Construction Contract Administration

Here's a somewhat older specification section that we used to use for the close out requirements. It would need updating to modern practice and your own practice. For example, we had some clients still stuck in paper documents and drawings, so those had to be annotated. CAD/D or BIM files should be modified and bubbled to include every ASI, change order, RFI, etc. because those tend to get lost and all we see is an obscure reference to an ASI or RFI number on the drawing but no idea what it was. 

Next, we told the contractor at the preconstruction meeting that we wanted a copy of all final approved submittals- CD or whatever mode you use for any electronic material, the physical samples if those were submitted. We wanted to make sure that even if an on-line document management systems was being used, we wanted a copy of every submittal downloaded.

Last, depending upon what software you are using for your specifications, if you work ahead and set up the use of certain terms- close out, extra materials, warranties, etc.- within the specs, you should be able to do a search of the document and find all of the sections and all of the requirements that you can then put into your own list.  This list should correspond to a list of submittals that the contractor is supposed to provide under the General Conditions, but it's a good check.

------------------------------
Arlen Solochek, FAIA
Owner/Principal/Founder
Arlen Solochek FAIA, Consulting Architect
Phoenix, AZ
ArlenSolochek@gmail.com
------------------------------

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA

Thank you so much for the info that you shared. Much appreciated.

------------------------------
Navaz Fouladzari AIA
Stantec
Burnaby BC
------------------------------

Original Message:
Sent: 08-26-2024 09:40 PM
From: Arlen M. Solochek FAIA
Subject: Close out documents Checklist

Here's a somewhat older specification section that we used to use for the close out requirements. It would need updating to modern practice and your own practice. For example, we had some clients still stuck in paper documents and drawings, so those had to be annotated. CAD/D or BIM files should be modified and bubbled to include every ASI, change order, RFI, etc. because those tend to get lost and all we see is an obscure reference to an ASI or RFI number on the drawing but no idea what it was. 

Next, we told the contractor at the preconstruction meeting that we wanted a copy of all final approved submittals- CD or whatever mode you use for any electronic material, the physical samples if those were submitted. We wanted to make sure that even if an on-line document management systems was being used, we wanted a copy of every submittal downloaded.

Last, depending upon what software you are using for your specifications, if you work ahead and set up the use of certain terms- close out, extra materials, warranties, etc.- within the specs, you should be able to do a search of the document and find all of the sections and all of the requirements that you can then put into your own list.  This list should correspond to a list of submittals that the contractor is supposed to provide under the General Conditions, but it's a good check.

------------------------------
Arlen Solochek, FAIA
Owner/Principal/Founder
Arlen Solochek FAIA, Consulting Architect
Phoenix, AZ
ArlenSolochek@gmail.com

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA

I haven't used Masterson for some time, but they used to have a 'tool' that would search all files in a folder and report the file / spec section number, name, and the text of the "submittals" paragraph. I think they used hidden codes in the file or some other macro search method. quite useful

------------------------------
Joel Niemi AIA
Joel Niemi Architect
Snohomish, WA
------------------------------

Original Message:
Sent: 08-26-2024 09:40 PM
From: Arlen Solochek
Subject: Close out documents Checklist

Here's a somewhat older specification section that we used to use for the close out requirements. It would need updating to modern practice and your own practice. For example, we had some clients still stuck in paper documents and drawings, so those had to be annotated. CAD/D or BIM files should be modified and bubbled to include every ASI, change order, RFI, etc. because those tend to get lost and all we see is an obscure reference to an ASI or RFI number on the drawing but no idea what it was. 

Next, we told the contractor at the preconstruction meeting that we wanted a copy of all final approved submittals- CD or whatever mode you use for any electronic material, the physical samples if those were submitted. We wanted to make sure that even if an on-line document management systems was being used, we wanted a copy of every submittal downloaded.

Last, depending upon what software you are using for your specifications, if you work ahead and set up the use of certain terms- close out, extra materials, warranties, etc.- within the specs, you should be able to do a search of the document and find all of the sections and all of the requirements that you can then put into your own list.  This list should correspond to a list of submittals that the contractor is supposed to provide under the General Conditions, but it's a good check.

------------------------------
Arlen Solochek, FAIA
Owner/Principal/Founder
Arlen Solochek FAIA, Consulting Architect
Phoenix, AZ
ArlenSolochek@gmail.com

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA

Here is a non-spec section list. It can be used in a letter to the GC/CM or put in spec. 

Closeout Check list

1.       Certificate of Occupancy

a.       Temporary C of O - Date

b.       Permanent C of O - Date

 

2.       Substantial Completion Certificate

a.       Interior design team punch list

                                       i.            Final date of complete punch list

b.       Punch List completion verification (value of incomplete items to be included on SC)

                                       i.            Final date of completed punch list

                                     ii.            __ days to complete Punch List/Completion list

c.       List of incomplete / added scope

                                       i.            Date of completion

                                     ii.            Value of scope

d.       Transfer of Utilities

                                       i.            Water - Date

                                     ii.            Gas - Date

                                   iii.            Electrical - Date

 

3.       Final Completion Procedures

a.       CO review / final cost review

b.       Final Application of Payment

c.       Certificate of Insurance

                                       i.            Bond release forms -

d.       Warranties & Closeout submittals (Need to determine date of completion ???)

                                       i.            Warranty submittals/letters per required divisions

1.       Pest control, HVAC, roofing, etc….

                                     ii.            As-Builts

                                   iii.            O&M's

                                   iv.            Owner training (Pond, HVAC, lighting controls, AV, etc..)

                                     v.            Attic stock (Transmittals)

                                   vi.            TAB reports

                                  vii.            USB closeout package from GC

e.       AIA Close-Out Documents

                                       i.            G706 - Contractor's Affidavit of Payment of Debts & Claims

                                     ii.            G706A – Contractor's Affidavit of Release of Liens

                                   iii.            G707 – Consent of Surety to Final Payment

 

4.       Final Completion form or letter (signed by all parties if nec.)

------------------------------
David Heuring, AIA, CCCA, NCARB. Architect, Partner
RDG Schutte Wilscam Birge, Inc.
Omaha, NE - Ft. Myers Beach, FL
------------------------------

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari AIA
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA

Here is a general check list that we use during close-out:

Substantial Completion:

• Written notice 
• Punchlist
• List of items not yet in conformance with the Contract Documents
• Written Acceptance with date of Substantial Completion
• Two (2) preliminary copies of the "Operation and Maintenance Manuals" Record as built drawings
• Record Project Manual
• Two (2) preliminary copies of the "Warranties Manuals" Releases enabling Owner's full and unrestricted use of the Work and access
• Complete operation testing of systems, and general operating and maintenance instructions
• Record of Training Sessions: written documentation
• Video Tape Record: provide Owner's Representative with four (4) copies

Final Acceptance:

• Certificate of Occupancy
• Final Application for Payment Copy of A/E's final punch list Deliver tools, spare parts, and extra stock of materials to Owner; with itemized list
• Record as built drawings
• Record Project Manual
• Specifications (as built)Record Addenda
• Record Change Orders
• Record RFI's
• Record Substitutions
• Miscellaneous record submittals
• Record samples
• "Mechanical Operation & Maintenance Manuals"
• "Electrical Operation & Maintenance Manuals"
• "Elevators Operation & Maintenance Manuals"
• "Materials, Equipment and Finishes Manuals"
• "Warranties Manuals"
• New keys to Owner
• Return loaned construction keys
• Submit signed off permits including, plumbing, electrical and building

------------------------------
Tyler Schaffer AIA
LMN Architects
Mukilteo WA
------------------------------

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari AIA
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA

That's a good list.  I'd add two items to the list for Substantial Completion:

1. Copy of Certificate of Occupancy by the AHJ without any substantial limits.  Without that, you can't occupy and use the project which is the definition of Substantial Completion.
2. Copy of acceptable test and balance report (not just the first one that often has some problems in the HVAC system).  T&B typically is one of the last things done and often lags.  Without an acceptable T&B, your users may not be able to comfortably occupy the project, or you may not be getting the code required fresh air make up, or worst case like in a science lab, the ventilation may not be working properly and you may actually have an unsafe situation during occupancy. 

------------------------------
Arlen Solochek, FAIA
Owner/Principal/Founder
Arlen Solochek FAIA, Consulting Architect
Phoenix, AZ
ArlenSolochek@gmail.com
------------------------------

Original Message:
Sent: 09-09-2024 12:00 PM
From: Tyler Schaffer
Subject: Close out documents Checklist

Here is a general check list that we use during close-out:

Substantial Completion:

• Written notice 
• Punchlist
• List of items not yet in conformance with the Contract Documents
• Written Acceptance with date of Substantial Completion
• Two (2) preliminary copies of the "Operation and Maintenance Manuals" Record as built drawings
• Record Project Manual
• Two (2) preliminary copies of the "Warranties Manuals" Releases enabling Owner's full and unrestricted use of the Work and access
• Complete operation testing of systems, and general operating and maintenance instructions
• Record of Training Sessions: written documentation
• Video Tape Record: provide Owner's Representative with four (4) copies

Final Acceptance:

• Certificate of Occupancy
• Final Application for Payment Copy of A/E's final punch list Deliver tools, spare parts, and extra stock of materials to Owner; with itemized list
• Record as built drawings
• Record Project Manual
• Specifications (as built)Record Addenda
• Record Change Orders
• Record RFI's
• Record Substitutions
• Miscellaneous record submittals
• Record samples
• "Mechanical Operation & Maintenance Manuals"
• "Electrical Operation & Maintenance Manuals"
• "Elevators Operation & Maintenance Manuals"
• "Materials, Equipment and Finishes Manuals"
• "Warranties Manuals"
• New keys to Owner
• Return loaned construction keys
• Submit signed off permits including, plumbing, electrical and building

------------------------------
Tyler Schaffer AIA
LMN Architects
Mukilteo WA

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari AIA
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA

You should make sure this is all included in the project manual, so the GC is aware of what you will be looking for.  Verify that if you did have it in the project manual that it was not taken out during the negotiation of the contract between the Owner and GC.

------------------------------
Rollin Hansen AIA
PQRS-LLC
Rock Hill SC
------------------------------

Original Message:
Sent: 09-09-2024 12:16 PM
From: Arlen Solochek
Subject: Close out documents Checklist

That's a good list.  I'd add two items to the list for Substantial Completion:

1. Copy of Certificate of Occupancy by the AHJ without any substantial limits.  Without that, you can't occupy and use the project which is the definition of Substantial Completion.
2. Copy of acceptable test and balance report (not just the first one that often has some problems in the HVAC system).  T&B typically is one of the last things done and often lags.  Without an acceptable T&B, your users may not be able to comfortably occupy the project, or you may not be getting the code required fresh air make up, or worst case like in a science lab, the ventilation may not be working properly and you may actually have an unsafe situation during occupancy. 

------------------------------
Arlen Solochek, FAIA
Owner/Principal/Founder
Arlen Solochek FAIA, Consulting Architect
Phoenix, AZ
ArlenSolochek@gmail.com

Original Message:
Sent: 09-09-2024 12:00 PM
From: Tyler Schaffer
Subject: Close out documents Checklist

Here is a general check list that we use during close-out:

Substantial Completion:

• Written notice 
• Punchlist
• List of items not yet in conformance with the Contract Documents
• Written Acceptance with date of Substantial Completion
• Two (2) preliminary copies of the "Operation and Maintenance Manuals" Record as built drawings
• Record Project Manual
• Two (2) preliminary copies of the "Warranties Manuals" Releases enabling Owner's full and unrestricted use of the Work and access
• Complete operation testing of systems, and general operating and maintenance instructions
• Record of Training Sessions: written documentation
• Video Tape Record: provide Owner's Representative with four (4) copies

Final Acceptance:

• Certificate of Occupancy
• Final Application for Payment Copy of A/E's final punch list Deliver tools, spare parts, and extra stock of materials to Owner; with itemized list
• Record as built drawings
• Record Project Manual
• Specifications (as built)Record Addenda
• Record Change Orders
• Record RFI's
• Record Substitutions
• Miscellaneous record submittals
• Record samples
• "Mechanical Operation & Maintenance Manuals"
• "Electrical Operation & Maintenance Manuals"
• "Elevators Operation & Maintenance Manuals"
• "Materials, Equipment and Finishes Manuals"
• "Warranties Manuals"
• New keys to Owner
• Return loaned construction keys
• Submit signed off permits including, plumbing, electrical and building

------------------------------
Tyler Schaffer AIA
LMN Architects
Mukilteo WA

Original Message:
Sent: 08-23-2024 01:57 AM
From: Navaz Fouladzari AIA
Subject: Close out documents Checklist

Hi everyone

Does anyone have a checklist for the documents needed for closeout?

Please share any sources regarding this.

Thank you so much for your attention and participation.

Navaz Fouladzari

MArch, Architect OAA, AIBC, AIA, MRAIC, MRIBA