+---
+title: Closeout Procedures
+category: General Requirements
+toc_depth: 3
+description: >
+ When to use: administrative and procedural requirements for taking any project
+ (commercial, institutional, industrial, healthcare, education, multi-family) from
+ substantial completion through final completion and contract release - substantial
+ completion inspection and certification, punch list preparation and resolution,
+ final cleaning, record document compilation, attic stock delivery, owner
+ demonstration and training, certificate of occupancy and permit closeout, final
+ payment application, lien waivers, affidavits, and surety consent.
+ Not intended for: operation and maintenance manual content (use
+ sync/operation-and-maintenance-data); warranty periods and bond forms (use
+ sync/warranties-and-bonds); functional performance testing and systems
+ verification (use sync/commissioning); shop-drawing and quality-control submittal
+ workflows (use sync/submittal-and-quality-procedures); progress documentation and
+ field reports during construction (use sync/construction-progress-documentation);
+ inspection and testing programs during construction (use sync/quality-requirements).
+---
+
+# Scope {toc}
+
+## This standard governs the administrative and procedural requirements for closing out a construction contract, from the Contractor's request for substantial completion inspection through final payment and contract release.
+
+## The requirements herein apply to the Contractor, all subcontractors, and all suppliers as directed through the Contract Documents.
+
+## Closeout is the controlled transfer of a finished, documented, and operable facility from the Contractor to the Owner; its purpose is to fix the legally significant dates, verify that the Work is complete and corrected, and assemble the records the Owner needs to operate and protect the facility. {note}
+
+## The date of substantial completion is the single most legally significant date in the contract: it starts the warranty and correction-period clocks, starts the statute of repose, triggers retainage reduction, transfers insurance and utility responsibility, and stops liquidated damages. For that reason this standard defines it quantitatively rather than by feel. {note}
+
+## This standard covers procedure and sequencing. The content of the deliverables that closeout packages - O&M data, warranties and bonds, and commissioning records - is governed by the standards cross-referenced below, and is incorporated here by reference rather than restated. {note}
+
+## Where this standard conflicts with a jurisdictional requirement (building code, certificate of occupancy, statutory lien or retainage law), the jurisdictional requirement governs. {note}
+
+# Referenced Standards {toc}
+
+## Work and deliverables under this standard shall comply with the latest adopted edition of each of the following unless a specific edition is cited.
+
+## Where referenced standards or forms conflict, the more stringent requirement shall govern unless the Engineer of Record or Owner directs otherwise in writing.
+
+| Standard | Title |
+|----------|-------|
+| AIA A201-2017 | General Conditions of the Contract for Construction (Sections 9.8, 9.10, 12.2) |
+| AIA G704-2017 | Certificate of Substantial Completion |
+| AIA G706-1994 | Contractor's Affidavit of Payment of Debts and Claims |
+| AIA G706A-1994 | Contractor's Affidavit of Release of Liens |
+| AIA G707-1994 | Consent of Surety to Final Payment |
+| AIA G734-2019 | Certificate of Substantial Completion, Design-Build |
+| IBC Section 111 | Certificate of Occupancy |
+| ASTM E1971 | Standard Guide for Stewardship for the Cleaning of Commercial and Institutional Buildings |
+
+## Forms equivalent to the AIA documents above may be substituted where the Owner's contract uses a different document family, provided the substitute captures the same certifications. {note}
+
+# Definitions {toc}
+
+## Substantial Completion is the stage at which the Work, or a designated portion, is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or use the facility for its intended purpose. {note}
+
+## Final Completion is the stage at which all Work, including correction of every punch list item and submission of every closeout deliverable, has been completed and accepted, allowing release of final payment and retainage. {note}
+
+## The Punch List is the itemized record of incomplete or deficient Work observed at the substantial completion inspection that must be corrected before final completion. {note}
+
+## Attic Stock (spare materials) is the surplus quantity of installed materials - flooring, ceiling tile, paint, filters, and similar - delivered to the Owner at closeout for future maintenance and repair. {note}
+
+## Record Documents (as-builts) are the marked-up and redrawn drawings, specifications, and product data reflecting the Work as actually constructed, including all changes from the Contract Documents. {note}
+
+# Substantial Completion {toc}
+
+## The Contractor shall request a substantial completion inspection only after the Work, or the designated portion, has reached the minimum completion percentage and satisfied every readiness condition specified in the datasheets below.
+
+## A vague threshold ("essentially complete," "nearly done") is the most common source of closeout disputes because it leaves the warranty, retainage, and damages clocks ambiguous; the quantitative readiness criteria below remove that ambiguity. {note}
+
+## Prior to requesting inspection, the Contractor shall conduct its own pre-inspection walk with all responsible subcontractors.
+
+## The Contractor shall correct all deficiencies identified on the pre-inspection walk before submitting the request for inspection.
+
+## The Contractor shall not request the formal inspection until a certificate of occupancy (or certificate of completion for non-occupiable structures) has been obtained or is being issued concurrently.
+
+## The Contractor shall submit, with the request for inspection, a Contractor-prepared preliminary list of items remaining to be completed or corrected.
+
+### Substantial completion readiness
+
+```datasheet
+label: Minimum work completion before substantial completion inspection
+type: range
+unit: "%"
+min: 95
+max: 100
+step: 1
+default: 97
+```
+
+```datasheet
+label: Conditions required before inspection request
+type: checkbox
+options:
+ - All life-safety systems operational and inspected
+ - All MEP systems started, tested, and in service
+ - Certificate of occupancy obtained or concurrent
+ - Permanent power energized
+ - Contractor pre-inspection walk completed
+ - Contractor preliminary punch list submitted
+default:
+ - All life-safety systems operational and inspected
+ - All MEP systems started, tested, and in service
+ - Certificate of occupancy obtained or concurrent
+ - Permanent power energized
+ - Contractor pre-inspection walk completed
+ - Contractor preliminary punch list submitted
+```
+
+## Upon receipt of the request, the Architect shall inspect the Work to determine whether it is substantially complete.
+
+## When the Architect finds the Work substantially complete, the Architect shall prepare a Certificate of Substantial Completion (AIA G704, or G734 on a design-build project) establishing the date of substantial completion.
+
+## The Certificate shall fix responsibility for security, maintenance, heat, utilities, damage to the Work, and insurance for the period between substantial completion and final payment.
+
+## The date of substantial completion stated on the Certificate shall be the date from which the one-year correction period and all product warranty periods run, unless a specific warranty states otherwise.
+
+## Tying every warranty to a single, certificate-fixed date prevents the common dispute where each subcontractor claims a different start date for its warranty. Extended product warranties are coordinated through [[sync/warranties-and-bonds]]. {note}
+
+# Phased and Sectional Closeout {toc}
+
+## Where the Contract Documents permit phased occupancy, a separate Certificate of Substantial Completion shall be issued for each phase or building section placed into service.
+
+## Each phase shall have its own punch list, its own record document set for that scope, and its own lien waivers covering the Work in that phase.
+
+## Phasing without per-phase lien waivers leaves the early-occupied phases exposed to liens for months after the Owner has taken beneficial use; per-phase waivers close that exposure as each phase is accepted. {note}
+
+## A partial certificate of occupancy shall be obtained for each occupiable phase in accordance with IBC Section 111.3 before the Owner takes beneficial occupancy of that phase.
+
+### Closeout configuration
+
+```datasheet
+label: Closeout delivery model
+type: select
+options:
+ - Prime-contractor-led (single closeout package)
+ - Construction manager at-risk (unified trade-package package)
+ - Design-build (single-entity, G734)
+ - Phased / sectional (per-phase certificates)
+default: Prime-contractor-led (single closeout package)
+```
+
+```datasheet
+label: Phased occupancy permitted
+type: radio
+options:
+ - "No - single substantial completion"
+ - "Yes - separate certificate per phase"
+default: "No - single substantial completion"
+```
+
+# Punch List {toc}
+
+## The punch list shall be produced by a joint walkthrough of the Architect, the Contractor, and the Owner's representative, building on the Contractor's pre-submitted preliminary list.
+
+## A joint walkthrough avoids the two failure modes of one-sided lists: an Architect-only list bloated with items the Contractor considers complete, and a Contractor-only list that omits deficiencies the Owner cares about. {note}
+
+## Each punch list item shall be indexed by location (room, floor, or zone) and by responsible subcontractor.
+
+## Each punch list item shall describe the deficiency specifically enough that completion can be objectively verified.
+
+## The punch list shall be frozen at issuance of the Certificate of Substantial Completion.
+
+## Items discovered after the punch list is frozen are not punch list items; they are latent defects handled under the correction period and warranty per [[sync/warranties-and-bonds]]. {note}
+
+## Freezing the list prevents "punch list creep," in which the Owner or Architect continues appending new items indefinitely and final completion never arrives. {note}
+
+## The Contractor shall complete and correct all punch list items within the contract-defined resolution period after the punch list is issued at the Certificate of Substantial Completion.
+
+## The Contractor shall notify the Architect when all punch list items are complete and shall request a back-check inspection.
+
+## The Architect shall verify each item and shall either accept it or return it as not corrected; returned items shall be re-corrected and re-inspected.
+
+### Punch list parameters
+
+```datasheet
+label: Punch list resolution period after punch list issuance
+type: range
+unit: days
+min: 14
+max: 90
+step: 1
+default: 30
+```
+
+```datasheet
+label: Punch list preparation method
+type: select
+options:
+ - Joint walkthrough (Architect, Contractor, Owner)
+ - Contractor prepares; Architect verifies
+ - Architect prepares; Contractor responds
+default: Joint walkthrough (Architect, Contractor, Owner)
+```
+
+```datasheet
+label: Punch list primary index
+type: radio
+options:
+ - Location (room / floor / zone)
+ - Responsible subcontractor
+ - Both location and subcontractor
+default: Both location and subcontractor
+```
+
+# Final Cleaning {toc}
+
+## The Contractor shall perform final cleaning of the entire Work prior to the substantial completion inspection.
+
+## Final cleaning shall be performed to the standard of care described in ASTM E1971, supplemented by the specific scope defined in the Contract Documents.
+
+## Where the adequacy of final cleaning is disputed, the Architect shall determine acceptance.
+
+## ASTM E1971 is a stewardship guide that establishes the method and level of care; it does not function as a stand-alone pass/fail acceptance criterion, which is why Architect determination governs disputes. {note}
+
+## Final cleaning shall include removal of all temporary protection, labels (other than required permanent labels), construction debris, and stains from all surfaces.
+
+## On a project pursuing green-building certification, the Contractor shall perform the enhanced cleaning and indoor-air-quality flush-out or testing required by the certification program and shall document compliance in the closeout package.
+
+## Indoor-air-quality flush-out and construction IAQ management documentation is a closeout deliverable that is frequently lost because it is assumed to belong to commissioning; assign it explicitly here and coordinate with [[sync/commissioning]]. {note}
+
+### Final cleaning scope
+
+```datasheet
+label: Final cleaning standard
+type: select
+options:
+ - Standard contract cleaning (ASTM E1971)
+ - Enhanced / green-building cleaning
+ - Healthcare terminal clean
+default: Standard contract cleaning (ASTM E1971)
+```
+
+```datasheet
+label: Indoor-air-quality flush-out or testing required
+type: radio
+options:
+ - Not required
+ - Flush-out before occupancy
+ - Air testing before occupancy
+default: Not required
+```
+
+# Record Documents {toc}
+
+## The Contractor shall maintain, at the project site throughout construction, a clean set of record documents on which all changes from the Contract Documents are marked as the Work proceeds.
+
+## Maintaining markups continuously during construction is the difference between accurate record drawings and a guess assembled at closeout from memory; ongoing markup requirements are reinforced in [[sync/construction-progress-documentation]]. {note}
+
+## The Contractor shall record all field changes, including changed locations, dimensions, routing, concealed conditions, and substituted products.
+
+## At closeout the Contractor shall deliver record drawings, record specifications, and record product data in the format required by the Contract Documents.
+
+## Redline PDF record markups shall be acceptable as an interim deliverable at substantial completion where final CAD or BIM record documents are required.
+
+## Final record drawings shall be delivered within the contract-defined period after final completion.
+
+### Record document format
+
+```datasheet
+label: Final record drawing format
+type: select
+options:
+ - Redline PDF (marked prints)
+ - CAD (DWG / DXF)
+ - Updated BIM model
+ - GIS layer
+default: CAD (DWG / DXF)
+```
+
+```datasheet
+label: Record drawing delivery period after final completion
+type: range
+unit: days
+min: 14
+max: 90
+step: 1
+default: 60
+```
+
+```datasheet
+label: Party responsible for redrawn record drawings
+type: radio
+options:
+ - Contractor incorporates markups
+ - Architect/Engineer incorporates Contractor markups
+default: Contractor incorporates markups
+```
+
+# Attic Stock and Spare Parts {toc}
+
+## The Contractor shall deliver to the Owner the spare materials (attic stock) specified for each product, in original unopened packaging, to the location designated by the Owner.
+
+## Attic stock is routinely missed because the closeout section says "provide attic stock" while the individual product sections omit quantities; this standard sets default quantities by material type so the requirement is enforceable even where a product section is silent. {note}
+
+## Attic stock shall be labeled with the product identification, color or finish, and the room or area where the matching product is installed.
+
+## Spare materials shall be stored in a conditioned space, in their original packaging, until accepted by the Owner.
+
+## The Contractor shall obtain the Owner's signed receipt for all attic stock and spare parts delivered.
+
+### Attic stock quantities
+
+```datasheet
+label: Resilient flooring attic stock (% of installed, minimum 1 box)
+type: range
+unit: "%"
+min: 1
+max: 5
+step: 1
+default: 2
+```
+
+```datasheet
+label: Ceiling tile attic stock (% of installed, minimum 1 carton)
+type: range
+unit: "%"
+min: 1
+max: 5
+step: 1
+default: 2
+```
+
+```datasheet
+label: Paint attic stock per color
+type: select
+options:
+ - 1 gallon per color per floor
+ - 1 gallon per color
+ - 5% of quantity per color
+default: 1 gallon per color per floor
+```
+
+```datasheet
+label: Air-handling-unit filters
+type: radio
+options:
+ - One complete replacement set per unit
+ - Two complete replacement sets per unit
+default: One complete replacement set per unit
+```
+
+# Demonstration and Training {toc}
+
+## The Contractor shall provide demonstration and training to the Owner's operating personnel for each system identified in the Contract Documents before final completion.
+
+## Training that is scheduled too late, after the systems are running but before the Owner's facilities staff are hired or available, is wasted; a minimum scheduling notice lets the Owner assemble the right people. {note}
+
+## The Contractor shall give the Owner the contract-defined minimum advance notice before each training session.
+
+## Training shall be conducted by qualified manufacturer representatives or installers familiar with the installed systems.
+
+## Each training session shall cover startup, normal operation, shutdown, emergency operation, and routine maintenance of the system.
+
+## Where required by the Contract Documents, training sessions shall be video recorded and the recordings delivered as part of the closeout package.
+
+## Training references the O&M data delivered under [[sync/operation-and-maintenance-data]]; the O&M manuals shall be delivered before the corresponding training session so trainees can follow along. {note}
+
+### Training requirements
+
+```datasheet
+label: Minimum advance notice for training sessions
+type: range
+unit: business days
+min: 5
+max: 20
+step: 1
+default: 10
+```
+
+```datasheet
+label: Minimum training duration - typical MEP/controls system
+type: range
+unit: hours
+min: 1
+max: 8
+step: 0.5
+default: 3
+```
+
+```datasheet
+label: Minimum training duration - building automation system
+type: range
+unit: hours
+min: 4
+max: 16
+step: 1
+default: 8
+```
+
+```datasheet
+label: Training sessions video recorded
+type: radio
+options:
+ - Not required
+ - Required, recordings delivered at closeout
+default: Not required
+```
+
+# Permit Closeout and Certificate of Occupancy {toc}
+
+## The Contractor shall obtain the certificate of occupancy (or certificate of completion for non-occupiable structures) from the authority having jurisdiction.
+
+## The Contractor shall coordinate the final inspections and closure of all sub-permits, including electrical, plumbing, mechanical, fire alarm, fire sprinkler, and elevator permits.
+
+## Sub-permits pulled by subcontractors are the most commonly orphaned closeout item: each trade pulls its own permit and no single party drives the final inspections, so permit cards are left open long after the building is occupied. Naming the Contractor as coordinator closes that gap. {note}
+
+## The Contractor shall transmit the certificate of occupancy and all closed permit cards to the Owner as part of the closeout package.
+
+## A certificate of occupancy that the Contractor obtains but does not deliver leaves the Owner unable to bind occupancy insurance or document lawful occupancy; transmittal, not merely issuance, is the obligation. {note}
+
+### Permit closeout
+
+```datasheet
+label: Certificate type required
+type: select
+options:
+ - Certificate of occupancy
+ - Certificate of completion (non-occupiable)
+ - Partial certificate of occupancy (phased)
+default: Certificate of occupancy
+```
+
+```datasheet
+label: Party responsible for obtaining certificate of occupancy
+type: radio
+options:
+ - Contractor
+ - Owner
+default: Contractor
+```
+
+# Commissioning and Closeout Integration {toc}
+
+## The Contractor shall incorporate the commissioning records - testing, adjusting, and balancing reports, functional performance test records, and building-automation trending data - into the closeout submittal.
+
+## Commissioning records routinely stay with the commissioning authority and never reach the Owner's bound closeout package; this clause forces them into the package. The commissioning process itself is governed by [[sync/commissioning]]. {note}
+
+## The Contractor shall reconcile any deficiencies identified during commissioning against the punch list so that no commissioning issue is closed without a corresponding corrected punch item.
+
+### Commissioning and closeout integration parameters
+
+```datasheet
+label: Commissioning authority type
+type: select
+options:
+ - Owner's commissioning agent (independent CxA)
+ - Contractor-led commissioning
+ - Design engineer commissioning
+ - Authority having jurisdiction (AHJ) only
+default: Owner's commissioning agent (independent CxA)
+```
+
+```datasheet
+label: Commissioning record types required in closeout package
+type: checkbox
+options:
+ - Testing, adjusting, and balancing (TAB) report
+ - Functional performance test records
+ - Building automation system trending data
+ - Pre-functional checklist records
+ - Deferred commissioning plan (seasonal or occupancy-dependent tests)
+default:
+ - Testing, adjusting, and balancing (TAB) report
+ - Functional performance test records
+ - Building automation system trending data
+```
+
+# Final Completion and Final Payment {toc}
+
+## The Contractor shall request final inspection only after all punch list items are corrected and verified.
+
+## The Contractor shall request final inspection only after all closeout deliverables required by this standard and by the standards referenced herein — including O&M data and warranties and bonds — have been submitted and accepted.
+
+## When the Architect confirms final completion, the Architect shall issue the final Certificate for Payment.
+
+## The Contractor shall submit the final Application for Payment, including release of all remaining retainage.
+
+## On private commercial projects, retainage shall be reduced from 10% to 5% of the contract value at substantial completion; the remaining retainage shall be released at final completion.
+
+## On public projects, retainage reduction and release shall follow the governing state statute, which overrides the default percentages above. {note}
+
+### Retainage
+
+```datasheet
+label: Retainage held during construction
+type: range
+unit: "%"
+min: 0
+max: 10
+step: 1
+default: 10
+```
+
+```datasheet
+label: Retainage after substantial completion
+type: range
+unit: "%"
+min: 0
+max: 10
+step: 1
+default: 5
+```
+
+# Affidavits, Lien Waivers, and Surety Consent {toc}
+
+## The Contractor shall submit, as a condition of final payment, a Contractor's Affidavit of Payment of Debts and Claims (AIA G706 or equivalent) certifying that all payroll, suppliers, and subcontractors have been paid.
+
+## The Contractor shall submit a Contractor's Affidavit of Release of Liens (AIA G706A or equivalent), accompanied by lien waivers from all subcontractors, sub-subcontractors, and material suppliers.
+
+## Where a payment or performance bond is in place, the Contractor shall submit a Consent of Surety to Final Payment (AIA G707 or equivalent) before the Owner releases final payment.
+
+## In states with mandatory statutory lien waiver forms, the Contractor shall use the statutory form; a non-statutory form is unenforceable in those states.
+
+## Final lien waivers shall be unconditional and shall match the final payment amount; interim waivers tied to progress payments shall be conditional on receipt of that payment. {note}
+
+## Mismatching conditional and unconditional waivers to payment status, or using a non-statutory form where one is mandated, is a frequent and avoidable defect that can leave the Owner exposed to enforceable liens. {note}
+
+### Closeout legal forms
+
+```datasheet
+label: Lien waiver form type
+type: radio
+options:
+ - Statutory form (state-mandated)
+ - Non-statutory / AIA-family form
+default: Non-statutory / AIA-family form
+```
+
+```datasheet
+label: Final lien waiver condition
+type: radio
+options:
+ - Unconditional final waiver
+ - Conditional on final payment
+default: Unconditional final waiver
+```
+
+```datasheet
+label: Consent of surety required
+type: radio
+options:
+ - "No bond - not required"
+ - "Required (payment or performance bond in place)"
+default: "No bond - not required"
+```
+
+# Submittals {toc}
+
+## The Contractor shall submit the following closeout submittals, packaged and indexed for the Architect's and Owner's review:
+
+- Certificate of Substantial Completion with attached punch list
+- Final cleaning certification and any IAQ flush-out or testing records
+- Record drawings, record specifications, and record product data
+- Attic stock and spare-parts delivery receipts
+- Demonstration and training records (and recordings where required)
+- Certificate of occupancy and all closed sub-permit cards
+- Commissioning records (TAB, functional tests, BAS trending)
+- Contractor's Affidavit of Payment of Debts and Claims
+- Contractor's Affidavit of Release of Liens with subcontractor lien waivers
+- Consent of Surety to Final Payment (where a bond is in place)
+- Final Application for Payment with retainage release
+
+```datasheet
+label: Closeout submittals
+type: checkbox
+options:
+ - Certificate of Substantial Completion + punch list
+ - Final cleaning / IAQ records
+ - Record drawings, specifications, and product data
+ - Attic stock and spare-parts receipts
+ - Demonstration and training records
+ - Certificate of occupancy + closed permit cards
+ - Commissioning records (TAB, functional tests, BAS)
+ - Affidavit of Payment of Debts and Claims
+ - Affidavit of Release of Liens + lien waivers
+ - Consent of Surety to Final Payment
+ - Final Application for Payment + retainage release
+default:
+ - Certificate of Substantial Completion + punch list
+ - Final cleaning / IAQ records
+ - Record drawings, specifications, and product data
+ - Attic stock and spare-parts receipts
+ - Demonstration and training records
+ - Certificate of occupancy + closed permit cards
+ - Affidavit of Payment of Debts and Claims
+ - Affidavit of Release of Liens + lien waivers
+ - Final Application for Payment + retainage release
+```
+
+## O&M manuals and warranty/bond documents are submitted under [[sync/operation-and-maintenance-data]] and [[sync/warranties-and-bonds]] respectively and are referenced, not duplicated, in this package. {note}
+
+# Quality Assurance {toc}
+
+## The Contractor shall designate a single person responsible for coordinating all closeout activities and deliverables across all subcontractors and suppliers.
+
+## A single accountable closeout coordinator prevents the diffusion of responsibility that orphans permit closures, attic stock, and commissioning records when each is assumed to be someone else's task. {note}
+
+## The Contractor shall not consider any closeout deliverable complete until the Architect or Owner has reviewed and accepted it.
+
+## Inspection and testing programs conducted during construction are governed by [[sync/quality-requirements]] and [[sync/submittal-and-quality-procedures]]; this section covers only the verification of closeout completeness. {note}
+
+# Sequencing {toc}
+
+## The Contractor shall sequence closeout so that the certificate of occupancy and final cleaning precede the substantial completion inspection.
+
+## The Contractor shall sequence closeout so that the punch list and record documents precede the final inspection.
+
+## The Contractor shall sequence closeout so that the affidavits, lien waivers, and surety consent precede final payment.
+
+## Closeout is a dependency chain, not a checklist done in any order: occupancy enables the inspection, the inspection sets the date, the date starts the clocks, and the clocks bound the resolution and payment steps. Treating it as an ordered sequence is what keeps the legally significant dates clean. {note}
+
+### Closeout milestone sequence
+
+```datasheet
+label: Permit/occupancy timing relative to substantial completion
+type: radio
+options:
+ - Certificate of occupancy before substantial completion
+ - Certificate of occupancy concurrent with substantial completion
+default: Certificate of occupancy concurrent with substantial completion
+```
+
+```datasheet
+label: Time from substantial completion to targeted final completion
+type: range
+unit: days
+min: 30
+max: 120
+step: 5
+default: 60
+```