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Project Turnover

and Closeout
A Guide for Project Administration
Contents
Introduction to Project Turnover and Closeout......................3
Whos Involved in Project Turnover?........................................3
Whos Involved in Project Closeout?........................................3
Project Turnover..........................................................................5
Planning for Turnover..............................................................5
Identifying Stakeholders......................................................
Planning Pre!Turnover "ctivities...........................................
Processing Punch #ists and Conducting Ins$ections...............%
The Contractors Punch #ist and &e'uest for (inal
Ins$ection..........................................................................)*
The (inal Ins$ection...........................................................))
The (inal Ins$ection &ecord +"ssociates Punch #ist,.......)-
&esolution of Punch!#ist Ite.s...........................................)/
"$$roving Project &ecord 0elivera1les.................................)/
2Wages and 3ours4 "5davit.............................................)6
7uarantees and Warranties...............................................)6
8nsuring Site Cleanu$...........................................................)9
"cce$ting the (inished Project..............................................)9
Issuing the Certi:cate of Warranty Co..ence.ent.........)/
Issuing the Certi:cate of Co.$letion................................)9
;otifying Stakeholders......................................................)
Conducting Walk!Throughs................................................--
Providing Training and 0ocu.entation..............................--
Project Closeout.........................................................................-/
Closing Construction Contracts.............................................-
Processing a &econciliation Change <rder (or................-
"$$roving (inal Pay "$$lications= "5davits=
and &eleases of &etainage................................................-
Closing 0esign Contracts......................................................-9
Checking "ssociate 0elivera1les.......................................-%
&econciling (ees and 8>$enses.........................................-%
"$$roving the "ssociates (inal Pay "$$lication................3-
Forwarding Project Records...........................................................................25
Project Turnover and Closeout February 2003 Page 1
Figures
) &ecord of (inal Ins$ection +"ssociates Punch #ist,
- Certi:cate of Warranty Co..ence.ent
3 Certi:cate of Contract Co.$letion
/ Change <rder (or. for &econciliation
5 ".end.ent for Contract Closeout
Chart
) Process (lo? for Project Turnover
- Process (lo? for Project Closeout
Page 2 February 2003 Project Turnover and Closeout
Introduction to Project
Turnover and Closeout
Project turnover and $roject closeout are distinct 1ut closely
related $hases of $roject ad.inistration.
Turnover enco.$asses all the activities involved in a
$rojects transition fro. construction or renovation to
occu$ancy and use. "t $roject turnover= the @niversity
acce$ts the co.$leted $roject fro. the Contractor and
for.ally assu.es the res$onsi1ilities of o?nershi$.
Closeout refers to the activities involved in ter.inating the
$rojects construction and design contracts= transferring
infor.ation to the $roject "ccountant for :nancial closeout=
and archiving all $roject records.
This cha$ter descri1es $roject ad.inistration activities
during $roject turnover and closeout.
Whos Involved in Project
Turnover?
@niversitys Construction Aanage.ent and the Project
"d.inistrator
"ssociate "rchitectB8ngineer +"B8,= if the $roject has one
Construction Contractors
8nd usersBoccu$ants
Co..issioning "gent fro. @C (acilities Aanage.ent=
and other (acilities re$resentatives as re'uired
@C Infor.ation Technology +@Cit,
@C Pu1lic Safety
Whos Involved in Project
Closeout?
@niversitys Construction Aanage.ent and the Project
"d.inistrator
The assigned Project "ccountant
"ssociate "rchitectB8ngineer +"B8,= if the $roject has one
Project Turnover and Closeout February 2003 Page 3
Construction Contractors
0ocu.ent Control
Co..issioning "gent fro. @C (acilities Aanage.ent=
and other (acilities re$resentatives as re'uired
Page 4 February 2003 Project Turnover and Closeout
Project Turnover
OutcomeThe @niversity has acce$ted the :nished $roject fro. the
construction contractors. " Certi:cate of Co.$letion has
1een issued. The @niversity has assu.ed the
res$onsi1ilities of .aintenance= security= and insurance for
the ne? or renovated facility= ?hich is ready to 1e occu$ied.
In the Project Turnover $hase= the Contractor $resents the
:nished $roject to the @niversity. When the Contractor has
ful:lled all re'uire.ents of the contract docu.ents= the
@niversity acce$ts the ?ork.
The @niversitys and "ssociate "rchitects +if a$$lica1le,
activities in this $hase include the follo?ingC
). Planning for $roject turnover=
-. Processing $unch lists and conducting ins$ections=
3. "$$roving $roject record delivera1les=
/. 8nsuring site cleanu$ 1y the contractor= and
5. "cce$ting the :nished $roject.
The follo?ing sections $resent details of each of the a1ove
activities. Chart ) sho?s the $rocess Do? for $roject
turnover.
Planning for Turnover
;ot all $roject turnover activities take $lace at or near the
end of the $roject. Certain as$ects of turnover can 1e
$lanned even ?hen the $roject is just getting started. The
Project "d.inistrator and tea. should identify and involve
all .ajor stakeholders ?ithin the @niversity as early in the
$roject as $ossi1le. This a$$roach enhances the
stakeholders o$$ortunity to contri1ute to a s.ooth
turnover.
The siEe= co.$le>ity= and $ur$ose of a ne? or renovated
facility ?ill deter.ine ?ho the stakeholders are and ?hat
the s$eci:c turnover $rocedures ?ill 1e. In $articular= the
turnover $rocess for a ca$ital $roject is likely to diFer fro.
that of a renovation $roject.
Project Turnover and Closeout February 2003 Page 5
Project Turnover and Closeout February 2003 Page 6
1. Plan for
turnover
Identify
stakeholders and
contact people
Yes
2. Process punch
lists and conduct
inspections
Contractor submits
punch list, request
for final inspection,
and project record
deliverables
Is project
ready for
final
inspection?
N
o
AssociateProject
Administrator,
contacts establish
project!specific
turnover
procedures
Design "acilities contacts
revie#
$%& complete
construction
documents
as appropriate
Construction
Associate or
Project
Administrator
conducts final
inspection
Contractor
completes #ork
and resubmits
punch list,
request for
final inspection
Turnover and
Acceptance
Associate or
Project
Administrator
prepares punch list
"acilities contacts,
maintenance
personnel observe
construction at
various sta'es
3. Approve project
record deliverables
Contractor submits
any outstandin'
project record
deliverables
Associate andor
Project
Administrator and
"acilities
(ana'ement
approve project
record deliverables
4. )nsure site
cleanup
Contractor cleans
#ork site to
*niversity+s
standards
Associate andor
Project
Administrator and
"acilites
(ana'ement
evaluate, approve
site cleanup
5. Accept the
finished project
Associate or
Project
Administrator
issues Certificate
of Completion,
*niversity accepts
project
"acilities
(ana'ement
vie#s completed
project and
receives project
record deliverables
Project
Administrator
issues copies of
completion notice
to "acilities,
-isk (ana'ement,
Public .afety
"acilities assumes
maintenance,
Public .afety
assumes security
responsibilities
Project
Administrator
notifies occupants
of completion
/ccupancyuse
can be'in
Contractor
terminates liability
insurance,
*niversity
assumes liability
covera'e
Contractor
arran'es trainin'
on systems,
equipment for
"acilities
(ana'ement,
end users
Contractor
corrects
punch!list
deficiencies
0#ithin 12 days3
Chart 1: Process Flow for Project Turnover
Identifying Stakeholders
<ther than Construction Aanage.ent and the future
occu$ants= @niversity stakeholders in a construction $roject
usually include (acilities Aanage.ent= Pu1lic Safety= @Cit=
and other @niversity de$art.ents as a$$ro$riate. (or each
$roject= the Project "d.inistrator and tea. .ust deter.ine
?hich functions need to 1eco.e involved. The ta1le 1elo?
sho?s so.e $ossi1le $artici$ants in $roject turnover +the
list is not all!inclusive,.
Facilities
Management
???.uc.eduBfac.g.t
Pulic Safety
???.uc.eduB$u1saf
ety B
!Cit
???.ucit.uc.edu
"thers
Maintenance and
"#erations
GCar$entry
GPainting
G8lectrical
GPlu.1ing
G3H"C
G8levators
G7rounds
GAaintenance
$ousekee#ing
!tilities I
Parking
Services
Security
Fire Protection
%etwork and
Telecommunica
tions
Services
&
'lectronic
Classroom
Planning and
Su##ort
Services
&
$ousing and Food
Services
+???-.uc.eduBhousing,
'nvironmental
$ealth and Safety
+htt$CBBehs-.uc.eduB,
G #a1 e>haust
controls
G Indoor air
'uality
G 3aEardous
.aterials
.anage.ent
+che.icals
controlJ
tracking=
storage= and
contain.ent,
(adiation Safety
")ce
+http://www.uc.edu/radsafety/,
Project Turnover and Closeout February 2003 Page 7
I
See the su$$le.ental to$ic 2@nderground and Concealed @tilities4 for additional infor.ation
a1out Construction Aanage.ents interactions ?ith this de$art.ent.
K
See the su$$le.ental to$ic 2@Cit and Construction Aanage.ent Project Procedures4 for
additional infor.ation a1out Construction Aanage.ents interactions ?ith this de$art.ent.
Page 8 February 2003 Project Turnover and Closeout
Planning Pre*Turnover +ctivities
#isted 1elo? are so.e e>a.$les of turnover!related
activities that can 1e $lanned early in the $rojectC
,uring Program Statement: 7ain agree.ent on
$roject co..unication $rocedures= $articularly for.al
noti:cations fro. Construction Aanage.ent to
stakeholders
,uring ,esign: 3ave disci$line contacts in (acilities
Aanage.ent and other de$art.ents revie? %5L
co.$lete construction docu.ents
-efore Construction: Aake $rovisions to ensure that
1uilding e'ui$.ent used 1y contractors during
construction is .aintained
-efore Construction: Sti$ulate that startu$ and
co..issioning 1e in accordance ?ith the @niversitys
Design Guidance: Commissioning docu.ent
,uring Construction: Seek consultation and in$ut as
needed fro. stakeholdersJ arrange for disci$line
contacts in (acilities Aanage.ent to o1serve
construction in $rogressJ conduct co..issioning tests
and activities as re'uired 1y a $rojects Co..issioning
Plan
-efore turnover: 0istri1ute $roject docu.entation +for
e>a.$le= <MA .anuals and as!1uilt dra?ings, for
stakeholder revie? as a$$ro$riate
-efore turnover: Schedule (acilities Aanage.ents
ins$ection of $roject co.$onents and syste.s as
re'uired +$articularly any ele.ents that ?ill undergo
co..issioning,
-efore turnover: "rrange for the Contractor to return
all keys as $art of $roject closeout
-efore turnover: Work ?ith contractors= the "ssociate=
and stakeholders to develo$ $rocedures for addressing
de:ciencies andBor ?arranty issues
The ne>t section $resents turnover activities that take $lace
late in the Construction $hase.
Processing Punch Lists
and Conducting Inspections
Project Turnover and Closeout February 2003 Page 9
"s construction nears its end= the Contractor initiates the
activities that ?ill lead to the @niversitys acce$tance of the
$roject. Pri.e contractors and "ssociate "rchitects +or the
Project "d.inistrator acting as the "rchitect, have s$eci:c
res$onsi1ilities in the Contract 0ocu.ents for $re$aring
and res$onding to $unch lists.
The Contractor.s Punch /ist and
(e0uest for Final Ins#ection
#ate in construction= each $ri.e Contractor develo$s a
$unch list of ite.s kno?n to 1e inco.$lete or to need
correction. When ?ork on the $unch list is at least %*
$ercent co.$lete= the Contractor can su1.it the $unch list
and re'uest a :nal ins$ection. The $unch list should
$rovide e>$ected co.$letion dates for any un:nished
ite.s.
If the $roject has a lead Contractor= its re$resentative
collects all $unch lists and su1.its the. to the "ssociate
+or Project "d.inistrator= de$ending on the $roject,. If
there is no lead Contractor= each $ri.e Contractor .ust
deliver its $unch list to the "ssociate or Project
"d.inistrator.
"long ?ith the $unch list+s,= the lead Contractor or $ri.e
Contractor su1.its the follo?ing ite.s to the "ssociateC
" letter re'uesting :nal ins$ection of the ?ork
Project record docu.ents= including 1ut not li.ited toC
"#eration and maintenance 1"2M3 manuals
1four sets3 for .ajor syste.s. The .anuals .ust 1e
organiEed in 1inders ?ith identifying covers for easy
use.
+s*uilt drawings accurately re$resenting the
:nished construction and sho?ing the locations of any
concealed utilities= syste.s= or co.$onents. The
"ssociate or Project "d.inistrator ?ill use the as!1uilt
dra?ings to revise the original contract dra?ings. The
revisions then 1eco.e the $rojects 0ra?ings of
&ecord.
(e0uired certi4cates and a##rovals= as availa1le
at the ti.e of the :nal ins$ection re'uest. These
include 1ut are not li.ited to the Certi4cate of
"ccu#ancy issued 1y the <hio 0e$art.ent of
Co..erce= 0ivision of Industrial Co.$lianceJ
Page 10 February 2003 Project Turnover and Closeout
ins#ection certi4cates for any syste.s that re'uire
the. +e.g.= $ressure $i$ing= $lu.1ing= elevators=
electrical syste.s,J and the State Fire Marshal.s
a##roval of the :re su$$ression syste.. <nce all
these ins$ections have 1een co.$leted= the State
$erfor.s a general ins$ection.
5uarantees and warranties issued in the
@niversitys na.e as re'uired 1y the Contract
0ocu.ents. +See the section 27uarantees and
Warranties4 in this cha$ter for s$eci:c re'uire.ents.,
Commissioning documentation as re'uired 1y a
$rojects Co..issioning Plan for co..issioned
$rojects and syste.s.
" current list of names6 addresses6 and
tele#hone numers for all contractors=
su1contractors= and su$$liers= including infor.ation
for after!hours contact.
+)davits attesting that the Contractor has $aid all
su1contractors and .aterial su$$liers= and has
co.$lied ?ith <hios 2Wages and 3ours on Pu1lic
Works4 la? +<&C /))5,. +See the section 2"$$roving
Project &ecord 0elivera1les4 in this cha$ter for
s$eci:c re'uire.ents.,
Certi4ed 4nal #ayroll re#orts de.onstrating that
the Contractors e.$loyees have 1een $aid for their
?ork.
Note: Project record delivera1les that are re'uired 1y the
eneral Conditions +Contract for Construction, .ust 1e
$rovided in electronic for.at on a C0!&<A.
The $rojects s$eci:c Contract 0ocu.ents .ay re'uire the
su1.ission of additional $roject record delivera1les.
Note: So.e $roject record delivera1les .ay not 1e availa1le at
the ti.e of the :nal ins$ection re'uest. 3o?ever= all
delivera1les .ust 1e a$$roved 1efore the @niversity ?ill
issue the Contractors :nal $ay.ent= retainage= or
Certi:cate of Co.$letion. See the section 2!pproving
Project "ecord #elivera$les4 for .ore infor.ation.
The Contractor ?ill continue ?orking on inco.$lete ite.s
?hile a?aiting the :nal ins$ection.
The Final Ins#ection
Project Turnover and Closeout February 2003 Page 11
Within days of receiving the Contractors $unch list and
re'uest= the "ssociate or Project "d.inistrator deter.ines
?hether the $roject is ready for :nal ins$ection. The
"ssociateBProject "d.inistrators assess.ent of $rogress
+fro. ongoing :eld o1servation, and the level of
co.$leteness reDected on the $unch list ?ill factor into this
deter.ination.
If the "ssociate or Project "d.inistrator judges the ?ork to
1e insu5ciently co.$lete for ins$ection +for e>a.$le= if a
.ajor syste. is not :nished,= he or she noti:es the
Contractor 1y letter. The Contractor ?ill resu1.it the
re'uest= $unch list= and docu.entation after 1ringing ?ork
to the re'uired co.$letion level.
Nefore conducting a :nal ins$ection= the "ssociate or
Project "d.inistrator infor.s the Contractor of the
ins$ection date and ti.e. The @niversity also .ust 1e
noti:ed.
The Final Ins#ection (ecord
1+ssociate.s Punch /ist3
0uring the :nal ins$ection= the "ssociate or Project
"d.inistrator deter.ines ?hether the Contractors ?ork
.eets the re'uire.ents esta1lished in the Contract
0ocu.ents.
"fter ins$ecting the ?ork= the "ssociate or Project
"d.inistrator $re$ares the &ecord of (inal Ins$ection of the
Contractors Work
+(igure ),. This for.= also called the "ssociates $unch list=
docu.ents the "ssociate or Project "d.inistrators
o1servations on the co.$leteness and 'uality of the ?ork
as ?ell as the status of other delivera1les. The :nal
ins$ection record .ust 1e $rovided to the Contractor not
later than 3 days after the :nal ins$ection date.
Note: The "ssociates :nal $unch list also serves to docu.ent
the eventual turnover fro. Construction Aanage.ent to
(acilities Aanage.ent. See the section 2Providing
Training and #ocumentation4 in this cha$ter.
Page 12 February 2003 Project Turnover and Closeout
Project Turnover and Closeout February 2003 Page 13
Division of the Universit Architect
Depart!ent of Construction "anage!ent
P# $o% 21&1'1
Cincinnati( #hio 45221)&1'1
Project No45
%&'''
Contractor5
()C* Inc+

Project Name5
,mart "esidence -all !ddition

*+C#*D #, ,-.A/ -.0P+CT-#. #, T1+ C#.T*ACT#*20 3#*4
"or use by the Associate accordin' to Article 62 of the 7eneral Conditions4
"inal Inspection Attendees5

. ames /no0* ()C Inc+
)rian /ing* C+P+ . ones 1 !ssociates
!nnmarie Thurn2uist* 3niversit4 of Cincinnati

Contractor+s list of incomplete or deficient items associated #ith the #ork 8ate to be Completed
Install correct tile in east restroom 5% !ugust &%%&
Install splashguards $ehind counters in 6itchen 5% !ugust &%%&
Complete all sodding and landscaping 5' !ugust &%%&
Note of any deficiency in Contractor+s Project -ecord 8ocument .ubmittals5

O17 7anuals for the heating and cooling s4stems are incomplete
Need 8nal* certi8ed pa4roll reports
Need contact information for all su$contractors* manufacturers and suppliers
Note of any deficiency in Contractor+s As 9uilt 8ra#in' .ubmittal5

!s9$uilt dra:ing pac6age needs Contractors signature and date

Note of any deficiency in :arranties required by the Contract 8ocuments5

None
Note of the quality of final cleanin' performed by Contractor5

;inal cleaning to $e performed $4 5' !ugust &%%&
Associate notes5

Contractor to correct all a$ove9noted de8ciencies $4 5' !ugust &%%&
.ubmitted by5

Nrian #. Oing
6% ;uly <22<
Associate 8ate
,igure 15 *ecord of ,inal -nspection 6Associate7s Punch /ist8
(esolution of Punch*/ist Items
Within 3* days of receiving the :nal ins$ection record= the
Contractor .ust resolve all outstanding $unch!list ite.s or
re'uest additional ti.e to co.$lete $unch!list ?ork. "ny
re'uest for a ti.e e>tension .ust 1e ade'uately justi:ed to
the "ssociate and the @niversity.
So.eti.es ?eather conditions $revent the co.$letion of
?ork. In such a case= the @niversity .ay allo? the
Contractor to delay co.$letion until site conditions
i.$rove. @nder the 7eneral Conditions= if co.$letion ?ere
deferred= the @niversity ?ould 1e authoriEed to deduct t?o
ti.es the cost of any deferred ?ork fro. the Contractors
$ay.ent until the Contractor co.$leted the ?ork.
The 7eneral Conditions s$ecify re.edies the @niversity .ay
take if a Contractor does not ful:ll all contract o1ligations.
They includeC
3iring other contractors or consultants to :nish or
correct the ?ork= and deducting the cost fro. the
delin'uent Contractors $ayJ andBor
0e.anding $ay.ent fro. the delin'uent Contractors
surety if the a.ount o?ed the Contractor is less than the
cost of the ?ork.
!pproving Project "ecord
#elivera$les
Net?een the :nal ins$ection and the agreed!u$on contract
co.$letion date= the Contractor ?orks to co.$lete any
un:nished ite.s of ?ork. 0uring this ti.e the Contractor
.ust also :nish any inco.$lete $roject record delivera1les=
as cited in the :nal ins$ectionB$unch list= and su1.it the.
to the "ssociate or Project "d.inistrator for a$$roval. The
@niversitys (acilities Aanage.ent de$art.ent should also
1e involved in revie?ing and a$$roving these docu.ents.
The @niversity ?ill not issue a Certi:cate of Co.$letion=
issue the Contractors :nal $ay.ent= or release retainage
until all $roject record delivera1les have 1een a$$roved.
Note: The co.$lete list of $roject record delivera1les re'uired
fro. the Contractor a$$ears under 2Processing Punch
Lists and Conducting Inspections4 in this cha$ter.
Page 14 February 2003 Project Turnover and Closeout
The follo?ing su1sections $resent s$eci:c infor.ation the
"ssociate or Project "d.inistrator needs to kno? a1out
a$$roving certain $roject record delivera1les.
Project Turnover and Closeout February 2003 Page 15
78ages and $ours9 +)davit
8ach Contractor .ust include a signed and notariEed
2"5davit of Contractor4 ?ith its :nal $ay a$$lication. In
signing the a5davit= the Contractor attests that its
su1contractors and .aterial su$$liers have 1een $aid in
full= and that the Contractor= su1contractors= and su$$liers
all have co.$lied ?ith <&C /))5 +2Wages and 3ours on
Pu1lic Works4,.
The @niversitys <5ce of Contract Co.$liance revie?s the
Contractors a5davit and :nal $ay a$$lication 1efore :nal
$ay.ent is .ade.
Note: "ny Contractor kno?n to have violated $revailing ?age la?
.ust not receive $ay.ent until any $ay.ents or $enalties
associated ?ith the violation have 1een $aid in full. If a
Project "d.inistrator receives notice that a Contractor has
violated this la?= the Project "d.inistrator should not
a$$rove the $ay a$$lication and should notify the Project
"ccountant and the @C <5ce of Contract Co.$liance.
5uarantees and 8arranties
The guarantee that the @niversity re'uires of all Contractors
contains t?o .ajor sti$ulationsC
Work .ust confor. to the standards esta1lished in the
Contract 0ocu.ents= and
Work .ust 1e free of any defects in ?ork.anshi$=
.aterials= or e'ui$.ent.
The @niversity re'uires the guarantee to 1e in eFect for at
least ) year. 3o?ever= the Certi:cate of Contract
Co.$letion issue date is not necessarily the start of the
?arranty $eriod. Warranties .ust 1egin as soon as there is
any @niversity occu$ancy of the facility or use of
e'ui$.ent= including any occu$ancy or use that 1egins
1efore contract co.$letion. So.e $rojects have longer
guarantee $eriods s$eci:ed in the Contract 0ocu.ents.
The Contractor .ust .aintain a 1ond for the duration of the
guarantee $eriod.
Page 16 February 2003 Project Turnover and Closeout
"rticle )).3 of the 7eneral Conditions descri1es the rights
the @niversity ?ill e>ercise should any defects 1eco.e
a$$arent during the ?arranty $eriod.
See 2Issuing the Certi:cate of Warranty Co..ence.ent4 in
this cha$ter for further infor.ation.
Project Turnover and Closeout February 2003 Page 17
<nsuring ,ite Cleanup
The $roject cannot 1e acce$ted until the ?ork site has 1een
cleaned to the @niversitys satisfaction. In general=
contractors are re'uired to re.ove all ?ork!related ?aste
and de1ris fro. the site and to return all unaFected
$ro$erty to its original condition. The "ssociate or Project
"d.inistrator .ust not issue a Certi:cate of Contract
Co.$letion ?ithout verifying that the site cleanu$ .eets
the @niversitys standards. (acilities Aanage.ent should
also 1e involved in assessing the cleanu$.
"rticle ))./ of the 7eneral Conditions $resents the
@niversitys site cleanu$ re'uire.ents in detail.
If t?o or .ore contractors disagree as to ?hich contractor
1ears res$onsi1ility for any $art of site cleanu$= the
@niversity can hire a diFerent contractor or a $rofessional
cleaning service to $erfor. the ?ork. This additional cost
?ould then 1e deducted fro. the :nal $ay.ents due any
contractors ?ho did not ful:ll their contractual o1ligation to
clean the site.
!ccepting the ;inished Project
Issuing the Certi4cate of
8arranty Commencement
" Certi:cate of Warranty Co..ence.ent +(igure -, is
re'uired for all .aterials and e'ui$.ent that are su1ject to
?arranty. The "ssociate initiates a Certi:cate of Warranty
Co..ence.ent to esta1lish the date ?arranty coverage
1egins for a syste. or $iece of e'ui$.ent. The Contractor
and the "ssociate sign the certi:cate= and the "ssociate
$resents it to the @niversity for a$$roval.
Issuing the Certi4cate of Com#letion
When all ?ork ite.s noted on the "ssociates $unch list
have 1een co.$leted and all $roject record delivera1les
have 1een a$$roved= the "ssociate initiates the Certi:cate
of Contract Co.$letion +(igure 3,. The Contractor and the
"ssociate sign the certi:cate= and the "ssociate $resents it
to the @niversity for a$$roval. Ny signing this docu.ent=
Page 18 February 2003 Project Turnover and Closeout
the Project "d.inistrator certi:es the @niversitys
acce$tance of the $roject.
Project Turnover and Closeout February 2003 Page 19
Project Turnover and Closeout February 2003 Page 20

Division of the Universit Architect
Depart!ent of Construction "anage!ent
P# $o% 21&1'1
Cincinnati( #hio 45221)&1'1



Project No45 %&'''

Project Name5 ,mart "esidence -all !ddition

Contractor5 ()C* Inc+

C+*T-,-CAT-#. #, 3A**A.T9 C#""+.C+"+.T
8escribe the )quipment or (aterials to be accepted5

-(!C s4stem
=ist of incompletedeficient items associated #ith )quipment or (aterials

O17 7anual
Contact information for manufacturer

8ate to be Completed


5' !ugust &%%&
.tatement of the terms associated #ith acceptance, i4e4, testin', maintenance, cleanin', etc45

Limited occupanc4 $egins ' !ugust &%%&+
Warrant4 $egins ' !ugust &%%&+
,easonal testing to $e performed over ne0t 5& months+
-ecord of Inspection 0Associate andor *niversity notes35

;unctional tests O/* = !ugust &%%&+

>he undersi'ned certifies that the #arranty complies #ith
the requirements of the Contract 8ocuments4

J ames D. Knox % "ug -**-
Contractor 8ate
Approval


Nrian#. Oing % "ug-**-
Associate 8ate
/#ner ackno#led'ement of receipt of #arranty, operatin' manual, etc4, associated #ith acceptance of )quipment or
(aterial4

"nn.arieP. Thurn'uist
% "ug -**-
*niversity 8ate
Certification of Warranty Commencement.doc Rev. 2/2

,igure 25 Certificate of 3arrant Co!!ence!ent
Project Turnover and Closeout February 2003 Page 21
,igure 35 Certificate of Contract Co!pletion

Division of the Universit Architect
Depart!ent of Construction "anage!ent
P# $o% 21&1'1
Cincinnati( #hio 45221)&1'1
Project No45
%&'''

Project Name5
,mart "esidence -all !ddition

Contractor5
()C* Inc+

C+*T-,-CAT-#. #, C#.T*ACT C#"P/+T-#.
>he undersi'ned certifies that all the Contractor+s :ork is 622 percent complete, #ith
e?ception of the belo# noted deficiencies, and the Contractor has complied #ith all
conditions precedent to final payment and release of retaina'e4 :hen upon "inal
Inspection, items of :ork cannot be completed because of seasonal conditions approved
by the Associate and the *niversity, such as bituminous pavin', landscapin', etc4, and if
the *niversity a'rees that a particular item need not be completed until a subsequent date,
the *niversity may release payment to the Contractor less t#o 0<3 times the cost of
completin' the remainin' :ork4
8ate to be Completed
No de8ciencies remain> :or6 is 5%%? complete+

J ames D. Knox 21 August 2002
Contractor 8ate
:e, the undersi'ned, to'ether #ith a representative of the Contractor employed for the e?ecution of the #ork, have
inspected the #ork included in the captioned contract, prior to the date of this certificate, and hereby certify that all #ork
on the contract has been completed in accordance #ith the requirements of the 8ra#in's, .pecifications, and other
Contract 8ocuments, and accordin'ly recommend that the #ork included on said contract be accepted4

Nrian#. Oing

-)"ugust -**-

Associate 8ate
"inal Acceptance of Project
+nnmarieP: Thurn0uist ;1 +ugust ;<<;
*niversity 8ate
,igure 35 Certificate of Contract Co!pletion
%otifying Stakeholders
In acce$ting the $roject= the @niversity assu.es the
res$onsi1ilities of o?nershi$= including .aintenance=
security= and lia1ility $rotection. The @C de$art.ents
res$onsi1le for these functions .ust 1e noti:ed of the
acce$tance. " co$y of the Certi:cate of Contract
Co.$letion should 1e sent to the 1uildings future
occu$ants and to the @niversitys (acilities Aanage.ent=
Pu1lic Safety= and &isk Aanage.ent de$art.ents= at a
.ini.u.. ;oti:cation of other @C de$art.ents should
$roceed according to the turnover $lan that ?as esta1lished
at the 1eginning of the $roject.
Conducting 8alk*Throughs
The Project "d.inistrator should schedule an infor.ational
?alk!through of the co.$leted $roject ?ith (acilities
Aanage.ent $ersonnel. In addition= the occu$ants should
have an o$$ortunity to ?alk through the ne? facility 1efore
.oving in. Walk!throughs .ay also 1e scheduled for other
@C de$art.ents as ?arranted.
Providing Training and ,ocumentation
The Contract 0ocu.ents .ay call for Contractors to $rovide
orientation and training on s$eci:c syste.s +e.g.= electrical=
.echanical= and $lu.1ing, for the res$onsi1le (acilities
Aanage.ent $ersonnel and end users. Training 1y
Contractors is often negotiated into contracts on $rojects
that ?ill undergo co..issioning. The Project "d.inistrator
should ?ork ?ith Contractors and (acilities Aanage.ent as
re'uired to schedule this training 1efore occu$ancy 1egins=
if $ossi1le.
(acilities Aanage.ent also re'uires co$ies of .uch of the
$roject record docu.entation. The Project "d.inistrator
should ensure that (acilities Aanage.ent receives= at a
.ini.u.= co$ies of the follo?ing docu.entsC
State Certi:cate of <ccu$ancy.
"ll state ins$ection certi:cates.
"ny records of early acce$tance for $arts of the facility=
as a$$lica1le.
Page 22 February 2003 Project Turnover and Closeout
Warranties and guarantees +(acilities Aanage.ent in
turn ?ill $rovide this infor.ation to its Work Control
0e$art.ent Phttp://www.uc.edu/facmgmt/maint.aspQ= ?hich ?ill
assu.e res$onsi1ility for .anaging the ?arranties after
turnover,.
"ssociates :nal $unch list +&ecord of (inal Ins$ection,=
?hich serves to docu.ent the turnover fro.
Construction Aanage.ent to (acilities Aanage.ent.
<ne set each of Project &ecord 0ra?ings= s$eci:cations=
and sho$ dra?ings. +These docu.ents should 1e
$rovided to (acilities Aanage.ent at the ti.e the
Contractor su1.its the. to the "ssociate. The "ssociate
.ay re'uire a signi:cant a.ount of ti.e to $re$are the
Project &ecord 0ocu.ents= and (acilities Aanage.ent
.ay need a $reli.inary co$y during that $eriod.,
<ne co.$lete set of <$eration and Aaintenance
Aanuals.
" list of na.es= addresses= and tele$hone nu.1ers for
all contractors= su1contractors= and su$$liers= including
after!hours contact infor.ation.
Co..issioning docu.entation and re$orts= as
a$$lica1le.
Project Turnover and Closeout February 2003 Page 23
Project Closeout
Outcome The $rojects design and construction contracts have
1een closed= and $roject records have 1een for?arded for
archiving and :nancial closeout.
<nce the @niversity has acce$ted the $roject and a
Certi:cate of Contract Co.$letion has 1een signed= the
"ssociate= Project "d.inistrator= and "ccountant ?ork
together to .ove the $roject out of 2active4 status. Project
closeout includes the follo?ing activitiesC
). Closing construction contracts=
-. Closing design contracts= and
3. (or?arding $roject records for :nancial closeout and
archiving.
Chart - on the follo?ing $age sho?s the $rocess Do? for
$roject closeout.
Note: The infor.ation in this cha$ter descri1es Construction
Aanage.ents activities in closing $rojects. " future
cha$ter ?ill $resent the ste$s involved in :nancial closeout.
Page 24 February 2003 Project Turnover and Closeout
Project Turnover and Closeout February 2003 Page 25
1. Close
construction
contracts
2. Close
desi'n
contracts
Associate or
Project
Administrator
processes
reconciliation
Chan'e /rder to
close contract
Contractor
requests final
payment, release
of retaina'e
Project
Administrator
approves request
and authori@es
payment
Project
Administrator
authori@es release
of contractor+s
retaina'e,
if applicable
Associate submits
contract
deliverables
Project
Administrator,
Associate
reconcile Chan'e
/rder fees,
reimbursable
e?penses
*niversity amends
Professional
8esi'n .ervices
A'reement,
if necessary
Associate submits
final payment
request
Project
Administrator
approves request
and authori@es
payment
3. Provide project
records to
Accountant
Project
Administrator
for#ards final pay
applications to
Accountant 0for
contractors,
Associate3
Project
Administrator
notifies
Accountant that
Purchase /rders
can be closed
Project
Administrator
provides project
files to Accountant
for stora'e 0hard
copy or electronic3
Project
Administrator
provides copies of
project documents
to 8ocument
Control
Chart 25 Process ,lo: for Project Closeout
Closing Construction Contracts
"ll construction contracts .ust 1e closed at the end of a
$roject. The "ssociate or Project "d.inistrator starts the
closeout $rocess 1y co.$leting a reconciliation Change
<rder (or..
Processing a (econciliation Change
"rder Form
"n e>a.$le of a co.$leted Change <rder (or. for contract
closeout a$$ears on the ne>t $age as (igure /. The
$ur$ose of the reconciliation Change <rder is usually to
deduct unused funds fro. the contract. +See the
Su$$le.ental To$ic 2(ollo?ing the Change <rder Process4
for additional infor.ation on $rocessing change orders.,
+##roving Final Pay +##lications6
+)davits6
and (eleases of (etainage
Contracts cannot 1e closed until all Contractors :nal $ay
a$$lications +and Contractor a5davits attesting to <&C
/))5 co.$liance, have 1een a$$roved. +Contractors
su1.it their a5davits ?ith the $roject record delivera1les in
connection ?ith $roject acce$tance. See the sections
2Processing Punch #ists and Conducting Ins$ections4 and
2"$$roving Project &ecord 0elivera1les4 in this cha$ter.,
Co.$anies that had escro? agree.ents ?ill also re'uest
release of their retainage.
Project "d.inistrators should evaluate and a$$rove all
outstanding $ay re'uests as 'uickly as $ossi1le and for?ard
the. to the Project "ccountant for $ay.ent and release.
+See 2(or?arding Project &ecords4 later in this cha$ter for
further infor.ation.,
The cha$ter 2Aanaging the Construction Phase4 $resents
co.$lete instructions for evaluating and a$$roving
Contractor $ay a$$lications.
Project Turnover and Closeout February 2003 Page 27

Project Turnover and Closeout February 2003 Page 28
Figure =: Change "rder Form for (econciliation
A88 0:hite paper only3 8)8*C> 07oldenrod or Yello# paper only3
*C Purchase /rder No4 Contract 8ays Chan'ed
Chan'e /rder No4 -evised Completion 8ate5
>ype of Contract5 Check -eason f or Chan'e /rder /ri'inal Contract .um A
)rror/mission Net Chan'e by Previous C4/4s A
Project No45 "ield Condition Contract .um Prior to this C4/4 A
"ield 8ispute .ettlement >otal Cost of this C4/4 A
Project Name5 /#ner -equest N): C/N>-AC> .*( A
Balue )n'ineerin'
/ther5 Close contract
Contractor+s Proposal 8ated5 .;A >otal Cost A
8escription ;ustification 0Add more pa'es if necessary3
>he terms and conditions of this Chan'e /rder, includin' the cost and time contained herein, constitute a full accord and
complete satisfaction for all costs and time of performance related to the #ork described or referenced herein, includin'
but not limited to, all delay and impact costs for the entire Project resultin' from this Chan'e /rder4 )?cept as amended herein,
all provisions of the Contract remain in full force and effect4
C#.T*ACT#*20 ACC+PTA.C+ A00#C-AT+20 *+C#""+.DAT-#.
.a!e < Address5 .a!e < Address5
B9C, Inc C4P4 ;ones C Associates
6D<2 Chestnut .treet $$$$ (ason!(ont'omery -d4, .uite <2A
Cincinnati, /E D%<2< Cincinnati, /E D%<D<
J ames D. Knox
BrianL. King
Contractor .i'nature 8ate Associate .i'nature 8ate
C1A.=+ #*D+* APP*#>+D
6>endor cannot invoice until receipt of Universit approved for! A)?&& @Cancellation or Change #rder@.8
Dee! "nder#e
"nn.arie P. Thurn'uist
.r4 .taff )n'ineer .i'nature 8ate Project (ana'er 8ate
*econciliation
12!Au'!2< 12!Au'!2<
12!Au'!2< 12!Au'!2<
#2AAA
0!art *esidence 1all Addition
1&2
.;A
.;A
=eneral
Cincinnati( #hio 45221)&1'1
C1A.=+ #*D+*
'&&(&&&.&&
B
PC&2C)&&'&&
Division of the Universit Architect
Depart!ent of Construction "anage!ent
P# $o% 21&1'1
'&&(&&&.&&
61(45&.&&8
61(45&.&&8
CA'(55&.&&
Closing #esign Contracts
"fter ?orking ?ith the "ssociate to close out construction
contracts= the Project "d.inistrator 1egins the $rocess of
closing the "ssociates contract as ?ell as any design
consultant agree.ents.
Nefore a design contract can 1e closed= the Project
"d.inistrator .ust verify that the "ssociate or consultant
has su1.itted all contract delivera1lesJ .eet ?ith the
"ssociate to reconcile fees and rei.1ursa1le e>$ensesJ and
a$$rove the :nal $ay a$$lication.
Checking +ssociate ,eliverales
The "ssociate ?ill have $resented .any of its delivera1les
during acce$tance. "t $roject closeout= the Project
"d.inistrator .ust con:r. that "ssociate has $rovided the
follo?ingC
Project &ecord 0ra?ings +as u$dated fro. the
Contractors 2as!1uilt4 dra?ing su1.ittals,
"ssociate!a$$roved <MA Aanuals
"ssociate!a$$roved guarantees and ?arranties
Co..issioning docu.entation as a$$lica1le
Note: <n $rojects that do not use an "ssociate "B8= the
delivera1les listed a1ove .ust 1e a$$roved 1y the $rojects
internal design $rofessional or e>ternal design consultant=
as a$$lica1le.
(econciling Fees and '>#enses
Nefore closing out the contract= the Project "d.inistrator
.eets ?ith the "ssociate +or design consultant, to reconcile
the Change <rder fees and rei.1ursa1le e>$enses
associated ?ith the $roject. If outstanding fees or e>$enses
cause the contract total to increase= the Project
"d.inistrator .ust co.$lete and $rocess a contract
".end.ent +(igure 5, to adjust the contract 1efore closing
it.
".end.ents to design contracts also re'uire co.$letion of
1oth the "!6** (or. +to re$ort the change to @niversity
Project Turnover and Closeout February 2003 Page 29
Purchasing, and the "!%)* (or.. See the Su$$le.ental
To$ic 2(ollo?ing the Change <rder Process4 for co.$lete
instructions on $rocessing ".end.ents and Change
<rders.
Page 30 February 2003 Project Turnover and Closeout
Project Turnover and Closeout February 2003 Page 31
,igure 55 A!end!ent for Contract Closeout
Amendment Number: 02999-004

!he origina" #rchitect$s #greement e%ecuted on March 29, 2002
&etween the 'niversity of Cincinnati( the )wner( and C.P. Jones & Associates, Inc. ,
the #rchitect( is here&y amended as a resu"t of additiona" services on the fo""owing project:

Project No. 02999

Project Name Smart Residence Hall Addition

#rtic"e *( #rchitect$s +ervices( sha"" &e amended to inc"ude the fo""owing scope of wor, as part of
the #rchitect$s professiona" services:

!A" amendment is #or Associate$s reim%&rsa%le e'(enses inc&rred in A&)&st

#rtic"e 5( -asis of Compensation( sha"" &e amended as fo""ows:

Total add to contract amount for this Amendment $ *+,.00
.-hree h&ndred se.ent/-ei)ht /o""ars and 0ero /* Cents0

Compensation +ummary:

)rigina" Contract 1 12,000.00
Previous #mendments 1 3,,10.00
!his #mendment 1 *+,.00
!ota" Current Contract #mount 1 1,,22,.00

#"" other terms of the #greement sha"" remain as written.

23 W2!34++ W54R4)F( the parties hereto have agreed and hereunto set their hands on this date
*0 A&)&st 2002 ( the 'niversity of Cincinnati signing and sea"ing these
presents through its authori6ed signature:

#RC52!4C! '3274R+2!8 )F C23C233#!2

3ame of Firm:

C.P Jones and Associates


-y: Nrian#. Oing -y:


!it"e: Architect !it"e: 4C Contractin) 5##icer

/ate: *0 A&)&st 2002 /ate:

+##roving the +ssociate.s Final Pay
+##lication
The Project "d.inistrator .ust check and a$$rove the
"ssociates :nal $ay re'uest as soon as $ossi1le and
for?ard it to the Project "ccountant for $ay.ent and
release.
;or:arding Project "ecords
The Project "ccountant needs the follo?ing infor.ation
fro. the Project "d.inistrator to co.$lete the $rojects
:nancial closeoutC
(inal= a$$roved $ay a$$lications for all construction
Contractors
(inal= a$$roved $ay a$$lication for the "ssociate= if
a$$lica1le
;oti:cation to close out Purchase <rders fro. any ter.
contractors or vendors +the "ccountant ?ill notify
Purchasing,.
"t closeout the "ccountant also archives the $roject :les.
The Project "d.inistrator $rovides all $roject records to the
"ccountant in either hard!co$y or electronic +<nNase
docu.ent i.aging syste., for.at.
The @niversity "rchitect 0ivisions goal is to have all
$rojects archived in the <nNase syste..
The Project "d.inistrator also $rovides the follo?ing
docu.ents to the Construction Aanage.ent 0ocu.ent
Control CenterC
<MA Aanuals
Project &ecord 0ra?ings
S$eci:cations
Sho$ dra?ings
Page 32 February 2003 Project Turnover and Closeout

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