management in construction projecte

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

Office of Construction Management Management of Construction Projects Construction Prologue

PAGE NO. Construction Document Phase Prologue 4 Construction Prologue 5 Construction Contracts 8 Table 1 – Contract Check List 9 Table 2 – Contract Distribution 10 Construction Phase 11 Payments and Reimbursements 18 Closeout of Construction Contract 25 Publicity and Disclosures 30 Appendix 31

TABLE OF CONTENTS


Construction Document Phase Prologue

Construction Prologue

Activities Prior To Bidding

The Bidding Period

Addenda and Amendments to Fund Documents

Bid Tabulation

After Bid Opening

Bid Analysis Meeting

Pre-Award Meeting

Contract Award

Building Permits


Construction Prologue

The Consultant has been guided through the design phases of its project by the State University Construction Fund’s three objectives – achieving quality architecture, on schedule and within budget limitations. The product of these efforts will be lost unless it continues to pursue these objectives during the construction of the project. Final achievement of these objectives depends not only on the Consultant’s proper involvement during design but on its continued and proper involvement during construction. This document does not supersede any provisions of the Contract In achieving these objectives during design, the Fund has emphasized the Consultant’s responsibility for project development and management. Therefore, it is imperative that the responsibility for the management of projects under construction rests with the Consultant. This manual is devoted to the design and construction phase procedures and requirements necessary to achieve the Fund’s objectives during construction and to assist the Consultant in assuming its full responsibilities1. It is understood the purpose of this manual is to provide guidance in these procedures and does not supersede any provisions of the contracts. The Consultant is required to provide proper staffing capacity and resources for taking projects through design phases. It is equally important to properly organize and staff a project during construction. The Fund expects the Consultant to provide complete services during the construction phase with frequent inspections of the work at the job site by its office personnel and those of its Consultants. In addition, the Fund requires that the Consultant maintain, at the site, a field staff sufficient to provide for the daily administration of construction. Planning and organizing for the staffing of this field office should begin well before the project is put on the construction market. The number and composition of the field staff should be planned in consideration of the type and complexity of the construction project and with the aim of organizing the staff to meet the Fund’s major objectives. ACTIVITIES PRIOR TO BIDDING : During the construction document phase, the Consultant is to develop a plan of organization for its field staff and submit the proposed plan to the Fund Assistant General Manager, Office of Construction Management, for approval. After approval of the plan, the Consultant and its Consultants shall conduct interviews to fill the authorized positions after bid. The nominations (with the proposed salaries and a resume of the candidates' experience) are to be sent to the Assistant General Manager, Office of Construction Management. Final interviews will be arranged and, upon consent of the Fund, a salary and starting date for employment will be established. THE BIDDING PERIOD: The most important role the Consultant plays during the bidding period is in attracting and interesting qualified Contractors to participate in the bidding for construction of SUCF projects. To best attract and interest qualified Contractors in Fund projects, the Consultant may have to begin these activities prior to putting a project on the market. This may require the Consultant to make an inventory of Contractors who have bid or 1 Where Federal funds are involved, the separate Fund bulletin dealing with projects involving Federal Funds should be followed


might be expected to bid on projects in its area and to seek out those Contractors to determine their willingness to bid on the project or to attempt to stimulate such interest. An assessment of Contractor interest is important for developing a final cost estimate for the project. During the bidding period, the Consultant shall report weekly, in writing, to the Fund’s Design Project Coordinator2 the names, addresses and roles of all those requesting plans and specifications. In addition, the report should indicate its appraisal of the sincerity of potential bidders. It should describe the activity that it is engaging in to attempt to interest additional Contractors or subcontractors in bidding the project. The Consultant must also submit a final report, three days prior to the bid opening, which then currently identifies likely bidders. ADDENDA AND AMENDMENTS TO FUND DOCUMENTS : No addenda, revisions, deletions or additions will be made by the Consultant to the Fund’s standard documents without prior approval by the Fund. All addenda issued by the Consultant during the bid period are to be approved by the Fund prior to being issued, and only in extreme cases will an addendum be issued during the last week of the bidding period. AFTER BID OPENING: With the opening of bids, responsibility for monitoring the bid project continues within the Design Section of the Office of Design. The Consultant’s primary point of contact in the Fund remains the designated Design Project Coordinator. The Fund’s Project Coordinator assignment, from design to construction, will be changed effective with award of the construction contract. BID ANALYSIS MEETING : After the bid opening there may be a Bid Analysis Meeting at the Fund offices with representatives of the Design Section of the Office of Design and Construction Management for the purpose of analyzing bids. This meeting must be attended by the Consultant and its principal Consultants. The Consultant chairs the meeting and must prepare minutes for distribution to the participants. The Consultant, Design Project Coordinator and Regional Director of Design are provided with one copy of all bid proposals for use in analyzing bids. There is a Post-Bid Checklist specimen included in the Appendix, which is to be followed. At the end of this meeting, the original copies of all bids must be deposited with the Fund for inclusion in the permanent record. Immediately after the three lowest bids have been identified, the Fund will notify these bidders via fax, requesting each bidder name its principal subcontractors and provide all other qualifying data within the 48-hour time limit specified in Information for Bidders, Section 8, “Submission of Post-Bid Information”. This may be an update of previously filed data in the case of Contractors who previously submitted this material. The 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, Office of Construction Management. The necessary documents must be received no later than 2:00 P.M. of the second business day following opening of bids. PRE-AWARD MEETING : As soon as possible after the qualifying data has been reviewed, a Pre-Award Meeting may be scheduled and convened by the Consultant with the concurrence

2 Fund Project Coordinator will be designated for each project.


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


document must be posted conspicuously on the construction site for the duration of the project.

Office of Construction Management Management of Construction Projects Construction Contracts

Construction Contracts

CONTRACT DOCUMENTS: The Construction Contract is the agreement between the Fund and the Contractor for the construction of the Project. By the Bid Opening, the Project Consultant must have delivered to the Fund Assistant General Manager, Office of Construction Management six (6), unbound copies of the following documents:

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

After the project is awarded, the Fund’s legal office prepares the construction Contract and forwards the documents to the Contractor for execution. A copy of a letter of transmittal containing instruction for Contract execution is included as Item 2 of the Appendix. REFERENCE TABLES: Table 1 is a Contract checklist indicating the items that must be completed in all Fund construction Contracts. Table 2 indicates the distribution of Fund construction Contracts after execution by both parties and approvals by the necessary governmental agencies.


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, so state) PAGE P-2 � Item 5.A: Total Bid (Words and Figures) � Item 5.B: Alternates (Words and Figures) for Proposed Work � Item 5.C: Unit Prices � Item 6: Allowance PAGE P-3 � Bid Security Amount � Contractor Name � Signature/Title of Contractor’s Authorized Officer � Seal (If Corporation) � Item 9: Addenda, with date(s) PAGE P-4 � Bidder’s Official Address. If Bidder is a corporation list of corporate officers, or partners or joint venture, or individual owner, with names and addresses. AGREEMENT PAGE A-1 � Contractor’s Name and Address � Date (Effective Date in Notice of Award) � Full Project Title, including SUCF Number � Completion Date � Liquidated Damages PAGE A-15 � 4.01: Total Contract Amount (words/figures) PAGE A-28: � Contractor’s Name � Signature of Contractor’s Authorized Officer � Seal (If Corporation) PAGE A-29 � Acknowledgements SCHEDULE � Unit Prices (must confirm with those in Notice of award; if none, so state)

SCHEDULE II � Allowances (Type/amounts; if none, so state) LABOR AND MATERIAL BOND PAGE B-1 � Contractor’s Name and Address � Surety Company Name and Address � Contract Amount (words/figures) � Contract Date � Project Title, including SUCF No. � Date (On or after Contract Date) � Contractor’s Name � Signature of Contractor’s Authorized Officer � Seal (If Corporation) � Surely Name � Signature of Surety’s “Attorney-in-Fact” or other representative � Seal of Surety (If corporation) ACKNOWLEDGEMENT BY PRINCIPAL PAGE B-3 � Complete all blanks in Acknowledgement of Principal (Contractor), including notary signature, notary seal, showing expiration date of notary’s commission. � Complete all blanks in Acknowledgement of Surety, including notary signature, notary seal, date (should be on or after Contract date). PERFORMANCE BOND PAGE B-2 � Contractor’s Name and Address � Surety Company Name and Address � Contract Amount (words/figures) � Contract Date � Project Title, including SUCF No. � Date (on or after Contract date) � Contractor’s Name � Signature of Contractor’s Authorized Officer � Seal (If Corporation) � Surety name � Signature of Surety’s “Attorney-in-Fact” or other representative � Seal of Surety (If Corporation)


TABLE 2 CONTRACT DISTRIBUTION 3

Document General Construction Contract : Total Copies Required: 5 Distribution (Executed) 1 To the State Comptroller 2 To the Fund 1 To the Consultant 1 To the Contractor Federal Contract : Total Copies Required: 6 Distribution (Executed) 1 To the State Comptroller 2 To the Fund 1 To the Consultant 1 To the Contractor 1 To Federal Government

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

Office of Construction Management Management of Construction Projects Construction Phase

Construction Phase

Pre-Construction Orientation Meeting

Correspondences, Reports, Construction Phase Submittals

Communication between Fund Consultants and Contractor

Communication with Bonding Company

Reports to the Fund

Construction Phase Review of Submittals

Full-Time Superintendent

Job Meetings

Backcharging

Asbestos and Lead Abatement Projects

PCB and Regulated Materials Projects

Sales and Use Taxes and Exemption

Changes to the Contract

Claims and Disputes

Office of Construction Management Management of Construction Projects Payments and Reimbursements

Construction Phase

The Consultant shall furnish general administration for each construction Contract awarded for the project until final completion and acceptance by the Fund for construction of the project, including services throughout the guarantee period. Pre-Construction Orientation Meeting: The Orientation Meeting is held to review the purpose, goals, organization and Contract requirements as related to the project. The meeting affords an opportunity for those individuals who will be working together to become familiar with each other, clarifying the responsibilities of each party. The meeting will be chaired by the Consultant and is usually held at the project site. Attendees will include Fund personnel, Consultant’s representative, General Contractor (designed mechanical, electrical, and other proposed principal subcontractors as required), and a representative of the University/College if applicable. A representative of the Federal Government (or any other relevant potential sponsor) may be present if a Federal project is included. The purpose of the meeting will be to review:

• The administrative aspects of the construction phase.

• An overview of the project, drawing attention to any particular aspect or special condition associated with the project, along with a generic discussion of the Contractors proposed overall construction schedule. Special attention is to be given to contractual phasing requirements.

This meeting is also for the implementation of solutions to the coordination of issues related to maintenance and control of pedestrian and vehicular traffic, construction fencing (long and short duration), safety, Contractor’s control to the site, parking, temporary utilities, etc. Correspondence, Reports Construction Phase Submitta ls COMMUNICATION BETWEEEN FUND, CONSULTANTS, AND CONTR ACTOR: The Consultant and the Contractor will communicate directly with each other unless directed otherwise. Copies of all correspondence are to be issued to the Fund Project Coordinator on all matters. The Consultant, as the Fund’s Representative, will provide determinations of the content/intent of the technical plans and specifications. The Consultant has the sole responsibility for receiving and acting upon all technical submittals of all types, including samples, shop drawings, catalog cuts, brochures, test data, etc. For interpretation affecting Contract cost and/or material substitution, prior concurrence of the interpretation must be obtained from the Fund. It is the Consultant’s responsibility to monitor the Contractor’s scheduling of submissions.


There are particular items for which the Consultant should instruct the Contractor to submit, simultaneously to the Fund Project Coordinator at the time the originals are sent to the Consultant: These items are as follows: 1. PROJECT SCHEDULE: An initial project schedule in the form of a suitable chart,

diagram or bar graph is required to be submitted for approval within 30 days of Notice of Award, showing sufficient detailed information to reflect the first 90 days of Contract activity. Since the Fund strives to hold the initial project orientation meeting as soon as possible after award, the 90-day schedule should be available for review at this meeting.

Within 90 days of the Notice of Award, the Contractor shall submit a Working Plan Schedule, which shall be a critical path method schedule.

The Contractor’s provided schedule is reviewed for constructability and conformity to the Contract requirements. Therefore, if the Contractor chooses to accelerate the project’s completion date from the contractual completion date, the Fund realizes that it is everyone’s benefit to progress a project schedule as efficient and timely as the Contractor deems appropriate. It should be noted that the Contractor’s schedule does not change the contractual completion date. The project schedule is to be reviewed by the Consultant and forwarded to the Fund with comments. The Fund will respond to the Consultant with the Fund’s review prior to responding to the Contractor. The Project schedule is not to be approved, only returned to the Contractor with comments. The project schedule must indicate the Contract completion date. Both of these items must be submitted and reviewed before the Contractor may receive its initial payment and that said date should be shown on the project schedule, along with any early targeted completion date.

2. CONTRACT BREAKDOWN (Fund Form CF-C2): Prior to submitting an initial

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

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

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


3. LIST OF PROPOSED SUBCONTRACTORS AND VENDORS:

All subcontractors are approved by the Consultant but only with Fund’s concurrence with the exception of the subcontractors designated by the Fund in the Notice of Award. The General Contractor is responsible to submit a complete subcontractor’s listing with qualification within 30 days of Notice of Award.

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

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

submits a claim, the Consultant must then review the claim and provide comments and recommendations to the Fund. No copy of this correspondence is sent to the Contractor or the College. The Fund will review th e Consultant’s recommendations and respond.

COMMUNICATION WITH BONDING COMPANY : No communication should be sent by the Consultant employed by the Fund to a Contractor’s Bonding Company unless such a letter has been approved, in writing, by either the Fund’s Counsel or Assistant General Manager, Office of Design and Construction Management. REPORTS TO THE FUND: The Consultant must submit the following reports to the Fund: • Log of shop drawings and sample submittals (Substitutions and equivalents must be identified) - Monthly • Daily Field Reports - As Requested • Open Item Log at Project Meetings • RFI Log at Project Meetings • Log of required tests – At onset of project, updated as requested • O&M Training and Commissioning Requirements – As requested The format for each respective report shall be submitted by the Consultant within the first 30 days to the Fund for approval. CONSTRUCTION PHASE REVIEW OF SUBMITTALS: For all Fund projects which include a liquidated damages clause, every effort is to be made to avoid situations that would stimulate claims for delay or impact to be made against the Fund. Such claims nullify the effectiveness of the liquidated damages clause and cause untenable delays in construction. During the construction phase, shop drawings and other submittals of the Contractor are to be reviewed and, when acceptable, approved promptly. Shop drawings are to be reviewed as quickly as possible after their receipt and approval letters sent to the Contractor immediately when such drawings and other submittals are acceptable. When shop drawings and other submittals are found unacceptable or incorrect, their rejection should be prompt, complete and documented. Whenever shop drawings and other submittals


do not meet Contract requirements, the Consultant is to notify the Contractor immediately, in writing, with a copy of the notification to the Fund. FULL-TIME SUPERINTENDENT: Section 2.06 of the Contract requires a full-time superintendent. In his absence, an individual must be named, acceptable to the Consultant and Fund, having authority to receive and execute instructions given by the Consultant or its representative. The full-time superintendent with qualifications must be submitted to the Consultant and the Fund for acceptance. JOB MEETINGS: Job meetings are to be scheduled and conducted by the Consultant at least bi-weekly and more frequently, if deemed necessary. The Consultant representative, subconsultants (as stipulated in the Consultant’s Agreement), the Fund Project Coordinator, the Contractor and subcontractor or subcontractors (as requested) are to attend. A representative of the University/College may also participate, as an observer. Meeting minutes are to be issued by the Consultant. BACKCHARGE: When a Contractor fails to perform what the Consultant considers Contract work, the Consultant must direct the Contractor, in writing, to perform the work prior to taking any other action to complete the work. The Consultant must obtain prior approval from the Fund before such a letter is transmitted to the Contractor (see Item 20 of Appendix for sample letter). ASBESTOS ABATEMENT: The Contractor will be required to provide substantial documentation, in duplicate, for Asbestos Abatement work. Appendix Item 21 is an Asbestos Material Removal Fact Sheet that must be completed and submitted to the Fund prior to any work commencing on asbestos abatement. In addition to this Fact Sheet, the Contractor will be required to provide documentation relative to the required notification, tests, licenses, approvals, certifications, etc., that are required by specifications for the project. Prior to the commencement of work involving asbestos demolition, removal and/or renovation, the Contractor must submit to the Fund the name of its on-site asbestos supervisor responsible for such operations, together with documentation that such supervisor has completed an Environmental Protection Agency approved training course for asbestos supervisors. A Pre-Abatement Meeting will be held prior to commencement of work. This information must be recorded on the Asbestos Material Removal Fact Sheet (Appendix Item 21). PCB TRANSFORMERS AND CONTAMINATED MATERIAL: Projects that require the removal and disposal of regulated material such as PCB Transformers, contaminated duct work, hazardous and non-hazardous contaminated material, etc. will require detailed record keeping. Appendix Item 22 is a fact sheet for record keeping on these types of projects. The actual records that should be kept in the project files will vary, depending on the project and type of material removed. The fact sheet should be completed by the Fund Project Coordinator from information supplied by the Contractor and the Consultant. SALES AND USE TAXES AND EXEMPTIONS: Under the Fund’s lump-sum contract, all supplies and materials incorporated into the project are exempt from all local and State sales and compensating use taxes.


No sales tax exemption certificate or other certificate is required to be issued by the Fund for such exemption. However, under the requirements of the New York State Department of Taxation and Finance (800-462-8100), each Contractor must file a request for Tax Exemption Certificate (Form ST-201.1) which it will be required to supply to its vendors and subcontractors. CHANGE AND FIELD ORDERS: Fund procedures are intended to minimize the number of change and field orders. All change and field orders must be authorized by the Fund in writing. No action should be taken by the Consultant to soli cit proposals for changed work from the Contractor without prior approval of the Fund. Whenever feasible, changes must be priced before work is authorized. In the case of emergency or under conditions where the scope of work cannot be determined in advance without causing unacceptable impact to the progress of the work, the Fund will direct the Consultant to issue an Authorization to Proceed letter. Proceed Orders are issued only when time is of the essence and proper staffing of an anticipated change will materially impact the completion of a project or result in additional costs to the Fund. The accepted form for such a letter appears in the Appendix of this document (Item 19). Prompt payment for all work satisfactorily complete d is Fund policy. Therefore, timely processing of change and field orders is required s o as to not impede job progress. This necessitates the Contractor to submit a comple te package with breakdowns for processing. Information copies of all correspondence between the Consultant and the Contractor regarding change orders and field orders are to be furnished concurrently to the designated Fund Project Coordinator and the field office. After a change has been authorized in principle by the Fund, the Consultant must request the Contractor to present a proposal showing a detailed breakdown of items of work including an overall value for labor and material and the portions of work to be done by the Contractor and/or Subcontractors. Unsupported lump-sum quotations are not acceptable. Where appropriate, Contract unit prices should be utilized and identified as such. The Consultant must review the Contractor’s proposal for reasonableness of the itemization, quantities and prices and for Contract compliance. If the proposal is acceptable, the Consultant should submit the proposal together with their review and recommendations, to the Fund’s Project Coordinator to obtain authorization to either prepare a formal change order or to prepare a Field Order approval. The Letter of Recommendation should include the following items: a. Statement describing the change. b. The reason for the change. c. A copy of the detailed quotation (proposal) submitted by the Contractor, suppliers, and

subcontractors. d. The Consultant’s stated evaluation of the reasonableness of quantities and price in

accordance with Sections 2.04, 2.05 and 4.02 of the Contract. e. Attachment of, or reference to, supplementary data such as descriptive literature,

sketches, revised drawings, etc


f. The Consultant’s recommendation for an extension of time (which the Contractor must have explicitly requested in writing for a specific period).

g. An indication as to whether the change will require work of other trades and if so, whether work will involve additional costs, changes or credits.

h. Recitation of form, agent and date of advance authorization by the Fund. i. Any other pertinent data. The Contractor is not to be copied with the Consult ant’s letter of recommendation to the Fund. After receiving written Fund approval of its recommendation, the Consultant must initiate a formal change order. For field orders, the Fund will issue an authorization letter permitting payment to the Contractor for completed work. Seven (7) copies of the formal change order (eight [8] copies for Federal projects) must be submitted to the Fund on Form CF-C9. (Appendix Item 18). For field orders, the Fund will issue approval letters authorizing the Contractor to request payment for completed work via the Contract allowance. The change order form contains the cost and a description of the work with reference to applicable drawings. Necessary deletions from and/or additions to the specifications should appear in the body of the change order under the “Description of Change” portion or on a separate attached sheet.

The total amount shown on the body of each change order, including those computed on the basis of unit prices, is to be a lump sum. After a change order has been processed by the Fund and the State Comptroller, the Fund will forward two copies to the Consultant, who, in turn must retain one copy and deliver one to the Contractor. The Contractor’s Monthly Application for Payment should list all executed change orders on SUCF Form CF-C3 with the summation of additive and deductive change orders posted on Form CF-C2 (see Appendix Items 6 and 7). All approved field orders will be listed on SUCF Form CF-C11 (see Appendix Item 8). CLAIMS AND DISPUTES: If a Contractor maintains that any work being performed is extra work to the Contract and the Consultant does not agree with the Contractor’s position, the Contractor must follow the procedures outlined in Article 11, Section 2.03 of the Contract. The Contractor must also follow these procedures if he believes any action by the Consultant or the Fund is contrary to terms and conditions of the Contract. When a Contractor fails to perform what the Consultant considers Contract work, the Consultant must direct the Contractor, in writing, to perform the work prior to taking any other action to complete the work. The Consultant must obtain prior approval from the Fund before such a letter is transmitted to the Contractor (see Item 20 of Appendix for sample letter).


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


Payments and Reimbursements

It is policy of the Fund to ensure prompt action is taken on requests for payment. The following procedure has been established to expedite Contractor’s Monthly Applications for Payment:

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

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

INITIAL REQUEST: Three approvals are required before a Contractor’s first monthly request for payment may be processed. They are: (1) approval of the Contract by the State Comptroller, and assignment by it of a Contract number, (2) acceptance by the Fund of the Contractor’s Contract breakdown and job progress schedule, and (3) MBE/WBE Program. These should be approved before the first payment meeting. In addition, before a first monthly request for payment may be processed, proof of required Contractor’s insurance must have been received and approved by the Fund. The Contract breakdown must include an item for the one-year guarantee obligation and the amount thereof is to be $5,000 or one-half of one percent of the original Contract award, whichever is the lesser amount.

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

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

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

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


PAYMENT FORMS: The Contractor’s Monthly Application for Payment is to be made on forms prescribed by the Fund, samples of which are included in the Appendix and can be found at www.sucf.suny.edu in PDF Format. 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). CF-C2 Contract Breakdown - The form should be limited to one page. The Requisition

Worksheet, DC-5 Form, is a backup form which may be used to provide a detailed breakdown of items listed on CF-C2.

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

of all change orders that have been executed. Only fully executed Change Orders are to be listed.

CF-C11 List of Field Orders. This is a supplemental form to the requisition, for listing of

all field orders that have been executed. Only fully executed Field Orders are to be listed.

CF-C4As Wage Rate Certifications. These are payment affidavits required by the New

York State Department of Labor pursuant to Section 220-a of the Labor Law, and must be completed in duplicate with original signatures. These forms are required from the General Contractor, all subcontractors and sub-subcontractors performing work under the Contract. One copy is for the Fund Accounting Unit, another is for the Office of the State Comptroller, and a third copy must be placed in the Fund project file. These forms are only required on the final payment and the guarantee payment when work is perf ormed during the warranty period.

CF-C5 Verification of subcontractor(s) payment from pervious payment application.

This form is required only for the third set when requested by the Fund Project Coordinator. Each subcontractor who has received payment from the previous requisition must file one. The Requisition Number on the form references the General Contractor’s payment application number.

CF-C7A Summary of Subcontractors and Sub-subcontractors. (Submit in triplicate

with final payment only.) CF-C8 Minority/Women’s Business Enterprise Program Payment Report. Each

payment application shall include Detail of Payments to MBE/WBE Subcontractors and Suppliers, Form CF-C8. The Contractor shall transfer all information to this form relative to MBE/WBE Subcontractors and suppliers. Form CF-C8 must have an original signature. If no payment is due to one or more listed subcontractors or suppliers enter “None” in the appropriate space.

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

the Fund Project Coordinator.


In summary, five (5) sets of the completed payment forms, with backup, as required, must be submitted by the contractor, as shown in the table below. The first three sets must have original signatures and are to be delivered to the Fund Project Coordinator. The fourth set is to be transmitted to the consultant. “Foreign Contractors” as defined by Section 4.15 Paragraph (d) of the contract are additionally required to submit, as part of each initial and final contract payment request, a certificate from the New York State Tax Commission stating that all New York State taxes have been satisfied.

TABLE 3 PAYMENT FORMS

Set No. Set No. 1 Original Signature

Set No. 2 Original Signature

Set No. 3 Original Signature

Set No. 4 Copy

Set No. 5 Copy

TO State Comptroller Fund Accounting Unit Fund Project File Consultant File Contractor File CF-C1 CF-C1 CF-C1 CF-C1 CF-C1 CF-C2 CF-C2 CF-C2 CF-C2 CF-C2 CF-C3 CF-C3 CF-C3 CF-C3 CF-C3

CF-C4As CF-C4As CF-C4As

CF-C7A CF-C7A CF-C7A CF-C8 CF-C8 CF-C8 CF-C11 CF-C11 CF-C11 CF-C11 CF-C11 Backup Data Backup Data Backup Data

Backup data may include DC-5, or approved equivalent, as requested by the consultant or the Fund. Additional documents may be requested to substantiate a request for payment and any certifications required for payment of materials stored off the job site. INSURANCE RENEWALS: If any component of insurance coverage lapses during the contract, the contractor’s monthly payment will not be processed. Asbestos Abatement Insurance – The contractor shall notify the consultant when asbestos abatement work has been completed by the contractor. The consultant reviews work and if finalized issues letter to Construction Project Coordinator stating asbestos abatement work has been completed. Copy will be forwarded to SUCF Controller’s Services and SUCF Counsels Office to eliminate need to renew asbestos abate insurance. PAYMENT FOR MATERIALS: Payment for materials delivered to site will be in accordance with Section 4.12 of the Construction Agreement. Payment for materials stored off-site will be in accordance with Section 4.14. The contractor shall notify in advance, prior to the payment meeting, that materials stored off site will be requisitioned for. It is the contractor’s responsibility to coordinate and provide assistance to the consultant for verification of materials stored off site. For materials stored off-site a “Certificate of Insurance for Material Stored Off-site” must be completed, appendix item 23. SUBSTANTIAL COMPLETION: When the project is substantially complete, in accordance with the provision of Section 4.10 of the Agreement, a final inspection is to be conducted in accordance with the provisions of the Section entitled “Closeout of Construction Contracts.” At that time the consultant shall prepare a list of all uncompleted, unaccepted and corrective work to be performed together with the estimated value thereof. After approval of this list by the Fund, the contractor’s retainage may be reduced to cost of performing the work on the list plus an amount necessary, in the Fund’s judgment, to satisfy any claims, liens or judgments against


the contractor which have not been suitably discharged. Before such payment is to be made, the following items must be addressed, except that a dollar value may be assigned to the items having an asterisk (*), with such items placed on the punch list. The Checklist for Substantial Completion, form CF-C6, appendix item 29, may be utilized to expedite this process.

*KEYS: The Fund Project Coordinator has verification that the door keys, keyboards and master keys have been received by the campus. *MONEY DUE TO THE CAMPUS: All water, power, fuel, telephone and other outstanding bills due to the campus have been satisfied. *OPERATING INSTRUCTIONS AND SPARE PARTS LISTS: Basic mechanical and electrical systems of the project and all special equipment, complete operating instructions and spare parts lists have been formally transmitted to the campus. *BONDS, WARRANTIES and GUARANTEES: The Construction Project Coordinator has obtained verification that, as required by the SUCF Agreement, all bonds, guarantees and warranties exceeding the normal one-year guarantee period have been received by the campus. All guarantees and warranties shall identify the respective SUNY campus as the owner. *CHARTS AND DIAGRAMS: Wiring diagrams, valve charts and other charts or diagrams required by the specifications must be framed under glass and mounted on the walls in the mechanical and electrical equipment rooms as required by the contract. *OPERATING TESTS: All required tests must be been made and the results furnished to the Fund, the campus and the consultant prior to the turnover of projects. Especially important are the results of life safety tests and their certification. The consultant is responsible for turning over to the Fund a testing log and respective test reports at the completion of the project. RELEASE: The contractor must provide an executed C-5 Final Release, appendix item 5, which accompanies the final application for payment. *RECORD INFORMATION FROM THE CONTRACTOR: The consultant has received from the contractor all record information required by SUCF Agreement Section 2.24 -Record Drawings and General Requirements. *CAMPUS PERSONNEL TRAINING / DEMONSTRATIONS: Mechanical, electrical systems and equipment have been demonstrated to the campus operating personnel, in the presence of the contractor and under the supervision of the consultant. Operation and Maintenance Manuals must be submitted by the contractor, reviewed and approved by the consultant and turned over to the campus prior to scheduling training/demonstrations. PUNCH LIST: The consultant, sub-consultants, contractor, Fund Project Coordinator, and a representative of the campus have verified by inspection that the final punch list


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

FINAL PAYMENTS: The term “Final Payment” is used for processing an application for payment when all work has been accepted, excluding guarantee obligations, judgments, claims or liens against the contractor. WAGE RATE CERTIFICATIONS: Contractors are required to submit the following prior to or at final application for payment:

• CF-C4A1 - Prime Contractor’s Certification, appendix item 11 • CF-C4A2 - Subcontractor’s Certification, appendix item 12 • CF-C4A3 - Sub-subcontractor’s Certification, appendix item 13 • CF-C7A - Summary of Wage Rate Certification, appendix item 14

Failure to furnish the required forms will result i n SUCF withholding a portion of the contract sum.

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

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

2. The prime contractor must immediately obtain the subcontractor’s certification. Such

certification must be submitted by the prime contractor prior to or with the final payment, see form CF-C4A2 - Subcontractor’s Certification - appendix item 12.

3. If a sub-subcontractor is involved, it is the subcontractor’s responsibility to obtain the

certification from the sub-subcontractor that he/she has in fact received the wage rates contained in the subject project. The prime contractor must immediately obtain the sub-subcontractor’s certification from the subcontractor which must be submitted by the prime contractor with the final payment. See CF-C4A3 - Subcontractors Certification – appendix item 13.

4. If revised schedules of wages and supplements are published, the prime contractor

must provide each subcontractor with such revised schedules and obtain a revised subcontractor’s certification, and the subcontractor must follow the same procedure with each sub-subcontractor. Revised schedules must be obtained for each updated wage rate period when the respective contractor is working on site.


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

6. Updated wage rates are to be obtained by the general contractor at the time they

become effective from the Department of Labor. Wage rates will be posted at the Department of Labor’s website:

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

It is the prime contractor’s responsibility to prov ide the wage rate updates to every subcontractor and obtain all certifications as desc ribed in paragraph 4 above. The Fund is not responsible for issuing wage rate updat es after the project is bid. Additionally, the prime contractor is responsible for obtaining and collecting the certifications. Prior to or for the final payment, a CF-C7A - Summary of Wage Rate Certification will be required and the certifications from the subcontractors and sub-subcontractors listed must be attached. Final payment will not be made without these certifications and it is recommended that three originals be obtained promptly by the prime contractor at the time a subcontract is executed. Please note that sending the Fund a copy at the time of certification does not relieve the prime contractor from the responsibility of attaching all original certifications to the final payment. GUARANTEE PAYMENT: The term “Guarantee Payment” is the last payment application processed once the punch list and warranty items are completed and the guarantee period expires. When project completion has been verified, the contractor must submit to the consultant the guarantee application for payment on forms CF-C1, CF-C2, CF-C3, CF-C4A1, CF-C8 and CF-C11 accompanied by C-5 - Release Form. C-5 Release Form is only required if changes in the final value of the contract occurred between final acceptance and the end of guarantee period. PRIME CONTRACTOR’S CERTIFICATION FROM GENERAL CONTR ACTOR: The general contractor must submit a Prime Contractor’s Certification (Ref. CF-C4A1 Item 11) for its work on both the final and guarantee payments. The payroll period ending date must cover the time period of the payment.

Office of Construction Management Management of Construction Projects Closeout of Construction Contract

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


GENERAL Except where the campus requires partial acceptance or possession prior to completion of the contract, the steps detailed in this section of this manual entitled “Final Payment” and “End of Guarantee Period” will apply. The following guidelines are intended to standardize Fund procedures for closeout of construction contracts and are published for the information and guidance of campuses consultants, contractors and the Fund. “Final Inspections” are made before turning over a project to campus control. Guarantee inspections are made near the end of the guarantee period, normally just prior to one full year after formal acceptance of the project by the Fund and project turnover to campus control. COMPLETION AND ACCEPTANCE SUBSTANTIALLY COMPLETE: When all contract work is substantially complete and the project can be utilized for its intended purpose the contractor must submit a letter to the Director of Construction, copied to the consultant, stating that the project is ready for inspection. If a building permit has been issued on the project, see section Certificates of Occupancy below for required documentation. FACILITY READY: The consultant and the Fund Project Coordinator have jointly determined that the facility is prepared for final inspection. INSPECTION AND PUNCH LIST DEVELOPMENT: The process of developing and issuing the punch list will vary depending on the scope, value and type of project. Projects with limited scope and value may condense process into fewer phases. Projects with vast scope and value may expand process into several phases. The following provides an outline for developing the punch list:

1. The consultant must prepare a complete list with explicit descriptions of all uncompleted work for the project. Concurrently, the consultant shall have all sub-consultants prepare a complete list with explicit descriptions of all uncompleted work for the project. The list must be issued as a single uniform document from the 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, Campus, Consultant, Sub-consultants and Contractor.

2. The Campus, Consultant, Contractor and Fund must review the list independently or as

a group prior to or while physically inspecting the project.

3. The inspection shall be performed as follows:

• Roof • Interior space • Mechanical and electrical systems


• Exterior • Site work

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

Items will not be added to the punch list after final inspection. In the event a defect develops or is discovered subsequent to final acceptance, the issue will be identified as a guarantee item. Guarantee items are to be resolved as soon as possible, during the guarantee period. The heating, ventilating and air conditioning systems of a building may not be effectively balanced until the building is fully occupied. Preliminary balancing may be required ahead of the final inspection, may be required. Final balancing of these systems may be considered to be a contract requirement to be met after final acceptance. All equipment in the building must be running during the walk-through. The Campus will be given the opportunity to acknowledge the Final Inspection and Acceptance, but concurrence by the Campus is not required to close out a project. This procedure will be modified, as required, depending on scope and size of project. CONTRACT REQUIREMENTS: Conditional to the scope and value of the project, the contract documents will require various forms of documentation and inspections required for final acceptance of a project. Therefore, each project will entail development of a unique process leading to final acceptance. The process may include, and not be limited to:

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

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


the procedure described above for each building, phase, building segment or specific utility individually. When a project is ready for final inspection in the winter and the exterior and site work cannot be properly inspected. The Fund will follow the above procedure, excluding exterior and site work for later inspection and turnover. CERTIFICATES OF COMPLETION OR OCCUPANCY: A project for which a building permit has been issued requires a Certificate of Completion or Certificate of Occupancy to be issued by the Office of Design and Construction Management - appendix item 30. A Temporary Certificate of Completion or Occupancy may be issued for a partial acceptance – appendix item 31. Prior to issuance of a Certificate of Occupancy, the following forms and letters must be completed:

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

A project for which a Building Permit Waiver has been issued will not require a Certificate of Completion or Occupancy. The Construction Inspection Report, Final Inspection Report, and Fact Sheet are not required for projects with Building Permit Waivers. PROJECT DELAYS: Timely acceptance and turnover to the Campus and timely execution of project documentation is important. A memo must be included in the project close out documentation for any project which has been accepted more than 6 months after the contract completion date as indicated in the bid documents. Likewise, a memo must be included in the project close out documentation for any project which is being accepted effective more than 6 months prior to the date of the Final Inspection and Acceptance letters. The Project Delay Memo should detail the extent of and reasons for the delay. TURNOVER TO THE CAMPUS: The turnover is documented by formal letters of “Final Inspection and Acceptance,” to the campus president and the contractor from the Assistant General Manager, Office of Design and Construction Management or the Director of Construction. Turnover of a portion of the project shall be documented similarly. Prior to issuing formal letters of Final Inspection and Acceptance, all projects require the following documents to be completed and submitted for inclusion in the Contract file.

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

and related documents • Project Delay Memo, if required


END OF ONE-YEAR GUARANTEE PERIOD The one-year guarantee normally starts with the jointly agreed upon date of turnover for each portion of a facility. Approximately, thirty days prior to end of the one-year guarantee period, the Fund shall request the campus to submit a list of items, in writing, to be considered for inclusion in the consultant’s formal “guarantee list” to be transmitted to the contractor. The Fund will provide this listing to the consultant who in turn will notify the campus and the Fund of items that are not considered covered by the guarantee and issue the final list to the contractor. Additional items will not be added once the final consultant/campus guarantee list has been generated. The Campus will be given the opportunity to acknowledge the End of One Year Guarantee Period, but concurrence by the Campus is not required to execute an End of One Year Guarantee Period. The consultant or the Fund will, after the contractor corrects all guarantee deficiencies, schedule the End of Guarantee inspection after coordinating with the campus and the Fund. If any guarantee items are still not completed at the time of inspection, the contractor will have to complete all guarantee items before a guarantee payment is made. Timely completion of work and timely execution of project documentation is important. A memo must be included in the project close out documentation for any project for which End of One Year Guarantee Period letters are dated more than 18 months after the effective date of project acceptance. The Project Delay Memo should detail the extent of and reasons for the delay. The end of the one year guarantee period will be documented by formal letters to the Campus and the Contractor. Prior to issuing formal End of One Year Guarantee letters, all projects require the following documents to be completed and submitted for inclusion in the Contract file.

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

Office of Construction Management Management of Construction Projects Publicity and Disclosures

Publicity and Disclosures

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

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

APPENDIXES

APPENDIX A -- Forms APPENDIX B – Process Flow Charts

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

APPENDIX A -- FORMS TABLE OF CONTENTS

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

ITEM A-1

STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND

POST BID CHECKLIST

Present at Post Bid Meeting: SUCF No. ______________________________ Campus ________________________________ NAME FIRM Project Title ___________________________ _______________________ _______________________________________________________________________ _______________________ _______________________________________________________________________ _______________________ _______________________________________________________________________ _______________________ _______________________________________________________________________

ACTIONS YES NO REMARKS •All participants informed as to confidential nature of discussions. •Proposals checked for possible information (addenda acknowledged, corporate seal, all blanks filled)

•Fax sent for 48-hour data •Appendix ‘A’ requested in Fax •Bid deposit checks returned to other than “low 3” •Time and place set for Pre-Award Meetings: Place Date Hour __________ _________ _________

•Consultant requested to tabulate and analyze unit prices from all bidders prior to Pre-Award Meeting

•Consultant requested to review alternates and recommend selection to SUCF

•Consultant furnished Contract checklist (copy attached), and requested to start assembly of 6 copies of contract, (7 copies if assigned-sub, or a Federal Grant is involved)

•Consultant furnished copy of “Management of SUCF Projects” •Consultant furnished copy of Federal Grant Check List (when applicable)

ADDITIONAL REMARKS: Signed:________________________________ Date: __________________ DC-1

ITEM A-2

STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway

Albany, NY 12246 www.sucf.suny.edu

Date Re: SUCF Project No.

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. In order to expedite the Contract award process, please execute all of the five enclosed copies of the Contract Documents in the following manner: 1. On the signature page of the Agreement (page A-32), have an authorized officer or

principal of your firm sign on the line below the name of the firm. If a corporation, also affix the corporate seal. On the acknowledgements page (A-33), see the enclosed “Instructions for Execution of Acknowledgements”.

2. On the Labor and Material Bond (page B-1) and the Performance Bond (page B-2),

see the enclosed “Instructions for Execution of Labor and Material Bond and Performance Bond”. On the Acknowledgements page (B-3), see the enclosed “Instructions for Execution of Acknowledgements”.

After the Contract Documents have been executed in accordance with the above Directions, kindly return all of the enclosed documents to the Fund by . If the Fund accepts your Proposal and awards the Contract to you, it will issue a Notice of Award to you and execute the copies of the Contract Documents you have returned, as well as obtaining any necessary governmental approvals thereof. It will then return to you a fully executed copy of the Contract Documents. We also enclose copies of the following forms, to be filled out and returned to the Fund with the Contract Documents:

a. Certificate of Insurance b. Builder’s Risk Insurance Breakdown c. Request for Federal Tax Identification Number.

-2-

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

responsibility, under Section 5.06, subdivision e of the Agreement, to obtain asbestos abatement insurance.

ITEM A-3

PROJECT ADMINISTRATIVE ACTIVITY SCHEDULE

DATA / REPORT

FULFILLMENT DATE

ROUTING FROM / TO

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

REFERENCE

Shop drawings and sample Submission Schedule (for approval)

In accordance with shop drawing and sample schedule

Contractor / Consultant A, Section 2.19

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

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

Names of subcontractors (other than those named in 48-hour information)

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

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

Payment of Subcontractors by Contractor Within 10 days of date Contractor receives payment

Contractor / Subcontractors A, Section 2.18

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

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

Proof of Contractor’s Compensation and liability insurance coverage

Prior to commencing work Contractor / Fund A, Section 5.06

Builders Risk Insurance coverage provided by Contractor

Prior to approval of progress payment covering insurable work

Contractor / Fund A, Section 5.07

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

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

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

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

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

Work Commencement 10 days after Notice of Award Contractor A, Section 3.01

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

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

Contractor / Fund, Consultant A, Section 3.04

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

Dispute based on Fund or Consultant determination (in writing)

Within 10 days after Fund or Consultant determination

Contractor / Fund, Consultant A, Section 2.02

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

Contractor / Consultant A, Section 2.03

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

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

Billing Breakdown of Contract amount Prior to submission of first partial payment request

Contractor / Fund A, Section 4.08

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

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

Contractor / Consultant, Fund A, Section 4.20

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

ITEM A-4

LISTING OF PROJECT REPORTS REQUIRED DURING CONSTRUCTION PERIOD

TITLE PERIOD COVERED PREPARED BY DISTRIBUTION FORMAT

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

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

RFI Log Bi-Weekly Consultant Fund, Contractor Fund Standard

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

Pre-award Meeting Report

Ad hoc Consultant Minutes to Attendees Developed by Consultant

Pre-Construction Orientation Meeting Report

Ad hoc Consultant Minutes to Attendees Developed by Consultant

Testing Lab Reports Periodically (as

required) Testing Lab

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

Consultant/Lab.

Progress Photos –Digital Monthly Contractor Fund Coordinator – (1

copy) Fund Standard

Substantial Completion Payment (Item 27 Appendix)

Ad hoc Contractor Attendees (3 copies)

At inspection Fund Standard

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

Asbestos/Reports, Regulated Materials

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

Consultant (1 copy) As required

ITEM A-5

CF-C1

STATE OF NEW YORK

STATE UNIVERSITY CONSTRUCTION FUND CONTRACTOR’S MONTHLY APPLICATION FOR PAYMENT

SUCF PROJ NO. Location Campus ___________________ __________________________________________________________________________________________________________________________________________ PAYEE (Name and Address) FOR SUCF USE ONLY Comptroller’s

Contract No.

Certificate Number

Date Checked As to

Calculations Work Period Ending 20 (NOT DATE OF APPLICATION)

Auditor Contract Completion Date Attach Labor Affidavits for Payroll Period to Conform to New York State Labor Law Sec. 220a SCHEDULE 1 STATEMENT OF ACCOUNT

Work Included in Previous Estimates ............................................................................................................................................. $__________________

Present Estimate ............................................................................................................................................................................ __________________

Work executed to date ................................................................................................................................................................... __________________

Retained Amount ............................................................................................................................................................................ __________________

Work Executed to Date, Less Retained Amount ............................................................................................................................ __________________

Previously Certified ........................................................................................................................................................................ __________________

Amount of this Payment ................................................................................................................................................................. __________________ % of this Contract is completed % of time has elapsed

SCHEDULE II CERTIFICATION BY CONTRACTOR

I do hereby certify that I am (Name) (Title)

of the Company/Corporation herein referenced and Contractor for the work described in the foregoing application; that I am the person in whose name the foregoing account against the State of New York is rendered; that I certify that this payment estimate is correct and just and that payment therefor has not been received. I further certify that the Contractor has complied with the application provisions of the Tax Law of the State of New York. 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. 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; that, 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, and that payment of this application can be made on this Contract without detriment to the interests of the Fund. Date: Signature ____________________________________________________________________ SCHEDULE IV ENDORSEMENT BY SUCF CONSTRUCTION DIVISION

Examined and found correct:

Project Project Coordinator Coordinator Or Director of Or Director of

_ Construction _________ Construction Date Signature Date Signature For Progress Payments (When required) At the present time, 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, and may be, submitted in the future by the Contractor. Date:

Director of Construction For Final Payments: The within application represents a final payment on this project. The State University Construction Fund certifies that this project has been satisfactorily completed and approves this final payment to the Contractor. No liquidated damages will be assessed against the Contractor. Date: Director of Construction: _______________________________________________________________________________

ITEM A-6

CF-C2

STATE OF NEW YORK Contract No.

STATE UNIVERSITY CONSTRUCTION FUND Location: Application No.

CONTRACTOR’S MONTHLY APPLICATION FOR PAYMENT Date: (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, for which payment has been made, have been furnished and incorporated in the work since the date of last preceding certificate for payment upon said contract, for work to and including , 20 .

ITEM

WORK

CONTRACT

BREAKDOWN

PREVIOUS

ESTIMATES

%

COMP PRESENT ESTIMATE

UNCOMPLETED

BALANCE

Contract Price

A. Change Orders to Contract

$

$

$

$

B. Contract Plus COs

$

$

$

$

C. Less Deductions

$

$

$

$

D. Bonus Amount

$

$

$

$

E. Grand Total (F minus G)

$

$

$

$

Change Orders to be listed on Form CF-C3 For Statement of Account, see attached Form CF-C1. Field Orders to be listed on Form CF-C11

ITEM A-7

CF-C3

STATE OF NEW YORK


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.

ITEM A-8

CF-C11


FIELD ORDERS

Field Order # Description Addition or

Deduction % Comp Previous Estimate

Present Estimate Uncompleted Balance

TOTALS $ $ $ $

Totals to be inserted on Form CF-C2 - Allowance Show all deductions in parentheses

ITEM A-9

DC-5

REQUISITION WORK SHEET Sheet Of Sheets STATE UNIVERSITY CONSTRUCTION FUND 353 Broadway� ALBANY, NY 12246

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

No. 1

Description 2

Quantity 3

Unit 4

Unit Price

5

Total Price

6

% Compl.

Last Request

7

Amt Compl.

Last Request

8

%

Compl. to Date

9

Total Amt

Complete to Date 10

Amt Added

to This Request

11

Amt Left to Complete

12

ITEM A-10

CF-C5

STATE UNIVERSITY CONSTRUCTION FUND 353 Broadway Albany, New York 12246

CERTIFICATION OF MONTHLY PAYMENT

SUCF Project No. ___________________ Date: ___________________ Project Title: _________________________________________________________________ This is to certify that the General Contractor ______________________________________ has

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

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

____________________________________________________ __________ Name of Subcontractor Date

___________________________________________________________________________________________________ Signature

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

ITEM A-11

CF-C4A1

OFFICE OF THE STATE COMPTROLLER DIVISION OF PRE-AUDIT AND ACCOUNTING RECORDS

BUREAU OF STATE EXPENDITURES

New York State Labor Law, Section 220-a Prime Contractor’s Certification 1. That I am an officer of

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

Contract No. 2. That I fully comprehend the terms and provisions of Section 220-a of the Labor Law. 3. That, except as herein stated, there are no amounts due and owing to or on behalf of laborers

employed on the project by the Contractor. (Set forth any unpaid wages and supplements, if none, so state).

Name Amount

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

Contractor from the subcontractors. 5. That, upon information and belief, except as stated herein, all laborers (exclusive of executive or

supervisory employees) employed on the project have been paid the prevailing wages and supplements for their services through , the last day worked on the project by their subcontractor. [Set forth any unpaid wages and supplements, if none, so state and utilize clause 5 (A)].

Name Amount

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

its subcontractors.

( continued )

CF-C4A1

New York State Labor Law, Section 220-a Prime Contractor’s Certification (Page 2) 6. In the event it is determined by the Commissioner of Labor that the wages or supplements or both

of any such subcontractors have not been paid or provided pursuant to the appropriate schedule of wages and supplements, then the Contractor shall be responsible for payment of such wages and supplements pursuant to the provision of Section 223 of the Labor Law.

Signature Print Name Title

ACKNOWLEDGEMENT:

STATE OF NEW YORK } COUNTY OF } SS

On this day of 20_____________ before me personally came __________________________________________ to me known and known to me to be the person described in and who executed the foregoing instrument and he/she acknowledged that he/she executed the same.

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

ITEM A-12

CF-C4A2



New York State Labor Law, Section 220-a Subcontractor’s Certification 1. That I am an officer of _________________________________________________

a subcontractor on Public Contract No. and I am duly authorized to make this affidavit on behalf of the firm.

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

Law. 3. That on , we received from (the

prime Contractor) a copy of the initial/revised schedule of wages and supplements Prevailing Rate Schedule Case Number (PRC) specified in the public improvement contract.

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

pay or provide the supplements specified therein.

Signature Print Name Title

ACKNOWLEDGEMENT:

STATE OF NEW YORK } COUNTY OF } SS

On this day of 20 before me personally came _____________________________________________ to me known and known to me to be the person described in and who executed the foregoing instrument and he/she acknowledged that he/she executed the same.

Notary Public

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

ITEM 13



New York State Labor Law, Section 220-a Sub-subcontractor’s Certification 1. That I am an officer of a subcontractor to _____________, a

subcontractor of the prime Contractor on Public Improvement Contract No. and I am duly authorized to make this affidavit on behalf of the firm.

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

220-a of the Labor Law. 3. That on , we received from (the subcontractor

of the ) (Contractor) a copy of the initial/revised schedule of wages and supplements Prevailing Rate Schedule Case Number (PRC) specified in the public improvement contract.

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

to pay or provide the supplements specified therein. Signature

Print Name Title ACKNOWLEDGEMENT: STATE OF NEW YORK } COUNTY OF } SS On this day of 20 before me personally came to me known and known to me to be the person described in and who executed the foregoing instrument and he/she acknowledged that he/she executed the same.

Notary Public

County

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

CF-C4A3

ITEM 14

STATE UNIVERSITY OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND

SUMMARY OF WAGE RATE CERTIFICATION(S)

INSTRUCTIONS: List each subcontractor and/or sub-subcontractor used on this Contract and their last day of work. When submitting your Final and End-of-Guarantee payment applications, attach this form (in triplicate) along with the latest Wage Rate Certifications, in triplicate , for your own firm and each subcontractor and/or sub-subcontractor.

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

CAMPUS

SUCF NO.

CONTRACT NO.

PROJECT TITLE

SUBCONTRACTOR OR SUB-SUBCONTRACTOR

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.

______________________________________________ By ______________________________________________ Legal name of person, partnership or corporation Signature

_______________________________________________ _________________________________________________ Address (Street, City) Name, Title (State, Zip Code)

CF-C7A

ITEM A-15

CF-C8 revised 02/11

State University Construction Fund Construction Contract Payment Request

Detail of Prime Contractor Payments to MBE/WBE Subc ontractors or Suppliers SUCF Project No.: Contract Number: D Requisition Number: Contractor Name: Contact:

MBE/WBE Name & Address

MBE or

WBE

Description of Work or Supplies

Subcontract Value Schedule Amount Paid Since

Last Requisition Total Cumulative

Payments Start Date (mm/yyyy)

End Date (mm/yyyy)

Fed. ID No.:

Fed. ID No.:

Fed. ID No.:

Fed. ID No.:

Fed. ID No.:

Fed. ID No.:

Fed. ID No.:

I understand that the information provided will be used to comply with the reporting requirements of Article 15-A of the Executive Law & Fund policies. Opportunities Program Office must be notified prior to changes made to the approved utilization plan. I hereby certify that the information provided on this form is true, accurate and complete.

TOTAL

Signature (Officer of Company) Date

ITEM A-16

C5


RELEASE

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

the Fund has paid or will pay the undersigned, or a person, firm or corporation claiming by or through the undersigned, the sum of _________________________________________________________________ dollars ($_______________________), said amount being the full and entire sum due from the Fund to the undersigned under said contract, except for monies being retained by the Fund pursuant to the provisions of the aforesaid contract, including, but not limited to, money, if any, due to the undersigned by reason of extra work, labor or materials furnished or performed in connection with, relating to, or arising out of the subject matter of said contract. In consideration of such payment, the undersigned hereby releases and discharges the Fund, its officers, agents and employees, of and from all claims of liability to the undersigned for anything furnished or performed in connection with, relating to or arising out of the contract or out of the work covered by said contract, including but not limited to, all claims for extra work, labor or materials and for any prior act, neglect or default on the part of the Fund or any of its officers, agents, or employees in connection therewith, except for the aforesaid retained monies. The undersigned further acknowledges that neither the aforesaid payment nor acceptance by the Fund of the work covered by the aforementioned contract shall in any way or manner operate as, or constitute a release or waiver of the undersigned's obligations, undertakings or liabilities under said contract or in any way affect or limit the same. IN WITNESS WHEREOF, the undersigned has caused its name to be hereunto subscribed and its seal to be hereunto affixed this __________ day of ________________________________.

_______________________________________________________ Name of Contractor

By _____________________________________________________

Affix Seal here

ITEM A-17

C10

CONTRACTOR’S CERTIFICATE OF INSURANCE

TO: State University Construction Fund State University Plaza

353 Broadway Albany NY 12246

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

Name/Address of Insured Contractor __________________________________________________________

__________________________________________________________

__________________________________________________________

Title/Proj Number to which this Certificate applies __________________________________________________________

Insurance Type Limits of Liability Policy No. Effec tive Expiration

Workers’ Compensation As required by law

Contractor’s Comprehensive General Bodily Injury Liability and Property Damage Liability

$ ___________ Each Occurrence

$ ___________ Aggregate

$ ___________ Combined Single Limit

Contractor’s Automobile Liability Bodily Injury Liability and Property Damage Liability

$ ___________ Each Accident or Occurrence


Owner’s Protective Liability Bodily Injury Liability and Property Damage Liability

$ ___________ Each Occurrence

$ ___________ Aggregate


Builder’s Risk

Excess or Umbrella

As an inducement to the Fund to approve the undersigned as an insurance company issuing the policies listed above, and this Certificate as being in compliance with the construction Contract between the Fund and _______________________________________________________the undersigned insurance company, duly licensed to do business in the State of New York, hereby agrees as follows: 1. That the insurance policies listed above conform, in all respects, with the requirements set forth in Sections 5.06 and 5.07 of Article V of the Agreement

been the Fund and Contractor. 2. That the insurance policies listed above shall not be changed or cancelled and that they will automatically be renewed upon expiration and continued in

force until final acceptance by the Fund of all the work covered by the aforesaid construction Contract unless the Fund is given thirty (30) days’ written notice to the contrary.

3. That the Fund shall not be liable for the payment of the premium on any of the insurance policies listed above and that such premium shall be payable

by the Contractor named above who shall also receive any dividends or other refunds due under the above-listed insurance policies. 4. The Insurer certifies that there is no inconsistency or conflict with or between any of the terms, provisions and conditions hereof and any of the terms,

provisions and conditions of the policies listed above except for the following: ________________________________________________________________________________________________________________ 5. That without the undersigned’s foregoing agreements neither it nor this Certificate of Insurance would be approved by the Fund. Name of Insurance Company

Phone

Authorized Representative (Original Signature Required)

Date

ITEM A-18

CF-C9

STATE OF NEW YORK � ADDITIVE

STATE UNIVERSITY CONSTRUCTION FUND � DEDUCTIVE

CONSTRUCTION DIVISION � 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: Calendar Days Revised Completion Date: Amount of Contract including Contract Completion Date: Change Order No. $

Amount of this Change Order: $ Revised Contract Total including this change $ THE TERMS AND CONDITIONS OF THE ABOVE ARE HEREBY AC CEPTED: ___________________________________________________________________________________________________________ Contractor's Authorized Representative Date of Acceptance Recommended by: ____________________________________________________________________________________________

Consultant Date Approved: ___________________________________________________________________________________________________

State University Construction Fund Date Approved: ___________________________________________________________________________________________________

For the State Comptroller Date

ITEM A-19



Date

Re: SUCF Project No.

Project Title Campus

Consultant Consultant Address Attention: SUBJECT: PROCEED ORDER AUTHORIZATION Gentlemen: You are hereby authorized to have the following work performed: Proposal No. 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: “[email protected]”

ITEM A-20

FORM OF BACKCHARGE LETTER

DATE

Re: SUCF Project No. Title Campus

Contractor Name Address Gentlemen: You are hereby directed to perform the following work: (Describe work and location thereof) In the event that you fail to comply with this directive within three (3) working days of the receipt hereof, the Fund, under Section 4.06 of the Agreement, will omit said work from your Contract, may have the same performed by another Contractor and will backcharge your Company by the issuance of a credit change order for all costs and expenses it incurs in connection with your failure to comply with this directive. Such work is preliminarily estimated to be valued at (amount in words) dollars ($numeric value) but this amount is not firm and in no way limits the amount of the credit change order(s). This direction or the issuance of the aforesaid credit change order(s) are without prejudice to any other rights, remedies or claims of the Fund under the Contract.

Very truly yours,

Signed by Consultant or SUCF

ITEM A-21


ASBESTOS MATERIAL REMOVAL FACT SHEET _____________ _________________________________________ __________ SUCF PROJ NO. PROJECT TITLE DATE SCOPE OF WORK: ______________________________________________________________________ ASBESTOS CONTRACTOR: GENERAL CONTRACTOR: Name/Address (if applicable) _________________________________________ ________________________________ _________________________________________ ________________________________ _________________________________________ ________________________________ Phone # ____________________________ Phone # _______________________________ Contract Awd Amt: ____________________ Asbestos Lic #: ________________________________ Contract Completion Date: ______________ Expiration Date: _______________________________ ASBESTOS ABATEMENT PERSONNEL: (Attach Additional Sheets as Required)

Social Certificate Name Title/Function Sec. # Number Expiration Date 1. ___________________________________________________________________________________ 2. ___________________________________________________________________________________ 3. ___________________________________________________________________________________ 4. ___________________________________________________________________________________ 5. ___________________________________________________________________________________ ASBESTOS ABATEMENT WORK : (Attach Additional Sheets as Required) Bldg. (1) Removal Location Material (2) Methods of Usage (Bldg./Room) Removed Quantity (3) Removal 1. __________________________________________________________________________________ 2. __________________________________________________________________________________ 3. __________________________________________________________________________________ 4. __________________________________________________________________________________ 5. __________________________________________________________________________________ Date Removal Begins: ________________________ Ends: ___________________________ Asbestos Carrier: ___________________________ Disposal Site: ____________________ __________________________________________ ________________________________ __________________________________________ Phone No.: ______________________________ Phone No.: _______________________ Hauler Permit No(s).:__________________________________________________________________ __________________________________________________________________________________________ NOTE: In addition to the above information, the Contractor shall submit all required documentation as stipulated by the New York State Labor Law Article 30; Part 56, 12NYCRR, which includes a copy of the asbestos contractor license and all asbestos handling certificates, waste transporter permits, disposal receipt acknowledgement, and air test reports (prior, during, and after abatement).

STATE OF NEW YORK

STATE UNIVERSITY CONSTRUCTION FUND ASBESTOS MATERIAL REMOVAL FACT SHEET KEY

1. BUILDING USAGE

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

2. MATERIAL REMOVED

A. Acoustical/Decorative Plasters ADP B. Fireproofing Materials FM C. Troweled Wall/Ceiling Plasters TCP D. Mud Joints/Tees MJT E. Pipe Covering (List Size Pipe) PC F. Boiler/Hot Water Tank Insulations BHTI G. Panels/Ceiling Tiles . PCT H. Transite Panels TP I. Vent/Drain Pipes (List Size) VDP J. In-Place Gaskets IPG K. Vinyl Asbestos Siding VAS L. Vinyl Asbestos Tile . VAT M. Vinyl Asbestos Roofing VAR N. Other (Describe) O

3. QUANTITY OF MATERIAL

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

4. REMOVAL METHODS

A. Wet B. Dry C. Glovebag D. Tent E. Other

ITEM A-22

State University Construction Fund Regulated Materials Disposal Fact Sheet

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

ITEM A-23

CERTIFICATE OF INSURANCE FOR MATERIALS STORED OFF-SITE

To: State University Construction Fund State University Plaza 353 Broadway Albany, New York 12246 This is to certify that the insurance policies listed below have been issued by the undersigned and are in full force and effect on the date borne by this Certificate. Name and Address ______________________________________________________________ of Insured Contractor ______________________________________________________________ ______________________________________________________________ Title and Number of ______________________________________________________________ Project to which this ______________________________________________________________ Certificate applies: ______________________________________________________________ KIND OF INSURANCE LIMITS OF LIABILITY POLICY NO. E FFECTIVE EXPIRATION Builder's Risk w/ broad form extended coverage endorsement

$ _______________________________

As an inducement to the Fund to approve the undersigned as an insurance company issuing the policies listed above and this Certificate as being in compliance with the construction contract between the Fund and _____________________________________ _________________________________________, the undersigned insurance company, duly licensed to do business in the State of New York, hereby agrees as follows: 1. That the insurance policies listed above conform, in all respects, with the requirements set forth in Section 4.14(1)(c) of

Article IV of the Agreement between the Fund and the Contractors.

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

3. That the Fund shall not be liable for the payment of the premium on any of the insurance policies listed above and that

such premium shall be payable by the Contractor named above who shall also receive any dividends or other refunds due under the above-listed insurance policies.

4. The Insurer certifies that there is no inconsistency or conflict with or between any of the terms, provisions and conditions

hereof and any of the terms, provisions and conditions of the policies listed above except for the following: _________________________________________________________________________________________________

Name of Insurance Company

Phone

Authorized Representative (Original Signature Required)

Date

CISM 5/04

ITEM A-24



Date Re: SUCF Project No. Project Title Campus Contractor Contractor Address SUBJECT: Request for Federal Tax Identification Number for

SUCF Project No. Contract No. D Gentlemen: Effective immediately, the Office of State Comptroller requires the Federal Employer Identification number or Social Security number of payees before processing payments. To comply with this requirement we will need the social security numbers for individuals or the employer identification number for partnerships or corporations. To set up our file of tax identification numbers, we are forwarding this form letter. Will you please enter in the box after your name above the tax identification number that will apply to the State University Construction Fund project listed under “subject”. Please return a completed copy of this letter to the State University Construction Fund, to my attention as promptly as possible.

Very truly yours,

SUCF Controller

ITEM A-25

Rev. 6/02 STATE UNIVERSITY CONSTRUCTION FUND

CONSTRUCTION BUILDING PERMIT

Consultant of Record:

Project Title:

SUNY Campus:

SUCF Project No.:

Effective Date of Permit:

Expiration Date of Permit:

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

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

BASIC INFORMATION

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

Nature of Work: _______________________________________________

_______________________________________________

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

First: ______ sq.ft.

Second: ______ sq.ft.

Third: ______ sq.ft.

Building Occupancy Classification: ______________________

Construction Type: ______________________

Project fully sprinklered � Yes � No

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

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

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

Certificate of Occupancy.

_______________________________________

Christopher P. Marcella, Director of Design

Offices of Preconstruction Services & Design

______________________________________

Code Compliance Manager

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

ITEM A-26

STATE UNIVERSITY CONSTRUCTION FUND WAIVER OF BUILDING PERMIT REQUIREMENT

Project Title: SUNY Campus: SUCF Project No. � Based on a review of the program this project consists of necessary repairs and/or replacement in

kind which will not materially change the structural elements and/or the plumbing, electrical or heating/ventilation systems of the building in which it will be constructed.

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

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

Christopher P. Marcella, Director of Design Offices of Preconstruction Services & Design

TO: Christopher P. Marcella FROM: (Coordinator) DATE: No changes have been made to the above project during design that would effect the determination that a Building Permit is not required.

cc: P. McSorley - attached to Notice of Award

ITEM A-27

(CONTRACTOR LETTERHEAD)

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

ITEM A-28

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

ITEM A-29


CHECKLIST FOR SUBSTANTIAL COMPLETION

SUCF Project No. Campus: Project Title:

INITIALS

REMARKS

Keys

Money due Campus

Operating Instructions

Spare Parts Lists

Shop Drawings

Cuts and Brochures

Bonds, Guarantees, etc.

Record Information to Architect

Punch List Established

Campus Personnel Instructed

Release

Notes: Approved by: Date: CF-C6

ITEM A-30


CERTIFICATE OF OCCUPANCY

Consultant of Record: Project Title: SUNY Campus: SUCF Project No.: Effective Date of Occupancy: To the best of our knowledge and belief, the captioned project has been substantially completed in accordance with the Contract Documents, the Building Permit issued for the Project, and with Change Order Nos. 1 through *. Based on periodic inspections that have been made during the construction of the project and the Final Inspection on XXX, permission is granted to occupy the project.

___________________________________ John K. Hagen, Jr., Director of Construction 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

ITEM A-31


TEMPORARY CERTIFICATE OF OCCUPANCY

Consultant of Record: Project Title: SUNY Campus: SUCF Project No.: Effective Date of Occupancy: To the best of our knowledge and belief, the captioned project has been substantially completed in accordance with the Contract Documents, the Building Permit issued for the Project, and with Change Order Nos. 1 through *. Based on periodic inspections that have been made during the construction of the project and the Final Inspection on XXX, permission is granted to occupy the following portion of the project.

LIST OF SPACES TO BE OCCUPIED Until the Contract has been substantially completed, the remainder of the project should not be used until a permanent Certificate of Occupancy is issued.

______________________________ John K. Hagen, Jr., P.E. Director of Construction Offices of Preconstruction Services & Design _______________________________ Code Compliance Officer


ITEM A-32

CONSTRUCTION INSPECTION REPORT

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

ITEM

DATE STARTED

DATE COMPLETE

INSPECTED BY

CHANGE ORDER

RE: ITEM Foundations

Super Structure

Electrical

Plumbing

HVAC

Fire Protection

Fire Detection

Exits

ITEM A-33

FINAL INSPECTION REPORT Consultant of Record: Project Title: SUNY Campus: SUCF Project No.: On (Date), a Final Inspection of the captioned project was made by the following: Represented by: Fund SUNY Consultant Engineer(s) General Contractor Subcontractor(s) The project was found to be substantially completed in accordance with the Contract Documents, the Building Permit issued for the project, and with Change Order Nos. 1 through X, except for the attached Punch List.* The Contractor, by letter dated X, stated that the project has been completed in accordance with the Contract. The Consultant, by letter dated X, has recommended to SUCF acceptance of the project. _____________________________ Fund Project Coordinator Regional Director of Construction


ITEM A-34

FACT SHEET FOR PROJECTS REQUIRING BUILDING PERMIT AND CERTIFICATE OF OCCUPA NCY

1. SUCF Project No. ................................................................................................................. 2. Project Title: ..........................................................................................................................

Campus: ................................................................................................................................ 3. Award Value: ....................................................................................................................... $ 4. Final Value: ......................................................................................................................... $ 5. Consultant of Record: ............................................................................................................ 6. Date of Building Permit .......................................................................................................... 7. Expiration Date of Building Permit ......................................................................................... 8. Date of Extension of Building Permit: .............................................................................. N/A 9. Expiration Date of Extended Building Permit ................................................................... N/A 10. Date of Partial Acceptance Inspection: ............................................................................ N/A 11. Date of Temporary Certificate of Occupancy: .................................................................. N/A 12. Date of Letter to President regarding Partial Acceptance of Project

and Transmitting Temporary Certificate of Occupancy .................................................... N/A 13. Date of Contractor's Letter of Project Completion .................................................................. 14. Date of Consultant’s Letter Recommending Acceptance: ...................................................... 15. Date of Final Inspection Report: ............................................................................................ 16. Date of Certificate of Occupancy: .......................................................................................... 17. Date of Letter to President regarding Final Acceptance of Project

and Transmitting Certificate of Occupancy: ........................................................................... 18. Code Compliance Manager issuing Permit ............................................................................ 19. Code Compliance Manager issuing Temporary Certificate of Occupancy: ...................... N/A 20. Code Compliance Manager issuing Certificate of Occupancy: ..............................................

ITEM A-35



Date Re: SUCF Project No.

Project Title Campus

State University Construction Fund 353 Broadway Albany, New York 12246 Attention: Director of Construction Subject: FINAL INSPECTION AND ACCEPTANCE (FINAL) Gentlemen: On X, an inspection of the above-referenced project was made by representatives of the Campus, State University Construction Fund, the Consultant, and the Contractor. The project is accepted, subject to the attached Punch List, as of 8:00 a.m. on X, at which time the College will be solely responsible for the operation, maintenance and security of the facility. This marks the start of the one-year guarantee period. ACKNOWLEDGED: For the Campus: State University Construction Fund: ___________________________________ Designated Campus Officer Fund Project Coordinator Title

ITEM A-36




Date

Re: SUCF Project No. Project Title Campus President Campus Address SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL) Dear President : On XXX, an inspection of the above-referenced project was made by representatives of the College (), State University Construction Fund («coordinator»); the Consultant, and the Contractor ( ). The project is accepted, subject to the attached Punch List, as of 8:00 a.m. on XXX, at which time the College will be solely responsible for the operation, maintenance, and security of the facility. This marks the start of the one-year general guarantee period. During the one-year general guarantee period, all contractual construction defects are required to be corrected by the Contractor without any additional cost. In order to ensure that this requirement is fully complied with by the Contractor, it is imperative that your authorized Campus representative or representatives promptly notify the undersigned in writing of any contractual construction defects of which they may become aware. It is essential that this notification be given promptly, and that it not be deferred until the end of the one-year general guarantee period, in order for the Fund to timely notify the Contractor and have the defect corrected.

Very truly yours,

John K. Hagen, Jr., P.E. Director of Construction Management cc: Facilities Information Services

ITEM A-37




Date

Re: SUCF Project No. Project Title Campus Contractor Address SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL) Gentlemen: On XXX, an inspection of the above-referenced project was made by representatives of the College (), State University Construction Fund («coordinator»); the Consultant (); and the Contractor ( ). The project is accepted, subject to the attached Punch List, as of 8:00 a.m. on XXX, at which time the College will be solely responsible for the operation, maintenance and security of the facility. This marks the start of the one-year general guarantee period.

Very truly yours,

John K. Hagen, Jr., P.E. Director of Construction Management cc: Consultant Information Services

ITEM A-38




Date Re: SUCF Project No. Project Title Campus State University Construction Fund 353 Broadway Albany, New York 12246 Attention: Director of Construction SUBJECT: END OF ONE-YEAR GUARANTEE PERIOD Gentlemen: As the result of the inspection made on XXX of the above-referenced project at the Campus by representatives of the Campus and State University Construction Fund, the Contractor was found to have complied with all requirements of its one-year guarantee. ACKNOWLEDGED: For the College: For State University Construction Fund: __________________________________ Designated Campus Officer Fund Project Coordinator

ITEM A-39




Date

Re: SUCF Project No. Project Title Campus President Campus Address SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD Dear President XXXX: On X, an inspection of the referenced project was made by representatives of the Fund ( ), and the Campus ( ). The Contractor was found to have complied with all requirements of its one-year guarantee.

Very truly yours, John K. Hagen, Jr., P.E. Director of Construction Management cc: Facilities

ITEM A-40




Date

Re: SUCF Project No. Project Title Campus

Contractor Address SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD Gentlemen: On X, an inspection of the referenced project was made by representatives of the Fund ( ), and the Campus ( ). The Contractor was found to have complied with all requirements of its one-year guarantee.

Very truly yours, John K. Hagen, Jr., P.E. Director of Construction Management cc: Consultant

ITEM A-41

CF-C10

LABOR RATE BREAKDOWN

SUCF Project No.: Project Location:

Contractor: Date: _____________

Trade: ________________________________________________

Effective Date: Expiration Date: __________________

*Base Hourly Rate: $________

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

TOTAL %

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

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

Total Hourly Fringe Benefits $______

Hourly Labor Rate: Base Rate, Taxes/Insurance and Fringe Benefits $______ *If any supplemental benefits are paid in the hourly rate, submit two (2) separate weekly copies of a certified payroll. **Workman’s Compensation, B.I. and P.D. rates are net Contractor cost after premium discounts, experience modification and assessments have been applied against the manual rate. ***In accordance with Sections 4.02 and 5.06 of the Contract Documents, only payroll related liability insurances are reimbursable.

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

APPENDIX B – FLOW CHARTS TABLE OF CONTENTS

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

ITEM B-1

FINAL INSPECTION and ACCEPTANCE

ContractorSUCF

ConstructionCampusConsultant

Letter Advising Contract

Complete (27)

Confirmation of Project Substantial Completion

Uncompleted Work Items List

Final Inspection Walk Through

Acceptance Letter and

Punch List (28)

Construction InspectionReport (32)(if required)

Checklist for Substantial Completion, CF-C6 (29)

Receipt ofFinal Inspection

Acceptance Letter (36)

Project

Final Inspection Acceptance

Sign-Off (35)

Sign & Return Final Inspection

Acceptance (35)

Certificate of Occupancy (30)

(if required)

Final Inspection

AcceptanceLetters (36

and 37)

Receipt of Final Inspection

Acceptance Letter (37) Receipt of Final

InspectionAcceptance Letter

(copy 37)

Receipt of Letter Advising Contract

Complete (27)Receipt of Letter Advising Contract

Complete (copy 27)

Final Inspection Report (33)(if required)

Fact Sheet for Certificate of

Occupancy (34)(if required)

ITEM B-2

END OF ONE YEAR GUARANTEE

Final Balancingof

HVACSystems

ContractorSUCF

ConstructionCampusConsultant

Guarantee Issues

Guarantee List

Guarantee Issues

Deficiencies Corrections

End of Guarantee Inspection

Completion of Corrections

End of Guarantee

Period Letters (39 and 40)

Receipt of End of Guarantee

Letter (39)

Receipt of End of Guarantee Letter

(copy 40)

Receipt of End of Guarantee

Letter (40)

End of Guarantee Sign-Off Letter (38)

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

Receipt of Guarantee List