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Cornell University

Master List to Archive

Close-out Documents Folder Structure and Archivable Documents List

Records required for archiving as per University Policy 4.7 on Records Retention:

Preparation: Preparation for the closeout process can take place throughout the duration of the project. Reference the Retention of University Records policy and place the applicable items listed below in the appropriate sub-folders of the 12 Close-Out Document folder in the Documents Module of the project

12.01 Reports [0]

  • Application materials and approvals from historic commissions and/or state agencies (i.e.: ILPC)
  • Studies done prior to the project - including renovations and code reviews reflecting pre-construction conditions.
  • Concept report including Basis of Design
  • Schematic design report including Basis of Design
  • Design development report (should include a system & material narrative and Basis of Design
  • Preliminary code analysis reflecting proposed changes (may be part of design phase reports)
  • Structural analysis including seismic analysis of existing building and proposed strengthening techniques.
  • Peak utility requirement (if not in LEED documents)
  • Energy Modeling Plan
  • Engineering Calculations
  • Specifications (with addendums)
  • Testing and balancing reports
  • Commissioning agent test & certification documents
  • Commissioning Report/Drawings (if there are any - these may be redundant with shop drawings)
  • Material test and special inspections reports
  • Environmental Impact Statement: Important to retain since it sets operational limits on what can be done in a building in the future.
  • Honors/awards received by the project (certificates)
  • PR materials/artifacts associated with the project (newspaper clippings, copies of event materials)
  • Dedication or opening, ground breaking & final public commissioning events
  • Cornerstone or time capsule information (i.e., yes/no; contents)
  • LEED Final report

12.02 Record drawings[0]

  • Record drawings-Full Size= A complete set of clean drawings that reflect how the project was built - folding the as-built revisions into the design documents, including addenda, post bid bulletins and design revisions.
    • These are compiled by the designer from the as-built drawings submitted by the contractor, as a record of the work. Since these are not confirmed in the field by the designer they are not "as-built" but a compiled record.
    • Record drawings are expected to represent a complete drawing set, not just the sheets that changed. These drawings will not be signed but will be stamped or otherwise marked by the design team as "record drawings" and dated.

12.03 CADD[0]

     12.03.01 BIM Mode[0]

  • AutoCAD drawings and BIM Model files (older projects may not have a 12.03.01 folder)

12.04 Permits & Agreements[0]

  • Building permits (or any related Authority Having Jurisdiction documents)
  • Materials Filed with local & state agencies for variances, site plan approval & environment impact
  • Letters of Agreement (project specific): pertaining to access/use before, during or after construction, document of ownership, utility or maintenance
  • Final acceptance: Document signed off on by architect/engineer/designer that project is substantially complete
  • Notice to Capital Planning Group of Outstanding Issues

12.04 Permits & Agreements[0]

     12.04.01 TCO and Certificates of Occupancy[0]

  • Temporary Certificates of Occupancy
  • Certificate of Occupancy or equivalent: As issued by the Authority Having Jurisdiction

12.05 Photos [0]

  • 1st day and construction photos. (electronic copy only)
  • Drone/aerial photos

12.06 Submittals[0]

  • Structural Materials (i.e. Concrete, steel, reinforced masonry) - Shop Drawings and Product Data
  • Special mechanical equip (i.e. Phoenix valves)- Shop Drawings and Product Data
  • Curtain walls, ALL windows- Full Size Shop Drawings and Product Data
  • Controls- Full Size Shop Drawings and Product Data
  • Fans- Full Size Shop Drawings and Product Data
  • Pumps- Full Size Shop Drawings and Product Data
  • Panel Boards- Full Size Shop Drawings and Product Data
  • Switch Boards- Full Size Shop Drawings and Product Data
  • Lighting- Full Size Shop Drawings and Product Data
  • Security Systems- Full Size Shop Drawings and Product Data
  • Ductwork- Full Size Shop Drawings and Product Data
  • Fireproofing- Full Size Shop Drawings and Product Data
  • Fire Protection System Records - Sprinklers & fire alarms - Full Size Shop Drawings and Product Data also including calculations

12.07 O&Ms[0]

  • O&M Manuals

10.24.2022                         Closeout/Cancellation (CC)