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

INTRODUCTION

This document describes the State university Construction Fund's modified procedures during the bidding and construction stages. Over thirty-five years experience with more than 3,800 completed projects have led to the development and refinement of the procedures. This document deals with project participants; responsibilities. It is a guide to, and explanation of, the Consultant's obligations, construction procedures, requirements, and key forms required from project prebid through construction phase. This document does not supersede any provisions of the Contract.

Philip W. Wood General manager

July 2004

TABLE OF CONTENTS

Construction Document Phase Prologue Construction Prologue Construction Contracts Table 1 – Contract Check List Table 2 – Contract Distribution Construction Phase Payments and Reimbursements Closeout of Construction Contract Publicity and Disclosures Appendix

PAGE NO. 4 5 8 9 10 11 18 25 30 31

Office of Construction Management Management of Construction Projects

Page 3 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 Management of Construction Projects

Page 4 Construction Prologue

The product of these efforts will be lost unless it continues to pursue these objectives during the construction of the project. It is equally important to properly organize and staff a project during construction. Office of Construction Management. The Consultant is required to provide proper staffing capacity and resources for taking projects through design phases. the Fund has emphasized the Consultant’s responsibility for project development and management. the separate Fund bulletin dealing with projects involving Federal Funds should be followed Office of Construction Management Management of Construction Projects Page 5 Construction Prologue 1 . 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. 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. the Consultant may have to begin these activities prior to putting a project on the market. the Consultant and its Consultants shall conduct interviews to fill the authorized positions after bid. Planning and organizing for the staffing of this field office should begin well before the project is put on the construction market. After approval of the plan. 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 responsibilities 1. 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 to develop a plan of organization for its field staff and submit the proposed plan to the Fund Assistant General Manager.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. 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. Office of Construction Management. at the site. a field staff sufficient to provide for the daily administration of construction. To best attract and interest qualified Contractors in Fund projects. Final interviews will be arranged and. on schedule and within budget limitations. upon consent of the Fund. Therefore. a salary and starting date for employment will be established. 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. The nominations (with the proposed salaries and a resume of the candidates' experience) are to be sent to the Assistant General Manager. for approval. This may require the Consultant to make an inventory of Contractors who have bid or Where Federal funds are involved. This document does not supersede any provisions of the Contract In achieving these objectives during design. the Fund requires that the Consultant maintain. In addition. ACTIVITIES PRIOR TO BIDDING: During the construction document phase. it is imperative that the responsibility for the management of projects under construction rests with the Consultant.

Office of Construction Management Management of Construction Projects Page 6 Construction Prologue . which is to be followed. the report should indicate its appraisal of the sincerity of potential bidders. During the bidding period. requesting each bidder name its principal subcontractors and provide all other qualifying data within the 48-hour time limit specified in Information for Bidders. The Consultant’s primary point of contact in the Fund remains the designated Design Project Coordinator. PRE-AWARD MEETING: As soon as possible after the qualifying data has been reviewed. Office of Construction Management. The Fund’s Project Coordinator assignment. the Fund will notify these bidders via fax. ADDENDA AND AMENDMENTS TO FUND DOCUMENTS: No addenda. The Consultant must also submit a final report.M. This may be an update of previously filed data in the case of Contractors who previously submitted this material. An assessment of Contractor interest is important for developing a final cost estimate for the project. responsibility for monitoring the bid project continues within the Design Section of the Office of Design. At the end of this meeting. All addenda issued by the Consultant during the bid period are to be approved by the Fund prior to being issued. The fax 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. of the second business day following opening of bids. will be changed effective with award of the construction contract. in writing. There is a Post-Bid Checklist specimen included in the Appendix.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. Immediately after the three lowest bids have been identified. to the Fund’s Design Project Coordinator 2 the names. the original copies of all bids must be deposited with the Fund for inclusion in the permanent record. three days prior to the bid opening. 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. The necessary documents must be received no later than 2:00 P. and only in extreme cases will an addendum be issued during the last week of the bidding period. Design Project Coordinator and Regional Director of Design are provided with one copy of all bid proposals for use in analyzing bids. 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. Section 8. from design to construction. In addition. the Consultant shall report weekly. It should describe the activity that it is engaging in to attempt to interest additional Contractors or subcontractors in bidding the project. The Consultant. which then currently identifies likely bidders. deletions or additions will be made by the Consultant to the Fund’s standard documents without prior approval by the Fund. AFTER BID OPENING: With the opening of bids. This meeting must be attended by the Consultant and its principal Consultants. addresses and roles of all those requesting plans and specifications. The Consultant chairs the meeting and must prepare minutes for distribution to the participants. “Submission of Post-Bid Information”. revisions.

availability of personnel. Full execution of the Contract is required prior to physical work commencing on the site. This Office of Construction Management Management of Construction Projects Page 7 Construction Prologue . its recommendation on the award of a Contract. There are some exceptions where no building permit is necessary for repairs which do not materially affect structural. equipment.(Appendix Item 25). the Fund will mail to the Contractor the building permit for the project or. the Fund. a waiver of the building permit. financial capacity. A construction phase Project Coordinator will be assigned who will monitor formal Contract execution status and. or emergency repairs or reconstruction required because of a construction emergency. the low-bidding Contractor with. It is important that Contractors. The Consultant chairs the meeting and prepares the minutes. Concurrently. storage buildings containing less than 3. ft. mechanical and electrical systems. the Pre-Award Meeting is held at the Fund office. On the basis of the qualifying data and any other information received and discussed at the Pre-Award Meeting. its proposed Principal Subcontractors and Fund representatives. and the Owner for whom they have previously performed work.000 cu. the Consultant will submit to the Design Regional Director. 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.of the Fund. contact the Consultant and Contractor to schedule a Pre-construction Orientation Meeting. The successful low bidder will be sent a “Notice of Award” letter which serves as the Funds’ formal letter of intent. as described in the next section of this manual titled “Construction Contracts”. alterations to existing buildings costing less than $20. The purpose of the Pre. Contractors. the transition of project coordination responsibility from the Design Section to the Construction Management Section.000. Prior to this meeting the Consultant must review the experience and qualifications of the low bidder and its designated subcontractors with other Consultants. CONTRACT AWARD: The Bidding Period ends with an affirmative decision by the Fund regarding the award of the Contract. The Contract will be forwarded to the Contractor for execution under cover of a separate Fund letter. Issue of the “Notice of Award” letter also marks. Building Permits will be issued by the Design Section of the Office of Construction Management .. if applicable. and the capability of the nominated subcontractors. Consultants and other involved parties recognize no payments may be made under the authority of the Notice of Award letter. the Attorney General’s office and the State Comptroller. Usually. in writing.Award Meeting is to assess the capacity of the low-bid Contractor to perform the necessary work. internal to the Fund. Prior to construction. if special project conditions warrant. the Fund’s legal office will assemble the complete formal Contract for execution by the Contractor. Attendees at this meeting should include the Consultant and its Principal Consultants. BUILDING PERMITS: Building Permits are required on most projects. The assessment considers the character and scope of the Contractor’s past performance. when nearly complete.

Office of Construction Management Management of Construction Projects Page 8 Construction Prologue .document must be posted conspicuously on the construction site for the duration of the project.

I. D. Office of Construction Management Management of Construction Projects Page 9 Construction Contracts . G. A copy of a letter of transmittal containing instruction for Contract execution is included as Item 2 of the Appendix. the Fund’s legal office prepares the construction Contract and forwards the documents to the Contractor for execution. C. J. Covers and Cover Sheet Table of Contents Notice to Bidders Information for Bidders Agreement List of allowances included in bidding documents List of unit prices included in bidding documents (prices are to be left blank) Performance Bond Labor and Material Bond Division I of the Technical Specifications All Addenda After the project is awarded. F. Table 2 indicates the distribution of Fund construction Contracts after execution by both parties and approvals by the necessary governmental agencies. E. REFERENCE TABLES: Table 1 is a Contract checklist indicating the items that must be completed in all Fund construction Contracts. H. unbound copies of the following documents: A. B. K. Office of Construction Management six (6). By the Bid Opening. the Project Consultant must have delivered to the Fund Assistant General Manager.Construction Contracts CONTRACT DOCUMENTS: The Construction Contract is the agreement between the Fund and the Contractor for the construction of the Project.

with names and addresses. including SUCF No. AGREEMENT PAGE A-1  Contractor’s Name and Address  Date (Effective Date in Notice of Award)  Full Project Title. be PERFORMANCE BOND PAGE B-2  Contractor’s Name and Address  Surety Company Name and Address  Contract Amount (words/figures)  Contract Date  Project Title. notary seal. or individual owner.TABLE 1 CONTRACT CHECKLIST PROPOSAL PAGE P-1  Bidder’s Name and Address  Full Project Title  Project Location  SUCF Project Number  Completion Date  Liquidated Damages (If none. showing expiration date of notary’s commission. including SUCF No. including notary signature. notary seal. so state) SCHEDULE II  Allowances (Type/amounts. if none. with date(s) PAGE P-4  Bidder’s Official Address. including SUCF Number  Completion Date  Liquidated Damages PAGE A-15  4. if none. so state) LABOR AND MATERIAL BOND PAGE B-1  Contractor’s Name and Address  Surety Company Name and Address  Contract Amount (words/figures)  Contract Date  Project Title.  Complete all blanks in Acknowledgement of Surety. or partners or joint venture.B: Alternates (Words and Figures) for Proposed Work  Item 5. If Bidder is a corporation list of corporate officers.  Date (on or after Contract date)  Contractor’s Name  Signature of Contractor’s Authorized Officer  Seal (If Corporation)  Surety name  Signature of Surety’s “Attorney-in-Fact” or other representative  Seal of Surety (If Corporation) Office of Construction Management Management of Construction Projects Page 10 Construction Contracts . including notary signature.  Date (On or after Contract Date)  Contractor’s Name  Signature of Contractor’s Authorized Officer  Seal (If Corporation)  Surely Name  Signature of Surety’s “Attorney-in-Fact” or other representative  Seal of Surety (If corporation) ACKNOWLEDGEMENT BY PRINCIPAL PAGE B-3  Complete all blanks in Acknowledgement of Principal (Contractor).A: Total Bid (Words and Figures)  Item 5. so state) PAGE P-2  Item 5.01: Total Contract Amount (words/figures) PAGE A-28:  Contractor’s Name  Signature of Contractor’s Authorized Officer  Seal (If Corporation) PAGE A-29  Acknowledgements SCHEDULE  Unit Prices (must confirm with those in Notice of award. date (should on or after Contract date).C: Unit Prices  Item 6: Allowance PAGE P-3  Bid Security Amount  Contractor Name  Signature/Title of Contractor’s Authorized Officer  Seal (If Corporation)  Item 9: Addenda.

TABLE 2 CONTRACT DISTRIBUTION 3 Document General Construction Contract: Distribution (Executed) 1 To the State Comptroller 2 To the Fund 1 To the Consultant 1 To the Contractor Total Copies Required: 5 Federal Contract: Distribution (Executed) 1 To the State Comptroller 2 To the Fund 1 To the Consultant 1 To the Contractor 1 To Federal Government Total Copies Required: 6 3 The Contractors corporate seal must appear on all papers which it signs. Page 11 Construction Contracts Office of Construction Management Management of Construction Projects .

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 Management of Construction Projects Page 12 Construction Phase .Construction Phase Pre-Construction Orientation Meeting Correspondences.

and other proposed principal subcontractors as required). Pre-Construction Orientation Meeting: The Orientation Meeting is held to review the purpose. A representative of the Federal Government (or any other relevant potential sponsor) may be present if a Federal project is included. electrical. The Consultant. organization and Contract requirements as related to the project.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. Correspondence. Reports Construction Phase Submittals COMMUNICATION BETWEEEN FUND. as the Fund’s Representative. The purpose of the meeting will be to review: • • The administrative aspects of the construction phase. prior concurrence of the interpretation must be obtained from the Fund. CONSULTANTS. The meeting will be chaired by the Consultant and is usually held at the project site. Office of Construction Management Management of Construction Projects Page 13 Payments and Reimbursements . safety. catalog cuts. Copies of all correspondence are to be issued to the Fund Project Coordinator on all matters. clarifying the responsibilities of each party. For interpretation affecting Contract cost and/or material substitution. etc. 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. will provide determinations of the content/intent of the technical plans and specifications. AND CONTRACTOR: The Consultant and the Contractor will communicate directly with each other unless directed otherwise. It is the Consultant’s responsibility to monitor the Contractor’s scheduling of submissions. An overview of the project. Contractor’s control to the site. goals. Attendees will include Fund personnel. including samples. construction fencing (long and short duration). parking. temporary utilities. including services throughout the guarantee period. This meeting is also for the implementation of solutions to the coordination of issues related to maintenance and control of pedestrian and vehicular traffic. shop drawings. brochures. Special attention is to be given to contractual phasing requirements. etc. General Contractor (designed mechanical. Consultant’s representative. and a representative of the University/College if applicable. The Consultant has the sole responsibility for receiving and acting upon all technical submittals of all types. test data. The meeting affords an opportunity for those individuals who will be working together to become familiar with each other.

the Fund only pays for work in place. Any deviations to this format as requested by the Contractor. After review of the Contractor’s Contract Breakdown and the Consultant’s recommendation. Since the Fund strives to hold the initial project orientation meeting as soon as possible after award. Therefore. The Consultant must have the Fund’s concurrence of the Contract breakdown prior to approval. and the Contract breakdown should only reflect these types of activities. as required by both the Consultant and the Fund. It should be noted that the Contractor’s schedule does not change the contractual completion date. This decision will be communicated. the Fund realizes that it is everyone’s benefit to progress a project schedule as efficient and timely as the Contractor deems appropriate. to have a full understanding of Contract progress. shall have the approval of both the Consultant and the Fund. shall be listed as the last item. Office of Construction Management Management of Construction Projects Page 14 Construction Phase . In general. along with any early targeted completion date. Within 90 days of the Notice of Award. 2. diagram or bar graph is required to be submitted for approval within 30 days of Notice of Award. which shall be a critical path method schedule. supplemental details shall be shown on Fund Form DC-5 (Appendix Item 9). The guarantee item. 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. The project schedule must indicate the Contract completion date. simultaneously to the Fund Project Coordinator at the time the originals are sent to the Consultant: These items are as follows: 1. The breakdown shall provide sufficient detail on one page. If the scope and size of the project does not allow enough detail to be provided on the CF-C2 (Appendix Item 6). if the Contractor chooses to accelerate the project’s completion date from the contractual completion date. the Consultant of its decision. The Project schedule is not to be approved. by the Consultant to the Contractor. The Contractor’s provided schedule is reviewed for constructability and conformity to the Contract requirements. the Contractor shall submit a Working Plan Schedule. with the exception of bonds. showing sufficient detailed information to reflect the first 90 days of Contract activity. The project schedule is to be reviewed by the Consultant and forwarded to the Fund with comments. in writing. the 90-day schedule should be available for review at this meeting. The Fund will respond to the Consultant with the Fund’s review prior to responding to the Contractor. CONTRACT BREAKDOWN (Fund Form CF-C2): Prior to submitting an initial payment. The Contract breakdown should be forwarded to the Fund with recommendations. only returned to the Contractor with comments. proper proof of payment of the bonds as required by the Fund shall be provided before payment of said item. Bonds should be listed as Item 1 on the Contract Breakdown Sheet (CF-C2). PROJECT SCHEDULE: An initial project schedule in the form of a suitable chart. if required by the Contract.There are particular items for which the Consultant should instruct the Contractor to submit. the Fund will advise. in writing. the Contractor must obtain an approved Contract breakdown for the purposed of tracking Contract completion and payment.

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. when acceptable. COST PROPOSALS: (See Change Order / Field Order Section for more detailed information). During the construction phase. CONSTRUCTION PHASE REVIEW OF SUBMITTALS: For all Fund projects which include a liquidated damages clause. Office of Design and Construction Management. complete and documented. 4. 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. 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. Such claims nullify the effectiveness of the liquidated damages clause and cause untenable delays in construction. by either the Fund’s Counsel or Assistant General Manager. shop drawings and other submittals of the Contractor are to be reviewed and.3. every effort is to be made to avoid situations that would stimulate claims for delay or impact to be made against the Fund. When shop drawings and other submittals are found unacceptable or incorrect.Monthly Daily Field Reports . their rejection should be prompt. 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 College. Whenever shop drawings and other submittals Office of Construction Management Management of Construction Projects Page 15 Construction Phase . 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) . CLAIMS: (See Claims and Disputes).As Requested Open Item Log at Project Meetings RFI Log at Project Meetings Log of required tests – At onset of project. 5. approved promptly. in writing. 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. The Fund will review the Consultant’s recommendations and respond.

contaminated duct work. The Consultant representative. Meeting minutes are to be issued by the Consultant. subconsultants (as stipulated in the Consultant’s Agreement). if deemed necessary.do not meet Contract requirements. tests. in duplicate. an individual must be named. BACKCHARGE: When a Contractor fails to perform what the Consultant considers Contract work. all supplies and materials incorporated into the project are exempt from all local and State sales and compensating use taxes. A Pre-Abatement Meeting will be held prior to commencement of work. FULL-TIME SUPERINTENDENT: Section 2. This information must be recorded on the Asbestos Material Removal Fact Sheet (Appendix Item 21). etc. 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). the Fund Project Coordinator. in writing. the Consultant must direct the Contractor. in writing. removal and/or renovation. will require detailed record keeping. depending on the project and type of material removed. A representative of the University/College may also participate. that are required by specifications for the project. the Contractor will be required to provide documentation relative to the required notification. The fact sheet should be completed by the Fund Project Coordinator from information supplied by the Contractor and the Consultant. to perform the work prior to taking any other action to complete the work. In his absence. etc. 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.. acceptable to the Consultant and Fund. with a copy of the notification to the Fund. PCB TRANSFORMERS AND CONTAMINATED MATERIAL: Projects that require the removal and disposal of regulated material such as PCB Transformers. the Contractor must submit to the Fund the name of its on-site asbestos supervisor responsible for such operations. the Contractor and subcontractor or subcontractors (as requested) are to attend. In addition to this Fact Sheet. as an observer. Prior to the commencement of work involving asbestos demolition. Appendix Item 22 is a fact sheet for record keeping on these types of projects. JOB MEETINGS: Job meetings are to be scheduled and conducted by the Consultant at least bi-weekly and more frequently. Office of Construction Management Management of Construction Projects Page 16 Construction Phase . ASBESTOS ABATEMENT: The Contractor will be required to provide substantial documentation. for Asbestos Abatement work. having authority to receive and execute instructions given by the Consultant or its representative. SALES AND USE TAXES AND EXEMPTIONS: Under the Fund’s lump-sum contract. certifications. together with documentation that such supervisor has completed an Environmental Protection Agency approved training course for asbestos supervisors.06 of the Contract requires a full-time superintendent. licenses. The actual records that should be kept in the project files will vary. The full-time superintendent with qualifications must be submitted to the Consultant and the Fund for acceptance. hazardous and non-hazardous contaminated material. the Consultant is to notify the Contractor immediately. approvals.

The reason for the change. timely processing of change and field orders is required so as to not impede job progress. Unsupported lump-sum quotations are not acceptable. revised drawings. b. Prompt payment for all work satisfactorily completed is Fund policy. and subcontractors. each Contractor must file a request for Tax Exemption Certificate (Form ST-201. d. or reference to. changes must be priced before work is authorized. to the Fund’s Project Coordinator to obtain authorization to either prepare a formal change order or to prepare a Field Order approval. After a change has been authorized in principle by the Fund. the Consultant should submit the proposal together with their review and recommendations. If the proposal is acceptable. 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. sketches. 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. e. Attachment of. This necessitates the Contractor to submit a complete package with breakdowns for processing. under the requirements of the New York State Department of Taxation and Finance (800-462-8100). All change and field orders must be authorized by the Fund in writing. 2. The Consultant’s stated evaluation of the reasonableness of quantities and price in accordance with Sections 2.04.1) which it will be required to supply to its vendors and subcontractors. The Consultant must review the Contractor’s proposal for reasonableness of the itemization. The accepted form for such a letter appears in the Appendix of this document (Item 19). 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. However. Contract unit prices should be utilized and identified as such.02 of the Contract. CHANGE AND FIELD ORDERS: Fund procedures are intended to minimize the number of change and field orders. 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. supplementary data such as descriptive literature. Where appropriate. quantities and prices and for Contract compliance. Statement describing the change. etc Page 17 Construction Phase Office of Construction Management Management of Construction Projects .05 and 4. 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. Therefore. c. A copy of the detailed quotation (proposal) submitted by the Contractor.No sales tax exemption certificate or other certificate is required to be issued by the Fund for such exemption. suppliers. The Letter of Recommendation should include the following items: a.

(Appendix Item 18). Seven (7) copies of the formal change order (eight [8] copies for Federal projects) must be submitted to the Fund on Form CF-C9. h. changes or credits. whether work will involve additional costs. After a change order has been processed by the Fund and the State Comptroller.f. For field orders. the Fund will forward two copies to the Consultant. the Contractor must follow the procedures outlined in Article 11. Any other pertinent data. The change order form contains the cost and a description of the work with reference to applicable drawings. in writing. the Fund will issue an authorization letter permitting payment to the Contractor for completed work. 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. The Consultant’s recommendation for an extension of time (which the Contractor must have explicitly requested in writing for a specific period). the Fund will issue approval letters authorizing the Contractor to request payment for completed work via the Contract allowance. Section 2. the Consultant must direct the Contractor. 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. All approved field orders will be listed on SUCF Form CF-C11 (see Appendix Item 8). For field orders. The total amount shown on the body of each change order.03 of the Contract. is to be a lump sum. An indication as to whether the change will require work of other trades and if so. g. i. 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). 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). agent and date of advance authorization by the Fund. Recitation of form. Necessary deletions from and/or additions to the specifications should appear in the body of the change order under the “Description of Change” portion or on a separate attached sheet. The Contractor is not to be copied with the Consultant’s letter of recommendation to the Fund. After receiving written Fund approval of its recommendation. including those computed on the basis of unit prices. the Consultant must initiate a formal change order. who. Office of Construction Management Management of Construction Projects Page 18 Construction Phase . When a Contractor fails to perform what the Consultant considers Contract work.

Payments and Reimbursements CONTRACTORS’ MONTHLY REQUESTS Initial Request 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 Office of Construction Management Management of Construction Projects Page 19 Construction Phase .

Draft copy is to include Contract Breakdown CF-2. before a first monthly request for payment may be processed. monthly payment meetings are held at approximately the same time each month at the jobsite.Payments and Reimbursements It is policy of the Fund to ensure prompt action is taken on requests for payment. both the Contractor’s and Consultant’s representative must have authority to commit their firms in reference to approval of monthly payment applications. as verification. For the review session. CF-C11 and DC’5’s where applicable will be filled in and signed. etc. At the ensuing monthly payment meeting a final review of the application will be performed by the Fund and the Consultant(s). A thorough understanding of Fund procedures and adherence to them will avoid delay in the processing of requisitions by the Fund Controller. listing of Change Orders and Field Orders. proof of required Contractor’s insurance must have been received and approved by the Fund. and (3) MBE/WBE Program. CF-C3. and any appropriate Requisition Work Sheet DC-5’s. 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. The Contractor will have prepared three copies of its payment application which is to include all pertinent payment forms. CF-C2. Initial comments and questions by the Consultant should be addressed at this time. These should be approved before the first payment meeting. whichever is the lesser amount. Office of Construction Management Management of Construction Projects Page 20 Payments and Reimbursements . It is encouraged that a payment meeting be held in conjunction with a bi-weekly project meeting. and in subsequent payment by the State Comptroller. the Contractor should prepare the draft requisition in such a way that all items have necessary backup data and all computations are accurate. The following procedure has been established to expedite Contractor’s Monthly Applications for Payment: CONTRACTOR’S MONTHLY REQUESTS: At the joint review sessions. INITIAL REQUEST: Three approvals are required before a Contractor’s first monthly request for payment may be processed. CFC8.000 or one-half of one percent of the original Contract award. They are: (1) approval of the Contract by the State Comptroller. In addition. REGULAR MONTHLY PAYMENT MEETINGS: In general. The Contractor prepares the Monthly Application as follows: The CF-C1. The Contract breakdown must include an item for the one-year guarantee obligation and the amount thereof is to be $5. by the Consultant and Contractor before the meeting is adjourned. (2) acceptance by the Fund of the Contractor’s Contract breakdown and job progress schedule. The Fund Project Coordinator should leave the payment meeting with three executed Payment Forms that will be returned to the Fund’s main office for processing. and assignment by it of a Contract number. It is not the intent for payment applications to be mailed back and forth from Contractor to Consultant to the Fund.

This is a supplemental form to the requisition. One copy is for the Fund Accounting Unit. Only fully executed Change Orders are to be listed. Verification of subcontractor(s) payment from pervious payment application. If no payment is due to one or more listed subcontractors or suppliers enter “None” in the appropriate space. This form is required only for the third set when requested by the Fund Project Coordinator. Wage Rate Certifications. Release. Each subcontractor who has received payment from the previous requisition must file one. The Requisition Worksheet. is a backup form which may be used to provide a detailed breakdown of items listed on CF-C2. for listing of all change orders that have been executed. Form CF-C8 must have an original signature. Each payment application shall include Detail of Payments to MBE/WBE Subcontractors and Suppliers.suny. Contract Breakdown . This is a supplemental form to the requisition. for listing of all field orders that have been executed. The Contractor shall transfer all information to this form relative to MBE/WBE Subcontractors and suppliers. all subcontractors and sub-subcontractors performing work under the Contract.PAYMENT FORMS: The Contractor’s Monthly Application for Payment is to be made on forms prescribed by the Fund. These are payment affidavits required by the New York State Department of Labor pursuant to Section 220-a of the Labor Law. Form CF-C8. samples of which are included in the Appendix and can be found at www.The form should be limited to one page.edu in PDF Format. Submit in duplicate with final payment or at a time as determined by the Fund Project Coordinator. DC-5 Form. and a third copy must be placed in the Fund project file. These are: 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).sucf. The Requisition Number on the form references the General Contractor’s payment application number. Summary of Subcontractors and Sub-subcontractors. another is for the Office of the State Comptroller. These forms are only required on the final payment and the guarantee payment when work is performed during the warranty period.) (Submit in triplicate CF-C2 CF-C3 CF-C11 CF-C4As CF-C5 CF-C7A CF-C8 Minority/Women’s Business Enterprise Program Payment Report. with final payment only. C-5 Office of Construction Management Management of Construction Projects Page 21 Payments and Reimbursements . These forms are required from the General Contractor. and must be completed in duplicate with original signatures. List of Change Orders. Only fully executed Field Orders are to be listed. List of Field Orders.

prior to the payment meeting. as part of each initial and final contract payment request. Asbestos Abatement Insurance – The contractor shall notify the consultant when asbestos abatement work has been completed by the contractor. the contractor’s retainage may be reduced to cost of performing the work on the list plus an amount necessary. For materials stored off-site a “Certificate of Insurance for Material Stored Offsite” must be completed. 5 Copy Contractor File CF-C1 CF-C2 CF-C3 CF-C11 Backup Data CF-C11 Backup Data Backup data may include DC-5. The consultant reviews work and if finalized issues letter to Construction Project Coordinator stating asbestos abatement work has been completed. a final inspection is to be conducted in accordance with the provisions of the Section entitled “Closeout of Construction Contracts. Payment for materials stored off-site will be in accordance with Section 4. The first three sets must have original signatures and are to be delivered to the Fund Project Coordinator. in the Fund’s judgment. “Foreign Contractors” as defined by Section 4. as required. as shown in the table below. to satisfy any claims. 4 Copy Consultant File CF-C1 CF-C2 CF-C3 Set No. with backup. must be submitted by the contractor.14. or approved equivalent. PAYMENT FOR MATERIALS: Payment for materials delivered to site will be in accordance with Section 4. After approval of this list by the Fund. It is the contractor’s responsibility to coordinate and provide assistance to the consultant for verification of materials stored off site. that materials stored off site will be requisitioned for. as requested by the consultant or the Fund. unaccepted and corrective work to be performed together with the estimated value thereof. The contractor shall notify in advance. 3 Original Signature Fund Project File CF-C1 CF-C2 CF-C3 CF-C4As CF-C7A CF-C8 CF-C11 Backup Data Set No. TABLE 3 PAYMENT FORMS Set No.10 of the Agreement. TO Set No.In summary. a certificate from the New York State Tax Commission stating that all New York State taxes have been satisfied. appendix item 23. in accordance with the provision of Section 4. INSURANCE RENEWALS: If any component of insurance coverage lapses during the contract. five (5) sets of the completed payment forms. 2 Original Signature Fund Accounting Unit CF-C1 CF-C2 CF-C3 CF-C4As CF-C7A CF-C8 CF-C11 Set No. 1 Original Signature State Comptroller CF-C1 CF-C2 CF-C3 CF-C4As CF-C7A CF-C8 CF-C11 Set No. Additional documents may be requested to substantiate a request for payment and any certifications required for payment of materials stored off the job site. liens or judgments against Office of Construction Management Management of Construction Projects Page 22 Payments and Reimbursements .12 of the Construction Agreement. The fourth set is to be transmitted to the consultant. Copy will be forwarded to SUCF Controller’s Services and SUCF Counsels Office to eliminate need to renew asbestos abate insurance. the contractor’s monthly payment will not be processed. SUBSTANTIAL COMPLETION: When the project is substantially complete.” At that time the consultant shall prepare a list of all uncompleted.15 Paragraph (d) of the contract are additionally required to submit.

Operation and Maintenance Manuals must be submitted by the contractor. electrical systems and equipment have been demonstrated to the campus operating personnel. *BONDS. Especially important are the results of life safety tests and their certification. PUNCH LIST: The consultant. The Checklist for Substantial Completion. All guarantees and warranties shall identify the respective SUNY campus as the owner.24 Record Drawings and General Requirements. *OPERATING TESTS: All required tests must be been made and the results furnished to the Fund. which accompanies the final application for payment. WARRANTIES and GUARANTEES: The Construction Project Coordinator has obtained verification that. the campus and the consultant prior to the turnover of projects. The consultant is responsible for turning over to the Fund a testing log and respective test reports at the completion of the project. *CAMPUS PERSONNEL TRAINING / DEMONSTRATIONS: Mechanical. reviewed and approved by the consultant and turned over to the campus prior to scheduling training/demonstrations. may be utilized to expedite this process. fuel. as required by the SUCF Agreement. *RECORD INFORMATION FROM THE CONTRACTOR: The consultant has received from the contractor all record information required by SUCF Agreement Section 2. the following items must be addressed. 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.the contractor which have not been suitably discharged. all bonds. and a representative of the campus have verified by inspection that the final punch list Office of Construction Management Management of Construction Projects Page 23 Payments and Reimbursements . appendix item 29. complete operating instructions and spare parts lists have been formally transmitted to the campus. appendix item 5. Fund Project Coordinator. RELEASE: The contractor must provide an executed C-5 Final Release. sub-consultants. *KEYS: The Fund Project Coordinator has verification that the door keys. *CHARTS AND DIAGRAMS: Wiring diagrams. guarantees and warranties exceeding the normal one-year guarantee period have been received by the campus. keyboards and master keys have been received by the campus. in the presence of the contractor and under the supervision of the consultant. power. form CF-C6. with such items placed on the punch list. Before such payment is to be made. *OPERATING INSTRUCTIONS AND SPARE PARTS LISTS: Basic mechanical and electrical systems of the project and all special equipment. contractor. except that a dollar value may be assigned to the items having an asterisk (*). *MONEY DUE TO THE CAMPUS: All water. telephone and other outstanding bills due to the campus have been satisfied.

excluding guarantee obligations. 1. in detail by formal letter(s) of transmittal. see form CF-C4A2 . Such certification must be submitted by the prime contractor prior to or with the final payment. 2. appendix item 12 CF-C4A3 . 3. 4.Subcontractor’s Certification. If revised schedules of wages and supplements are published. appendix item 11 CF-C4A2 .Subcontractors Certification – appendix item 13.appendix item 12. every item that it is required to be transferred to the campus. Office of Construction Management Management of Construction Projects Page 24 Payments and Reimbursements . the prime contractor must provide each subcontractor with such revised schedules and obtain a revised subcontractor’s certification. The prime contractor must immediately obtain the subcontractor’s certification. An information copy of each transmittal must be furnished to the Fund Project Coordinator as evidence that the material has been transmitted. FINAL PAYMENTS: The term “Final Payment” is used for processing an application for payment when all work has been accepted. claims or liens against the contractor. The following outlines the final certification and reporting procedures required to implement Chapter 698. acceptance. and the subcontractor must follow the same procedure with each sub-subcontractor. WAGE RATE CERTIFICATIONS: Contractors are required to submit the following prior to or at final application for payment: • • • • CF-C4A1 . Laws 1988 (Labor Affidavits) for all public improvement contracts. 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. The prime contractor must immediately obtain the subsubcontractor’s certification from the subcontractor which must be submitted by the prime contractor with the final payment. The punch list must be incorporated into SUCF final *RECORD OF TRANSMITTALS: The consultant must document.Summary of Wage Rate Certification.Sub-subcontractor’s Certification. If a sub-subcontractor is involved. appendix item 13 CF-C7A . 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.has been established. See CF-C4A3 . appendix item 14 Failure to furnish the required forms will result in SUCF withholding a portion of the contract sum. judgments.Subcontractor’s Certification . Revised schedules must be obtained for each updated wage rate period when the respective contractor is working on site.Prime Contractor’s Certification.

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. Wage rates will be posted at the Department of Labor’s website: www. Updated wage rates are to be obtained by the general contractor at the time they become effective from the Department of Labor.Summary of Wage Rate Certification will be required and the certifications from the subcontractors and sub-subcontractors listed must be attached. CF-C3. a CF-C7A .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. Additionally.suny. CF-C4A1 Item 11) for its work on both the final and guarantee payments. Failure to obtain and provide the required certifications will impact the contractor’s final payment. 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. Sub-subcontractor’s certification. 6. CF-C2. The Fund is not responsible for issuing wage rate updates after the project is bid. CF-C8 and CFC11 accompanied by C-5 . subcontractor’s certification. 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.5. 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. 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. CF-C4A1. the prime contractor is responsible for obtaining and collecting the certifications.edu/design/wage. Prior to or for the final payment. When project completion has been verified.Release Form.sucf. PRIME CONTRACTOR’S CERTIFICATION FROM GENERAL CONTRACTOR: The general contractor must submit a Prime Contractor’s Certification (Ref. Office of Construction Management Management of Construction Projects Page 25 Payments and Reimbursements . the contractor must submit to the consultant the guarantee application for payment on forms CF-C1. The payroll period ending date must cover the time period of the payment.

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 Office of Construction Management Management of Construction Projects Page 26 Closeout of Construction Contract .

Contractor and Fund must review the list independently or as a group prior to or while physically inspecting the project. The consultant must prepare a complete list with explicit descriptions of all uncompleted work for the project. the consultant shall have all sub-consultants prepare a complete list with explicit descriptions of all uncompleted work for the project. Projects with vast scope and value may expand process into several phases. 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. value and type of project. “Final Inspections” are made before turning over a project to campus control. contractors and the Fund. INSPECTION AND PUNCH LIST DEVELOPMENT: The process of developing and issuing the punch list will vary depending on the scope. The inspection shall be performed as follows: • • • Roof Interior space Mechanical and electrical systems Page 27 Closeout of Construction Contract Office of Construction Management Management of Construction Projects . If a building permit has been issued on the project. copied to the consultant. Projects with limited scope and value may condense process into fewer phases. Concurrently. 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. The Campus. Guarantee inspections are made near the end of the guarantee period. see section Certificates of Occupancy below for required documentation. 2. stating that the project is ready for inspection. normally just prior to one full year after formal acceptance of the project by the Fund and project turnover to campus control.GENERAL Except where the campus requires partial acceptance or possession prior to completion of the contract. Consultant. The following provides an outline for developing the punch list: 1. The list must be issued as a single uniform document from the prime consultant incorporating items provided by all sub-consultants. The list of deficiencies will be utilized for a final inspection walk through by the Fund. Subconsultants and Contractor. Campus. Consultant. FACILITY READY: The consultant and the Fund Project Coordinator have jointly determined that the facility is prepared for final inspection. the steps detailed in this section of this manual entitled “Final Payment” and “End of Guarantee Period” will apply. 3.

Additional punch list items shall not be added after the Fund has issued the punch list with the “Final Inspection and Acceptance” letters.• • Exterior Site work 4. Preliminary balancing may be required ahead of the final inspection. This procedure will be modified. The heating. may be required. ventilating and air conditioning systems of a building may not be effectively balanced until the building is fully occupied. Items will not be added to the punch list after final inspection. CONTRACT REQUIREMENTS: Conditional to the scope and value of the project. Final balancing of these systems may be considered to be a contract requirement to be met after final acceptance. during the guarantee period. Questions will be addressed concerning incomplete or missing items and punch list completion schedule. as required. mechanical and plumbing systems Coordination of commissioning agent requirements PARTIAL ACCEPTANCE: Contracts which include multiple buildings. Contractor. 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. should be reproduced by the Consultant and furnished to the Contractor. Therefore. phased construction. The process may include. Sub-consultants. the contract documents will require various forms of documentation and inspections required for final acceptance of a project. but concurrence by the Campus is not required to close out a project. any new items discovered during the inspection will be added to the list. as amended during the inspection. or site utility work may be partially accepted using Office of Construction Management Management of Construction Projects Page 28 Closeout of Construction Contract . rehabilitation of limited areas of buildings. Guarantee items are to be resolved as soon as possible. All equipment in the building must be running during the walk-through. each project will entail development of a unique process leading to final acceptance. The Fund will utilize the list of items as the basis for the final acceptance punch list. 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. the issue will be identified as a guarantee item. and Mechanical and Electrical Subcontractors will assemble for a meeting conducted by the Fund representatives. The Campus will be given the opportunity to acknowledge the Final Inspection and Acceptance. The uncompleted work list. In the event a defect develops or is discovered subsequent to final acceptance. the Campus. Consultant. After the inspection has been completed. depending on scope and size of project. the Campus and the Fund. If necessary. The contractor must complete the punch list prior to the end of guarantee and before receiving final payment.

excluding exterior and site work for later inspection and turnover. and Fact Sheet are not required for projects with Building Permit Waivers. Likewise. all projects require the following documents to be completed and submitted for inclusion in the Contract file. if required Office of Construction Management Management of Construction Projects Page 29 Closeout of Construction Contract . A Temporary Certificate of Completion or Occupancy may be issued for a partial acceptance – appendix item 31. 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 . 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. PROJECT DELAYS: Timely acceptance and turnover to the Campus and timely execution of project documentation is important. building segment or specific utility individually.appendix item 30.the procedure described above for each building. Office of Design and Construction Management or the Director of Construction. 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.” to the campus president and the contractor from the Assistant General Manager. Turnover of a portion of the project shall be documented similarly. phase. The Fund will follow the above procedure. TURNOVER TO THE CAMPUS: The turnover is documented by formal letters of “Final Inspection and Acceptance. When a project is ready for final inspection in the winter and the exterior and site work cannot be properly inspected. Prior to issuing formal letters of Final Inspection and Acceptance. • • • • • 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. The Project Delay Memo should detail the extent of and reasons for the delay. 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. Prior to issuance of a Certificate of Occupancy.

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. Additional items will not be added once the final consultant/campus guarantee list has been generated.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. all projects require the following documents to be completed and submitted for inclusion in the Contract file. after the contractor corrects all guarantee deficiencies. but concurrence by the Campus is not required to execute an End of One Year Guarantee Period. in writing. the Fund shall request the campus to submit a list of items. Prior to issuing formal End of One Year Guarantee letters. 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. The consultant or the Fund will. the contractor will have to complete all guarantee items before a guarantee payment is made. The end of the one year guarantee period will be documented by formal letters to the Campus and the Contractor. if required Office of Construction Management Management of Construction Projects Page 30 Closeout of Construction Contract . to be considered for inclusion in the consultant’s formal “guarantee list” to be transmitted to the contractor. schedule the End of Guarantee inspection after coordinating with the campus and the Fund. The Project Delay Memo should detail the extent of and reasons for the delay. If any guarantee items are still not completed at the time of inspection. thirty days prior to end of the one-year guarantee period. • • • • 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. The Campus will be given the opportunity to acknowledge the End of One Year Guarantee Period. Approximately. Timely completion of work and timely execution of project documentation is important.

All releases. statements. article. Coordination of information to be disseminated to the public is required. maps. to assure appropriate and rapid approval by the Fund. This dictates careful review of any releases. The Fund is interested. etc. Contracts. estimates. Office of Construction Management Management of Construction Projects Page 31 Publicity and Disclosures . etc. speech. schemes. press interview. related matters. via the Fund’s Project Coordinator.) must be transmitted to the Fund’s main office. without written permission from the Fund. utterances. to the entire Campus and to the general construction program of the University. There may be no disclosure of information regarding Fund plans. photograph. but also in utilizing any available material to communicate with the public. to verify their accuracy and to insure their compatibility with other information. Each Fund project is related to other similar projects. regardless of the media to be employed.Publicity and Disclosures Fund projects frequently are newsworthy. statistics. not only in cooperating with various news media. etc. regardless of their form (news release.

Forms APPENDIX B – Process Flow Charts Office of Construction Management Management of Construction Projects Page 32 Appendix A -.APPENDIXES APPENDIX A -.Forms .

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

(7 copies if assigned-sub. 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 __________ _________ _________ YES NO REMARKS •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).ITEM A-1 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND POST BID CHECKLIST Present at Post Bid Meeting: SUCF No. 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 . corporate seal. and requested to start assembly of 6 copies of contract. •Proposals checked for possible information (addenda acknowledged. ______________________________ Campus ________________________________ NAME FIRM Project Title ___________________________ _______________________ _______________________________________________________________________ _______________________ _______________________________________________________________________ _______________________ _______________________________________________________________________ _______________________ _______________________________________________________________________ ACTIONS •All participants informed as to confidential nature of discussions.

have an authorized officer or principal of your firm sign on the line below the name of the firm. Project Title Campus Contractor Contractor Address Subject: Dear Sirs/Mesdames: You are the apparent low bidder for the referenced Project and your proposal is being evaluated for acceptance and Contract award. to be filled out and returned to the Fund with the Contract Documents: a. On the Labor and Material Bond (page B-1) and the Performance Bond (page B-2). see the enclosed “Instructions for Execution of Acknowledgements”. On the Acknowledgements page (B-3). 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. b.ITEM A-2 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany. please execute all of the five enclosed copies of the Contract Documents in the following manner: 1. 2.sucf. also affix the corporate seal. kindly return all of the enclosed documents to the Fund by . c. If the Fund accepts your Proposal and awards the Contract to you. In order to expedite the Contract award process. see the enclosed “Instructions for Execution of Labor and Material Bond and Performance Bond”. Certificate of Insurance Builder’s Risk Insurance Breakdown Request for Federal Tax Identification Number. After the Contract Documents have been executed in accordance with the above Directions. On the acknowledgements page (A-33). On the signature page of the Agreement (page A-32).suny. If a corporation. We also enclose copies of the following forms. as well as obtaining any necessary governmental approvals thereof.edu Date Re: SUCF Project No. NY 12246 www. -2- . see the enclosed “Instructions for Execution of Acknowledgements”.

properly filled out. with their initial and final payment applications. entities not organized under the laws of the State of New York) must also furnish. subdivision e of the Agreement. it will not be possible for the Fund to fully process your Contract and no payments may be made there under. Without proof of all required insurance coverage. Unless these forms are promptly furnished by you.06. Barczak General Counsel Enclosures PLEASE NOTE: In the even that this Contract requires asbestos abatement work. a certificate from the New York State Department of Taxation and Finance.Foreign Contractors (i. it is your responsibility. to the effect that all of the Contractors’ taxes have been paid.e. This letter does not constitute an award of the Contract and you are not to begin work until you have received a Notice of Award and filed the necessary certificates of insurance with the Fund. Very truly yours. to obtain asbestos abatement insurance. William K. no payment can be made. Tax Compliance Division. under Section 5. .

18 A. Section 10 A.18 A. Consultant Contractor / Consultant.06 A. Consultant Contractor / Fund. Consultant Contractor / Fund.08 A. Section 5.19 A. Labor.04 A. Fund ITEM A-3 BIDDING DOCUMENTS (NB. FULFILLMENT DATE In accordance with shop drawing and sample schedule Within 15 days after receipt At project completion Within 30 days after Notice of Award Within 10 days of submission Within 10 days of date Contractor receives payment Prior to acceptance of work by Fund One Year (minimum) or longer if so agreed Prior to commencing work Prior to approval of progress payment covering insurable work Prior to commencement of work at site Prior to incorporation into the project 45 days after bid opening 10 days after Notice of Award 10 days after Notice of Award 10 days after Notice of Award 30 days after Notice of Award Within 10 days after commencement of condition(s) causing delay Within 10 days of decision date Within 10 days after Fund or Consultant determination Within 30 days after being required to perform disputed work 3 days’ notice (anytime) Monthly Prior to submission of first partial payment request Acceptance of Contract work One year following acceptance of work by Fund and request by Contractor IB = Information for Bidders PB = Performance Bond ROUTING FROM / TO Contractor / Consultant Consultant / Contractor Contractor / Consultant Contractor / Consultant Consultant / Contractor Contractor / Subcontractors Contractor / Consultant Fund / Contractor Contractor / Fund Contractor / Fund Contractor / Fund Contractor / Consultant Fund / Contractor. Section 2. Section 9 IB. Section 2.07 A. Section 2. Consultant Contractor / Fund. Section 2.19 A.02 A.PROJECT ADMINISTRATIVE ACTIVITY SCHEDULE DATA / REPORT Shop drawings and sample Submission Schedule (for approval) Approval of Shop Drawings Submission of one copy of all approved Shop Drawings Names of subcontractors (other than those named in 48-hour information) Approval of Subcontractors Payment of Subcontractors by Contractor Submission of Record Drawings Guarantee Period Proof of Contractor’s Compensation and liability insurance coverage Builders Risk Insurance coverage provided by Contractor Owners Liability Insurance Approval of products other than specified Notice of Award Performance. Consultant Contractor / Fund (cc Consultant) Contractor / Fund.19 A. 4. LMB) REFERENCE A. Consultant Contractor / Consultant Fund / Contractor. Section 2.11 A.02 A. Section 2. Section 2.18 (Consultant must have Fund concurrence of their approval of subcontractors) A.02 A.26 A. IB) CONTRACT DOCUMENTS (A. Section 2. and Material Bonds Formal Contract signing Work Commencement Time Progress Schedule Notice of Conditions Causing Delay (in writing) Appeal from Consultant’s decision (verified) Dispute based on Fund or Consultant determination (in writing) Claim for disputed work (documented statement) Right to Default Contractor (written notice) Requests for Progress Payments Billing Breakdown of Contract amount Final requisition and final payment (written notices) Guarantee Payment Contr.10. Section 4. Consultant Contractor Contractor / Consultant Contractor / Fund.18 A. Sections 4. PB.25 A. Section 2. Section 3. Section 4. Section 5. Section 2. Section 5.24 A.20 A = Agreement LMB = Labor of Material Bond NB = Notice to Bidders . Section 2. Section 4. Section 3. Section 3. Consultant Contractor / Fund Contractor / Fund.01 A. Section 2. Section 10 P.20 IB.06 A. Section 2.03 A.

1 Consultant) Contractor (1 copy) Fund (when requested) Fund Coordinator – (1 copy) Attendees (3 copies) At inspection Developed by Consultant Testing Lab Reports Periodically (as required) Testing Lab Consultant/Lab.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. Progress Photos –Digital Monthly Contractor Fund Standard Substantial Completion Payment (Item 27 Appendix) Ad hoc Contractor Fund Standard Accident Reports Ad hoc Contractor Consultant. Regulated Materials Ad hoc Contractor As required . Contractor Fund Standard Open Item Log Bi-Weekly Consultant Fund. Contractor Fund Standard Pre-award Meeting Report Pre-Construction Orientation Meeting Report Ad hoc Consultant Minutes to Attendees Developed by Consultant Ad hoc Consultant Minutes to Attendees Consultant (2 copies) (1 field office. Fund Fund (1 copy) SUNY (1 copy) Consultant (1 copy) As required by circumstances Asbestos/Reports.

.... Present Estimate ........................................................................................... Date: Signature ____________________________________________________________________ SCHEDULE IV Examined and found correct: ENDORSEMENT BY SUCF CONSTRUCTION DIVISION Project Coordinator Or Director of Construction Date Signature Project Coordinator Or Director of _________ Construction _ Date Signature For Progress Payments (When required) At the present time..................................... I further certify that all bills for labor and for materials used in connection with this Contract work have been paid to and including the full amount of all previously certified payments. submitted in the future by the Contractor. The State University Construction Fund certifies that this project has been satisfactorily completed and approves this final payment to the Contractor.................................................................... that I certify that this payment estimate is correct and just and that payment therefor has not been received.. Date: Director of Construction For Final Payments: The within application represents a final payment on this project........................................... Certificate Number Date Checked As to Calculations Work Period Ending Contract Completion Date 20 (NOT DATE OF APPLICATION) Auditor SCHEDULE 1 Attach Labor Affidavits for Payroll Period to Conform to New York State Labor Law Sec.............................................. Amount of this Payment .................... Retained Amount ................................................................................................................... Less Retained Amount ...... I further certify that the Contractor has complied with the application provisions of the Tax Law of the State of New York.................... and may be.................. Work Executed to Date..... Previously Certified ............................................................................................................................. and that payment of this application can be made on this Contract without detriment to the interests of the Fund......................... Location Campus ___________________ __________________________________________________________________________________________________________________________________________ FOR SUCF USE ONLY PAYEE (Name and Address) Comptroller’s Contract No................................................................................. Date: Signature SCHEDULE III CERTIFICATION BY CONSULTANT I certify that I am the furnishing general administration of the work described in the attached Contractor’s Application for Payment............................................................................ Work executed to date ................................... that I am the person in whose name the foregoing account against the State of New York is rendered..... 220a STATEMENT OF ACCOUNT $__________________ Work Included in Previous Estimates ........................................................ Date: Director of Construction: _______________________________________________________________________________ CF-C1 ............................................................................................ITEM A-5 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND CONTRACTOR’S MONTHLY APPLICATION FOR PAYMENT SUCF PROJ NO..................... the Fund believes it has sufficient monies retained to pay any liquidated damages that may be assessed after review of any requests for extensions of time that may have been................. % of this Contract is completed % of time has elapsed SCHEDULE II I CERTIFICATION BY CONTRACTOR do hereby certify that I am __________________ __________________ __________________ __________________ __________________ __________________ (Name) (Title) of the Company/Corporation herein referenced and Contractor for the work described in the foregoing application........ No liquidated damages will be assessed against the Contractor.......................................................................... to the best of my knowledge and belief the material and labor stated therein have been furnished and the work properly performed in accordance with the specifications.................... that..........

ITEM A-6 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND Contract No. Location: Application No. Less Deductions D. Change Orders to Contract B. for work to and including . Grand Total (F minus G) Change Orders to be listed on Form CF-C3 Field Orders to be listed on Form CF-C11 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ For Statement of Account. ITEM WORK CONTRACT BREAKDOWN PREVIOUS ESTIMATES % COMP PRESENT ESTIMATE UNCOMPLETED BALANCE Contract Price A. CF-C2 . for which payment has been made. Contract Plus COs C. Bonus Amount E. see attached Form CF-C1. have been furnished and incorporated in the work since the date of last preceding certificate for payment upon said contract. 20 . Date: CONTRACTOR’S MONTHLY APPLICATION FOR PAYMENT (Contract Breakdown) (Contractor) I hereby make application for a payment upon my Contract with the State University Construction Fund for materials and labor furnished for at Materials and labor.

CF-C3 .ITEM A-7 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND LISTING OF CHANGE ORDERS CO # DESCRIPTION ADDITION OR DEDUCTION % COMP PREVIOUS ESTIMATE PRESENT ESTIMATE UNCOMPLETED BALANCE TOTALS $ $ $ $ Totals to be inserted on Form CF-C2 Show all deductions in parentheses.

Allowance $ $ $ $ Show all deductions in parentheses CF-C11 .ITEM A-8 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND FIELD ORDERS Field Order # Description Addition or Deduction % Comp Previous Estimate Present Estimate Uncompleted Balance TOTALS Totals to be inserted on Form CF-C2 .

_________________ DATE ENDING _____________ PROJECT NO. 1 Description 2 Quantity 3 Unit 4 Unit Price 5 Total Price 6 % Compl. to Date 9 Total Amt Complete to Date 10 Amt Added to This Request 11 Amt Left to Complete 12 DC-5 .ITEM A-9 REQUISITION WORK SHEET STATE UNIVERSITY CONSTRUCTION FUND 353 Broadway ALBANY. TITLE: LOCATION: ________________________ No. NY 12246 Sheet Of Sheets CONTRACTOR: ___________________________________________________________ REQUISITION NO. Last Request 8 % Compl. Last Request 7 Amt Compl.

___________________ Date: ___________________ Project Title: _________________________________________________________________ This is to certify that the General Contractor ______________________________________ has made payment of $ Requisition No. CF-C5 . Subcontractor to execute and immediately return to General Contractor for inclusion with next requisition. for work performed by this subcontractor as covered by . ____________________________________________________ Name of Subcontractor __________ Date ___________________________________________________________________________________________________ Signature General Contractor to complete all blanks at top of sheet and forward to subcontractor with payment.ITEM A-10 STATE UNIVERSITY CONSTRUCTION FUND 353 Broadway Albany. New York 12246 CERTIFICATION OF MONTHLY PAYMENT SUCF Project No. for the period from ______________ to ________________ inclusive.

upon information and belief. if none. That. That the Contractor hereby files every verified statement required to be obtained by the Contractor from the subcontractors. Name Amount (5A) That the Contractor has no knowledge of amounts owing to or on behalf of any laborers of its subcontractors. if none. 3. Section 220-a Prime Contractor’s Certification 1. all laborers (exclusive of executive or supervisory employees) employed on the project have been paid the prevailing wages and supplements for their services through .ITEM A-11 DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS BUREAU OF STATE EXPENDITURES OFFICE OF THE STATE COMPTROLLER New York State Labor Law. so state and utilize clause 5 (A)]. 2. 5. except as herein stated. so state). the last day worked on the project by their subcontractor. (Set forth any unpaid wages and supplements. except as stated herein. That I fully comprehend the terms and provisions of Section 220-a of the Labor Law. there are no amounts due and owing to or on behalf of laborers employed on the project by the Contractor. That I am an officer of and am duly authorized to make this affidavit on behalf of the prime Contractor on Public Contract No. That. [Set forth any unpaid wages and supplements. ( continued ) CF-C4A1 . Name Amount 4.

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. it must be accompanied by a certificate authenticating the authority of the notary who administers the oath. then the Contractor shall be responsible for payment of such wages and supplements pursuant to the provision of Section 223 of the Labor Law. ____________________________________ Notary Public If this affidavit is verified by an oath administered by a notary public in a foreign country other than Canada. § 311. Real Property Law. CF-C4A1 . 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. (See CPLR § 2309(c). Section 220-a Prime Contractor’s Certification (Page 2) 6.New York State Labor Law.312).

it must be accompanied by a certificate authenticating the authority of the notary who administers the oath. Signature Print Name Title ACKNOWLEDGEMENT: STATE OF NEW YORK COUNTY OF On this day of } } SS 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. and I am duly authorized to make this affidavit on behalf of the firm. § 311. 3. That on . Real Property Law. That I am an officer of _________________________________________________ a subcontractor on Public Contract No. Section 220-a Subcontractor’s Certification 1.312). That I have reviewed such schedule(s). That I make this affidavit in order to comply with the provisions of Section 220-a of the Labor Law. CF-C4A2 . we received from (the prime Contractor) a copy of the initial/revised schedule of wages and supplements Prevailing Rate (PRC) specified in the public improvement Schedule Case Number contract. (See CPLR § 2309(c). 4. 2. and agree to pay the applicable prevailing wages and to pay or provide the supplements specified therein. Notary Public If this affidavit is verified by an oath administered by a notary public in a foreign country other than Canada.ITEM A-12 OFFICE OF THE STATE COMPTROLLER DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS BUREAU OF STATE EXPENDITURES New York State Labor Law.

of the firm. CF-C4A3 . § 311. That on .ITEM 13 OFFICE OF THE STATE COMPTROLLER DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS BUREAU OF STATE EXPENDITURES New York State Labor Law. (See CPLR § 2309(c). That I have reviewed such schedule(s). a the prime Contractor on Public Improvement and I am duly authorized to make this affidavit on behalf 2. Real Property Law. and agree to pay the applicable prevailing wages and to pay or provide the supplements specified therein. 4. it must be accompanied by a certificate authenticating the authority of the notary who administers the oath. That I am an officer of subcontractor of Contract No. 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. we received from (the subcontractor of the ) (Contractor) a copy of the initial/revised schedule of wages and supplements (PRC) specified Prevailing Rate Schedule Case Number in the public improvement contract. 3. Section 220-a Sub-subcontractor’s Certification 1.312). a subcontractor to _____________. Notary Public County If this affidavit is verified by an oath administered by a notary public in a foreign country other than Canada. That I make this affidavit in order to comply with the provisions of Section 220-a of the Labor Law.

partnership or corporation By ______________________________________________ Signature _______________________________________________ Address (State. Zip Code) (Street. PROJECT TITLE SUBCONTRACTOR OR SUBSUBCONTRACTOR LAST DAY OF WORK DATE OF LATEST WAGE RATE CERTIFICATION The foregoing is a true and accurate listing of all subcontractors and sub-subcontractors employed on this Contract to date of completion. Title CF-C7A . When submitting your Final and End-of-Guarantee payment applications.ITEM 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. City) _________________________________________________ Name. in triplicate. for your own firm and each subcontractor and/or sub-subcontractor. attach this form (in triplicate) along with the latest Wage Rate Certifications. ______________________________________________ Legal name of person. CONTRACT NO. CAMPUS SUCF NO. *NOTE: CONTRACTOR Last day or work must be within the time frame of the latest Wage Rate Certification.

TOTAL __________________________________________________ Signature (Officer of Company or Designee) ___________________ Date CF-C8 . I understand that the information provided is to be used to comply with the reporting requirements of Article 15-A of the Executive Law. ______________________ Project Title: ____________________________________________________________________________________ Contract Number ______________________ Campus: ________________________________________________________________________________________ Requisition Number ____________________ General Contractor ________________________________________________________________________________ Subcontractor or Supplier (Do not include Prime Contractor) NAME FEDERAL ID SUBCONTRACT VALUE AMOUNT TO BE PAID THIS REQUISTION TOTAL CUMULATIVE PAYMENTS I hereby certify that the information provided on this form is true. accurate and complete.ITEM A-15 STATE UNIVERSITY CONSTRUCTION FUND Construction Contract Payment Request Detail of Prime Contractor Payments To MBE/WBE Subcontractors or Suppliers SUCF Project No.

money. the undersigned has caused its name to be hereunto subscribed and its seal to be hereunto affixed this __________ day of ________________________________. agents and employees. the undersigned hereby releases and discharges the Fund. relating to. undertakings or liabilities under said contract or in any way affect or limit the same. if any. neglect or default on the part of the Fund or any of its officers. of and from all claims of liability to the undersigned for anything furnished or performed in connection with. _______________________________________________________ Name of Contractor By _____________________________________________________ Affix Seal here C5 . due to the undersigned by reason of extra work. all claims for extra work. relating to or arising out of the contract or out of the work covered by said contract. or constitute a release or waiver of the undersigned's obligations. except for the aforesaid retained monies. labor or materials furnished or performed in connection with. that the undersigned hereby acknowledges that pursuant to a contract dated the __________day of _______________________________.ITEM A-16 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND RELEASE KNOW ALL PERSONS BY THESE PRESENTS. or arising out of the subject matter of said contract. including. 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 employees in connection therewith. but not limited to. its officers. the sum of _________________________________________________________________ dollars ($_______________________). labor or materials and for any prior act. firm or corporation claiming by or through the undersigned. or a person. In consideration of such payment. agents. except for monies being retained by the Fund pursuant to the provisions of the aforesaid contract. IN WITNESS WHEREOF. including but not limited to. 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. said amount being the full and entire sum due from the Fund to the undersigned under said contract.

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 Workers’ Compensation __________________________________________________________ Limits of Liability As required by law $ ___________ Each Occurrence Contractor’s Comprehensive General $ ___________ Aggregate Bodily Injury Liability and Property Damage Liability Contractor’s Automobile Liability Bodily Injury Liability and Property Damage Liability Owner’s Protective Liability Bodily Injury Liability and Property Damage Liability $ ___________ Combined Single Limit $ ___________ Each Accident or Occurrence $ ___________ Combined Single Limit $ ___________ Each Occurrence $ ___________ Aggregate $ ___________ 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. 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. 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. 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: ________________________________________________________________________________________________________________ Policy No. Effective Expiration

2.

3.

4.

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

C10

ITEM A-18
STATE OF NEW YORK

STATE UNIVERSITY CONSTRUCTION FUND
CONSTRUCTION DIVISION

  

ADDITIVE DEDUCTIVE NO COST

CONTRACT CHANGE ORDER
List Contractor name/address below

Date: SUCF Project No. Attention: Location: Consultant: Contract No. D Project: Change Order No.
In accordance with the terms and conditions of your Contract and the plans and specifications relative thereto, you are hereby authorized and directed to make changes and modifications as follows: (Description of Contract Modification)

This work is to be done in strict accordance with the terms of the Contract except as herein modified or hereinbefore modified by a previous change order. It is further understood and agreed that, unless otherwise expressly stated herein, the work herein authorized will not extend the time of completion of the work to be performed under the Contract and that the amount of this change order includes full payment or credit, as the case may be, for the extra or deleted work covered hereby, all work covered in Architect’s Bulletin No. , all items included in Proposal No. of the Contractor and any damage or expense caused the Contractor by any delays to or interference with other work to be done under the Contract resulting from or on account of said extra or deleted work. Extension of Contract Time: Amount of Contract including Change Order No. $ Revised Contract Total including this change Calendar Days Revised Completion Date: Contract Completion Date: Amount of this Change Order: $ $

THE TERMS AND CONDITIONS OF THE ABOVE ARE HEREBY ACCEPTED:

___________________________________________________________________________________________________________ Contractor's Authorized Representative Date of Acceptance

Recommended by: ____________________________________________________________________________________________ Consultant

Date

Approved: ___________________________________________________________________________________________________ State University Construction Fund

Date

Approved: ___________________________________________________________________________________________________ For the State Comptroller

Date

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: Gentlemen: You are hereby authorized to have the following work performed: Proposal No. PROCEED ORDER AUTHORIZATION

Not to Exceed, Not Less Than $

(Additive / Credit)

A detailed proposal must be obtained from the Contractor and submitted promptly with your review and recommendation in order that a Change Order can be issued. Very truly yours,

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

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

. __________________________________________________________________________________ 5.: _______________________ Hauler Permit No(s).ITEM A-21 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND ASBESTOS MATERIAL REMOVAL FACT SHEET _____________ _________________________________________ SUCF PROJ NO. __________________________________________________________________________________ 2. ___________________________________________________________________________________ 5./Room) Material (2) Removed Methods of Removal Quantity (3) 1. __________________________________________________________________________________ 4. ___________________________________________________________________________________ 3. __________________________________________________________________________________ 3.:__________________________________________________________________ __________________________________________________________________________________________ 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. ___________________________________________________________________________________ 4. __________________________________________________________________________________ Date Removal Begins: ________________________ Asbestos Carrier: ___________________________ __________________________________________ __________________________________________ Phone No. PROJECT TITLE SCOPE OF WORK: __________ DATE ______________________________________________________________________ ASBESTOS CONTRACTOR: Name/Address (if applicable) _________________________________________ _________________________________________ _________________________________________ Phone # ____________________________ Contract Awd Amt: ____________________ Contract Completion Date: ______________ GENERAL CONTRACTOR: ________________________________ ________________________________ ________________________________ Phone # _______________________________ Asbestos Lic #: ________________________________ Expiration Date: _______________________________ ASBESTOS ABATEMENT PERSONNEL: (Attach Additional Sheets as Required) Social Certificate Name Title/Function Sec. # Number Expiration Date 1.: ______________________________ Ends: ___________________________ Disposal Site: ____________________ ________________________________ Phone No. during. which includes a copy of the asbestos contractor license and all asbestos handling certificates. ___________________________________________________________________________________ ASBESTOS ABATEMENT WORK : (Attach Additional Sheets as Required) Bldg. ___________________________________________________________________________________ 2. disposal receipt acknowledgement. and after abatement). waste transporter permits. Part 56. and air test reports (prior. (1) Usage Removal Location (Bldg. 12NYCRR.

E.) 4. F.e. MATERIAL REMOVED A. M.) L. J. REMOVAL METHODS A. H. B. Administration Academic Library Health/Physical Education Dining Halls Dormitory Mechanical Room Steam Tunnel Other 2.STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND ASBESTOS MATERIAL REMOVAL FACT SHEET KEY 1. walls. VAT Vinyl Asbestos Roofing VAR Other (Describe) O 3. E. N. etc.F. D. PCT Transite Panels TP Vent/Drain Pipes (List Size) VDP In-Place Gaskets IPG Vinyl Asbestos Siding VAS Vinyl Asbestos Tile . H. C.F. I. C. F. I. G. B. structural members. L. E.e. etc. B. D. D. QUANTITY OF MATERIAL S. BUILDING USAGE A. C. ceiling. Wet Dry Glovebag Tent Other . K. Square Feet (i. G. Linear Feet (i. Acoustical/Decorative Plasters ADP Fireproofing Materials FM Troweled Wall/Ceiling Plasters TCP Mud Joints/Tees MJT Pipe Covering (List Size Pipe) PC Boiler/Hot Water Tank Insulations BHTI Panels/Ceiling Tiles . pipe.

_________________ Expiration Date: ___________________ Material Testing Telephone No. ________________________ Qty/Units ________ ________ ________ ________ ________ Method of Disposal __________________________ __________________________ __________________________ __________________________ __________________________ Classification ____________ ____________ ____________ ____________ ____________ Date Removal Began: _____________ Location of Disposal Site(s): Name/Address ____________________ _________________________________ _________________________________ ________________________________________ Date Disposal Complete: ________________ Transportation: Name/Address __________________________ _______________________________________ _______________________________________ _______________________________________________ Telephone No. _________________ Facility Permit No.: _________________________________________________________ General Contractor: Name / Address: Telephone No. ____________________ Contract Award Amount: Contract Completion Date: Contract No. ________________________ 2. ________________________ 3. ________________________ 4./Campus ______________________________________________________________________ Project Title Date Scope of Work: ______________________________________________________________________ Campus’ Generator No.ITEM A-22 State University Construction Fund Regulated Materials Disposal Fact Sheet ________________________ SUCF Project No.: _____________________________________ _____________________________________ _____________________________________ Listing of Regulated Materials Removed: (attach additional sheets as required) Description: 1. _____________________________ _____________________________ ___________________________________ Subcontractor: (if applicable) _____________________ _________________________________ ________________________________________ _____________________________ Telephone No. ________________________ Expiration Date: _________________________ Required: _________________________ Not Required: ___________________________ . __________________________ Hauler Permit No. ________________________ 5.

provisions and conditions hereof and any of the terms. Name and Address of Insured Contractor ______________________________________________________________ ______________________________________________________________ ______________________________________________________________ Title and Number of ______________________________________________________________ Project to which this ______________________________________________________________ Certificate applies: ______________________________________________________________ KIND OF INSURANCE Builder's Risk w/ broad form extended coverage endorsement LIMITS OF LIABILITY $ _______________________________ POLICY NO. provisions and conditions of the policies listed above except for the following: _________________________________________________________________________________________________ 2.14(1)(c) of Article IV of the Agreement between the Fund and the Contractors. The Insurer certifies that there is no inconsistency or conflict with or between any of the terms. with the requirements set forth in Section 4. 4. 3. That the insurance policies listed above conform. 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. 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. the undersigned insurance company. hereby agrees as follows: 1. duly licensed to do business in the State of New York. 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.ITEM A-23 CERTIFICATE OF INSURANCE FOR MATERIALS STORED OFF-SITE To: State University Construction Fund State University Plaza 353 Broadway Albany. Name of Insurance Company Phone Authorized Representative (Original Signature Required) Date CISM 5/04 . EFFECTIVE EXPIRATION 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 _____________________________________ _________________________________________. in all respects.

Contract No. Project Title Campus Contractor Contractor Address SUBJECT: Request for Federal Tax Identification Number for SUCF Project No. we are forwarding this form letter. to my attention as promptly as possible. NY 12246 www. Very truly yours. To set up our file of tax identification numbers. SUCF Controller .edu Date Re: SUCF Project No. 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”.suny. Please return a completed copy of this letter to the State University Construction Fund. To comply with this requirement we will need the social security numbers for individuals or the employer identification number for partnerships or corporations. the Office of State Comptroller requires the Federal Employer Identification number or Social Security number of payees before processing payments. D Gentlemen: Effective immediately.sucf.ITEM A-24 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany.

Director of Design Offices of Preconstruction Services & Design ______________________________________ Code Compliance Manager cc: To P. McSorley .ft. ______________________ ______________________  Yes  No Based upon the code conformance reviews documented in the attached material. ______ sq.ft. has determined the project is substantially in compliance with the requirements of the New York State Uniform Fire Protection and Building Code. 6/02 STATE UNIVERSITY CONSTRUCTION FUND CONSTRUCTION BUILDING PERMIT Consultant of Record: Project Title: SUNY Campus: SUCF Project No.ft.attached to Notice of Award . BASIC INFORMATION New Code (Codes of New York State. if available.ft. the Fund to the best of its knowledge and belief. ______ sq. Title 19 Dept of State) Nature of Work: _______________________________________________ _______________________________________________ Gross Area by Floor: Basement: First: Second: Third: Building Occupancy Classification: Construction Type: Project fully sprinklered ______ sq. ______ sq. prepared by the Architect and the Fund Code Review Comments for each phase.: 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). _______________________________________ Christopher P.ITEM A-25 Rev. Permission is granted to proceed with construction subject to the periodic inspections required by the Certificate of Occupancy. Marcella.

Director of Design Offices of Preconstruction Services & Design TO: FROM: DATE: Christopher P.  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. Marcella. parking lots. landscape or site utilities and does not involve work inside a building except for utility connections. Christopher P. electrical or heating/ventilation systems of the building in which it will be constructed.ITEM A-26 STATE UNIVERSITY CONSTRUCTION FUND WAIVER OF BUILDING PERMIT REQUIREMENT Project Title: SUNY Campus: SUCF Project No. Marcella (Coordinator) No changes have been made to the above project during design that would effect the determination that a Building Permit is not required. OR  Based on a review of the program this project consists of sitework such as roads.attached to Notice of Award . cc: P. McSorley .

Mr. Hagen. New York 12246 Attention: Subject: Gentlemen: Please be advised that the captioned project has been completed in accordance with the Contract Documents and is ready for acceptance and occupancy. Director of Construction COMPLETION OF PROJECT (Officer of the Company) cc: Consultant Project Coordinator . Very truly yours. Jr.ITEM A-27 (CONTRACTOR LETTERHEAD) Date Re: SUCF Project No. Project Title Campus State University Construction Fund 353 Broadway Albany. John K.

John K. (Project Title) State University State University Construction Fund 353 Broadway Albany.ITEM A-28 (CONSULTANT LETTERHEAD) Date Re: SUCF Project No. Jr. Very truly yours. the captioned project has been completed in accord with our Contract Documents. Director of Construction ACCEPTANCE OF PROJECT (Consultant of Record) . Mr. and the project conforms to all requirements of the New York State Uniform Fire Prevention and Building Code. New York 12246 Attention: Subject: Gentlemen: Please be advised that to the best of our knowledge and belief. It is our recommendation that the project be occupied. Hagen. and that a Certificate of Occupancy be issued for the project.

ITEM A-29 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND CHECKLIST FOR SUBSTANTIAL COMPLETION SUCF Project No. etc. Guarantees. Record Information to Architect Punch List Established Campus Personnel Instructed Release REMARKS Notes: Approved by: Date: CF-C6 . Project Title: Campus: INITIALS Keys Money due Campus Operating Instructions Spare Parts Lists Shop Drawings Cuts and Brochures Bonds.

ITEM A-30 STATE UNIVERSITY CONSTRUCTION FUND CERTIFICATE OF OCCUPANCY Consultant of Record: Project Title: SUNY Campus: SUCF Project No.. ___________________________________ John K.: 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. and with Change Order Nos. Based on periodic inspections that have been made during the construction of the project and the Final Inspection on XXX. Director of Construction Offices of Preconstruction Services & Design __________________________________ Code Compliance Officer *See final Change Order for final cost and Change Order file for changes relating to this project . 1 through *. permission is granted to occupy the project. Hagen. Jr. the Building Permit issued for the Project.

1 through *. the captioned project has been substantially completed in accordance with the Contract Documents. and with Change Order Nos. ______________________________ John K. Director of Construction Offices of Preconstruction Services & Design _______________________________ Code Compliance Officer *See final Change Order for final cost and Change Order file for changes relating to this project . the remainder of the project should not be used until a permanent Certificate of Occupancy is issued. Jr.E. P. LIST OF SPACES TO BE OCCUPIED Until the Contract has been substantially completed.: Effective Date of Occupancy: To the best of our knowledge and belief. 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. the Building Permit issued for the Project. Hagen.ITEM A-31 STATE UNIVERSITY CONSTRUCTION FUND TEMPORARY CERTIFICATE OF OCCUPANCY Consultant of Record: Project Title: SUNY Campus: SUCF Project No.

ITEM A-32 CONSTRUCTION INSPECTION REPORT Consultant: Project Title: SUNY Campus: SUCF Project No. ITEM Foundations Super Structure Electrical Plumbing HVAC Fire Protection Fire Detection Exits DATE STARTED DATE COMPLETE INSPECTED BY CHANGE ORDER RE: ITEM .

the Building Permit issued for the project.ITEM A-33 FINAL INSPECTION REPORT Consultant of Record: Project Title: SUNY Campus: SUCF Project No.* The Contractor.: On (Date). stated that the project has been completed in accordance with the Contract. except for the attached Punch List. 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. Fund Project Coordinator _____________________________ Regional Director of Construction *See final Change Order for final cost and Change Order file for changes relating to this project . by letter dated X. 1 through X. has recommended to SUCF acceptance of the project. by letter dated X. and with Change Order Nos. The Consultant.

....... Project Title: ......................... 6.................................................................................................................................. 15........... ............................................................................................................................................................ $ Final Value: .......... 8....................... 18........................... Date of Contractor's Letter of Project Completion ....................................................................................... 19................... N/A 13................................................................................... N/A Expiration Date of Extended Building Permit ................. $ Consultant of Record: .......................................... 9..................................... Campus: ............. 7............. 2.. Date of Temporary Certificate of Occupancy: ........................................................... Code Compliance Manager issuing Temporary Certificate of Occupancy: ...... Expiration Date of Building Permit ....................................... Date of Certificate of Occupancy: ...................................................... Code Compliance Manager issuing Certificate of Occupancy: ................................................................................................. ......................................... Date of Consultant’s Letter Recommending Acceptance: .......................... N/A 11........................................ N/A 12....... Date of Building Permit ........................................... 16................ 17........................ Date of Letter to President regarding Final Acceptance of Project and Transmitting Certificate of Occupancy: ................................................................................................................................................................................................................................... 5............................................... SUCF Project No........... Award Value: ............................................. Date of Partial Acceptance Inspection: .ITEM A-34 FACT SHEET FOR PROJECTS REQUIRING BUILDING PERMIT AND CERTIFICATE OF OCCUPANCY 1.......................................... N/A 20.................. Date of Letter to President regarding Partial Acceptance of Project and Transmitting Temporary Certificate of Occupancy ............ 14........ Date of Final Inspection Report: ............................ Date of Extension of Building Permit: ......................................................................................... 10............... Code Compliance Manager issuing Permit ............... N/A 3......................................................... 4...................

the Consultant. and the Contractor.sucf.ITEM A-35 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany. New York 12246 Attention: Subject: Gentlemen: On X. on X. an inspection of the above-referenced project was made by representatives of the Campus. subject to the attached Punch List.edu Date Re: SUCF Project No. as of 8:00 a. at which time the College will be solely responsible for the operation. Director of Construction FINAL INSPECTION AND ACCEPTANCE (FINAL) ACKNOWLEDGED: For the Campus: State University Construction Fund: Designated Campus Officer Title ___________________________________ Fund Project Coordinator .m. Project Title Campus State University Construction Fund 353 Broadway Albany. This marks the start of the one-year guarantee period. State University Construction Fund. maintenance and security of the facility.suny. The project is accepted. NY 12246 www.

all contractual construction defects are required to be corrected by the Contractor without any additional cost. Hagen.m.ITEM A-36 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany. subject to the attached Punch List. Jr. an inspection of the above-referenced project was made by representatives of the College (). and 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. Director of Construction. P..suny.E.. John K.hagen@suny. the Consultant. Project Title Campus President Campus Address SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL) : Dear President On XXX..edu Date Re: SUCF Project No. State University Construction Fund («coordinator»). In order to ensure that this requirement is fully complied with by the Contractor. and security of the facility.sucf. maintenance.E. in order for the Fund to timely notify the Contractor and have the defect corrected. P. During the one-year general guarantee period. Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john. Jr. as of 8:00 a. at which time the College will be solely responsible for the operation. and that it not be deferred until the end of the one-year general guarantee period. This marks the start of the one-year general guarantee period. Hagen. Very truly yours. It is essential that this notification be given promptly. Director of Construction Management cc: Facilities Information Services John K. NY 12246 www.edu” . on XXX. The project is accepted.

Hagen.edu” .. P. P. maintenance and security of the facility. on XXX. an inspection of the above-referenced project was made by representatives of the College ()... Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john.E. and the Contractor ( ).m. Jr. at which time the College will be solely responsible for the operation. subject to the attached Punch List. State University Construction Fund («coordinator»). as of 8:00 a. This marks the start of the one-year general guarantee period. Very truly yours.sucf. Director of Construction.hagen@suny.E. Project Title Campus Contractor Address SUBJECT: Gentlemen: On XXX. The project is accepted. NY 12246 www. the Consultant ().suny. Jr. FINAL INSPECTION AND ACCEPTANCE (FINAL) John K.edu Date Re: SUCF Project No.ITEM A-37 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany. Hagen. Director of Construction Management cc: Consultant Information Services John K.

. ACKNOWLEDGED: For the College: For State University Construction Fund: Designated Campus Officer __________________________________ Fund Project Coordinator John K.E. Project Title Campus State University Construction Fund 353 Broadway Albany. the Contractor was found to have complied with all requirements of its one-year guarantee.ITEM A-38 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany.sucf.hagen@suny.suny. New York 12246 Attention: SUBJECT: Gentlemen: Director of Construction END OF ONE-YEAR GUARANTEE PERIOD 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. Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john. Jr.. Hagen. Director of Construction. P.edu Date Re: SUCF Project No. NY 12246 www.edu” .

P. The Contractor was found to have complied with all requirements of its one-year guarantee.edu” . and the Campus ( ). Jr.suny. NY 12246 www.edu Date Re: SUCF Project No. Project Title Campus President Campus Address SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD Dear President XXXX: On X. Very truly yours.sucf.hagen@suny. Jr. Hagen.. John K. P.E..ITEM A-39 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany. Hagen. Director of Construction Management cc: Facilities John K.. Director of Construction. Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john. an inspection of the referenced project was made by representatives of the Fund ( ).E.

Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john. Hagen. Jr. P.suny.ITEM A-40 STATE UNIVERSITY CONSTRUCTION FUND Albany. The Contractor was found to have complied with all requirements of its one-year guarantee.E. and the Campus ( ). Jr.. Very truly yours.edu Date Re: SUCF Project No.E. Director of Construction.edu” . Project Title Campus Contractor Address SUBJECT: Gentlemen: On X. END OF ONE-YEAR-GUARANTEE PERIOD John K. P. Director of Construction Management cc: Consultant John K. Hagen.. an inspection of the referenced project was made by representatives of the Fund ( ).hagen@suny.. NY 12246 State University Plaza • 353 Broadway www.sucf.

only payroll related liability insurances are reimbursable.I.06 of the Contract Documents. CF-C10 .: Contractor: Project Location: Date: _____________ Trade: ________________________________________________ Effective Date: *Base Hourly Rate: Payroll Taxes and Insurance F.A.ITEM A-41 LABOR RATE BREAKDOWN SUCF Project No.I.C. submit two (2) separate weekly copies of a certified payroll. and P. & P.I. experience modification and assessments have been applied against the manual rate. Taxes/Insurance and Fringe Benefits $______ *If any supplemental benefits are paid in the hourly rate.D.02 and 5. Training Industry $ Hour ______ ______ ______ ______ ______ ______ ______ ______ ______ Total Hourly Fringe Benefits $______ Hourly Labor Rate: Base Rate.D. **Workman’s Compensation. B. ***In accordance with Sections 4. Disability TOTAL Payroll Taxes and Insurance Rates: Base Rate (X) Total % = % Hour ______ ______ ______ ______ ______ ______ % $_________ Expiration Date: __________________ $________ Supplemental Benefits Vacation Health & Welfare Pension Annuity Education/App. rates are net Contractor cost after premium discounts. Federal Unemployment State Unemployment **Workman’s Compensation ***B.

...................................................................... B-1 End of One Year Guarantee Flow Chart .. B-2 Office of Construction Management Management of Construction Projects Page 79 Appendix B – Processing Flow Charts .......................APPENDIX B – FLOW CHARTS TABLE OF CONTENTS ITEM Final Inspection and Acceptance Flow Chart .........................

ITEM B-1 FINAL INSPECTION and ACCEPTANCE Contractor Consultant SUCF Construction Receipt of Letter Advising Contract Complete (27) Campus Letter Advising Contract Complete (27) Receipt of Letter Advising Contract Complete (copy 27) Confirmation of Project Substantial Completion Uncompleted Work Items List Project Final Inspection Walk Through Acceptance Letter and Punch List (28) Checklist for Substantial Completion. CF-C6 (29) Final Inspection Acceptance Sign-Off (35) Sign & Return Final Inspection 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 Final Inspection Acceptance Letter (37) Receipt of Final Inspection Acceptance Letter (copy 37) Final Inspection Acceptance Letters (36 and 37) Receipt of Final Inspection Acceptance Letter (36) .

ITEM B-2 END OF ONE YEAR GUARANTEE SUCF Construction Contractor Consultant Campus Receipt of Guarantee List Guarantee List Guarantee Issues Guarantee Issues Deficiencies Corrections Final Balancing of HVAC Systems End of Guarantee Inspection Completion of Corrections End of Guarantee SignOff Letter (38) Sign & Return End of Guarantee Sign-Off Letter 38) Receipt of End of Guarantee Letter (40) Receipt of End of Guarantee Letter (copy 40) End of Guarantee Period Letters (39 and 40) Receipt of End of Guarantee Letter (39) .

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