POLICY: Owner’s Closeout Manual

PURPOSE: To provide documentation relative to the project for proper operation, maintenance, and record keeping.


NOTE: This file should be turned over to the Owner no later than thirty (30) days after Certificates of Occupancy are obtained.


1. At the beginning of the project, the Project Manager will set up the close out files to meet the requirements of the Project Documents and this policy.

2. The files should be set up in triplicate (minimum).

3. The files will be in three ring “D” type binders of high quality with full view sleeves both on the end and the side covers of the notebook.

4. In addition to the hard copies, the files should be put on a disk for easy distribution.

5. The files are to be completed as the project progresses to avoid unnecessary work at project completion.

6. The files should be broken into four (4) distinct parts as follows: 1. Project Occupancy Information and Certifications: Close Out-Part 1

2. Project Submittal Files: Close Out-Part 2 3. Operating, Maintenance, and Project Information: Close Out-Part 3 4. Warranty and Lien Release Information: Close Out-Part 4 5. As-Built Drawings: Close Out-Part 5

6. PART 1

Project occupancy information and certification will include all critical documentation required for the Owner to take possession of the building. This file will be transmitted to the Owner once Carter & Carter obtains the final Certificate of Occupancy.

The file should include the following:

Part 1 Index:

A. Certificate(s) of Occupancy

B. Certificate(s) of Substantial Completion

C. Elevator operational permit and certificates

D. Final inspections and sign offs:

1. Building Inspector 2. Fire Marshal 3. Mechanical Inspector 4. Plumbing Inspector 5. Electrical Inspector 6. Site/Environmental Inspector

E. Fire alarm certificates

F. Fire sprinkler certificate

G. Emergency instructions and phone numbers

H. Subcontractor/Vendor Directory

7.* PART 2*
A. Project submittal files will include all clearly labeled and organized approved submittals.

B. The file should be tabbed according to division and spec section.

C. The file will include an index to match the tabs.

8. PART 3

A. Project close out files will include manufacturer’s instructions, manuals for operation, and maintenance of equipment such as elevators, air handling units, chillers, generators, etc.

B. The manuals must be originals (no copies).

C. This file should be appropriately tabbed in order of division and specification section with a detailed index at the front of the book.

D. Documentation of our training with the owner should be included in each section with the appropriate equipment manual.

9. PART 4

A. Warranty and Lien Release information will include the General Contractor’s One Year Warranty statement, the Subcontractor’s Warranty statement, the General Contractor’s Lien Release, and the Subcontractor’s Lien Release.

(NOTE: Project Manager, as part of the Owner’s Closeout Meeting, should thoroughly review with the Owner all warranties they will be responsible for completing.)

10. PART 5

A. As-built drawings should be prepared in accordance with the Contract Documents for the project.

B. As-built drawings should always be prepared in a neat and legible manner.


A. It is the Project Manager’s responsibility to convey Carter & Carter’s expectations relative to close out early in the project to ensure that it happens in an orderly fashion.

B. Materials submitted for use in close outs should be original and top quality. It is the responsibility of the Project Manager to ensure the subcontractor submits materials meeting our requirements. No payments are to be made until this condition is met.

C. The close out documents should be essentially complete by the time the owner occupies the building with only minor work required to complete the turnover within the requirement of this policy.


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