STATE UNIVERSITY CONSTRUCTION FUND MANAGEMENT OF CONSTRUCTION PROJECTS pdf

MANAGEMENT
OF
CONSTRUCTION
PROJECTS
STATE UNIVERSITY
CONSTRUCTION FUND

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



518 320
518 320518 320
518 320-

-3210
32103210
3210


Fax
FaxFax

Fax
: 518 689
: 518 689: 518 689
: 518 689-

-2638
26382638
2638


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

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Office of Construction Management Page 2
Management of Construction Projects

Construction Prologue

PAGE NO.
Construction Document Phase Prologue 3

Construction Prologue 4

Construction Contracts 7

Table 1 – Contract Check List 8

Table 2 – Contract Distribution 9

Construction Phase 10

Payments and Reimbursements 17

Closeout of Construction Contract 35

Publicity and Disclosures 40

Appendix 41

TABLE OF CONTENTS



Office of Construction Management Page 3
Management of Construction Projects

Construction Prologue



Construction Document Phase Prologue




Construction Prologue

Activities Prior To Bidding

The Bidding Period

Addenda and Amendments to Fund Documents

Bid Tabulation

After Bid Opening

Bid Analysis Meeting

Pre-Award Meeting

Contract Award

Building Permits



Office of Construction Management Page 4
Management of Construction Projects

Construction Prologue
Construction Prologue


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

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

responsibility for the management of projects under construction rests with the Consultant.

This manual is devoted to the design and construction phase procedures and requirements
necessary to achieve the Fund’s objectives during construction and to assist the Consultant in
assuming its full responsibilities
1
. It is understood the purpose of this manual is to provide
guidance in these procedures and does not supersede any provisions of the contracts.

The Consultant is required to provide proper staffing capacity and resources for taking projects
through design phases. It is equally important to properly organize and staff a project during
construction. The Fund expects the Consultant to provide complete services during the
construction phase with frequent inspections of the work at the job site by its office personnel
and those of its Consultants. In addition, the Fund requires that the Consultant maintain, at
the site, a field staff sufficient to provide for the daily administration of construction. Planning
and organizing for the staffing of this field office should begin well before the project is put on
the construction market. The number and composition of the field staff should be planned in
consideration of the type and complexity of the construction project and with the aim of
organizing the staff to meet the Fund’s major objectives.

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

After approval of the plan, the Consultant and its Consultants shall conduct interviews to fill the
authorized positions after bid. The nominations (with the proposed salaries and a resume of
the candidates' experience) are to be sent to the Assistant General Manager, Office of
Construction Management. Final interviews will be arranged and, upon consent of the Fund, a
salary and starting date for employment will be established.

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

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


Office of Construction Management Page 5
Management of Construction Projects

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

During the bidding period, the Consultant shall report weekly, in writing, to the Fund’s Design
Project Coordinator
2
the names, addresses and roles of all those requesting plans and
specifications. In addition, the report should indicate its appraisal of the sincerity of potential
bidders. It should describe the activity that it is engaging in to attempt to interest additional
Contractors or subcontractors in bidding the project. The Consultant must also submit a final
report, three days prior to the bid opening, which then currently identifies likely bidders.

ADDENDA AND AMENDMENTS TO FUND DOCUMENTS: No addenda, revisions, deletions
or additions will be made by the Consultant to the Fund’s standard documents without prior

approval by the Fund. All addenda issued by the Consultant during the bid period are to be
approved by the Fund prior to being issued, and only in extreme cases will an addendum be
issued during the last week of the bidding period.

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

BID ANALYSIS MEETING: After the bid opening there may be a Bid Analysis Meeting at the
Fund offices with representatives of the Design Section of the Office of Design and
Construction Management for the purpose of analyzing bids. This meeting must be attended
by the Consultant and its principal Consultants. The Consultant chairs the meeting and must
prepare minutes for distribution to the participants.

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

Immediately after the three lowest bids have been identified, the Fund will notify these bidders
via email, requesting each bidder name its principal subcontractors and provide all other
qualifying data within the 48-hour time limit specified in Information for Bidders, Section 8,
“Submission of Post-Bid Information”. This may be an update of previously filed data in
the case of Contractors who previously submitted this material. The request also emphasizes
that submission must be prepared in duplicate, one copy to be submitted directly to the
Consultant’s main office and one copy directly to the Fund Assistant General Manager, Office
of Construction Management. The necessary documents must be received no later than 2:00
P.M. of the second business day following opening of bids.

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

2
Fund Project Coordinator will be designated for each project.



Office of Construction Management Page 6
Management of Construction Projects

Construction Prologue

of the Fund. The purpose of the Pre- Award Meeting is to assess the capacity of the low-bid
Contractor to perform the necessary work. The assessment considers the character and
scope of the Contractor’s past performance, financial capacity, availability of personnel,
equipment, and the capability of the nominated subcontractors. In some instances it may be
desirable to review the qualifications of Contractors other than the lowest bidder at this
meeting to provide the Consultant with information necessary to permit a viable
recommendation for the award of the Contract.

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

Usually, the Pre-Award Meeting is held at the Fund office. The Consultant chairs the meeting
and prepares the minutes. Attendees at this meeting should include the Consultant and its
Principal Consultants, the low-bidding Contractor with, if special project conditions warrant, its
proposed Principal Subcontractors and Fund representatives.

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

CONTRACT AWARD: The Bidding Period ends with an affirmative decision by the Fund
regarding the award of the Contract. The successful low bidder will be sent a “Notice of
Award” letter which serves as the Funds’ formal letter of intent. Concurrently, the Fund’s legal
office will assemble the complete formal Contract for execution by the Contractor, and the
Fund. The Contract will be forwarded to the Contractor for execution under cover of a separate
Fund letter, as described in the next section of this manual titled “Construction Contracts”.

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

Issue of the “Notice of Award” letter also marks, internal to the Fund, the transition of project
coordination responsibility from the Design Section to the Construction Management Section.
A construction phase Project Coordinator will be assigned who will monitor formal Contract
execution status and, when nearly complete, contact the Consultant and Contractor to
schedule a Pre-construction Orientation Meeting.

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


Office of Construction Management Page 7
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 (5), unbound copies of the following
documents:

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

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

After the Contractor signs the Contract (Agreement) and returns to the Fund, the Fund will
then sign and return one original Contract back to the contractor. When the Contractor
receives the completed Contract, the Fund will issue the Notice to Proceed letter. The

Contract start date is at receipt of the Notice to Proceed letter.

REFERENCE TABLES:

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

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




Office of Construction Management Page 8
Management of Construction Projects

Construction Contracts

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)

Office of Construction Management Page 9

Management of Construction Projects

Construction Contracts
TABLE 2
CONTRACT DISTRIBUTION
3





Document

General Construction Contract
: Total Copies Required: 4


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







Federal Contract
: Total Copies Required: 5

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

















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


Office of Construction Management Page 10
Management of Construction Projects

Construction Phase
Construction Phase



Pre-Construction Orientation Meeting

Correspondences, Reports, Construction Phase Submittals

Communication between Fund Consultants and Contractor

Communication with Bonding Company

Reports to the Fund

Construction Phase Review of Submittals

Full-Time Superintendent

Job Meetings

Backcharging

Asbestos and Lead Abatement Projects

PCB and Regulated Materials Projects

Sales and Use Taxes and Exemption

Changes to the Contract

Claims and Disputes

Office of Construction Management Page 11
Management of Construction Projects

Payments and Reimbursements
Construction Phase

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

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

The meeting will be chaired by the Consultant and is usually held at the project site.
Attendees will include Fund personnel, Consultant’s representative, General Contractor
(designed mechanical, electrical, and other proposed principal subcontractors as required),
and a representative of the University/College if applicable. A representative of the Federal
Government (or any other relevant potential sponsor) may be present if a Federal project is
included.

The purpose of the meeting will be to review:

• The administrative aspects of the construction phase.

• An overview of the project, drawing attention to any particular aspect or special

condition associated with the project, along with a generic discussion of the Contractors
proposed overall construction schedule. Special attention is to be given to contractual
phasing requirements.

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

Correspondence, Reports Construction Phase Submittals

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

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

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

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


Office of Construction Management Page 12
Management of Construction Projects

Construction Phase

There are particular items for which the Consultant should instruct the Contractor to submit,
simultaneously to the Fund Project Coordinator at the time the originals are sent to the
Consultant: These items are as follows:

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

Within 60 days after receipt of Notice to Proceed, the Contractor shall submit a Working
Plan Schedule, which shall be a critical path method schedule.

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

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


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


Office of Construction Management Page 13
Management of Construction Projects

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

3. LIST OF PROPOSED SUBCONTRACTORS AND VENDORS:
All subcontractors are approved by the Consultant but only with Fund’s concurrence

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

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

5. CLAIMS: (See Claims and Disputes). When a Contractor reserves his rights and
submits a claim, the Consultant must then review the claim and provide comments and
recommendations to the Fund. No copy of this correspondence is sent to the
Contractor or the Campus. The Fund will review the Consultant’s
recommendations and respond.

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

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

• Log of shop drawings and sample submittals (Substitutions and equivalents
must be identified) - Monthly
•
Daily Field Reports - As Requested
•
Open Item Log at Project Meetings
•
RFI Log at Project Meetings
•
Log of required tests – At onset of project, updated as requested

•
O&M Training and Commissioning Requirements – As requested

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

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

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


Office of Construction Management Page 14
Management of Construction Projects

Construction Phase
When shop drawings and other submittals are found unacceptable or incorrect, their rejection
should be prompt, complete and documented. Whenever shop drawings and other submittals
do not meet Contract requirements, the Consultant is to notify the Contractor immediately, in
writing, with a copy of the notification to the Fund.

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

Consultant and the Fund for acceptance.

JOB MEETINGS: Job meetings are to be scheduled and conducted by the Consultant at least
bi-weekly and more frequently, if deemed necessary. The Consultant representative,
subconsultants (as stipulated in the Consultant’s Agreement), the Fund Project Coordinator,
the Contractor and subcontractor or subcontractors (as requested) are to attend. A
representative of the University/College may also participate, as an observer. Meeting
minutes are to be issued by the Consultant.

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

ASBESTOS ABATEMENT: The Contractor will be required to provide substantial
documentation, in duplicate, for Asbestos Abatement work. Appendix Item 21 is an Asbestos
Material Removal Fact Sheet that must be completed and submitted to the Fund prior to any
work commencing on asbestos abatement. In addition to this Fact Sheet, the Contractor will
be required to provide documentation relative to the required notification, tests, licenses,
approvals, certifications, etc., that are required by specifications for the project.

Prior to the commencement of work involving asbestos demolition, removal and/or renovation,
the Contractor must submit to the Fund the name of its on-site asbestos supervisor
responsible for such operations, together with documentation that such supervisor has
completed an Environmental Protection Agency approved training course for asbestos
supervisors. A Pre-Abatement Meeting will be held prior to commencement of work.
This information must be recorded on the Asbestos Material Removal Fact Sheet (Appendix
Item 21).

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


Office of Construction Management Page 15
Management of Construction Projects

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

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

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

Whenever feasible, changes must be priced before work is authorized. In the case of
emergency or under conditions where the scope of work cannot be determined in advance

without causing unacceptable impact to the progress of the work, the Fund will direct the
Consultant to issue an Authorization to Proceed letter. Proceed Orders are issued only when
time is of the essence and proper staffing of an anticipated change will materially impact the
completion of a project or result in additional costs to the Fund. The accepted form for such a
letter appears in the Appendix of this document (Item 19).

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

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

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

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

Office of Construction Management Page 16
Management of Construction Projects

Construction Phase
d. The Consultant’s stated evaluation of the reasonableness of quantities and price in
accordance with Sections 2.04, 2.05 and 4.02 through 4.05A of the Contract.
e. Attachment of, or reference to, supplementary data such as descriptive literature,
sketches, revised drawings, etc
f. The Consultant’s recommendation for an extension of time (which the Contractor must
have explicitly requested in writing for a specific period).
g. An indication as to whether the change will require work of other trades and if so,
whether work will involve additional costs, changes or credits.
h. Recitation of form, agent and date of advance authorization by the Fund.
i. Any other pertinent data.

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

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

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

separate attached sheet.

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

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

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

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

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



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CONTRACTORS’ MONTHLY REQUESTS

Initial Request

Electronic Payment Application Procedures

Regular Monthly Payment Meetings

Payment Forms

Table 3 – Payment Forms

Review and Payments

Payment for Materials

SUBSTANTIAL COMPLETION

FINAL PAYMENT

WAGE RATE CERTIFICATIONS

GUARANTEE PERIOD

INSPECTIONS

GUARANTEE PAYMENT

LABOR AFFIDAVITS FROM GENERAL CONTRACTOR



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Payments and Reimbursements

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

Introduction

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

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

Primary Steps of the Payment Submission Process

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

required for payment approval is up-to-date and/or completed (see
Construction Management Procedures Manual).
Step 5 In CMR, enter application for payment, submit for approval and print
Certification. Obtain required signatures on Certification and forward with
required supporting documentation to Project Coordinator.

Step 1 - Obtaining Access to CMR

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

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

Step 2 – Logging into CMR

• Go to appls.sucf.suny.edu using your internet browser
• Select “Business Partners”
• Enter the user ID and password provided to you
• Select “Contract Management Reporting” from the menu on the left, which will bring
you the CMR Main Menu.


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General Information



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

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







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

screens. The system is designed to “time out” after a period of 30 minutes of no
activity, at which time all unsaved work will be lost. It is therefore a good idea to save
your work regularly. Saved work can always be edited later until it is actually submitted.


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




• When the Schedule of Values screen appears, click on the first blank line and enter
a short description for the first work item. Tab to the amount column and enter the
value of the work item.
• After the work item amount been entered, tab to the CSI Type field and use the drop
down menu to select the CSI type most closely affiliated with that work item.
Repeat this procedure for all work items. Note: The number of work items is
limited to 24. The Guarantee Amount will automatically be calculated and will
appear as the last work item at the bottom of the Schedule of Values.


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• You may save your work at any time by clicking on the “Save” button. However, if
the total of the values entered does not equal the Contract Value, an “out of
balance” message will appear. Your work will stay “out of balance” until you save

your work.

• After all information has been entered and verified, you can submit the Schedule of
Values to the Fund for approval. Please note that the system will not allow you to
submit the schedule until it is in balance.

• Once the Schedule of Values has been submitted to the Fund for approval, you will
no longer be able to make any changes. However, you will be able to view or print
the Schedule of Values at any time.

Step 4 – Contractual Requirements and Supporting Documentation

Attach all needed documents, see Table 3.

Step 5 – Entering Payment Application and Submitting for Approval

• From the CMR Main Menu, select “Application – Setup/View (Contractor)” –You can
add or view payment requests from this screen. A list of your payment requests,
along with their current status will appear on the lower portion of the screen.



• To view a payment application that you have previously submitted, click on “view” at
the right of the appropriate payment application on the list.
• To enter a new payment application, enter the contract number and click on “Add
Request for Payment”. The contract number will begin with T00. Be sure to enter
the complete contract number. The Entry screen is separated into tabs to organize
the information for input.

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Basic Data Tab



• Work Period Ending date – This is the last date through which work has been
completed for this payment application. The work period ending date must be
before the contract end date.
• Last Payment – Check this box if all work has completed and this is the last and
final application request.

Schedule of Values Tab






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• All items of work listed in the approved Schedule of Values will appear here, along
with the cumulative percent complete amounts for all approved payment
applications. For the first payment application on a project, all values will be at 0%.

• For each item, Tab to the “Percent Complete” Column and edit the percentages to
reflect the percent complete for the payment application you are submitting. The
system will calculate the corresponding “Present Estimate” and “Uncompleted
Balance” for each work item.

Field Orders Tab



• Approved field orders along with their related proposals will appear on this screen.
Field orders that have been billed in full will appear at the bottom of the screen and
cannot be edited.
• Similar to the Schedule of Values tab, the field orders and related proposals will be
listed and the corresponding cumulative percent complete amounts will appear in
the “Percent Complete” column. If no payment has been made for a particular field
order proposal, the corresponding value will be at 0%.
• Tab to the “Percent Complete” Column and edit the percentages to reflect the
percent complete for the payment application you are submitting. The
corresponding “Present Estimate” and “Uncompleted Balance” will be calculated
automatically. (To see additional information on a particular proposal, click on the
proposal number.)







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Change Order Tab




• Approved change orders along with their related proposals will appear on this
screen. Change orders that have been billed in full will appear at the bottom of the
screen and cannot be edited.
• Similar to the Schedule of Values and Field Orders tabs, the change orders and
related proposals will be listed and the corresponding cumulative percent complete
amounts will appear in the “Percent Complete” column. If no payment has been
made for a particular field order proposal, the corresponding value will be at 0%.
• Tab to the “Percent Complete” Column and edit the percentages to reflect the
percent complete for the payment application you are submitting. The
corresponding “Present Estimate” and “Uncompleted Balance” will be calculated
automatically. (To see additional information on a particular proposal, click on the
proposal number.

Office of Construction Management

Management of Construction Projects
Retention Tab


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

MWBE Tab


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

Management of Construction Projects


Payments and Reimbursements
from the current payment request, based on the contract, will be
calculated and displayed on this tab.

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

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Payments and Reimbursements


from the current payment request, based on the contract, will be

All MWBE Contractors in the approved MWBE Utilization Plan will appear here, along with the