New York Construction Law Manual Rubin

New York Construction Law Manual Rubino
The Rubin Law Firm Ny

New edition – New York construction law manual Posted on June 30, 2011 by cataloging New York construction law manual / Robert A. Biser, and Catherine M.K. Brown Eagan, Minn.: West, c2011- Now part of West’s New York. 6- Jayne Czik (Construction Law).pdf - CONSTRUCTION LAW SERIES.-J'NEW YORK CONSTRUCTION LAW MANUAL Postner Rubin New York New York Catherine. NYCLM is defined as New York Construction Law Manual rarely. NYCLM stands for New York Construction Law Manual. Printer friendly. Menu Search 'AcronymAttic.com. Find many great new & used options and get the best deals for Construction Law Ser.: New York Construction Law Manual by Postner and Robert A. Rubin (1996, Hardcover) at the best online.

Category:

Construction Contracting

7554

Effective Date:

This procedure item applies to:

Table of Contents
Summary
Process
Forms
Related Procedures
Other Related Information
Authority
History
Appendices
Summary

This procedure, along with other publications referenced throughout, is intended to assist campuses in the execution of contracts/purchase orders for construction services. The purpose of this document is to identify and clarify differences from the general procurement procedures found in “Purchasing and Contracting” procedure (Procedure Item #7553). Funding for projects under this Procedure can come from monies either appropriated to SUNY or monies appropriated to the Construction Fund.

Process

Definitions
1. Campus Let - Campus managed construction projects funded by capital appropriated to the Fund
2. Campus Funded - Campus managed construction projects funded by SUNY appropriations or other funds including those from the Foundation, Research Foundation, Auxiliary Service Corporation, Alumni Association, Income Fund Reimbursable (IFR) accounts or Grants
3. Consultant - the Architect, Engineer, Landscape Architect, Surveyor or other designated entity named by the University to design and/or inspect and/or generally administer the project.
4. DOB - Division of Budget
5. Fund - State University Construction Fund
6. MWBE Minority or Woman Owned Business Enterprises
7. SDVOB ¿ Service Disabled Veteran Owned Business Enterprises
8. NYSCR - New York State Contract Reporter
9. OSC - Office of the State Comptroller
10. PLA Project Labor Agreement - A pre-hire collective bargaining agreement between a contractor and a bona fide building and construction trade labor organization establishing the labor organization as the collective bargaining representative for all persons who will perform work on a public work project, and which provides that only contractors and subcontractors who sign a pre-negotiated agreement with the labor organization can perform project work.
General Requirements
1. This procedure addresses projects in two categories:
  1. Contracts up to $20,000 (discretionary procurements) and
  2. Contracts exceeding $20,000 (formal procurements, i.e. sealed bids).
2. All construction contracts must specify the term, contract amount and clearly identify the scope of work. Contracts exceeding $20,000 are must be awarded to the lowest responsible bidder through public letting, commonly referred to as a sealed bid.
3. Health and Safety Requirements
  1. Construction/ alteration projects must bear the seal of a licensed professional and be designed by a registered Architect, Professional Engineer or Registered Landscape Architect. All design work must be under the direct supervision of Architect, Professional Engineer or Registered Landscape Architect
  2. This requirement applies to projects that affect public or structural safety, regardless of the dollar amount. It does not however apply to (1) farm buildings, including barns, sheds, poultry houses and other buildings used directly and solely for agricultural purposes; (2) residence buildings of gross area of fifteen hundred square feet or less, not including garages, carports, porches, cellars or uninhabitable basements or attics; or (3) alterations which do not affect the structural safety or public safety costing ten thousand dollars or less for any building within the city of New York and twenty thousand dollars or less for any building or structure outside the city of New York. However, regardless of legal requirement, all contract documents should generally bear the seal of a licensed professional.
  3. Design work can be accomplished by a licensed professional on campus staff or through a consultant services agreement.
  4. All construction/renovation work shall comply with the New York State Uniform Fire Prevention and Building Code.
  5. Failure by responsible campus officials to fully carry out all necessary project reviews for Code compliance might expose personnel to personal liability.
4. Minority and Women Owned Business Enterprise (MWBE) Utilization:
  1. It is the University's policy to take affirmative action to ensure that New York State certified minority and women owned business enterprises are given the opportunity to participate in University construction contracts at competitive prices.
  2. NYS Executive Law article 15A requires MWBE goals be incorporated on all construction projects with an estimated value of $100,000 or more.
  3. To ensure compliance with NYS Executive Law Article 15A, refer to requirements outlined in SUNY Procedure 7557 (Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contracts).
5. Service Disabled Veteran Owned Business Enterprise (SDVOB) Utilization
  1. Consistent with the State University of New York (SUNY)’s commitment to, and in accordance with, Article 17-B of the New York State Executive Law, contractors are required to ensure that good faith efforts are made to include meaningful participation by Service Disabled Veteran-Owned Businesses.
Requirements for compliance to NYS Executive Law Article 17-B are outlined in the procedure “Participation by Service-Disabled Veteran-Owned Business (SDVOBs) with Respect to State University of New York Contracts” Procedure Item #7564). Construction Contracts Not Exceeding $20,000
1. No formal bid solicitation is required for contracts that do not exceed $20,000. Campuses may use Form 7554-01 to solicit sealed bids at their discretion.
2. Required Documentation (to be on file at the Campus)
  1. Reasonableness of price must be established. Methods to establish reasonableness of price include not limited to: an itemized campus estimate; comparing the quoted price with the price for the same or similar services within the last six months; comparing the price with other quoted prices; comparing the quoted price with prices in various procurement publications; comparing the quoted price with cost to other governmental entities.
  2. Prevailing Wage Rate Schedule
    1. Obtain a Schedule of Prevailing Wage Rates from the New York State Department of Labor. To do so, submit a Request for Wage and Supplement Information either online at the NYS Dept. of Labor Web Site or by mail or fax to the Bureau of Public Works Central Office in Albany, NY. Incorporate the wage schedule or a link to it online, into the purchase order or contract.
  3. Procurement Lobbying, the following forms are required: (applies >$15,000 in annualized expenditure)
    1. Summary: Policy and Procedure of the State University of New York Relating to State Finance Law §§139j and 139k (Form A, Procedure 7552)
    2. Affirmation with respect to State Finance Law §§139j and 139k (Form B, Procedure 7552)
    3. Disclosure and Certification with respect to State Finance Law §§139j and 139k (Form C, Procedure 7552)
    4. State University of New York Procurement Lobbying Law Record of Contact (Form D, Procedure 7552)
    5. Governmental Entity Representation Concerning Compliance with State Finance Law §§139j and 139k
  4. Certificates of Insurance, the following forms are required:
    1. ACORD 25 Certificate of Liability Insurance Form and the SUNY Certificate of Insurance Requirements (Form 7554-12) in the amounts and types required in the specifications and in accordance with Section 5.06 and 5.07 of the Construction Agreement.
    2. Certificate of Workers Compensation Insurances (as provided by insurance carrier or licensed NYS insurance agent)
    3. Certificate of Disability Benefits Insurance (as provided by insurance carrier or licensed NYS insurance agent)
  5. Purchase Order or Signed Contract with Acknowledgement
    1. Exhibit A
    2. Exhibit A1, if applicable
    3. Scope of Work, requirements and schedule
  6. If processed as a contract, the Campus Procurement Certification (Procedure 7553, Form XV)
Construction Contracts Exceeding $20,000
1. Overview
  1. Pre Solicitation and Solicitation
  2. Selection
  3. Award
2. Required Agency and Contractor Documentation (to be on file at Campus)
  1. See Construction Procurement Checklist (Form 7554-00)
3. Construction Procurement Process
  1. Pre Solicitation and Solicitation
    1. For Campus Let Contracts, document the Project Justification and obtain Division of Budget Approval (B1184) through the DOB’s online application system, the Agency Spending Controls Application.
    2. Assemble the Project Manual, including technical specifications and drawings, if applicable.
      1. Include the amount of deposit to be required for plans and specifications in the bid documents.
      2. Determine if a site visit/walk through will be made available and whether it will be mandatory or optional. Include this information in the bid documents.
      3. Obtain a Schedule of Prevailing Wage Rates from the New York State Department of Labor. To do so, submit a Request for Wage and Supplement Information (Form PW39) either online at the NYS Dept. of Labor Web Site or by mail or fax to the Bureau of Public Works Central Office in Albany, NY. Incorporate the wage schedule or a link to it online, into the Division 2 General Requirements document (Form 755408).
      4. Insert Minority and Women Owned Business Enterprise (MWBE) goals into the Information for Bidders document (Form 7554-06) in accordance with SUNY Procedure 7557: “Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contracts”. (applies >$100,000)
      5. Include Services Disabled Veteran Owned Business goals in accordance with SUNY Procedure 7564 “Participation by Service-Disabled Veteran-Owned Business (SDVOBs) with Respect to State University of New York Contracts” (applies >$100,000)
    3. Advertise, if the contract is estimated to be greater than $50,000
      1. Place an advertisement in the New York State Contract Reporter (NYSCR). See Section V for detailed requirements.
      2. For Campus Let contracts, advertise in an Albany, New York, newspaper and in a local newspaper of general circulation.
      3. For Campus Funded contracts advertise in a local newspaper of general circulation
      4. Contact a reasonable number of local contractors (a minimum of 5. Describe the project to be bid and invite the contractors to submit a bid proposal on the work. It is recommended that campuses list the project with at least one Local Builder's Exchange or Plan House.
    4. Issuance of an Addenda
      1. A written Addendum must be issued by the campus if the campus determines the bid documents to be vague, incorrect, incomplete or inconsistent with its procurement objectives, or if the campus determines that information must be added or changed. The Addendum must be forwarded to all contractors who obtained copies of the Bidding Documents from the campus, and to all locations where documents were sent for review by prospective bidders. If sufficient bid time does not remain to incorporate each Addendum into the bid, the Addendum should also extend the bid time to allow for the same. Sequentially number and date each Addendum issued. Campuses must receive written acknowledgment from each contractor of receipt of each addendum.
      2. Questions that do not require an addendum to the bidding documents are to be documented in a Question and Answer (Q&A) document. This Q&A document must be forwarded to all contractors who obtained copies of the Bidding Documents from the campus, and to all locations where documents were sent for review by prospective bidders
  2. Bid Opening
    1. On the designated day, time and place, all bids received up until that time shall be publicly opened and read aloud in the presence of a campus staff witness. When opening the bids the contractor's name, bid amount, and form of Bid Security (certified check or a bid bond using Form 7554-10), or lack thereof, shall be read aloud. Bids cannot be withdrawn after the designated day and time of the deadline for submission of bids.
    2. Any bid received at the specified location after the time specified will be considered a late Bid. A late Bid shall not be considered for award unless: (i) no timely Bids meeting the requirements of the Bid Documents are received or, (ii) in the case of a multiple award, an insufficient number of timely Bids were received to satisfy the multiple awards; and acceptance of the late Bid is in the best interests of the Campus. Delays in United States mail deliveries or any other means of transmittal, including couriers or agents of SUNY or the Campus, shall not excuse late Bid submissions. Similar types of delays, including but not limited to, bad weather, or security procedures for parking and building admittance, shall not excuse late Bid submissions. Determinations relative to Bid timeliness shall be at the sole discretion of the Campus President or his/her designee.
    3. Proposals that contain minor irregularities, such as those submitted without a proper Bid Security, or in the wrong form, or executed improperly, shall be considered informal. Informal proposals may be considered in selecting a low bidder where the public interest will be promoted thereby. Consultation with University Counsel is strongly recommended prior to accepting any informal bid.
    4. Summarize the bids received on the Bid Tabulation (Form 7554-04).
    5. Publish the bid results in the NYSCR.
  3. Award
    1. Review the bids to determine if the bids are responsive. Forward a letter of intent (Form 7554-14) to the lowest responsive bidder which lists all documentation required from the contractor prior to contract award.
      1. Have the contractor obtain a Labor & Material Bond and Performance Bond (unless the Performance Bond is waived, reference Section V, Part d Labor and Materials Bonds may not be waived). Bonds are required to be acknowledged by a notary and to be accompanied by a Financial Statement for the Surety and Power of Attorney.
      2. Obtain proof of insurance on Form 7554-12. The insurance shall be in the amounts and types required in the specification, naming the State of New York, the State University of New York, as additional insured, with the campus designated as the Certificate Holder. The Insurance Policy expiration dates must be current and cover the period within which the work will take place.
      3. Obtain all other required documentation defined within the Construction Procurement Checklist (Form 7554-00) including Procurement Lobbying Forms, Omnibus Procurement Act Forms, MWBE and SDVOB Forms, and Vendor Responsibility Questionnaire (see Form 7554-06, Section 8 for details on how to complete the questionnaire).
      4. Review the completed Vendor Responsibility Questionnaire (if completed online use OSC’s Vend Rep System) to ensure the contractor is responsible. For more information on Vendor Responsibility please see the OSC Guide to Financial Operations.
    2. Authorization to Proceed: Contract work shall not begin until all necessary signatures are obtained. Authorizing the start of work before all signatures are obtained is beyond the scope of a State employee’s authority, and the employee may be held personally liable.
    3. Have three copies of the Agreement (Form 7554-09) signed by the contractor, with Notary Acknowledgement. Ensure that Exhibit A, Exhibit A1, and the scope of work are incorporated into the contract. The campus will retain two copies of the agreement (one at the Business Office and one at the Facilities Office) and send one copy to the contractor.
    4. Return the Bid Securities to all bidders as outlined in Section 6 (IB3) of the Information to Bidders in the Project Manual. Notify each bidder, in writing, of the bid results.
    5. Retain or return the deposits on plans and specifications in accordance with State Finance Law Article 9 §143.
      1. Return the full deposit to the successful bidder.
      2. For unsuccessful bidders:
        The campus retains all deposits less than $50
        For deposits greater than $50, return the deposit for one set of plans to the bidder within 30 days.
    6. Additional Requirements
      1. If for any reason, the apparent low bidder cannot obtain the required bonds or insurance, or informs you in writing that its bid was in error, or that it is unable to meet the obligations of the contract, such bid may be rejected and the contract awarded to the next lowest bidder. This situation must be documented and maintained in the procurement record. Consultation with University Counsel is recommended under these circumstances.
      2. Tie Bids: If a tie bid should occur, assemble the affected contractors. Using the method defined in the Information for Bidders (Form 75540-6, Section 5) determine the successful bidder.
      3. Fewer than three bids: When fewer than three bids are received on for a contract exceeding $250,000 the campus must demonstrate that all reasonable steps were taken to ensure that the opportunity for competitive bidding was maintained and reasonableness of price was established. When fewer than three bids are received the following steps must occur and be documented in the procurement record.
        Conduct an independent review of the Invitation for Bid and determine if it contained any restrictive, unclear, and/or ambiguous content which may have limited competition.
        Determine if sufficient time was provided to enable proper preparation and submission of bids.
        Determine if any other reason may have inhibited responses, including contacting contractors who did not submit bids to determine their reasons for not responding.
        If any of the above conditions exist, or if there is any other irregularity, the solicitation shall be re-advertised and the process repeated.
        If none of the above conditions exist, the project may be awarded subject to the Campus President, or designees, approval.
Other Requirements
1. Wicks Law
  1. Campus Funded contracts are subject to the Wicks Law, which requires preparation of four (4) separate specifications (plumbing, electrical, mechanical and all else). Each of the specifications is to be competitively bid and awarded lowest responsible bidder. The threshold for Wicks Law compliance is determined by a campus' geographical location as follows .
    1. $3 million for campuses in counties of the Bronx, Kings, New York, Queens, and Richmond (HSC @ Brooklyn, Maritime and Optometry)
    2. $1.5 million for campuses in the counties of Nassau, Suffolk and Westchester (Farmingdale, Old Westbury, Purchase and Stony Brook)
    3. $500,000 for all other counties within the state (all other state-operated campuses).
  2. Campus funded projects for values under the applicable thresholds noted above are subject to the Wicks Law requirements stated below.
    1. The prime bidder must submit with its bid a separate sealed list that names each subcontractor that the bidder will use to perform work on the contract, and the agreed upon amount to be paid to each for the different trades.
    2. The list of subcontractors and the amount they will each be paid should be included with the Procurement Record. All non-selected bidders’ sealed envelopes are to be returned to the bidders.
  3. Campuses may seek an exemption from the requirements of Wicks Law for Campus Let contracts. The campus is required to obtain a letter from the Fund verifying this exemption and maintain it in the Procurement Record.
  4. Campuses may also waive Wicks law compliance if enters into a Project Labor Agreement (PLA). The intention to use a PLA must be specified in campus solicitation document (RFP, IFB etc.) and cost and other criteria must be satisfied.
  5. A campus use of a PLA must be done in consultation and with prior review and approval by its Campus Counsel
2. New York State Contract Reporter Advertisement Requirements
  1. Up to $10,000, no publication required
  2. $10,000 to $49,999, a quarterly publication of a list of projected procurements by commodity and or serves is required. This must include an explanation of how to apply for placement on bidder’s lists and the procedure for providing advance notice by mail to those on the campus bidders list.
  3. $50,000 and above, an individual notice for each proposed procurement must be published at least 15 business days in advance of the date on which a bid or proposal is due, unless a shorter period is specifically authorized by law. The New York State Contract Reporter accepts only online submissions through its web site.
  4. If the contract is estimated to be under the advertisement requirement and the low bid is over that threshold all bids must be rejected and the project re-advertised.
  5. Exemption
    1. A waiver of competitive solicitation and prior publication in the Contract Reporter is allowed provided adequate documentation is provided to support the declaration that advertisement in the NYSCR is not feasible and reasonableness of prices is established. The declaration shall be signed by the campus President, or President’s designee and sent to OSC for approval. Consultation with University Counsel is strongly recommended in this situation.
    2. For more details on exemptions to NYSCR advertising requirements see SUNY Procedure “Purchasing and Contracting (Procurement) (Document #7553)
    3. For those projects which were granted an exemption from the pre-award publication requirements the campus must provide OSC with proof confirming that the Department of Economic Development has been requested to publish the notice of the exemption in the New York State Contract Reporter. The notice must state the reason for the exemption and be placed as soon as practical.
3. Waiver of Performance Bond:
  1. Bonds for Performance and Labor and Materials are required for contracts greater than $50,000.
  2. If the campus deems it appropriate, a Performance Bond may be waived on a project when there is to be only one (1) payment made to the contractor. If the Performance Bond is waived, payment shall occur only after successful completion of the work and acceptance by the campus.
  3. If a Performance Bond is waived, retainage may be increased to 20%. All potential bidders must be notified prior to submission of bids if the Performance Bond is waived and if the retainage is increased.
  4. UNDER NO CONDITION SHALL A LABOR AND MATERIAL BOND BE WAIVED.
4. Change Orders
  1. If during the course of the project unforeseen conditions arise which alter the Agreement or the Scope of Services a formal amendment to the contract shall be executed. Amendments are intended to cover changes to the existing scope of services which are within the intent of the original project. For changes increasing the contract value, the following shall be included in the procurement record.
    1. Applicable campus approvals
    2. DOB B1184 approval (if applicable)
    3. Vendor Responsibility (if applicable, see OSC website for applicability requirements)
    4. Change description / scope
    5. Signed amendment with acknowledgment (Form 7554-17)
  2. If a change is outside the intent of the original project a separate procurement shall be executed.
  3. Changes Process: If a consultant was hired to prepare contract documents and oversee construction, all change orders shall be executed with the help and participation of the consultant.
    1. Submit for applicable campus approval a written description of the proposed change, the reason for the change, and its impact on the project budget and basic fee.
    2. If applicable, obtain Division of Budget B1184 approval.
    3. Describe in writing to the contractor, on a Request for Cost Change Proposal (Form 7554-16), the addition to, or deletion from the work of the project. As noted on the form, attach any pertinent backup material needed to adequately specify and quantify the proposed change (i.e., drawings and/or additional specifications).
    4. Review the contractor’s response and assess for reasonableness of price. Negotiate a reasonable price with the contractor.
    5. Obtain approval from the campus President or President’s designee.
    6. Sequentially number each Contract Amendment
    7. Upon receipt of the proper approvals, initiate a change order using Form 7554-17. Have the contractor, the consultant, and a senior campus officer sign three (3) copies of the Change Order. The campus will retain two copies of the change order (one at the Business Office and one at the Facilities Office) and send one copy to the contractor.
5. Payments to the Contractor
  1. Payments to the contractor shall be made in accordance with Article IV of the Construction Agreement. The following documentation must be reviewed and approved by the campus prior to authorizing payment.
    1. Data supporting the application for payment, where applicable.
    2. MWBE Compliance Report (Form 75571-11)
    3. SDVOB Compliance Report (Form 7564-111)
    4. Contractors Certification (Form 7554-13 or OSC Forms AC 2947, AC 2948 & AC 2958) from the prime contractor, all subcontractors, and all subsubcontractors. (Applies to first payment only)
    5. Proof of OSHA 10 hour Training Courses (Applies to contracts over $250k; provide 1 copy for each employee with the application for first payment. If additional employees are added proof must be provided with the next application for payment)
    6. A Release (Form 7554-18), from the prime contractor. (Applies to final payment only)
    7. A Tax clearance letter, if the prime contractor is out-of-state. (Applies to first and final payments only)
      1. Tax clearance is required for the first and last payments made to out-of-state prime contractors. To obtain the clearance, phone the Department of Taxation and Finance Contract Offset Unit, with the contractor’s Federal I.D. number and the contract number. A response will be faxed directly to the campus.
6. Emergencies
  1. When an emergency exists a waiver of the selection process may be granted. An emergency declaration is to be signed by the campus President, or President’s designee. Exemption from advertisement must be approved by OSC. In situations where it is not feasible to advertise in the NYSCR, an exemption may be requested from OSC in accordance with the NYSCR exemption process set forth in this procedure. Reasonableness of price must be demonstrated and a formal agreement or amendment must be executed before work may begin.
  2. An emergency exemption relieves the campus of the solicitation and selection requirements set forth in this procedure. All other applicable requirements, documentation, and approvals set forth in this procedure apply.
  3. Definitions
    1. A Construction Emergency is defined as “damage to, or a malfunction in buildings or property of the State of New York caused by an unanticipated, sudden and unexpected occurrence which involves a pressing necessity for immediate repair, reconstruction or maintenance in order to permit the safe continuation of a necessary public use or function, or to protect the property of the State of New York, or the life, health or safety of any person.”
    2. An “Emergency” as it applies to these Procedures shall comply with the above definition in that the circumstances requiring professional assistance shall be “unanticipated, sudden and unexpected” and the situation threatens “the safe continuation of a necessary public use or function, or action is necessary to protect the property of the State of New York, or the life, health or safety of any person.”
  4. Overview of Initiation/Approval Process for Emergencies:
    1. Identify the emergency. Document the time, date, place, location and what occurred. If applicable, indicate whether the emergency was caused by an insured/noninsured outside entity. Indicate why it conforms to the above emergency definition and why alternative actions are not viable in this situation.
    2. Have the campus President, or President’s designee, approve and sign the written emergency declaration. If the estimated contract value is in excess of $50,000 fax a copy of the signed emergency declaration to OSC to request an exemption from advertisement in the NYSCR. The text of the declaration must formally request this exemption.
    3. If feasible contact at least three contractors. Document for the procurement record the process used to select the contractor.
    4. Reasonableness of price must be established by obtaining a minimum of three (3) verbal or written quotes. In soliciting verbal quotes, the potential contractors must be informed of the contractual obligations required of them if their proposal is accepted. If the scope of the emergency work can be reasonably quantified, a lump sum quote should be requested. If the scope of the emergency work cannot be reasonably quantified, a cost plus fixed fee quote should be requested.
    5. Authorize the contractor to proceed with the work. Verbal authorization must be followed by written authorization.
7. Project Capitalization
  1. Projects over $100,000 must be capitalized in accordance with SUNY's capitalization procedure.

Forms

7554-00 - Construction Procurement Checklist (word)
7554-00 - Construction Procurement Checklist (pdf)
7554-01 - Request for Proposal, less than $20K
7554-02 - Pre Bid Cost Estimate
7554-03 - Notice to Bidders and Newspaper Advertisement
7554-04 - Bid Tabulation
7554-05 - Project Manual Cover and Table of Contents
7554-06 - Information for Bidders
7554-07 - Contractor Proposal
7554-08 - Division 1 General Requirements
7554-09 - Construction Agreement
7554-10 - Bid Bond & Acknowledgment
7554-11 - Labor & Materials and Performance Bonds w/Acknowledgment
7554-12 - Certificate of Insurance Instructions and Checklist
7554-13 - Contractor, Subcontractor, and Sub-subcontractor's Certification (AC2947)
7554-14 - Letter of Intent
7554-15 - Contractor's Application and Certification for Payment
7554-16 - Request for Cost Proposal (Change Order)
7554-17 - Contract Change Order
7554-18 - Contractor Release
7554-19 - Notice to Proceed
7554-20 - Bidder's Certifications

Additional Forms

State Finance Law §§139-j and 139-k from SUNY Procedure Item #7552 “Procurement Lobbying Procedure for State University of New York” (applies >$15,000)
1. Form A - Summary: Policy and Procedure of the State University of New York Relating to State Finance Law §§139-j and 139-k
2. Form B - Affirmation with respect to State Finance Law §§139-j and 139-k
3. Form C - Disclosure and Certification with respect to State Finance Law §§139-j and 139-k
4. Form D - State University of New York Procurement Lobbying Law Record of Contact
5. Governmental Entity Representation Concerning Compliance with State Finance Law §§139-j and 139-k
Procurement Forms from SUNY Procedure Item #7553 “Purchasing and Contracting (Procurement)
1. Form I Omnibus Procurement Act of 1992 (applies >$1,000,000)
2. Form II Omnibus Procurement Act of 1992, Out of state firms (applies >$1,000,000)
3. Form XIII Public Officers Law Compliance
4. Form XV - Campus Procurement Certification
5. Exhibit A - Standard Contract Clauses
6. Exhibit A-1 - Affirmative Action Clauses
Affirmative Action and Minority & Women Owned Business Enterprises from SUNY Procedure Item #7557 “Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contract (applies >$100,000) and Service Disabled Veteran-owned Business Enterprise from SUNY Procedure Item #7564 “Participation by Service-Disabled Veteran-Owned Business (SDVOBs) with Respect to State University of New York Contract (applies >$100,000)
1. Form 7557-107 - M/WBE Utilization Plan
2. Form 7557-104 - MWBE-EEO Policy Statement
3. Form 7564-107 – SDVOB Utilization Plan
Vendor Responsibility
1. OSC’s Vendrep - Online System or Link to paper forms(form applies>$100,000)

Related Procedures

7553 - Purchasing and Contracting (Procurement)
7555 - Construction-Related Consultant Contracting Procedures
7557 - Participation by Minority Group Members and Women (MWBEs) with Respect to State University of New York Contracts
7561 - Contract Award Protest Procedure
7563 - Minor Critical Maintenance Procedure
7564 - Participation by Service-Disabled Veteran-Owned Business (SDVOBs) with Respect to State University of New York Contracts

Other Related Information

7552 - Procurement Lobbying Procedure for State University of New York

Authority

The following link to New York State Laws is provided for users' convenience. Any questions regarding applicability of the law should be directed to University Counsel.

NYS Public Officers Law
Article 4 - (§§60 - 79) Powers and Duties of Public Officers
§73(4) (Business or professional activities)
§74 (Code of ethics)

NYS Education Law
Article 8 – (§§350 - 365) State University and State Financial Assistance for Higher Education
§355 (Powers and duties of trustees.)
§376 (Letting of construction contracts)
Article 147 – Architecture
§7307 (Architecture – Special Provisions)

NYS State Finance Law
Article 9 - (§§135 - 146) Contracts
§139i (Obligations with respect to procurement contracts with New York state and foreign business enterprises)
§139j (Restrictions on contacts during the procurement process)
§139k (Disclosure of contacts and responsibility of offerers)
Article 8 (§§125 - 128) Fiscal Supervision of Certain Institutions
Article 11 (§§160 - 168) State Purchasing

NYS Executive Law
Article 15-A - (§§310-318)
Participation by Minority Group Members and Women with Respect to State Contracts
NYS Labor Law
NYS Tax Law

History

January 2017 – updates to incorporate the Service Disabled Veteran Business Enterprises Procedure 7564

November 2015 – updates adopt the ACORD 25 form as the required certificate of insurance form.

April 16, 2015 - Comprehensive updates to Procedure 7554 were issued. Updates included updates for legislative changes, clarification of documentation requirements and updated forms.

Procedure 7554 was issued April 20, 2007. Procedures were based on and updated from legacy Office for Capital Facilities Procedure 530.8.

Appendices

There are no appendicies relevant to this procedure.

ENERGY

Frequently Asked Questions

January 2011

The American Recovery and Reinvestment Act of 2009 (ARRA), signed by President Barak Obama in February of 2009, was designed to spur economic development and energy conservation, and included increasing the strictness of building energy codes.

The 2010 edition of the Energy Conservation Construction Code of New York State (ECCCNYS) satisfies ARRA's more stringent requirements. The new version of the ECCCNYS became effective on December 28, 2010, and is now applicable in all parts of New York State.

New York State, as part of a plan to achieve at least 90 percent compliance with the ECCCNYS in all new and renovated residential and commercial buildings, has launched a major training and code enforcement support initiative through the New York State Department of State partnering with the New York State Energy Research and Development Authority (NYSERDA). The NYSDOS and NYSERDA collaboration will achieve the highest possible the rate of compliance with the ECCCNYS by providing training support to the design, construction and code enforcement community, covering provisions of the ECCCNYS and the 2010 Residential Code of New York State (RCNYS).

For information on these programs, please visit http://www.nyserdacodetraining.com.

For information on how to purchase the ECCCNYS and/or the RCNYS, go to www.ICCSAFE.org.

For free versions of the REScheck/COMcheck software that references the ECCCNYS, please go to www.energycodes.gov.

In response to inquiries on the 2010 ECCCNYS
(and corresponding provisions in the RCNYS),
the following questions and answers are presented to provide support and clarification.

The provisions of the ECCCNYS applicable to one- and two-family dwellings and townhouses are also found in the RCNYS.

Question No. 1
Is a 'blower door test' required for all new homes covered under the RCNYS and/or the ECCCNYS to determine whether a home has been properly sealed from losing conditioned air?

Question No. 2
Is the ECCCNYS interchangeable with the 2009 International Energy Conservation Code (IECC) for residential construction and the American Society of Heating and Refrigeration and Air Conditioning Engineers (ASHRAE) Standard 90.1-2007 for commercial construction?

Question No. 3
Are New York State municipalities affected by the American Recovery and Reinvestment Act of 2009, and if so, how?

Question No. 4
For residential use, is spray foam permitted to create a 'conditioned attic assembly' by spraying the foam directly on the underside of the roof rafters without ventilation above or below the foam?

Question No. 5
Do you need to apply a thermal barrier or ignition barrier to the surface of spray foam in attics and according to Section 314.4 of the RCNYS, is this type of space considered the 'interior of a building'?

Question No. 6
Can a residential building complying with the ECCCNYS or the RCNYS use exposed spray foam to seal the sill plate rim joist area at the perimeter of the basement?

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Question No. 7
Is a 'duct blaster' test required for all new homes covered under the RCNYS or the ECCCNYS to determine if a home's supply and return ducts have been properly sealed from losing conditioned air?

Question No. 8
Will the ECCCNYS increase costs to local governments?

Question No. 9
Will light benefits be provided in the ECCCNYS for new home buyers?

Question No. 10
Are snow melt system controls required in the ECCCNYS and RCNYS for all buildings?

Question No. 11
Does the ECCCNYS allow, in certain conditions, the use of latex or enamel paint (on the inside surface of the sheetrock or other interior materials) to meet mandatory vapor retarder requirements of Section 402.5 of the ECCCNYS (instead of sheets of polyethylene or kraft paper behind the sheetrock)?

Question No. 12
Is there now a definition of 'Area Weighted Average' in Chapter 2 of the 2010 ECCCNYS?

Question No. 13
Is a new pool installation regulated by the ECCCNYS-2010 and RCNYS-2010 for both commercial and residential installations?

Question No. 14
A swimming pool has a pump for the filter and does not have a heater. Does the pump need a timer switch per section 403.9.2?

Question No. 15
Is there a requirement for automatic exterior commercial building lighting controls?

Question No. 16
Does the ARRA require the New York State Energy Conservation Construction Code (the Energy Code) to be updated to certain codes or standards?

Question No. 1
Is a 'blower door test' required for all new homes covered under the RCNYS and/or the ECCCNYS to determine whether a home has been properly sealed from losing conditioned air?
Answer
No, the use of a blower door test is not required. However, the use of such a test is one of two optional means of showing compliance with certain requirements of the ECCCNYS. Building envelope air-tightness and proper insulation installation are requirements of the Energy Code, which are found in the ECCCNYS Section 402.4.2 for air sealing and insulation. The Energy Code allows, as Option #1, an ACH 50 infiltration test (less than 7 ACH when tested with a blower door at a pressure of 50 Pascals). This is specified in Chapter 4 of the ECCCNYS (and Chapter 11 of the RCNYS) for proof of air sealing of the building envelope. The Code user would have the option of employing this method, or specifying that the building meets the visual inspection Option #2 requiring an extensive inspection of the building envelope for proper insulation installation and air sealing of the building envelope during the process of construction.
The use of Option #1 has the potential for reducing inspection costs to the code enforcement authority/municipality, since a qualified tester would generally be employed to perform the blower door test, and would certify the results of the building envelope test to the code enforcement authority/municipality. Testing shall occur after rough-in (and after installation of penetrations/sealing) of the building envelope, including penetrations for utilities, plumbing, electrical, ventilation and combustion appliances. Option #2 allows for a visual inspection by the code enforcement official or, at the code official's option, a third party inspection service acceptable to the code enforcement official. This must be an independent inspector not in the employ of the general contractor or the insulation firm.
Both options can potentially reduce costs to the municipality. For the testing option, a qualified tester would perform the blower door test and certify the results to the code enforcement official. For the visual inspection option, at the CEO's discretion, an independent third party inspection service may perform this task.

Answer
No, the ECCCNYS is not interchangeable with the IECC 2009 for residential construction and ASHRAE Standard 90.1-2007 for commercial construction. The ECCCNYS is more restrictive. It has been modified from the IECC 2009 through the state code adoption procedure to reflect the requirements and policies of the New York State Energy Law. The US Department of Energy (DOE) sponsored REScheck and COMcheck software (available to download at www.energycodes.gov) has been created for New York State.
On the code “drop down” menu “New York” must be selected. Please note that for commercial construction, the code option for ASHRAE 90.1-2007 may also be selected.
The compliance printout must indicate '2010 New York State Energy Conservation Construction Code' report for submission with a permit application when this method of compliance is used. For commercial construction, either '2010 New York State Energy Conservation Construction Code,' or ASHRAE 90.1-2007 must be indicated on the compliance printout.

Question No. 3
Are New York State municipalities affected by the American Recovery and Reinvestment Act of 2009, and if so, how?

Answer
Yes, the ECCCNYS is now the Energy Code in New York State, and must be enforced by all cities, towns, villages, and counties that are responsible for administering and enforcing the Energy Code. In addition, pursuant to a recently enacted amendment to Article 11 of the New York State Energy Law, the Department of State will soon begin the process of developing and adopting regulations relating to annual measurements of compliance with the new ECCCNYS. Municipalities will be required to measure compliance in accordance with those regulations. To assist municipalities in fulfilling their enforcement responsibilities, a complete set of the newly adopted code books (including the newly adopted ECCCNYS) will be distributed to municipalities. Extensive training will also be provided to municipal code enforcement officials and to design professionals and others involved in the construction industry. The Code books and training will be provided, in whole or in substantial part, with funding provided to New York State by the Federal government through ARRA.

Answer
Yes. In one- and two- family dwellings and townhouses, sections 402.2.1.1 of the ECCCNYS-2010 and Sections 804.4 & 1102.2.1.1 of the RCNYS-2010 permit an “unvented attic” under specified conditions and requirements using air-impermeable insulation (e.g., spray foam) to control moisture. Air-impermeable insulation must meet ASTM E283 and the Code-required thickness determined by climate design zone. Coincidentally, the unvented attic sealing approach allows for downsizing of the mechanical systems by a significant percentage by ACCA Manual J (See RCNYS -1401.3). Ventilation of the dwelling unit to limit moisture development is required as specified in Chapters 3, 4, and 15 of the Residential Code of New York State. Although not a code requirement, an air-to-air heat exchanger (Heat Recovery Ventilator -HRV or Energy Recovery Ventilator -ERV) is a very good idea for a house with spray foam insulation, which would serve to further limit moisture accumulation in the building.

Answer
The RCNYS-2010 Sections 314.5.3 and 314.5.4 permit spray foam without an ignition barrier in spaces that are not occupied and where there are no utilities requiring service (Section M1305.1.3). Foam must meet the test requirements specified in Section 314.6. If the attic is considered interior space, foam must be covered by gypsum wall board or an alternate finish material (Section 314.4). The application and allowable installations may be detailed in an “Engineering Services Report” produced by the International Codes Council for the particular material in question. Where allowed by the ESR report, the foam may be left uncovered per RCNYS-2010.

Question No. 6
Can a residential building complying with the ECCCNYS or the RCNYS use exposed spray foam to seal the sill plate rim joist area at the perimeter of the basement?

Answer
Yes. Spray foam insulation with a density of 0.5 to 2.0 pounds per cubic foot sprayed to a thickness of 3 1/4 inches or less is permitted to be spray applied to a sill plate, header, and rim joists without a thermal barrier.

Question No. 7
Is a 'duct blaster' test required for all new homes covered under the RCNYS and/or the ECCCNYS to determine if a home's supply and return ducts have been properly sealed from losing conditioned air?

Answer
No, provided that the heating and cooling ductwork is completely contained within the conditioned building envelope. Sealing of duct work is a mandatory requirement of the current ECCCNYS and will continue in the updated Energy Code for 2010. The requirement for testing of the completed ductwork (known as CFM 25: “the duct blaster test”) are waived if the air handler and ducts are located completely within the conditioned building envelope.
As an example, if a furnace and ductwork are located within a basement space, and the basement enclosing walls and the floor joist perimeter (band joist directly above) have been insulated in accordance with requirements of the (RCNYS-2010), and /or ECCCNYS-2010 , the ductwork is considered to be located within conditioned space, and qualifies for the exemption to duct testing. If the HVAC ductwork for heating and or cooling are located outside of the conditioned envelope (for example, a central AC or furnace in the attic, above the insulation), then the ductwork requires testing per CFM 25, or duct blaster test, as well as insulation of the ductwork per code requirements.

Question No. 8
Will the ECCCNYS increase costs to local governments?

Answer
Costs for localities are potentially reduced due to the added clarity and the potential use of proving technologies such as the air seal tests such as the blower door or duct blaster described above for Residential construction. Insulation and building envelop sealing (see Table 402.4.2 ECCCNYS-2010 or Table 1102.4.2 RCNYS-2010) may be provided by third party energy professionals and certified to the municipality thereby potentially saving time and manpower for the municipality.

Question No. 9
Will light benefits be provided in the ECCCNYS for new home buyers?

Answer
Yes. New homes are required to have high efficacy lamps (40-60 lumens per watt based upon wattage size) in at least one-half of all permanent lighting fixtures installed by the builder. Examples of such bulbs are compact fluorescent bulbs, T-8 lamps, or the newer LED (light emitting diode) bulbs

Question No. 10
Are snow melt system controls required in the ECCCNYS and RCNYS for all buildings?

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Answer
Snow-and ice-melting systems, when provided, and when power is supplied from a building, shall include automatic controls capable of shutting off the system when the pavement temperature is above 50ºF and no precipitation is falling and an automatic or manual control that will allow shutoff when the outdoor temperature is above 40ºF. This is requirement is applicable for both Residential and Commercial buildings.

Answer
Class III vapor retarders are accepted in design, and climate conditions which are defined in the ECCCNYS-2010 and/or RCNYS. 2010. Research indicates that the use of flexible vapor retarders, rather than vapor barriers are more advantageous, allowing building insulation to “dry out” rather than using a very low perm rating barrier, which tend to trap moisture within the building cavity. This approach (as well as others contained here) has been vetted nationally by the ICC process. Polyethylene vapor retarders (which are actually vapor barriers) are seen as undesirable in today’s advanced construction techniques.
The code states that latex or enamel paint as the interior finish shall be considered a class III vapor retarder (class III defined as 1.0 < perm < 10 perm) which is now permitted to be the required vapor retarder in certain conditions, such as the use of a vented building cladding.

Question No. 12
Is there now a definition of 'Area Weighted Average' in Chapter 2 of the 2010 ECCCNYS?

Answer
Yes, as follows: AREA WEIGHTED AVERAGE. A mathematical technique for combining different amounts of various components, based on proportional relevance, into a single number. Weighted averaging may be used where there is more than one R-value for floor, wall, or ceiling insulation, or more than one U-factor for fenestration in a building. As an example, the area weighted average for window fenestration U-factors equals (Area 1 x U-factor 1) + (Area 2 x U-factor 2) + …/Total Area = maximum allowable fenestration U-factor. (See related sections 402.6 and 502.2.1 of the ECCCNYS-2010)

Question No. 13
Is a new pool installation regulated by the ECCCNYS-2010 and RCNYS-2010 for both commercial and residential installations?

Answer
Yes, pool heaters shall have an accessible manual on-off switch in addition to automatic controls, have no continuous natural gas pilot flames, and shall have automatic time switches to turn off pool heaters and pumps according to a preset schedule. Also heated pools shall be equipped with a vapor retardant pool cover on or at the water surface and if the water is heated to 90oF or more the pool cover shall have a minimum insulation value of R-12 (see exceptions for renewable fuel heated or electric pumping). This is now a requirement for both Residential and Commercial new pool installations. Refer to Sections 403.9 and 504.7 of the ECCCNYS-2010 and Sections 1103.8 of the RCNYS-2010

Question No. 14
A swimming pool has a pump for the filter and does not have a heater. Does the pump need a timer switch per section 403.9.2?

Answer
Whenever a swimming pool pump is present a timer switch is required. If a swimming pool heater is present a timer switch is required. It is not intended that these be required to be controlled by the same timer switch.

Question No. 15
Is there a requirement for automatic exterior commercial building lighting controls?

Answer
All exterior lighting, when not specifically exempted by the ECCCNYS-2010/ASHRAE 90.1-2007 must have automatic shutoff either when sufficient daylight is available or the lighting is no longer required to be operating during the night. Lighting designated for dusk-to-dawn operation therefore must be controlled by a photo sensor (daylight) or astronomical time switch (scheduling). ECCCNYS-2010, Section 505.5.1 describes the procedure for adding up the total connected interior lighting power in a building. ECCCNYS-2010 now includes a significant number of new exceptions. These exemptions, in language converging with ASHRAE 90.1-2007, are included. Refer to ECCCNYS-2010 and/or ASHRAE 90.1-2007, for specific exemptions.

Question No. 16
Does the ARRA require the New York State Energy Conservation Construction Code (the Energy Code) to be updated to certain codes or standards?

Answer
As stated in the introduction to this document, ARRA requires states that receive support to adopt building energy codes at least as stringent as the IECC 2009 for residential buildings and at least as stringent as ASHRAE 90.1-2007 for commercial buildings. The IECC 2009 and ASHRAE 90.1 documents have undergone development in a national, open consensus, expert review process. The ECCCNYS-2010 is at least as stringent as IECC 2009 for residential buildings and is at least as stringent as ASHRAE 90.1-2007 for commercial buildings and, accordingly, the ECCCNYS-2010 satisfies ARRA’s requirements. The ECCCNYS-2010 is now in effect as the Energy Code in New York State, with an effective date of December 28, 2010.

For More Information, Contact:
Joseph Hill, R.A.
Assistant Director for Energy Services
New York State Department of State Division of Building Standards and Codes
One Commerce Plaza, 99 Washington Avenue, Suite 1160, Albany, NY 12231
Phone: 518-474-4073
Fax: 518-474-5788

ENERGY

Frequently Asked Questions

January 2011

In response to inquiries on the 2010 ECCCNYS (and corresponding provisions in the RCNYS), the following questions and answers are presented to provide support and clarification.

New York Construction Law Manual Rubino

The Rubin Law Firm Ny

In response to inquiries on the 2010 ECCCNYS
(and corresponding provisions in the RCNYS),
the following questions and answers are presented to provide support and clarification.