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					 STATE UNIVERSITY
CONSTRUCTION FUND




MANAGEMENT
                OF
CONSTRUCTION
  PROJECTS




353 Broadway, Albany, New York 12246
           518 320-3210
         Fax: 518 689-2638
         www.sucf.suny.edu
                                       10/07/11 dw
                                       TABLE OF CONTENTS




                                                       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




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




Office of Construction Management                                                 Page 3
Management of Construction Projects                                Construction Prologue
                                                                                      Construction Prologue

The Consultant has been guided through the design phases of its project by the State
University Construction Fund’s three objectives – achieving quality architecture, on schedule
and within budget limitations. The product of these efforts will be lost unless it continues to
pursue these objectives during the construction of the project. Final achievement of these
objectives depends not only on the Consultant’s proper involvement during design but on its
continued and proper involvement during construction. This document does not supersede any
provisions of the Contract

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

This manual is devoted to the design and construction phase procedures and requirements
necessary to achieve the Fund’s objectives during construction and to assist the Consultant in
assuming its full responsibilities1. It is understood the purpose of this manual is to provide
guidance 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 projects
through design phases. It is equally important to properly organize and staff a project during
construction. The Fund expects the Consultant to provide complete services during the
construction phase with frequent inspections of the work at the job site by its office personnel
and those of its Consultants. In addition, the Fund requires that the Consultant maintain, at
the 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 on
the construction market. The number and composition of the field staff should be planned in
consideration of the type and complexity of the construction project and with the aim of
organizing the staff to meet the Fund’s major objectives.

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

After approval of the plan, the Consultant and its Consultants shall conduct interviews to fill the
authorized 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 of
Construction Management. Final interviews will be arranged and, upon consent of the Fund, a
salary and starting date for employment will be established.

THE BIDDING PERIOD: The most important role the Consultant plays during the bidding
period is in attracting and interesting qualified Contractors to participate in the bidding for
construction of SUCF projects. To best attract and interest qualified Contractors in Fund
projects, the Consultant may have to begin these activities prior to putting a project on the
market. This may require the Consultant to make an inventory of Contractors who have bid or
1
 Where Federal funds are involved, the separate Fund bulletin dealing with projects involving Federal Funds should be
followed

Office of Construction Management                                                                                 Page 4
Management of Construction Projects                                                                Construction Prologue
might be expected to bid on projects in its area and to seek out those Contractors to determine
their willingness to bid on the project or to attempt to stimulate such interest. An assessment
of 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 Design
Project Coordinator2 the names, addresses and roles of all those requesting plans and
specifications. In addition, the report should indicate its appraisal of the sincerity of potential
bidders. It should describe the activity that it is engaging in to attempt to interest additional
Contractors or subcontractors in bidding the project. The Consultant must also submit a final
report, three days prior to the bid opening, which then currently identifies likely bidders.

ADDENDA AND AMENDMENTS TO FUND DOCUMENTS: No addenda, revisions, deletions
or additions will be made by the Consultant to the Fund’s standard documents without prior
approval 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 be
issued during the last week of the bidding period.

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

BID ANALYSIS MEETING: After the bid opening there may be a Bid Analysis Meeting at the
Fund offices with representatives of the Design Section of the Office of Design and
Construction 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 must
prepare minutes for distribution to the participants.

The Consultant, Design Project Coordinator and Regional Director of Design are provided with
one copy of all bid proposals for use in analyzing bids. There is a Post-Bid Checklist specimen
included in the Appendix, which is to be followed. At the end of this meeting, the original
copies 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 bidders
via email, requesting each bidder name its principal subcontractors and provide all other
qualifying 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 in
the case of Contractors who previously submitted this material. The request also emphasizes
that submission must be prepared in duplicate, one copy to be submitted directly to the
Consultant’s main office and one copy directly to the Fund Assistant General Manager, Office
of Construction Management. The necessary documents must be received no later than 2:00
P.M. of the second business day following opening of bids.

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

2
    Fund Project Coordinator will be designated for each project.


Office of Construction Management                                                             Page 5
Management of Construction Projects                                            Construction Prologue
of the Fund. The purpose of the Pre- Award Meeting is to assess the capacity of the low-bid
Contractor 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 be
desirable to review the qualifications of Contractors other than the lowest bidder at this
meeting to provide the Consultant with information necessary to permit a viable
recommendation for the award of the Contract.

Prior to this meeting the Consultant must review the experience and qualifications of the low
bidder and its designated subcontractors with other Consultants, Contractors, and the Owner
for 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 its
Principal Consultants, the low-bidding Contractor with, if special project conditions warrant, its
proposed Principal Subcontractors and Fund representatives.

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

CONTRACT AWARD: The Bidding Period ends with an affirmative decision by the Fund
regarding the award of the Contract. The successful low bidder will be sent a “Notice of
Award” letter which serves as the Funds’ formal letter of intent. Concurrently, the Fund’s legal
office 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 separate
Fund 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 payments
may be made under the authority of the Notice of Award letter. Full execution of the Contract
is 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 project
coordination responsibility from the Design Section to the Construction Management Section.
A construction phase Project Coordinator will be assigned who will monitor formal Contract
execution 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 of
Pre-Construction Services. Prior to construction, the Fund will mail to the Contractor the
building permit for the project or, if applicable, a waiver of the building permit. This document
must be posted conspicuously on the construction site for the duration of the project.




Office of Construction Management                                                            Page 6
Management of Construction Projects                                           Construction Prologue
                                                                     Construction Contracts
CONTRACT DOCUMENTS: The Construction Contract is the agreement between the Fund
and the Contractor for the construction of the Project.

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

    A.   Covers and Cover Sheet
    B.   Table of Contents
    C.   Notice to Bidders
    D.   Information for Bidders
    E.   Agreement
    F.   List of allowances included in bidding documents
    G.   List of unit prices included in bidding documents (prices are to be left blank)
    H.   Performance Bond
    I.   Labor and Material Bond
    J.   Division I of the Technical Specifications
    K.   All Addenda

After the project is awarded, the Fund’s legal office prepares the Contract (Agreement) and
forwards the documents to the Contractor for execution. A copy of a letter of transmittal
containing 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 Contractor
receives the completed Contract, the Fund will issue the Notice to Proceed letter. The
Contract 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 Fund
construction Contracts.

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




Office of Construction Management                                                              Page 7
Management of Construction Projects                                             Construction Contracts
                                                             TABLE 1
                                                        CONTRACT CHECKLIST

PROPOSAL
PAGE P-1                                                                SCHEDULE II
        Bidder’s Name and Address                                            Allowances (Type/amounts; if none, so state)
        Full Project Title
        Project Location                                               LABOR AND MATERIAL BOND
        SUCF Project Number
        Completion Date                                                PAGE B-1
        Liquidated Damages (If none, so state)                                 Contractor’s Name and Address
                                                                                Surety Company Name and Address
PAGE P-2                                                                        Contract Amount (words/figures)
        Item 5.A: Total Bid (Words and Figures)                                Contract Date
        Item 5.B: Alternates (Words and Figures) for                           Project Title, including SUCF No.
         Proposed Work                                                          Date (On or after Contract Date)
        Item 5.C: Unit Prices                                                  Contractor’s Name
        Item 6: Allowance                                                      Signature of Contractor’s Authorized Officer
                                                                                Seal (If Corporation)
PAGE P-3                                                                        Surely Name
        Bid Security Amount                                                    Signature of Surety’s “Attorney-in-Fact” or other
        Contractor Name                                                         representative
        Signature/Title of Contractor’s Authorized Officer                     Seal of Surety (If corporation)
        Seal (If Corporation)
        Item 9: Addenda, with date(s)                                  ACKNOWLEDGEMENT BY PRINCIPAL

PAGE P-4                                                                PAGE B-3
          Bidder’s Official Address. If Bidder is a corporation list           Complete all blanks in Acknowledgement of Principal
of corporate officers, or partners or joint venture,    or individual            (Contractor), including notary signature, notary seal,
owner, with names and addresses.                                                 showing expiration date of notary’s commission.

AGREEMENT                                                                          Complete all blanks in Acknowledgement of Surety,
                                                                                    including notary signature, notary seal, date (should   be
PAGE A-1                                                                on or after Contract date).
        Contractor’s Name and Address
        Date (Effective Date in Notice of Award)                       PERFORMANCE BOND
        Full Project Title, including SUCF Number
        Completion Date                                                PAGE B-2
        Liquidated Damages                                                     Contractor’s Name and Address
                                                                                Surety Company Name and Address
PAGE A-15                                                                       Contract Amount (words/figures)
       4.01: Total Contract Amount (words/figures)                             Contract Date
                                                                                Project Title, including SUCF No.
PAGE A-28:                                                                      Date (on or after Contract date)
       Contractor’s Name                                                       Contractor’s Name
       Signature of Contractor’s Authorized Officer                            Signature of Contractor’s Authorized Officer
       Seal (If Corporation)                                                   Seal (If Corporation)
                                                                                Surety name
PAGE A-29                                                                       Signature of Surety’s “Attorney-in-Fact” or other
       Acknowledgements                                                         representative
                                                                                Seal of Surety (If Corporation)
SCHEDULE
      Unit Prices (must confirm with those in Notice of
       award; if none, so state)




Office of Construction Management                                                                                                   Page 8
Management of Construction Projects                                                                                  Construction Contracts
                                               TABLE 2
                                         CONTRACT DISTRIBUTION3




Document

General Construction Contract:                                Total Copies Required: 4


Distribution (Executed)
2              To the Fund
1              To the Consultant
1              To the Contractor




Federal Contract:                                             Total Copies Required: 5

Distribution (Executed)
2              To the Fund
1              To the Consultant
1              To the Contractor
1              To Federal Government




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


Office of Construction Management                                                                       Page 9
Management of Construction Projects                                                      Construction Contracts
                                                                     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 10
Management of Construction Projects                                           Construction Phase
                                                                        Construction Phase

The Consultant shall furnish general administration for each construction Contract awarded for
the 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 the
purpose, goals, organization and Contract requirements as related to the project. The meeting
affords an opportunity for those individuals who will be working together to become familiar
with 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 Federal
Government (or any other relevant potential sponsor) may be present if a Federal project is
included.

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 special
        condition associated with the project, along with a generic discussion of the Contractors
        proposed 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 to
maintenance and control of pedestrian and vehicular traffic, construction fencing (long and
short duration), safety, Contractor’s control to the site, parking, temporary utilities, etc.

Correspondence, Reports Construction Phase Submittals

COMMUNICATION BETWEEEN FUND, CONSULTANTS, AND CONTRACTOR: The
Consultant and the Contractor will communicate directly with each other unless directed
otherwise. Copies of all correspondence are to be issued to the Fund Project Coordinator on
all matters.

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

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

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


Office of Construction Management                                                          Page 11
Management of Construction Projects                                   Payments and Reimbursements
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 the
Consultant: 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 after
        receipt of Notice to Proceed, showing sufficient detailed information to reflect the first
        90 days of Contract activity. Since the Fund strives to hold the initial project orientation
        meeting as soon as possible after award, the 90-day schedule should be available for
        review 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 to
        the Contract requirements. Therefore, if the Contractor chooses to accelerate the
        project’s completion date from the contractual completion date, the Fund realizes that it
        is everyone’s benefit to progress a project schedule as efficient and timely as the
        Contractor deems appropriate. It should be noted that the Contractor’s schedule does
        not change the contractual completion date. The project schedule is to be reviewed by
        the Consultant and forwarded to the Fund with comments. The Fund will respond to
        the Consultant with the Fund’s review prior to responding to the Contractor. The
        Project 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 payment
        and that said date should be shown on the project schedule, along with any early
        targeted completion date.

     2. CONTRACT BREAKDOWN (Fund Form CF-C2): Prior to submitting an initial
        payment, the Contractor must obtain an approved Contract breakdown (Schedule of
        Values) for the purpose of tracking Contract completion and payment. The breakdown
        shall provide sufficient detail on one page, as required by both the Consultant and the
        Fund, to have a full understanding of Contract progress. If the scope and size of the
        project 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 should
        only reflect these types of activities, with the exception of bonds. Bonds should be
        listed as Item 1 on the Contract Breakdown Sheet (CF-C2); proper proof of payment of
        the bonds as required by the Fund shall be provided before payment of said item. The
        guarantee item, if required by the Contract, shall be listed as the last item. Any
        deviations to this format as requested by the Contractor, shall have the approval of both
        the Consultant and the Fund. The Contract breakdown should be forwarded to the
        Fund with recommendations. The Consultant must have the Fund’s concurrence of the
        Contract breakdown prior to approval.



Office of Construction Management                                                            Page 12
Management of Construction Projects                                               Construction Phase
        After review of the Contractor’s Contract Breakdown and the Consultant’s
        recommendation, the Fund will advise, in writing, the Consultant of its decision. This
        decision 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 concurrence
       with 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 with
       qualification within 30 days of Notice of Award.

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

    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 and
       recommendations to the Fund. No copy of this correspondence is sent to the
       Contractor or the Campus. The Fund will review the Consultant’s
       recommendations and respond.

COMMUNICATION WITH BONDING COMPANY: No communication should be sent by the
Consultant employed by the Fund to a Contractor’s Bonding Company unless such a letter has
been approved, in writing, by either the Fund’s Counsel or Assistant General Manager, Office
of 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 equivalents
        must 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 30
days to the Fund for approval.

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

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



Office of Construction Management                                                        Page 13
Management of Construction Projects                                           Construction Phase
When shop drawings and other submittals are found unacceptable or incorrect, their rejection
should be prompt, complete and documented. Whenever shop drawings and other submittals
do 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-time
superintendent. In his absence, an individual must be named, acceptable to the Consultant
and Fund, having authority to receive and execute instructions given by the Consultant or its
representative. The full-time superintendent with qualifications must be submitted to the
Consultant and the Fund for acceptance.

JOB MEETINGS: Job meetings are to be scheduled and conducted by the Consultant at least
bi-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. A
representative of the University/College may also participate, as an observer. Meeting
minutes are to be issued by the Consultant.

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

ASBESTOS ABATEMENT: The Contractor will be required to provide substantial
documentation, 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 any
work commencing on asbestos abatement. In addition to this Fact Sheet, the Contractor will
be 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 supervisor
responsible for such operations, together with documentation that such supervisor has
completed an Environmental Protection Agency approved training course for asbestos
supervisors. 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 the
removal and disposal of regulated material such as PCB Transformers, contaminated duct
work, hazardous and non-hazardous contaminated material, etc. will require detailed record
keeping. Appendix Item 22 is a fact sheet for record keeping on these types of projects. The
actual records that should be kept in the project files will vary, depending on the project and
type of material removed. The fact sheet should be completed by the Fund Project
Coordinator from information supplied by the Contractor and the Consultant.




Office of Construction Management                                                         Page 14
Management of Construction Projects                                            Construction Phase
SALES AND USE TAXES AND EXEMPTIONS: Under the Fund’s lump-sum contract, all
supplies and materials incorporated into the project are exempt from all local and State sales
and 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 for
such exemption. However, under the requirements of the New York State Department of
Taxation and Finance (518-457-5431 or www.tax.ny.gov), each Contractor must file a request
for Tax Exemption Certificate (Form ST-120.1) which it will be required to supply to its vendors
and subcontractors.

CHANGE AND FIELD ORDERS: Fund procedures are intended to minimize the number of
change and field orders. All change and field orders must be authorized by the Fund in
writing. 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 of
emergency or under conditions where the scope of work cannot be determined in advance
without causing unacceptable impact to the progress of the work, the Fund will direct the
Consultant to issue an Authorization to Proceed letter. Proceed Orders are issued only when
time is of the essence and proper staffing of an anticipated change will materially impact the
completion of a project or result in additional costs to the Fund. The accepted form for such a
letter appears in the Appendix of this document (Item 19).

Prompt payment for all work satisfactorily completed is Fund policy. Therefore, timely
processing 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 regarding
change orders and field orders are to be furnished concurrently to the designated Fund Project
Coordinator 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 detailed
breakdown of items of work including an overall value for labor and material and the portions
of work to be done by the Contractor and/or Subcontractors. Unsupported lump-sum
quotations are not acceptable. Where appropriate, Contract unit prices should be utilized and
identified 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, the
Consultant should submit the proposal together with their review and recommendations, to the
Fund’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.



Office of Construction Management                                                         Page 15
Management of Construction Projects                                            Construction Phase
d.      The Consultant’s stated evaluation of the reasonableness of quantities and price in
        accordance 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, etc
f.      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 the
Fund.

The Fund will electronically transmit change orders, Form CF-C9, to the Consultant. The
Consultant will sign three (3) copies and transmit same to the Contractor directing same to
sign 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. For
Field 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 to
applicable drawings. Necessary deletions from and/or additions to the specifications should
appear in the body of the change/field order under the “Description of Change” portion or on a
separate attached sheet.

The total amount shown on the body of each change/field order, including those computed on
the 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 the
Consultant, 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 on
SUCF Form CF-C3 with the summation of additive and deductive change orders posted on
Form CF-C2 (see Appendix Items 6 and 7). All approved field orders will be listed on SUCF
Form CF-C11 (see Appendix Item 8).

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

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



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Management of Construction Projects                                            Construction Phase
                                                 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




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Management of Construction Projects                                     Construction Phase
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 for
Payment:

Introduction

This document provides a step-by-step reference for submitting Contractor payment
applications 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 directed
to 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 (see
                        Construction Management Procedures Manual).
        Step 5          In CMR, enter application for payment, submit for approval and print
                        Certification. Obtain required signatures on Certification and forward with
                        required supporting documentation to Project Coordinator.

Step 1 - Obtaining Access to CMR

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

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

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.




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General Information




        The Main Menu can always be accessed at any point by clicking on “Contract
        Management Reporting” on the left side of the screen. To go back to a previous
        submenu, you can click either the “Back” button at the bottom of the screen or your
        browser back button. It is recommended that you return to the Main Menu prior to
        exiting the application.

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




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        At any time prior to electronically submitting the payment request to the Fund, you may
        edit and save the information by clicking on the “Save” button at the bottom of the
        screens. 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 save
        your 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.

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           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 save
            your 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.

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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




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           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.)




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  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 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.




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Retention Tab




           Amounts withheld from the current payment request, based on the contract, will be
            calculated and displayed on this tab.

MWBE Tab




           All MWBE Contractors in the approved MWBE Utilization Plan will appear here, along with the
            approved plan values.



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Management of Construction Projects                                        Payments and Reimbursements
           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 actually
            paid 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 sucf.opportunitiesadmin@suny.edu
            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 menu
                 o 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.




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Management of Construction Projects                                           Payments and Reimbursements
 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’s
and Consultant’s representative must have authority to commit their firms in reference to
approval of monthly payment applications.

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

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

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payment may be processed, proof of required Contractor’s insurance must have been received
and approved by the Fund. The Contract breakdown must include an item for the one-year
guarantee 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 are
held at approximately the same time each month at the jobsite. It is encouraged that a
payment meeting be held in conjunction with a bi-weekly project meeting.

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

At the ensuing monthly payment meeting a final review of the application will be performed by
the Fund and the Consultant(s). The Contractor will have prepared three copies of its payment
application 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 the
Consultant and Contractor before the meeting is adjourned. The Fund Project Coordinator
should leave the payment meeting with two executed Payment Forms that will be returned to
the Fund’s main office for processing. It is not the intent for payment applications to be mailed
back 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.




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

CF-C1           Statement of Account – Contractor’s Monthly Application for Payment (Date of
                Contractor’s signature cannot be prior to the work period ending date). Form
                requires 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 Requisition
                Worksheet, DC-5 Form, is a backup form which may be used to provide a detailed
                breakdown 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 are
                to be listed.

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

CF-C4As         Wage Rate Certifications. These are payment affidavits required by the New York
                State Department of Labor pursuant to Section 220-a of the Labor Law, and must be
                completed in duplicate with original signatures. These forms are required from the
                General Contractor, all subcontractors and sub-subcontractors performing work
                under 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 the
                final payment and the guarantee payment when work is performed during the
                warranty period.

CF-C5           Verification of subcontractor(s) payment from previous payment application. This
                form 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 the
                General Contractor’s payment application number.

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

CF-C8           Minority/Women’s Business Enterprise Program Payment Report. Each payment
                application shall include Detail of Payments to MBE/WBE Subcontractors and
                Suppliers, Form CF-C8. The Contractor shall transfer all information to this form
                relative to MBE/WBE Subcontractors and suppliers. If no payment is due to one or
                more 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 the
                Fund Project Coordinator.




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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, as
shown in the table below.

“Foreign Contractors” as defined by Section 4.15 Paragraph (d) of the contract are additionally
required to submit, as part of each initial and final contract payment request, a certificate from
the New York State Tax Commission stating that all New York State taxes have been satisfied.
                                                 TABLE 3
                      PAYMENT FORMS IN ADDITION TO ELECTRONIC PAYMENT APPLICATION

       Set      Set No. 1              Set No. 2            Set No. 3          Set No. 4
       No.      Original Signature     Original Signature   Copy               Copy
       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 the
Fund. Additional documents may be requested to substantiate a request for payment and any
certifications 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 asbestos
abatement work has been completed by the contractor. The consultant reviews work and if
finalized issues letter to Construction Project Coordinator stating asbestos abatement work
has been completed. Copy will be forwarded to SUCF Controller’s Services and SUCF
Counsels Office to eliminate need to renew asbestos abate insurance.

PAYMENT FOR MATERIALS: Payment for materials delivered to site will be in accordance
with Section 4.12 of the Construction Agreement. Payment for materials stored off-site will be
in accordance with Section 4.14. The Contractor shall notify in advance, prior to the payment
meeting, 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 materials
stored 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 accordance
with the provision of Section 4.10 of the Agreement, a final inspection is to be conducted in
accordance with the provisions of the Section entitled “Closeout of Construction Contracts.” At
that time the Consultant shall prepare a list of all uncompleted, unaccepted and corrective
work to be performed together with the estimated value thereof. After approval of this list by
the Fund, the Contractor’s retainage may be reduced to the cost of performing the work on the
list plus an amount necessary, in the Fund’s judgment, to satisfy any claims, liens or

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judgments against the Contractor which have not been suitably discharged. Before such
payment is to be made, the following items must be addressed, except that a dollar value may
be 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 to
expedite this process.

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

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

        *OPERATING INSTRUCTIONS AND SPARE PARTS LISTS: Basic mechanical and
        electrical 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 Coordinator
        has obtained verification that, as required by the SUCF Agreement, all bonds,
        guarantees and warranties exceeding the normal one-year guarantee period have been
        received by the Campus. All guarantees and warranties shall identify the respective
        SUNY Campus as the Owner.

        *CHARTS AND DIAGRAMS: Wiring diagrams, valve charts and other charts or
        diagrams required by the specifications must be framed under glass and mounted on
        the 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 furnished
        to 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. The
        Consultant is responsible for turning over to the Fund a testing log and respective test
        reports at the completion of the project.

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

        *RECORD INFORMATION FROM THE CONTRACTOR: The Consultant has received
        from the Contractor all record information required by SUCF Agreement Section 2.24 -
        Record Drawings and General Requirements.

        *CAMPUS PERSONNEL TRAINING / DEMONSTRATIONS: Mechanical, electrical
        systems 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, reviewed
        and approved by the Consultant and turned over to the Campus prior to scheduling
        training/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


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

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

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

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 or
at final application for payment:

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

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       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 implement
Chapter 698, Laws 1988 (Labor Affidavits) for all public improvement contracts.

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

    2. The Prime Contractor must immediately obtain the subcontractor’s certification. Such
       certification 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 the
       certification from the sub-subcontractor that he/she has in fact received the wage rates
       contained in the subject project. The Prime Contractor must immediately obtain the
       sub-subcontractor’s certification from the subcontractor which must be submitted by the
       Prime 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 Contractor
       must provide each subcontractor with such revised schedules and obtain a revised
       subcontractor’s certification, and the subcontractor must follow the same procedure
       with each sub-subcontractor. Revised schedules must be obtained for each updated
       wage rate period when the respective contractor is working on site.

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

    6. Updated wage rates are to be obtained by the Prime Contractor at the time they
       become effective from the Department of Labor. Wage rates will be posted at the
       Department 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 every
subcontractor and obtain all certifications as described in paragraph 4 above. The
Fund 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 be
required and the certifications from the subcontractors and sub-subcontractors listed must be
attached.


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Final payment will not be made without these certifications and it is recommended that three
originals 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 Prime
Contractor 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 and
warranty items are completed and the guarantee period expires.

When project completion has been verified, the Contractor must submit to the Consultant the
guarantee application for payment including CF-C1, CF-C4A1 accompanied by C-5 - Release
Form throughout the Fund’s Electronic Payment Application. The C-5 Release Form is only
required 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 General
Contractor must submit a Prime Contractor’s Certification (Ref. CF-C4A1 Item 11) for its work
on both the final and guarantee payments. The payroll period ending date must cover the time
period of the payment.




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                                       Closeout of Construction Contract

                                                                        GENERAL


                                            COMPLETION AND ACCEPTANCE
                                                     Substantially Complete
                                                               Facility Ready
                                                    Punch List Development
                                                      Contact Requirements
                                                               Project Delays
                                                              Partial Turnover
                                                   Certificates of Occupancy
                                                    Turnover to the Campus


                                      END OF ONE-YEAR GUARANTEE PERIOD




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Management of Construction Projects                 Closeout of Construction Contract
GENERAL

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

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

“Final Inspections” are made before turning over a project to Campus control. Guarantee
inspections are made near the end of the guarantee period, normally just prior to one full year
after 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 the
project can be utilized for its intended purpose the Contractor must submit a letter to the
Director of Construction, copied to the Consultant, stating that the project is ready for
inspection. If a building permit has been issued on the project, see section Certificates of
Occupancy below for required documentation.

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

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

    1. The Consultant must prepare a complete list with explicit descriptions of all
       uncompleted work for the project. Concurrently, the Consultant shall have all sub-
       consultants prepare a complete list with explicit descriptions of all uncompleted work for
       the project. The list must be issued as a single uniform document from the Consultant
       incorporating items provided by all sub-consultants. The list of deficiencies will be
       utilized 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 as
       a group prior to or while physically inspecting the project.

    3. The inspection shall be performed as follows:

               Roof
               Interior space
               Mechanical and electrical systems


Office of Construction Management                                                             Page 36
Management of Construction Projects                                 Closeout of Construction Contract
               Exterior
               Site work

    4. After the inspection has been completed, any new items discovered during the
       inspection will be added to the list. The uncompleted work list, as amended during the
       inspection, should be reproduced by the Consultant and furnished to the Contractor, the
       Campus and the Fund. If necessary, the Campus, Consultant, Sub-consultants,
       Contractor, and Mechanical and Electrical Subcontractors will assemble for a meeting
       conducted by the Fund representatives. Questions will be addressed concerning
       incomplete or missing items and punch list completion schedule. The Fund will utilize
       the list of items as the basis for the final acceptance punch list. It shall be the
       prerogative of the Fund as the result of the inspection to make the decision to accept
       the facility from the Contractor. Additional punch list items shall not be added after the
       Fund 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 before
       receiving final payment.

Items will not be added to the punch list after final inspection. In the event a defect develops
or is discovered subsequent to final acceptance, the issue will be identified as a guarantee
item. 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 effectively
balanced until the building is fully occupied. Preliminary balancing may be required ahead of
the final inspection, may be required. Final balancing of these systems may be considered to
be a Contract requirement to be met after final acceptance. All equipment in the building must
be running during the walk-through.

The Campus will be given the opportunity to acknowledge the Final Inspection and
Acceptance, 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, the
Contract documents will require various forms of documentation and inspections required for
final acceptance of a project. Therefore, each project will entail development of a unique
process 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

Office of Construction Management                                                             Page 37
Management of Construction Projects                                 Closeout of Construction Contract
the procedure described above for each building, phase, building segment or specific utility
individually.

When a project is ready for final inspection in the winter and the exterior and site work cannot
be properly inspected. The Fund will follow the above procedure, excluding exterior and site
work for later inspection and turnover.

CERTIFICATES OF COMPLETION OR OCCUPANCY: A project for which a building permit
has been issued requires a Certificate of Completion or Certificate of Occupancy to be issued
by the Office of Design and Construction Management - appendix item 30. A Temporary
Certificate of Completion or Occupancy may be issued for a partial acceptance – appendix
item 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 of
Completion or Occupancy. The Construction Inspection Report, Final Inspection Report, and
Fact Sheet are not required for projects with Building Permit Waivers.

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

TURNOVER TO THE CAMPUS: The turnover is documented by formal letters of “Final
Inspection and Acceptance,” to the Campus President and the Contractor from the Assistant
General Manager, Office of Design and Construction Management or the Director of
Construction. Turnover of a portion of the project shall be documented similarly. Prior to
issuing formal letters of Final Inspection and Acceptance, all projects require the following
documents 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


Office of Construction Management                                                            Page 38
Management of Construction Projects                                Closeout of Construction Contract
END OF ONE-YEAR GUARANTEE PERIOD

The one-year guarantee normally starts with the jointly agreed upon date of turnover for each
portion 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 for
inclusion in the Consultant’s formal “guarantee list” to be transmitted to the Contractor. The
Fund will provide this listing to the Consultant who in turn will notify the Campus and the Fund
of items that are not considered covered by the guarantee and issue the final list to the
Contractor. Additional items will not be added once the final consultant/campus guarantee list
has been generated. The Campus will be given the opportunity to acknowledge the End of
One Year Guarantee Period, but concurrence by the Campus is not required to execute an
End 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. If
any guarantee items are still not completed at the time of inspection, the Contractor will have
to complete all guarantee items before a guarantee payment is made.

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

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 projects
require the following documents to be completed and submitted for inclusion in the Contract
file.

       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 39
Management of Construction Projects                                Closeout of Construction Contract
                                                              Publicity and Disclosures

Fund projects frequently are newsworthy. The Fund is interested, not only in cooperating with
various 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 general
construction program of the University. Coordination of information to be disseminated to the
public is required, regardless of the media to be employed. This dictates careful review of any
releases, statements, statistics, estimates, utterances, etc. to verify their accuracy and to
insure 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 (news
release, 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 appropriate
and 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 40
Management of Construction Projects                                       Publicity and Disclosures
                                                 APPENDIXES
                                                 APPENDIX A -- Forms
                                      APPENDIX B – Process Flow Charts




Office of Construction Management                                     Page 41
Management of Construction Projects                       Appendix A -- Forms
                                         APPENDIX A -- FORMS
                                         TABLE OF CONTENTS
        Post Bid Checklist (DC-1) ..................................................................................... A-1
        Construction Contract Transmittal Letter (to Contractor)....................................... A-2
        Project Administrative Activity Schedule ............................................................... A-3
        Listing of Project Reports Required During Construction Period ........................... A-4
        Contractor’s Monthly Application for Payment (CF-C1)......................................... A-5
        Contractor’s Monthly Application for Final Payment (CF-C1) .............................. A-5A
        Payment Summary Report (CF-C1A) ................................................................. A-5B
        Contractor’s Monthly Application for Payment (Contract Breakdown) (CF-C2) ..... A-6
        Listing of Change Orders (CF-C3) ........................................................................ A-7
        Listing of Field Orders (CF-C11) ........................................................................... A-8
        Requisition Work Sheet (DC-5) ............................................................................. A-9
        Certification of Monthly Payment (CF-C5)........................................................... A-10
        Prime Contractor’s Certification (CF-C4AI) (2 pages) ......................................... A-11
        Subcontractor’s Certification (CF-C4A2) ............................................................. A-12
        Sub-subcontractor’s Certification (CF-C4A3) ...................................................... A-13
        Summary of Subcontractors Wage Rate Certifications (CF-C7A) ....................... A-14
        M/WBE – Payment Report (CF-C8) .................................................................... A-15
        Release (C-5) ..................................................................................................... A-16
        Certificate of Insurance (C-10) ............................................................................ A-17
        Contract Change Order (CF-C9). ........................................................................ A-18
        Contract Field Order (CF-C9A) ......................................................................... A-18A
        Sample Authorization-To-Proceed Letter ............................................................ A-19
        Form of Backcharge Letter ................................................................................. A-20
        Asbestos Material Removal Fact Sheet (2 Pages) .............................................. A-21
        Regulated Materials Disposal Fact Sheet ........................................................... A-22
        Materials Stored Off-Site Certificate of Insurance ............................................... A-23
        Request for Federal Tax Identification Number................................................... A-24
        Building Permit.................................................................................................... A-25
        Waiver of Building Permit.................................................................................... A-26
        Letter from Contractor Advising Contract Complete ............................................ A-27
        Letter from Consultant Recommending Acceptance and Occupancy ................. A-28
        Checklist for Substantial Completion Payments (CF-C6) .................................... A-29
        Certificate of Occupancy ..................................................................................... A-30
        Temporary Certificate of Occupancy ................................................................... A-31
        Construction Inspection Report ........................................................................... A-32
        Final Inspection Report ....................................................................................... A-33
        Fact Sheet for Projects with Building Permit/Certificate of Occupancy ............... A-34
        Final Inspection Acceptance Sign-off .................................................................. A-35
        Final Inspection Acceptance Letter (to Campus) ................................................ A-36
        Final Inspection Acceptance Letter (to Contractor) ............................................. A-37
        End of One Year Guarantee Sign-off .................................................................. A-38
        End of One Year Guarantee Letter (to Campus) ................................................. A-39
        End of One Year Guarantee Letter (to Contractor) ............................................. A-40
        Labor Rate Breakdown (CF-C10) ....................................................................... A-41
        CMR Quick Reference Guide ............................................................................. A-42
        SUCF Electric Payment Request System Set-Up Form ...................................... A-43

Office of Construction Management                                                                                      Page 42
Management of Construction Projects                                                                        Appendix A -- Forms
                                                                                                                    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 FUND
                                                                         State University Plaza  353 Broadway
                                                                                                   Albany, NY 12246
                                                                                                        www.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 evaluated
for acceptance and contract award. In order to expedite the contract award process, please execute all of
the 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 your
        firm 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 of
        Acknowledgments".

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

         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 your
Proposal and awards the Contract to you, it will issue a Notice of Award to you and execute the copies of
the Contract Documents you have returned. It will then return to you a fully executed copy of the Contract
Documents.

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

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


         Foreign contractors (i.e., entities not organized under the laws of the State of New York) must
also furnish, with their initial and final payment applications, a certificate from the New York State
Department 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 the
Fund 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 be
notified by a separate Notice of Award. Please also forward the necessary certificates of insurance to the
Fund. Without proof of all required insurance coverage, no payment can be made.

                                                                    Very truly yours,



                                                                    William K. Barczak
                                                                    Counsel

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-3
                                                                      PROJECT ADMINISTRATIVE ACTIVITY SCHEDULE

                                                                                                                                                        BIDDING DOCUMENTS (NB, IB)
                                                                                                                                                     CONTRACT DOCUMENTS (A, PB, LMB)
                   DATA / REPORT                                           FULFILLMENT DATE                        ROUTING FROM / TO
                                                                                                                                                                REFERENCE
Shop drawings and sample                                     In accordance with shop drawing and sample
                                                                                                                   Contractor / Consultant                         A, Section 2.19
Submission Schedule (for approval)                           schedule

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 in                                                                                                A, Section 2.18 (Consultant must have Fund
                                                             Within 30 days after Notice of Award                  Contractor / Consultant
48-hour information)                                                                                                                              concurrence of their approval of subcontractors)

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

                                                             Within 10 days of date Contractor receives
Payment of Subcontractors by Contractor                                                                         Contractor / Subcontractors                        A, Section 2.18
                                                             payment

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 liability
                                                             Prior to commencing work                                Contractor / Fund                             A, Section 5.06
insurance coverage
Builders Risk Insurance coverage provided by                 Prior to approval of progress payment covering
                                                                                                                     Contractor / Fund                             A, Section 5.07
Contractor                                                   insurable work

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

                                                             Within 10 days after commencement of
Notice of Conditions Causing Delay (in writing)                                                                Contractor / Fund, Consultant                       A, Section 3.04
                                                             condition(s) causing delay

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 (in        Within 10 days after Fund or Consultant
                                                                                                               Contractor / Fund, Consultant                       A, Section 2.02
writing)                                                     determination
                                                             Within 30 days after being required to perform
Claim for disputed work (documented statement)                                                                     Contractor / Consultant                         A, Section 2.03
                                                             disputed work

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

                                                             Prior to submission of first partial payment
Billing Breakdown of Contract amount                                                                                 Contractor / Fund                             A, Section 4.08
                                                             request

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

                                                             One year following acceptance of work by Fund
Guarantee Payment Contr.                                                                                       Contractor / Consultant, Fund                       A, Section 4.20
                                                             and request by Contractor


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 Meeting
                                    Ad hoc          Consultant     Minutes to Attendees   Developed by Consultant
Report


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

                                                                  Consultant (2 copies)
                                                                  (1 field office,1
                                Periodically (as
Testing Lab Reports                                 Testing Lab   Consultant)                 Consultant/Lab.
                                  required)
                                                                  Contractor (1 copy)
                                                                  Fund (when requested)

                                                                  Fund Coordinator – (1
Progress Photos –Digital           Monthly          Contractor                                Fund Standard
                                                                         copy)


Substantial Completion                                             Attendees (3 copies)
                                    Ad hoc          Contractor                                Fund Standard
Payment (Item 27 Appendix)                                             At inspection


                                                                                              As required by
Accident Reports                    Ad hoc          Contractor       Consultant, Fund
                                                                                              circumstances


                                                                      Fund (1 copy)
Asbestos/Reports,
                                    Ad hoc          Contractor       SUNY (1 copy)              As required
Regulated Materials
                                                                    Consultant (1 copy)
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
                                                                                                                                        ITEM A-9
                                      REQUISITION WORK SHEET                                                  Sheet        Of      Sheets
                                             STATE UNIVERSITY CONSTRUCTION FUND
                                             353 Broadway ALBANY, NY 12246


CONTRACTOR: ___________________________________________________________ REQUISITION NO. _________________ DATE ENDING _____________
PROJECT NO.                TITLE:                                                                 LOCATION: ________________________



                                                                           % Compl.   Amt Compl.      %       Total Amt     Amt Added
                                                         Unit      Total     Last        Last      Compl.    Complete to     to This    Amt Left to
     No.          Description     Quantity      Unit     Price     Price    Request    Request     to Date      Date         Request    Complete
      1               2             3            4         5         6         7          8           9          10            11          12




           DC-5
                                                                                                        ITEM A-10



                            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.




 CF-C5
                                                                                            ITEM A-11
                                     OFFICE OF THE STATE COMPTROLLER
                                DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS
                                         BUREAU OF STATE EXPENDITURES


New York State Labor Law, Section 220-a
Prime 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 laborers
   employed on the project by the Contractor. (Set forth any unpaid wages and supplements, if
   none, so state).

                   Name                                                  Amount




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

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

                   Name                                                  Amount




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



                                            ( continued )




 CF-C4A1
New York State Labor Law, Section 220-a
Prime Contractor’s Certification
(Page 2)



6. In the event it is determined by the Commissioner of Labor that the wages or supplements or both
   of any such subcontractors have not been paid or provided pursuant to the appropriate schedule
   of wages and supplements, then the Contractor shall be responsible for payment of such wages
   and 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 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).




CF-C4A1
                                                                                                                  ITEM A-12
                                                      OFFICE OF THE STATE COMPTROLLER
                              DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS
                                                       BUREAU OF STATE EXPENDITURES




New York State Labor Law, Section 220-a
Subcontractor‟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 Labor
   Law.

3. That on                                    , we received from                                (the
   prime Contractor) a copy of the initial/revised schedule of wages and supplements Prevailing Rate
   Schedule Case Number                                  (PRC) specified in the public improvement
   contract.

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).




 CF-C4A2
                                                                                                                       ITEM A-13
                                                   OFFICE OF THE STATE COMPTROLLER
                            DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS
                                                      BUREAU OF STATE EXPENDITURES



New York State Labor Law, Section 220-a
Sub-subcontractor‟s Certification

1.        That I am an officer of                                             a subcontractor to _____________, a
          subcontractor 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 subcontractor
          of the ) (Contractor) a copy of the initial/revised schedule of wages and supplements
          Prevailing Rate Schedule Case Number                           (PRC) specified
          in the public improvement contract.

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

                                                                                                                                  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 by
a certificate authenticating the authority of the notary who administers the oath. (See CPLR § 2309(c); Real Property Law, § 311,312).




CF-C4A3
                                                                                                                         ITEM A-14
                                                                    STATE UNIVERSITY OF NEW YORK
                                                                STATE UNIVERSITY CONSTRUCTION FUND
                                                               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-                                                            DATE OF LATEST WAGE RATE
                                                              LAST DAY OF WORK
                  SUBCONTRACTOR                                                                       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
                      ITEM A-15




CF-C8 revised 02/11
                                                                                                            ITEM A-16


                                                          STATE OF NEW YORK
                                          STATE UNIVERSITY CONSTRUCTION FUND
                                                               RELEASE


KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned hereby acknowledges that pursuant to a
contract dated the __________day of _______________________________, wherein the undersigned agreed
to 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 the
undersigned, the sum of _________________________________________________________________
dollars ($_______________________), said amount being the full and entire sum due from the Fund to the
undersigned under said contract, except for monies being retained by the Fund pursuant to the provisions of the
aforesaid 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 of
said contract. In consideration of such payment, the undersigned hereby releases and discharges the Fund, its
officers, agents and employees, of and from all claims of liability to the undersigned for anything furnished or
performed in connection with, relating to or arising out of the contract or out of the work covered by said
contract, including but not limited to, all claims for extra work, labor or materials and for any prior act, neglect or
default on the part of the Fund or any of its officers, agents, or employees in connection therewith, except for the
aforesaid retained monies.

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

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




                                  _______________________________________________________
                                  Name of Contractor


                                  By _____________________________________________________


      Affix Seal here




 C5
                                                                                                                                                           ITEM A-17

                                                      CONTRACTOR’S CERTIFICATE OF INSURANCE


TO:                    State University Construction Fund
                       State University Plaza
                       353 Broadway
                       Albany 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

                                               $ ___________ Each Occurrence
Contractor’s Comprehensive General
                                               $ ___________ Aggregate
 Bodily Injury Liability and
 Property Damage Liability                     $ ___________ Combined Single Limit

Contractor’s Automobile Liability
                                               $ ___________ Each Accident or Occurrence

 Bodily Injury Liability and
 Property Damage Liability                     $ ___________ Combined Single Limit

                                               $ ___________ Each Occurrence
Owner’s Protective Liability

                                               $ ___________ Aggregate
 Bodily Injury Liability and
 Property Damage Liability
                                               $ ___________ Combined Single Limit

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 compliance
with 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 been
      the 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 force
      until 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 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 that such premium shall be payable by the
      Contractor 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
        Item A-18




CF-C9
        Item A-18A




CF-C9
                                                                                                                         ITEM A-19


                                  STATE UNIVERSITY CONSTRUCTION FUND
                                                                               State University Plaza  353 Broadway
                                                                                                            Albany, NY 12246
                                                                                                                www.sucf.suny.edu




                                                    Date

                                                    Re:       SUCF Project No.
                                                              Project Title
                                                              Campus

Consultant
Consultant 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 and
material basis for this change by the execution of a subsequent documented change to the
Contract.

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

                                                    Very truly yours,



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


C:     Contractor
       Change Proposal File

                    John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management
                          (518) 320-3210  Fax: (518) 689-2638  E-Mail: “john.hagen@suny.edu”
                                                                                   ITEM A-20


                           FORM OF BACKCHARGE LETTER




                                   DATE

                                   Re:    SUCF Project No.
                                          Title
                                          Campus



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 the
receipt hereof, the Fund, under Section 4.06 of the Agreement, will omit said work from your
Contract, 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 in
connection with your failure to comply with this directive. Such work is preliminarily
estimated to be valued at (amount in words) dollars ($numeric value) but this amount is
not 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 prejudice
to 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 YORK
                                                 STATE 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       Certificate
Name                 Title/Function Sec. #       Number                     Expiration Date
1. ___________________________________________________________________________________
2. ___________________________________________________________________________________
3. ___________________________________________________________________________________
4. ___________________________________________________________________________________
5. ___________________________________________________________________________________

ASBESTOS ABATEMENT WORK : (Attach Additional Sheets as Required)

Bldg. (1)          Removal Location            Material (2)                                             Methods of
Usage              (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 YORK
                                  STATE UNIVERSITY CONSTRUCTION FUND
                               ASBESTOS MATERIAL REMOVAL FACT SHEET KEY



1.   BUILDING USAGE

     A.     Administration
     B.     Academic
     C.     Library
     D.     Health/Physical Education
     E.     Dining Halls
     F.     Dormitory
     G.     Mechanical Room
     H.     Steam Tunnel
     I.     Other

2.   MATERIAL REMOVED

     A.     Acoustical/Decorative Plasters      ADP
     B.     Fireproofing Materials       FM
     C.     Troweled Wall/Ceiling        Plasters TCP
     D.     Mud Joints/Tees        MJT
     E.     Pipe Covering (List Size Pipe)      PC
     F.     Boiler/Hot Water Tank Insulations BHTI
     G.     Panels/Ceiling Tiles .       PCT
     H.     Transite Panels        TP
     I.     Vent/Drain Pipes (List Size)        VDP
     J.     In-Place Gaskets       IPG
     K.     Vinyl Asbestos Siding        VAS
     L.     Vinyl Asbestos Tile . VAT
     M.     Vinyl Asbestos Roofing       VAR
     N.     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.     Wet
     B.     Dry
     C.     Glovebag
     D.     Tent
     E.     Other
                                                                                                        ITEM A-22
                                               State University Construction Fund
                                                Regulated 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               Classification
1. ________________________        ________       __________________________             ____________
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: ___________________________




    CF-C9
                                                                                                                            ITEM A-23

                                                               CERTIFICATE OF INSURANCE
                                                             FOR MATERIALS STORED OFF-SITE




To:      State University Construction Fund
         State University Plaza
         353 Broadway
         Albany, 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 the
date 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 Risk
 w/ broad form extended       $ _______________________________
 coverage endorsement


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 compliance with 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 Section 4.14(1)(c) of
         Article 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 renewed
         upon expiration and continued in force until final acceptance by the Fund of all the work covered by the aforesaid
         construction 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 that
         such premium shall be payable by the Contractor 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:

         _________________________________________________________________________________________________




Name of Insurance Company                                             Phone


Authorized Representative (Original Signature Required)               Date




CISM
                                                                                                                                   5/04
                                                                                   ITEM A-24
                       STATE UNIVERSITY CONSTRUCTION FUND
                                                          State University Plaza  353 Broadway
                                                                               Albany, NY 12246
                                                                                   www.sucf.suny.edu




                                                 Date

                                                 Re:      SUCF Project No.
                                                          Project Title
                                                          Campus

Contractor
Contractor Address

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

Gentlemen:

Effective immediately, the Office of State Comptroller requires the Federal Employer
Identification 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 you
please enter in the box after your name above the tax identification number that will apply to
the State University Construction Fund project listed under “subject”.

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

                                      Very truly yours,



                                      SUCF Controller
                                                                                                                ITEM A-25
                                                                                                                   Rev. 6/02
                               STATE UNIVERSITY CONSTRUCTION FUND
                                          CONSTRUCTION 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 the
Certificate 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


                               STATE UNIVERSITY CONSTRUCTION FUND
                              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 in
         kind 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

                                           Re:    SUCF Project No.
                                                  (Project Title)
                                                  State University

State University Construction Fund
353 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-29
                                                STATE OF NEW YORK
                                    STATE UNIVERSITY CONSTRUCTION FUND
                                   CHECKLIST 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 CONSTRUCTION
                                                                        FUND
                                                                 CERTIFICATE OF OCCUPANCY




Consultant of Record:

Project Title:

SUNY Campus:

SUCF Project No.:

Effective Date of Occupancy:


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

Based on periodic inspections that have been made during the construction of the project and
the 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 CONSTRUCTION
                                                                        FUND
                                                                 TEMPORARY CERTIFICATE OF
                                                                       OCCUPANCY




Consultant of Record:

Project Title:

SUNY Campus:

SUCF Project No.:

Effective Date of Occupancy:


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

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

                                   LIST OF SPACES TO BE OCCUPIED

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



                                                          ______________________________
                                                          John K. Hagen, Jr., P.E.
                                                          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-32
                          CONSTRUCTION INSPECTION REPORT

Consultant:
Project Title:
SUNY Campus:
SUCF Project No.



                        DATE             DATE              INSPECTED   CHANGE ORDER
               ITEM   STARTED          COMPLETE                BY         RE: ITEM

 Foundations

 Super Structure

 Electrical

 Plumbing

 HVAC

 Fire Protection

 Fire Detection

 Exits
                                                                                                                  ITEM A-33


                                        FINAL INSPECTION REPORT


Consultant of Record:

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 Contract
Documents, the Building Permit issued for the project, and with Change Order Nos. 1 through
X, except for the attached Punch List.*

The Contractor, by letter dated X, stated that the project has been completed
in 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



              *See final Change Order for final cost and Change Order file for changes relating to this project
                                                                     ITEM A-34
                              FACT 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 Project
    and 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 Project
    and 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
                         STATE UNIVERSITY CONSTRUCTION FUND
                                                          State University Plaza  353 Broadway
                                                                                Albany, NY 12246
                                                                                    www.sucf.suny.edu




                                          Date

                                          Re:     SUCF Project No.
                                                  Project Title
                                                  Campus


State University Construction Fund
353 Broadway
Albany, 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 the
Campus, 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 time
the College will be solely responsible for the operation, maintenance and security of the
facility. This marks the start of the one-year guarantee period.


ACKNOWLEDGED:

For the Campus:                           State University Construction Fund:



                                          ___________________________________
Designated Campus Officer                 Fund Project Coordinator
Title
                                                                                                                       ITEM A-36
                                              STATE UNIVERSITY CONSTRUCTION FUND
                                                                                          State University Plaza  353 Broadway
                                                                                                                   Albany, NY 12246
                                                                                                                       www.sucf.suny.edu




                                                       Date

                                                       Re:      SUCF Project No.
                                                                Project Title
                                                                Campus

President
Campus
Address

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 the
College 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 be
corrected by the Contractor without any additional cost. In order to ensure that this requirement is fully
complied with by the Contractor, it is imperative that your authorized Campus representative or
representatives promptly notify the undersigned in writing of any contractual construction defects of which
they may become aware. It is essential that this notification be given promptly, and that it not be deferred
until the end of the one-year general guarantee period, in order for the Fund to timely notify the Contractor
and have the defect corrected.
                                           Very truly yours,



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

cc: Facilities
    Information Services




                           John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management
                                 (518) 320-3210  Fax: (518) 689-2638  E-Mail: “john.hagen@suny.edu”
                                                                                                         ITEM A-37
                              STATE UNIVERSITY CONSTRUCTION FUND
                                                                         State University Plaza  353 Broadway
                                                                                                     Albany, NY 12246
                                                                                                         www.sucf.suny.edu




                                                       Date

                                                       Re:       SUCF Project No.
                                                                 Project Title
                                                                 Campus

Contractor
Address

SUBJECT:        FINAL INSPECTION AND ACCEPTANCE (FINAL)

Gentlemen:

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 the College will be solely responsible for the operation, maintenance and
security of the facility. This marks the start of the one-year general guarantee period.

                                                       Very truly yours,


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

cc:    Consultant
       Information Services




             John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management
                   (518) 320-3210  Fax: (518) 689-2638  E-Mail: “john.hagen@suny.edu”
                                                                                                                  ITEM A-38


                                   STATE UNIVERSITY CONSTRUCTION FUND
                                                                             State University Plaza  353 Broadway
                                                                                                           Albany, NY 12246
                                                                                                             www.sucf.suny.edu




                                                   Date

                                                   Re:       SUCF Project No.
                                                             Project Title
                                                             Campus


State University Construction Fund
353 Broadway
Albany, 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 by
representatives of the Campus and State University Construction Fund, the Contractor was found to
have complied with all requirements of its one-year guarantee.

ACKNOWLEDGED:

For the College:                                   For State University Construction Fund:



                                                   __________________________________
Designated Campus Officer                          Fund Project Coordinator




                   John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management
                         (518) 320-3210  Fax: (518) 689-2638  E-Mail: “john.hagen@suny.edu”
                                                                                                        ITEM A-39
                        STATE UNIVERSITY CONSTRUCTION FUND
                                                                    State University Plaza  353 Broadway
                                                                                                    Albany, NY 12246
                                                                                                        www.sucf.suny.edu




                                                        Date

                                                        Re:       SUCF Project No.
                                                                  Project Title
                                                                  Campus

President
Campus
Address

SUBJECT:          END OF ONE-YEAR-GUARANTEE PERIOD

Dear President XXXX:

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,


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



cc:   Facilities




            John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management
                  (518) 320-3210  Fax: (518) 689-2638  E-Mail: “john.hagen@suny.edu”
                                                                                                               ITEM A-40
                                 STATE UNIVERSITY CONSTRUCTION FUND
                                                                              State University Plaza  353 Broadway
                                                                                                           Albany, NY 12246
                                                                                                               www.sucf.suny.edu




                                                   Date

                                                   Re:       SUCF Project No.
                                                             Project Title
                                                             Campus

Contractor
Address

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,



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


cc:   Consultant




                   John K. Hagen, Jr., P.E., Director of Construction, Office of Construction Management
                         (518) 320-3210  Fax: (518) 689-2638  E-Mail: “john.hagen@suny.edu”
                                                                                                                   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                                                     % Hour
         F.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                                                           $ Hour
         Vacation                                                                        ______
         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 79
Management of Construction Projects                                                              Appendix B – Processing Flow Charts
                                                       ITEM A-42




Office of Construction Management                             Page 80
Management of Construction Projects   Appendix B – Process Flow Charts
                                                       ITEM A-43




Office of Construction Management                             Page 81
Management of Construction Projects   Appendix B – Process Flow Charts
                                                       Item A-43




Office of Construction Management                             Page 82
Management of Construction Projects   Appendix B – Process Flow Charts
                                APPENDIX B – FLOW CHARTS
                                   TABLE OF CONTENTS



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




Office of Construction Management                                                                              Page 83
Management of Construction Projects                                                    Appendix B – Process Flow Charts
                                                                                   ITEM B-1

        FINAL INSPECTION and ACCEPTANCE
                                                          SUCF
   Contractor           Consultant                                               Campus
                                                        Construction


                                                     Receipt of Letter
 Letter Advising                                     Advising Contract
    Contract                                          Complete (27)
 Complete (27)        Receipt of Letter
                      Advising Contract
                     Complete (copy 27)




                       Confirmation of Project Substantial Completion




                       Uncompleted
                      Work Items List




     Project
                               Final Inspection Walk Through




                                                       Checklist for
                       Acceptance
                                                        Substantial
                        Letter and
                                                       Completion,
                      Punch List (28)
                                                        CF-C6 (29)




                                                      Final Inspection        Sign & Return
                                                        Acceptance           Final Inspection
                                                       Sign-Off (35)           Acceptance
                                                                                    (35)

                                                   Construction
                                                    Inspection
                                                   Report (32)
                                                   (if required)
                                                      Final Inspection
                                                        Report (33)
                                                        (if required)
                                                           Fact Sheet for
                                                            Certificate of
                                                           Occupancy (34)
                                                            (if required)



                                                       Certificate of
                                                      Occupancy (30)
                                                       (if required)




                                                                                Receipt of
Receipt of Final                                           Final             Final Inspection
  Inspection                                            Inspection             Acceptance
 Acceptance                                            Acceptance               Letter (36)
  Letter (37)                                          Letters (36
                    Receipt of Final
                      Inspection                          and 37)
                   Acceptance Letter
                       (copy 37)
                                                                                  ITEM B-2


                 END OF ONE YEAR GUARANTEE

                                                                   SUCF
   Contractor                      Consultant                                                Campus
                                                                 Construction




 Receipt of                        Guarantee                      Guarantee               Guarantee
Guarantee List                       List                          Issues                  Issues




    Deficiencies Corrections


          Final Balancing
                 of
              HVAC
             Systems
                                           End of Guarantee Inspection



   Completion of Corrections


                                                                    End of            Sign & Return
                                                                Guarantee Sign-     End of Guarantee
                                                                Off Letter (38)     Sign-Off Letter 38)




Receipt of End                                                    End of               Receipt of End
 of Guarantee                                                    Guarantee              of Guarantee
  Letter (40)                                                  Period Letters            Letter (39)
                               Receipt of End of                (39 and 40)
                               Guarantee Letter
                                  (copy 40)

				
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