STATE UNIVERSITY CONSTRUCTION FUND MANAGEMENT OF CONSTRUCTION PROJECTS 353 Broadway, Albany, New York 12246 320518 320-3210 689Fax: 518 689-2638 www.sucf.suny.edu 11/21/11 dw 21/11 TABLE OF CONTENTS Construction Document Phase Prologue PAGE NO Construction Prologue Construction Contracts Table – Contract Check List Table – Contract Distribution Construction Phase 10 Payments and Reimbursements 17 Closeout of Construction Contract 35 Publicity and Disclosures 40 Appendix 41 Office of Construction Management Management of Construction Projects Page Construction Prologue Construction Document Phase Prologue Construction Prologue Activities Prior To Bidding The Bidding Period Addenda and Amendments to Fund Documents Bid Tabulation After Bid Opening Bid Analysis Meeting Pre-Award Meeting Contract Award Building Permits Office of Construction Management Management of Construction Projects Page Construction Prologue Construction Prologue The Consultant has been guided through the design phases of its project by the State University Construction Fund’s three objectives – achieving quality architecture, on schedule and within budget limitations The product of these efforts will be lost unless it continues to pursue these objectives during the construction of the project Final achievement of these objectives depends not only on the Consultant’s proper involvement during design but on its continued and proper involvement during construction This document does not supersede any provisions of the Contract In achieving these objectives during design, the Fund has emphasized the Consultant’s responsibility for project development and management Therefore, it is imperative that the responsibility for the management of projects under construction rests with the Consultant This manual is devoted to the design and construction phase procedures and requirements necessary to achieve the Fund’s objectives during construction and to assist the Consultant in assuming its full responsibilities1 It is understood the purpose of this manual is to provide guidance in these procedures and does not supersede any provisions of the contracts The Consultant is required to provide proper staffing capacity and resources for taking projects through design phases It is equally important to properly organize and staff a project during construction The Fund expects the Consultant to provide complete services during the construction phase with frequent inspections of the work at the job site by its office personnel and those of its Consultants In addition, the Fund requires that the Consultant maintain, at the site, a field staff sufficient to provide for the daily administration of construction Planning and organizing for the staffing of this field office should begin well before the project is put on the construction market The number and composition of the field staff should be planned in consideration of the type and complexity of the construction project and with the aim of organizing the staff to meet the Fund’s major objectives ACTIVITIES PRIOR TO BIDDING: During the construction document phase, the Consultant is to develop a plan of organization for its field staff and submit the proposed plan to the Fund Assistant General Manager, Office of Construction Management, for approval After approval of the plan, the Consultant and its Consultants shall conduct interviews to fill the authorized positions after bid The nominations (with the proposed salaries and a resume of the candidates' experience) are to be sent to the Assistant General Manager, Office of Construction Management Final interviews will be arranged and, upon consent of the Fund, a salary and starting date for employment will be established THE BIDDING PERIOD: The most important role the Consultant plays during the bidding period is in attracting and interesting qualified Contractors to participate in the bidding for construction of SUCF projects To best attract and interest qualified Contractors in Fund projects, the Consultant may have to begin these activities prior to putting a project on the market This may require the Consultant to make an inventory of Contractors who have bid or Where Federal funds are involved, the separate Fund bulletin dealing with projects involving Federal Funds should be followed Office of Construction Management Management of Construction Projects Page Construction Prologue might be expected to bid on projects in its area and to seek out those Contractors to determine their willingness to bid on the project or to attempt to stimulate such interest An assessment of Contractor interest is important for developing a final cost estimate for the project During the bidding period, the Consultant shall report weekly, in writing, to the Fund’s Design Project Coordinator2 the names, addresses and roles of all those requesting plans and specifications In addition, the report should indicate its appraisal of the sincerity of potential bidders It should describe the activity that it is engaging in to attempt to interest additional Contractors or subcontractors in bidding the project The Consultant must also submit a final report, three days prior to the bid opening, which then currently identifies likely bidders ADDENDA AND AMENDMENTS TO FUND DOCUMENTS: No addenda, revisions, deletions or additions will be made by the Consultant to the Fund’s standard documents without prior approval by the Fund All addenda issued by the Consultant during the bid period are to be approved by the Fund prior to being issued, and only in extreme cases will an addendum be issued during the last week of the bidding period AFTER BID OPENING: With the opening of bids, responsibility for monitoring the bid project continues within the Design Section of the Office of Design The Consultant’s primary point of contact in the Fund remains the designated Design Project Coordinator The Fund’s Project Coordinator assignment, from design to construction, will be changed effective with award of the construction contract BID ANALYSIS MEETING: After the bid opening there may be a Bid Analysis Meeting at the Fund offices with representatives of the Design Section of the Office of Design and Construction Management for the purpose of analyzing bids This meeting must be attended by the Consultant and its principal Consultants The Consultant chairs the meeting and must prepare minutes for distribution to the participants The Consultant, Design Project Coordinator and Regional Director of Design are provided with one copy of all bid proposals for use in analyzing bids There is a Post-Bid Checklist specimen included in the Appendix, which is to be followed At the end of this meeting, the original copies of all bids must be deposited with the Fund for inclusion in the permanent record Immediately after the three lowest bids have been identified, the Fund will notify these bidders via email, requesting each bidder name its principal subcontractors and provide all other qualifying data within the 48-hour time limit specified in Information for Bidders, Section 8, “Submission of Post-Bid Information” This may be an update of previously filed data in the case of Contractors who previously submitted this material The request also emphasizes that submission must be prepared in duplicate, one copy to be submitted directly to the Consultant’s main office and one copy directly to the Fund Assistant General Manager, Office of Construction Management The necessary documents must be received no later than 2:00 P.M of the second business day following opening of bids PRE-AWARD MEETING: As soon as possible after the qualifying data has been reviewed, a Pre-Award Meeting may be scheduled and convened by the Consultant with the concurrence Fund Project Coordinator will be designated for each project Office of Construction Management Management of Construction Projects Page Construction Prologue of the Fund The purpose of the Pre- Award Meeting is to assess the capacity of the low-bid Contractor to perform the necessary work The assessment considers the character and scope of the Contractor’s past performance, financial capacity, availability of personnel, equipment, and the capability of the nominated subcontractors In some instances it may be desirable to review the qualifications of Contractors other than the lowest bidder at this meeting to provide the Consultant with information necessary to permit a viable recommendation for the award of the Contract Prior to this meeting the Consultant must review the experience and qualifications of the low bidder and its designated subcontractors with other Consultants, Contractors, and the Owner for whom they have previously performed work Usually, the Pre-Award Meeting is held at the Fund office The Consultant chairs the meeting and prepares the minutes Attendees at this meeting should include the Consultant and its Principal Consultants, the low-bidding Contractor with, if special project conditions warrant, its proposed Principal Subcontractors and Fund representatives On the basis of the qualifying data and any other information received and discussed at the Pre-Award Meeting, the Consultant will submit to the Design Regional Director, in writing, its recommendation on the award of a Contract CONTRACT AWARD: The Bidding Period ends with an affirmative decision by the Fund regarding the award of the Contract The successful low bidder will be sent a “Notice of Award” letter which serves as the Funds’ formal letter of intent Concurrently, the Fund’s legal office will assemble the complete formal Contract for execution by the Contractor, and the Fund The Contract will be forwarded to the Contractor for execution under cover of a separate Fund letter, as described in the next section of this manual titled “Construction Contracts” It is important that Contractors, Consultants and other involved parties recognize no payments may be made under the authority of the Notice of Award letter Full execution of the Contract is required prior to physical work commencing on the site Issue of the “Notice of Award” letter also marks, internal to the Fund, the transition of project coordination responsibility from the Design Section to the Construction Management Section A construction phase Project Coordinator will be assigned who will monitor formal Contract execution status and, when nearly complete, contact the Consultant and Contractor to schedule a Pre-construction Orientation Meeting BUILDING PERMITS: Building Permits will be issued by the Design Section of the Office of Pre-Construction Services Prior to construction, the Fund will mail to the Contractor the building permit for the project or, if applicable, a waiver of the building permit This document must be posted conspicuously on the construction site for the duration of the project Office of Construction Management Management of Construction Projects Page Construction Prologue Construction Contracts CONTRACT DOCUMENTS: The Construction Contract is the agreement between the Fund and the Contractor for the construction of the Project By the Bid Opening, the Project Consultant must have delivered to the Fund Assistant General Manager, Office of Construction Management six (5), unbound copies of the following documents: A B C D E F G H I J K Covers and Cover Sheet Table of Contents Notice to Bidders Information for Bidders Agreement List of allowances included in bidding documents List of unit prices included in bidding documents (prices are to be left blank) Performance Bond Labor and Material Bond Division I of the Technical Specifications All Addenda After the project is awarded, the Fund’s legal office prepares the Contract (Agreement) and forwards the documents to the Contractor for execution A copy of a letter of transmittal containing instruction for Contract execution is included as Item of the Appendix After the Contractor signs the Contract (Agreement) and returns to the Fund, the Fund will then sign and return one original Contract back to the contractor When the Contractor receives the completed Contract, the Fund will issue the Notice to Proceed letter The Contract start date is at receipt of the Notice to Proceed letter REFERENCE TABLES: Table is a Contract checklist indicating the items that must be completed in all Fund construction Contracts Table indicates the distribution of Fund construction Contracts after execution by both parties and approvals by the necessary governmental agencies Office of Construction Management Management of Construction Projects Page Construction Contracts TABLE 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) 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) 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 ACKNOWLEDGEMENT BY PRINCIPAL PAGE B-3 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 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 on or after Contract date) be 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) SCHEDULE Unit Prices (must confirm with those in Notice of award; if none, so state) Office of Construction Management Management of Construction Projects Page Construction Contracts TABLE CONTRACT DISTRIBUTION3 Document General Construction Contract: Total Copies Required: Distribution (Executed) To the Fund To the Consultant To the Contractor Federal Contract: Total Copies Required: Distribution (Executed) To the Fund To the Consultant To the Contractor To Federal Government The Contractors corporate seal must appear on all papers which it signs Office of Construction Management Management of Construction Projects Page Construction Contracts Construction Phase Pre-Construction Orientation Meeting Correspondences, Reports, Construction Phase Submittals Communication between Fund Consultants and Contractor Communication with Bonding Company Reports to the Fund Construction Phase Review of Submittals Full-Time Superintendent Job Meetings Backcharging Asbestos and Lead Abatement Projects PCB and Regulated Materials Projects Sales and Use Taxes and Exemption Changes to the Contract Claims and Disputes Office of Construction Management Management of Construction Projects Page 10 Construction Phase 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 through X, except for the attached Punch List.* The Contractor, by letter dated X, stated that the project has been completed in accordance with the Contract The Consultant, by letter dated X, has recommended to SUCF acceptance of the project Fund Project Coordinator _ Regional Director of Construction *See final Change Order for final cost and Change Order file for changes relating to this project ITEM A-34 FACT SHEET FOR PROJECTS REQUIRING BUILDING PERMIT AND CERTIFICATE OF OCCUPANCY SUCF Project No Project Title: Campus: Award Value: $ Final Value: $ Consultant of Record: Date of Building Permit Expiration Date of Building Permit Date of Extension of Building Permit: N/A Expiration Date of Extended Building Permit N/A 10 Date of Partial Acceptance Inspection: N/A 11 Date of Temporary Certificate of Occupancy: N/A 12 Date of Letter to President regarding Partial Acceptance of Project and Transmitting Temporary Certificate of Occupancy N/A 13 Date of Contractor's Letter of Project Completion 14 Date of Consultant’s Letter Recommending Acceptance: 15 Date of Final Inspection Report: 16 Date of Certificate of Occupancy: 17 Date of Letter to President regarding Final Acceptance of Project and Transmitting Certificate of Occupancy: 18 Code Compliance Manager issuing Permit 19 Code Compliance Manager issuing Temporary Certificate of Occupancy: N/A 20 Code Compliance Manager issuing Certificate of Occupancy: ITEM A-35 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany, NY 12246 www.sucf.suny.edu Date Re: SUCF Project No Project Title Campus State University Construction Fund 353 Broadway Albany, New York 12246 Attention: Director of Construction Subject: FINAL INSPECTION AND ACCEPTANCE (FINAL) Gentlemen: On X, an inspection of the above-referenced project was made by representatives of the Campus, State University Construction Fund, the Consultant, and the Contractor The project is accepted, subject to the attached Punch List, as of 8:00 a.m on X, at which time the College will be solely responsible for the operation, maintenance and security of the facility This marks the start of the one-year guarantee period ACKNOWLEDGED: For the Campus: Designated Campus Officer Title State University Construction Fund: _ Fund Project Coordinator ITEM A-36 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany, NY 12246 www.sucf.suny.edu Date Re: SUCF Project No Project Title Campus President Campus Address SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL) Dear President : On XXX, an inspection of the above-referenced project was made by representatives of the College (), State University Construction Fund («coordinator»); the Consultant, and the Contractor ( ) The project is accepted, subject to the attached Punch List, as of 8:00 a.m on XXX, at which time the College will be solely responsible for the operation, maintenance, and security of the facility This marks the start of the one-year general guarantee period During the one-year general guarantee period, all contractual construction defects are required to be corrected by the Contractor without any additional cost In order to ensure that this requirement is fully complied with by the Contractor, it is imperative that your authorized Campus representative or representatives promptly notify the undersigned in writing of any contractual construction defects of which they may become aware It is essential that this notification be given promptly, and that it not be deferred until the end of the one-year general guarantee period, in order for the Fund to timely notify the Contractor and have the defect corrected Very truly yours, John K Hagen, Jr., P.E Director of Construction Management cc: Facilities Information Services John K Hagen, Jr., P.E., Director of Construction, Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john.hagen@suny.edu” ITEM A-37 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany, NY 12246 www.sucf.suny.edu Date Re: SUCF Project No Project Title Campus Contractor Address SUBJECT: FINAL INSPECTION AND ACCEPTANCE (FINAL) Gentlemen: On XXX, an inspection of the above-referenced project was made by representatives of the College (), State University Construction Fund («coordinator»); the Consultant (); and the Contractor ( ) The project is accepted, subject to the attached Punch List, as of 8:00 a.m on XXX, at which time the College will be solely responsible for the operation, maintenance and security of the facility This marks the start of the one-year general guarantee period Very truly yours, John K Hagen, Jr., P.E Director of Construction Management cc: Consultant Information Services John K Hagen, Jr., P.E., Director of Construction, Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john.hagen@suny.edu” ITEM A-38 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany, NY 12246 www.sucf.suny.edu Date Re: SUCF Project No Project Title Campus State University Construction Fund 353 Broadway Albany, New York 12246 Attention: Director of Construction SUBJECT: END OF ONE-YEAR GUARANTEE PERIOD Gentlemen: As the result of the inspection made on XXX of the above-referenced project at the Campus by representatives of the Campus and State University Construction Fund, the Contractor was found to have complied with all requirements of its one-year guarantee ACKNOWLEDGED: For the College: For State University Construction Fund: Designated Campus Officer Fund Project Coordinator John K Hagen, Jr., P.E., Director of Construction, Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john.hagen@suny.edu” ITEM A-39 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany, NY 12246 www.sucf.suny.edu Date Re: SUCF Project No Project Title Campus President Campus Address SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD Dear President XXXX: On X, an inspection of the referenced project was made by representatives of the Fund ( ), and the Campus ( ) The Contractor was found to have complied with all requirements of its one-year guarantee Very truly yours, John K Hagen, Jr., P.E Director of Construction Management cc: Facilities John K Hagen, Jr., P.E., Director of Construction, Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john.hagen@suny.edu” ITEM A-40 STATE UNIVERSITY CONSTRUCTION FUND State University Plaza • 353 Broadway Albany, NY 12246 www.sucf.suny.edu Date Re: SUCF Project No Project Title Campus Contractor Address SUBJECT: END OF ONE-YEAR-GUARANTEE PERIOD Gentlemen: On X, an inspection of the referenced project was made by representatives of the Fund ( ), and the Campus ( ) The Contractor was found to have complied with all requirements of its one-year guarantee Very truly yours, John K Hagen, Jr., P.E Director of Construction Management cc: Consultant John K Hagen, Jr., P.E., Director of Construction, Office of Construction Management (518) 320-3210 ♦ Fax: (518) 689-2638 ♦ E-Mail: “john.hagen@suny.edu” Item A-41 LABOR RATE BREAKDOWN SUCF Project No.: Project Location: Contractor: Date: _ Trade: Effective Date: Expiration Date: *Base Hourly Rate: $ Payroll Taxes and Insurance F.I.C.A Federal Unemployment State Unemployment **Workman’s Compensation ***B.I & P.D Disability % Hour % TOTAL Payroll Taxes and Insurance Rates: Base Rate (X) Total % = Supplemental Benefits Vacation Health & Welfare Pension Annuity Education/App Training Industry $ _ $ Hour 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 Management of Construction Projects Page 79 Appendix B – Processing Flow Charts ITEM A-42 Office of Construction Management Management of Construction Projects Page 80 Appendix B – Process Flow Charts ITEM A-43 Office of Construction Management Management of Construction Projects Page 81 Appendix B – Process Flow Charts Item A-43 Office of Construction Management Management of Construction Projects Page 82 Appendix B – Process Flow Charts APPENDIX B – FLOW CHARTS TABLE OF CONTENTS Final Inspection and Acceptance flow Chart B-1 End of One Year Guarantee Flow Chart B-2 Office of Construction Management Management of Construction Projects Page 83 Appendix B – Process Flow Charts ITEM B-1 FINAL INSPECTION and ACCEPTANCE Contractor Letter Advising Contract Complete (27) Consultant Receipt of Letter Advising Contract Complete (copy 27) SUCF Construction Campus Receipt of Letter Advising Contract Complete (27) Confirmation of Project Substantial Completion Uncompleted Work Items List Project Final Inspection Walk Through Acceptance Letter and Punch List (28) Checklist for Substantial Completion, CF-C6 (29) Final Inspection Acceptance Sign-Off (35) Sign & Return Final Inspection Acceptance (35) Construction Inspection Report (32) (if required) Final Inspection Report (33) (if required) Fact Sheet for Certificate of Occupancy (34) (if required) Certificate of Occupancy (30) (if required) Receipt of Final Inspection Acceptance Letter (37) Receipt of Final Inspection Acceptance Letter (copy 37) Final Inspection Acceptance Letters (36 and 37) Receipt of Final Inspection Acceptance Letter (36) ITEM B-2 END OF ONE YEAR GUARANTEE Contractor Receipt of Guarantee List Consultant SUCF Construction Campus Guarantee List Guarantee Issues Guarantee Issues Deficiencies Corrections Final Balancing of HVAC Systems End of Guarantee Inspection Completion of Corrections End of Guarantee SignOff Letter (38) Receipt of End of Guarantee Letter (40) Receipt of End of Guarantee Letter (copy 40) End of Guarantee Period Letters (39 and 40) Sign & Return End of Guarantee Sign-Off Letter 38) Receipt of End of Guarantee Letter (39) ... Set-Up Form A-43 Office of Construction Management Management of Construction Projects Page 42 Appendix A Forms ITEM A-1 STATE OF NEW YORK STATE UNIVERSITY CONSTRUCTION FUND POST BID CHECKLIST... each project Office of Construction Management Management of Construction Projects Page Construction Prologue of the Fund The purpose of the Pre- Award Meeting is to assess the capacity of the low-bid... in Notice of award; if none, so state) Office of Construction Management Management of Construction Projects Page Construction Contracts TABLE CONTRACT DISTRIBUTION3 Document General Construction