Description: Qty/Units Method of Disposal Classification1. ________________________ ________ __________________________ ____________ 2. ________________________ ________ __________________________ ____________ 3. ________________________ ________ __________________________ ____________ 4. ________________________ ________ __________________________ ____________

5. ________________________ ________ __________________________ ____________

Date Removal Began: _____________ Date Disposal Complete: ________________

Location of Disposal Site(s): Transportation:

Name/Address ____________________ Name/Address __________________________ _________________________________ _______________________________________ _________________________________ _______________________________________ ________________________________________ _______________________________________________

Telephone No. _________________ Telephone No. __________________________ Facility Permit No. _________________ Hauler Permit No. ________________________ Expiration Date: ___________________ Expiration Date: _________________________

Material Testing

Required: _________________________ Not Required: ___________________________



ITEM A-23

CERTIFICATE OF INSURANCEFOR MATERIALS STORED OFF-SITE

To: State University Construction FundState University Plaza353 BroadwayAlbany, New York 12246

This is to certify that the insurance policies listed below have been issued by the undersigned and are in full force and effect on thedate borne by this Certificate.

Name and Address ______________________________________________________________ of Insured Contractor ______________________________________________________________

______________________________________________________________

Title and Number of ______________________________________________________________

Project to which this ______________________________________________________________ Certificate applies: ______________________________________________________________

KIND OF INSURANCE LIMITS OF LIABILITY POLICY NO. EFFECTIVE EXPIRATION

Builder's Riskw/ broad form extendedcoverage endorsement

$ _______________________________

As an inducement to the Fund to approve the undersigned as an insurance company issuing the policies listed above and thisCertificate as being in compliance with the construction contract between the Fund and

_____________________________________ _________________________________________, the undersigned insurance company, duly licensed to do business in the Stateof New York, hereby agrees as follows:

1. That the insurance policies listed above conform, in all respects, with the requirements set forth in Section 4.14(1)(c) ofArticle IV of the Agreement between the Fund and the Contractors.

2. That the insurance policies listed above shall not be changed or cancelled and that they will automatically be renewedupon expiration and continued in force until final acceptance by the Fund of all the work covered by the aforesaidconstruction contract unless the Fund is given fifteen (15) days' written notice to the contrary.

3. That the Fund shall not be liable for the payment of the premium on any of the insurance policies listed above and thatsuch premium shall be payable by the Contractor named above who shall also receive any dividends or other refunds dueunder the above-listed insurance policies.

4. The Insurer certifies that there is no inconsistency or conflict with or between any of the terms, provisions and conditionshereof and any of the terms, provisions and conditions of the policies listed above except for the following:

_________________________________________________________________________________________________

Name of Insurance Company Phone

Authorized Representative (Original Signature Required) Date

CISM5/04



ITEM A-24



Date


ContractorContractor Address

SUBJECT: Request for Federal Tax Identification Number forSUCF Project No. Contract No. D

Gentlemen:

Effective immediately, the Office of State Comptroller requires the Federal EmployerIdentification number or Social Security number of payees before processing payments.

To comply with this requirement we will need the social security numbers for individuals or

the employer identification number for partnerships or corporations.

To set up our file of tax identification numbers, we are forwarding this form letter. Will youplease enter in the box after your name above the tax identification number that will apply tothe State University Construction Fund project listed under “subject”.

Please return a completed copy of this letter to the State University Construction Fund, to myattention as promptly as possible.

Very truly yours,

SUCF Controller



ITEM A-25Rev. 6/02

STATE UNIVERSITY CONSTRUCTION FUNDCONSTRUCTION BUILDING PERMIT

Consultant of Record:

Project Title:

SUNY Campus:

SUCF Project No.:

Effective Date of Permit:

Expiration Date of Permit:

Attached are copies of the code analysis and code conformance drawings (required for all new buildings and major rehabs), if

available, prepared by the Architect and the Fund Code Review Comments for each phase.

BASIC INFORMATION

New Code (Codes of New York State, Title 19 Dept of State)

Nature of Work: _______________________________________________

_______________________________________________

Gross Area by Floor: Basement: ______ sq.ft.

First: ______ sq.ft.

Second: ______ sq.ft.

Third: ______ sq.ft.

Building Occupancy Classification: ______________________

Construction Type: ______________________

Project fully sprinklered Yes No

Based upon the code conformance reviews documented in the attached material, the Fund to the best of its knowledge and belief,

has determined the project is substantially in compliance with the requirements of the New York State Uniform Fire Protection

and Building Code. Permission is granted to proceed with construction subject to the periodic inspections required by theCertificate of Occupancy.

_______________________________________

Christopher P. Marcella, Director of Design

Offices of Preconstruction Services & Design

______________________________________

Code Compliance Manager

cc: To P. McSorley - attached to Notice of Award



ITEM A-26


WAIVER OF BUILDING PERMIT REQUIREMENT

Project Title:

SUNY Campus:

SUCF Project No.

Based on a review of the program this project consists of necessary repairs and/or replacement inkind which will not materially change the structural elements and/or the plumbing, electrical or

heating/ventilation systems of the building in which it will be constructed.

OR

Based on a review of the program this project consists of sitework such as roads, parking lots,

landscape or site utilities and does not involve work inside a building except for utility connections.

Christopher P. Marcella, Director of Design

Offices of Preconstruction Services & Design

TO: Christopher P. Marcella

FROM: (Coordinator)

DATE:

No changes have been made to the above project during design that would effect the determination that a

Building Permit is not required.

cc: P. McSorley - attached to Notice of Award



ITEM A-27

(CONTRACTOR LETTERHEAD)

Date

Re: SUCF Project No.

Project Title

Campus

State University Construction Fund

353 Broadway

Albany, New York 12246

Attention: Mr. John K. Hagen, Jr.

Director of Construction

Subject: COMPLETION OF PROJECT

Gentlemen:

Please be advised that the captioned project has been completed in accordance with

the Contract Documents and is ready for acceptance and occupancy.

Very truly yours,

(Officer of the Company)

cc: Consultant

Project Coordinator



ITEM A-28

(CONSULTANT LETTERHEAD)

Date


(Project Title)

State University

State University Construction Fund353 Broadway

Albany, New York 12246

Attention: Mr. John K. Hagen, Jr.

Director of Construction

Subject: ACCEPTANCE OF PROJECT

Gentlemen:

Please be advised that to the best of our knowledge and belief, the captioned project

has been completed in accord with our Contract Documents, and the project conforms

to all requirements of the New York State Uniform Fire Prevention and Building Code.

It is our recommendation that the project be occupied, and that a Certificate of

Occupancy be issued for the project.

Very truly yours,

(Consultant of Record)



ITEM A-29STATE OF NEW YORK

STATE UNIVERSITY CONSTRUCTION FUNDCHECKLIST FOR SUBSTANTIAL COMPLETION

SUCF Project No. Campus:

Project Title:

INITIALS REMARKS

Keys

Money due Campus

Operating Instructions

Spare Parts Lists

Shop Drawings

Cuts and Brochures

Bonds, Guarantees, etc.

Record Information to Architect

Punch List Established

Campus Personnel Instructed

Release

Notes:

Approved by:

Date:

CF-C6



ITEM A-30

STATE UNIVERSITY CONSTRUCTIONFUND

CERTIFICATE OF OCCUPANCY


Project Title:

SUNY Campus:

SUCF Project No.:

Effective Date of Occupancy:

To the best of our knowledge and belief, the captioned project has been substantiallycompleted in accordance with the Contract Documents, the Building Permit issued for theProject, and with Change Order Nos. 1 through *.

Based on periodic inspections that have been made during the construction of the project andthe Final Inspection on XXX, permission is granted to occupy the project.

___________________________________

John K. Hagen, Jr., Director of Construction

__________________________________ Code Compliance Officer

*See final Change Order for final cost and Change Order file for changes relating to this project



ITEM A-31

STATE UNIVERSITY CONSTRUCTIONFUND

TEMPORARY CERTIFICATE OFOCCUPANCY


Project Title:

SUNY Campus:

SUCF Project No.:

Effective Date of Occupancy:

To the best of our knowledge and belief, the captioned project has been substantiallycompleted in accordance with the Contract Documents, the Building Permit issued for theProject, and with Change Order Nos. 1 through *.

Based on periodic inspections that have been made during the construction of the project andthe Final Inspection on XXX, permission is granted to occupy the following portion of theproject.

LIST OF SPACES TO BE OCCUPIED

Until the Contract has been substantially completed, the remainder of the project should not beused until a permanent Certificate of Occupancy is issued.

______________________________ John K. Hagen, Jr., P.E.Director of Construction

_______________________________ Code Compliance Officer




CONSTRUCTION INSPECTION REPORT

Consultant:

Project Title:SUNY Campus:SUCF Project No.

ITEMDATE

STARTEDDATE

COMPLETEINSPECTED

BY

Foundations

Super Structure

Electrical

Plumbing

HVAC

Fire Protection

Fire Detection

Exits



ITEM A-33

FINAL INSPECTION REPORT


Project Title:

SUNY Campus:

SUCF Project No.:

On (Date), a Final Inspection of the captioned project was made by the following:

Represented by:

Fund

SUNY

Consultant

Engineer(s)

General Contractor

Subcontractor(s)

The project was found to be substantially completed in accordance with the ContractDocuments, the Building Permit issued for the project, and with Change Order Nos. 1 throughX, except for the attached Punch List.*

The Contractor, by letter dated X, stated that the project has been completedin accordance with the Contract.

The Consultant, by letter dated X, has recommended to SUCF acceptance of the project.

_____________________________ Fund Project Coordinator Regional Director of Construction




ITEM A-34FACT SHEET FOR PROJECTS

REQUIRING BUILDING PERMIT AND CERTIFICATE OF OCCUPANCY

1. SUCF Project No. .................................................................................................................

2. Project Title: ..........................................................................................................................Campus: ................................................................................................................................

3. Award Value: ....................................................................................................................... $

4. Final Value: ......................................................................................................................... $

5. Consultant of Record: ............................................................................................................

6. Date of Building Permit ..........................................................................................................

7. Expiration Date of Building Permit .........................................................................................

8. Date of Extension of Building Permit: .............................................................................. N/A

9. Expiration Date of Extended Building Permit ................................................................... N/A

10. Date of Partial Acceptance Inspection: ............................................................................ N/A

11. Date of Temporary Certificate of Occupancy: .................................................................. N/A

12. Date of Letter to President regarding Partial Acceptance of Projectand Transmitting Temporary Certificate of Occupancy .................................................... N/A

13. Date of Contractor's Letter of Project Completion ..................................................................

14. Date of Consultant’s Letter Recommending Acceptance: ......................................................

15. Date of Final Inspection Report: ............................................................................................

16. Date of Certificate of Occupancy: ..........................................................................................

17. Date of Letter to President regarding Final Acceptance of Projectand Transmitting Certificate of Occupancy: ...........................................................................

18. Code Compliance Manager issuing Permit ............................................................................

19. Code Compliance Manager issuing Temporary Certificate of Occupancy: ...................... N/A

20. Code Compliance Manager issuing Certificate of Occupancy: ..............................................



ITEM A-35



Date


State University Construction Fund353 BroadwayAlbany, New York 12246

Attention: Director of Construction

Subject: FINAL INSPECTION AND ACCEPTANCE (FINAL)

Gentlemen:

On X, an inspection of the above-referenced project was made by representatives of theCampus, State University Construction Fund, the Consultant, and the Contractor.

The project is accepted, subject to the attached Punch List, as of 8:00 a.m. on X, at which timethe College will be solely responsible for the operation, maintenance and security of thefacility. This marks the start of the one-year guarantee period.

ACKNOWLEDGED:

For the Campus: State University Construction Fund:

___________________________________ Designated Campus Officer Fund Project CoordinatorTitle





ITEM A-36


Albany, NY 12246

www.sucf.suny.edu

Date


President

CampusAddress

SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL)

Dear President :

On XXX, an inspection of the above-referenced project was made by representatives of the College (),State University Construction Fund («coordinator»); the Consultant, and the Contractor ( ).

The project is accepted, subject to the attached Punch List, as of 8:00 a.m. on XXX, at which time theCollege will be solely responsible for the operation, maintenance, and security of the facility. This marks

the start of the one-year general guarantee period.

During the one-year general guarantee period, all contractual construction defects are required to becorrected by the Contractor without any additional cost. In order to ensure that this requirement is fullycomplied with by the Contractor, it is imperative that your authorized Campus representative orrepresentatives promptly notify the undersigned in writing of any contractual construction defects of whichthey may become aware. It is essential that this notification be given promptly, and that it not be deferreduntil the end of the one-year general guarantee period, in order for the Fund to timely notify the Contractorand have the defect corrected.

Very truly yours,

John K. Hagen, Jr., P.E.Director of Construction Management

cc: FacilitiesInformation Services





ITEM A-37



Date


Project TitleCampus

ContractorAddress

SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL)

Gentlemen:

On XXX, an inspection of the above-referenced project was made by representativesof the College (), State University Construction Fund («coordinator»); the Consultant

(); and the Contractor ( ).

The project is accepted, subject to the attached Punch List, as of 8:00 a.m. on XXX, atwhich time the College will be solely responsible for the operation, maintenance andsecurity of the facility. This marks the start of the one-year general guarantee period.

Very truly yours,


cc: ConsultantInformation Services



ITEM A-38





Date

Re: SUCF Project No. Project TitleCampus

State University Construction Fund353 BroadwayAlbany, New York 12246

Attention: Director of Construction

SUBJECT: END OF ONE-YEAR GUARANTEE PERIOD

Gentlemen:

As the result of the inspection made on XXX of the above-referenced project at the Campus byrepresentatives of the Campus and State University Construction Fund, the Contractor was found tohave complied with all requirements of its one-year guarantee.

ACKNOWLEDGED:

For the College: For State University Construction Fund:

__________________________________ Designated Campus Officer Fund Project Coordinator




(518) 320-3210 ♦♦♦♦ Fax: (518) 689-2638 ♦♦♦♦ E-Mail: “[email protected]”

ITEM A-39



Date


PresidentCampusAddress

SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD

Dear President XXXX:

On X, an inspection of the referenced project was made by representatives of theFund ( ), and the Campus ( ).

The Contractor was found to have complied with all requirements of its one-yearguarantee.

Very truly yours,


cc: Facilities




(518) 320-3210 ♦♦♦♦ Fax: (518) 689-2638 ♦♦♦♦ E-Mail: “[email protected]”

ITEM A-40



Date


ContractorAddress

SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD

Gentlemen:

On X, an inspection of the referenced project was made by representatives of the Fund ( ),and the Campus ( ).

The Contractor was found to have complied with all requirements of its one-year guarantee.

Very truly yours,


cc: Consultant



Office of Construction Management Page 79 Management of Construction Projects Appendix B – Processing Flow Charts

Item A-41

LABOR RATE BREAKDOWN

SUCF Project No.: Project Location:

Contractor: Date: _____________

Trade: ________________________________________________

Effective Date: Expiration Date: __________________

*Base Hourly Rate: $________

Payroll Taxes and Insurance % HourF.I.C.A. ______ Federal Unemployment ______ State Unemployment ______ **Workman’s Compensation ______ ***B.I. & P.D. ______ Disability ______

TOTAL %

Payroll Taxes and Insurance Rates: Base Rate (X) Total % = $_________

Supplemental Benefits $ HourVacation ______ Health & Welfare ______ Pension ______ Annuity ______ Education/App. Training ______ Industry ______

______ ______ ______

Total Hourly Fringe Benefits $______

Hourly Labor Rate: Base Rate, Taxes/Insurance and Fringe Benefits $______

*If any supplemental benefits are paid in the hourly rate, submit two (2) separate weekly copies of a certified payroll.

**Workman’s Compensation, B.I. and P.D. rates are net Contractor cost after premium discounts, experience modification and assessments have been applied against the manual rate.

***In accordance with Sections 4.02 and 5.06 of the Contract Documents, only payroll related liability insurances are reimbursable.



Office of Construction Management Page

Management of Construction Projects Appendix B – Process Flow Charts

80

ITEM A-42





81

ITEM A-43





82

Item A-43





83

APPENDIX B – FLOW CHARTSTABLE OF CONTENTS

Final Inspection and Acceptance flow Chart ......................................................... B-1End of One Year Guarantee Flow Chart ............................................................... B-2



ITEM B-1

FINAL INSPECTION and ACCEPTANCE

ContractorSUCF

ConstructionCampusConsultant

Letter Advising

Contract

Complete (27)

Confirmation of Project Substantial Completion

Uncompleted

Work Items List

Final Inspection Walk Through

Acceptance

Letter and

Punch List (28)

Construction

Inspection

Report (32)

(if required)

Checklist for

Substantial

Completion,

CF-C6 (29)

Receipt of

Final Inspection

Acceptance

Letter (36)

Final Inspection

Acceptance

Sign-Off (35)

Sign & Return

Final Inspection

Acceptance

(35)

Certificate of

Occupancy (30)

(if required)

Final

Inspection

Acceptance

Letters (36

and 37)

Receipt of Final

Inspection

Acceptance

Letter (37)Receipt of Final

Inspection

Acceptance Letter(copy 37)

Receipt of Letter

Advising Contract

Complete (27)Receipt of Letter

Advising Contract

Complete (copy 27)

Final Inspection

Report (33)

(if required)

Fact Sheet for

Certificate of

Occupancy (34)

(if required)



ITEM B-2

END OF ONE YEAR GUARANTEE

Final Balancingof

HVACSystems

ContractorSUCF

ConstructionCampusConsultant

GuaranteeIssues

GuaranteeList

GuaranteeIssues

Deficiencies Corrections

End of Guarantee Inspection

Completion of Corrections

End of

GuaranteePeriod Letters( d )

Receipt of Endof Guarantee

Letter (39)

Receipt of Endof Guarantee

Letter (40)

End ofGuarantee Sign

Off Letter (38)

Sign & ReturnEnd of GuaranteeSign-Off Letter 38)

Receipt ofGuarantee List