01 77 00 Closeout Procedures.pdf

Vaults 60, 87 & ET Structural Repair and Grating Replacement

3930 CLOSEOUT PROCEDURES

REVISED 07/24/24 01 77 00 - 1

SECTION 01 77 00

CLOSEOUT PROCEDURES

PART 1 – GENERAL

1.01 SUMMARY

A. Section Includes: General procedures for closing out of the Contract and Contractor Maintenance of Record Documents.

B. Related Requirements:

1. Document 00 72 13, General Conditions – Construction Contract.

2. Document 00 73 13, Supplementary Conditions – Construction Contract.

1.02 SUBMITTALS

A. Informational Submittals:

1. Submit the following prior to application for final payment:

a. Evidence of compliance with requirements of governing authorities.

b. Record Documents: As required in General Conditions.

c. Special bonds, special guarantees, and service agreements.

d. Consent of Surety to Final Payment: As required in General Conditions.

e. Evidence of Payment to Subcontractors, Suppliers, and Materialmen, and releases or waivers of Liens and Claims: As required in General Conditions.

f. Releases from Agreements.

g. Final Application for Payment: Submit in accordance with procedures and requirements stated in Section 01 29 00, Payment Procedures.

1) Submit a final statement of accounting to the Owner.

a) Statement shall reflect all adjustments to the Contract Price indicated in the Agreement including Change Orders, allowances, adjustments to Unit Prices, deductions for uncorrected Work, deductions for liquidated damages, and other adjustments.

2) Submit final Contract Price as adjusted.

a) Indicate all previous progress payments approved and/or received.

b) Indicate sum remaining due for final payment.

B. MAINTENANCE MATERIAL SUBMITTALS

1. Spare Parts, Extra Stock Materials, and Tools: As required by individual specification sections.

1.03 SUBSTANTIAL COMPLETION

A. In accordance with the General Conditions.

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B. When the Contractor considers the Work to be Substantially Complete and ready for its intended use, Contractor shall submit to the Owner:

1. Written notice that the Work, or designated portion thereof, is Substantially Complete. Notice shall request an inspection by the Owner and Resident Project Representative to determine and validate status.

2. List of items to be completed or corrected.

C. Promptly thereafter, the Owner and Resident Project Representative will make an inspection to determine status of Completion.

D. Should the Owner determine that the Work is not Substantially Complete:

1. Owner will promptly notify the Contractor in writing, giving reasons therefor.

2. Contractor shall remedy deficiencies in the Work and send second written notice of Substantial

Completion to Owner requesting a re-inspection.

3. Owner and/or Resident Project Representative will re-inspect the Work to determine status of

Completion.

E. When the Owner determines that the Work is Substantially Complete, Owner will:

1. Prepare and review with the Resident Project Representative a Certificate of Substantial Completion with list (punch list) of items to be completed or corrected before Contractor submits Application for Final Payment.

2. After consideration of any revisions, the Owner will deliver to the Contractor a Certificate of Substantial Completion with list of items to be completed or corrected by the Contractor prior to requesting final payment.

3. Determine with Contractor division of responsibilities for such items as operation, safety, maintenance, heat, utilities, and insurance as may be applicable to the Work and document such on the Certificate of Substantial Completion.

F. Workflow for obtaining substantial completion certificate is provided as attachment to this specification.

1.04 WARRANTY CLOSE-OUT INSPECTION

A. Minimum of 60 days prior to the end of the 1-year warranty period, the Owner, Resident Project Representative, and Contractor shall conduct an inspection of the Work to determine items requiring repair prior to expiration of the 1-year warranty period.

B. Owner shall provide list of items requiring repair and date for completion of such repairs (with a copy to the Resident Project Representative) to the Contractor.

C. Contractor shall respond in writing to the Owner once repairs are completed in their entirety and state date of completion of such repairs. Failure by the Contractor to respond minimum of 15 days prior to expiration of warranty period could result in the Owner notifying the Contractor’s Surety of such default.

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1.05 RECORD DOCUMENTS

A. Quality Assurance:

1. Furnish qualified and experienced person, whose duty and responsibility shall be to maintain record documents.

2. Accuracy of Records:

a. Coordinate changes within record documents, making legible and accurate entries on each sheet of Drawings and other documents where such entry is required to show change.

b. Purpose of Project record documents is to document factual information regarding aspects of the Work, both concealed and visible, to enable future modification of the Work to proceed without lengthy and expensive Site measurement, investigation, and examination.

3. Make entries within 24 hours after receipt of information that a change in the Work has occurred.

4. Prior to submitting each request for progress payment, request Engineer’s review and approval of current status of record documents. Failure to properly maintain, update, and submit record documents may result in a deferral by Engineer to recommend whole or any part of Contractor’s Application for Payment, either partial or final.

1.06 RELEASES FROM AGREEMENTS

A. Furnish Owner written releases from property owners or public agencies where side agreements or special easements have been made, or where Contractor’s operations have not been kept within the Owner’s construction right-of-way.

B. In the event Contractor is unable to secure written releases:

1. Inform Owner of the reasons.

2. Owner or its representatives will examine the Site, and Owner will direct Contractor to complete the Work that may be necessary to satisfy terms of the side agreement or special easement.

3. Should Contractor refuse to perform this Work, Owner reserves right to have it done by separate contract and deduct cost of same from Contract Price or require Contractor to furnish a satisfactory bond in a sum to cover legal Claims for damages.

4. When Owner is satisfied that the Work has been completed in agreement with Contract Documents and terms of side agreement or special easement, right is reserved to waive requirement for written release if: (i) Contractor’s failure to obtain such statement is due to grantor’s refusal to sign, and this refusal is not based upon any legitimate Claims that Contractor has failed to fulfill terms of side agreement or special easement, or (ii) Contractor is unable to contact or has had undue hardship in contacting grantor.

PART 2 – PRODUCTS (NOT USED)

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PART 3 – EXECUTION

3.01 MAINTENANCE OF RECORD DOCUMENTS

A. General:

1. Promptly following commencement of Contract Times, secure from Engineer at no cost to Contractor, one complete set of Contract Documents. [Drawings will be full size.][Drawings may be submitted to Contractor in electronic format.]

2. Label or stamp each record document with title, “RECORD DOCUMENTS,” in large, neat, printed letters.

3. Record information concurrently with construction progress and within 24 hours after receipt of information that change has occurred. Do not cover or conceal Work until required information is recorded.

B. Preservation:

1. Maintain documents in a clean, dry, legible condition and in good order. Do not use record documents for construction purposes.

2. Make documents and Samples available at all times for observation by Engineer.

C. Making Entries on Drawings:

1. Using an erasable colored pencil (not ink or indelible pencil), clearly describe change by graphic line and note as required.

a. Color Coding:

1) Green when showing information deleted from Drawings.

2) Red when showing information added to Drawings.

3) Blue and circled in blue to show notes.

2. Date entries.

3. Call attention to entry by “cloud” drawn around area or areas affected.

4. Legibly mark to record actual changes made during construction, including, but not limited to:

a. Depths of various elements of foundation in relation to finished first floor data if not shown or where depth differs from that shown.

b. Horizontal and vertical locations of existing and new Underground Facilities and appurtenances, and other underground structures, equipment, or Work. Reference to at least two measurements to permanent surface improvements.

c. Location of internal utilities and appurtenances concealed in the construction referenced to visible and accessible features of the structure.

d. Locate existing facilities, piping, equipment, and items critical to the interface between existing physical conditions or construction and new construction.

e. Changes made by Addenda and Field Orders, Work Change Directive, Change Order, and Engineer’s written interpretation and clarification using consistent symbols for each and showing appropriate document tracking number.

5. Dimensions on Schematic Layouts: Show on record drawings, by dimension, the centerline of each run of items such as are described in previous subparagraph above.

a. Clearly identify the item by accurate note such as “cast-iron drain,” “galv. water,” and the like.

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b. Show, by symbol or note, vertical location of item (“under slab,” “in ceiling plenum,” “exposed,” and the like).

c. Make identification so descriptive that it may be related reliably to Specifications.

3.02 FINAL CLEANING

A. At completion of the Work or of a part thereof and immediately prior to Contractor’s request for certificate of Substantial Completion; or if no certificate is issued, immediately prior to Contractor’s notice of completion, clean entire Site, or parts thereof, as applicable.

1. Leave the Work and adjacent areas affected in a cleaned condition satisfactory to Owner and Engineer.

2. Remove grease, dirt, dust, paint or plaster splatter, stains, labels, fingerprints, and other foreign materials from exposed surfaces.

3. Repair, patch, and touch up marred surfaces to specified finish and match adjacent surfaces.

4. Clean all windows.

5. Clean and wax wood, vinyl, or painted floors.

6. Broom clean exterior paved driveways and parking areas.

7. Hose clean sidewalks, loading areas, and others contiguous with principal structures.

8. Rake clean all other surfaces.

9. Remove snow and ice from access to buildings.

10. Replace air-handling filters and clean ducts, blowers, and coils of ventilation units operated during construction.

11. Leave water courses, gutters, and ditches open and clean.

B. Use only cleaning materials recommended by manufacturer of surfaces to be cleaned.

3.03 FINAL INSPECTION

A. When Contractor considers the Work complete and ready for final inspection, they shall submit written notification that:

1. Contract Documents have been reviewed and complied with.

2. Work has been inspected by the Contractor for compliance with the Contract Documents.

3. Work has been completed in accordance with the Contract Documents.

4. Work is ready for a final inspection by Owner and Resident Project Representative.

5. Closeout and Project record documents are ready for review by Owner.

B. The Owner and Resident Project Representative will inspect to verify the status of completion with reasonable promptness after receipt of such notification.

C. Should the Owner consider the Work is incomplete or defective:

1. The Owner and/or Resident Project Representative will promptly notify the Contractor in writing, listing the deficiencies.

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2. Contractor shall take immediate steps to remedy the stated deficiencies and send a second written notification to the Owner that the Work is complete.

3. The Owner and/or Resident Project Representative will re-inspect the Work.

D. When the Owner finds the Work is acceptable under the requirements of the Contract Documents, they shall request the Contractor make submittal of closeout and Project record documents and a final statement of accounts.

3.04 FINAL APPLICATION FOR PAYMENT

A. Contractor shall submit the final Application for Payment in accordance with the procedures and requirements stated in the General Conditions and attach thereto any remaining closeout documents required by the Contract Documents, including a final statement listing subcontractors, suppliers, and other second-tier expenditures.

B. Should the Owner find the final Application for Payment and/or documents attached thereto inaccurate or incomplete they will be returned to the Contractor for re-accomplishment with a written list of discrepancies.

C. If, based on Resident Project Representative’s observation of the Work during construction, and the Owner’s review of the final Application for Payment, Owner is satisfied the Work is complete in its entirety, the Owner will:

1. Review and approve final Application for Payment within 10 days after receipt.

2. Make final payment within 30 days after approval of final Application for Payment.

3.05 ATTACHMENTS

A. Figure 1: Closeout Workflow

END OF SECTION

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Figure 1: Closeout Workflow

F. Workflow for obtaining substantial completion certificate is provided as attachment to this specification.

B. Use only cleaning materials recommended by manufacturer of surfaces to be cleaned.

D. When the Owner finds the Work is acceptable under the requirements of the Contract Documents, they shall request the Contractor make submittal of closeout and Project record documents and a final statement of accounts.