PUNCH LIST PROCEDURES
By James O. Parker, Jr., AIA, CSI, CCS
Davis Partnership, P.C., Architects
One of the final steps in closing out a construction project is the preparation of a
punchlist, a simple tabulation of items not yet complete. This important effort is often
misunderstood by all parties, and made more complex and painful than necessary.
Those involved in a project always seem to anticipate that the design consultant,
architect, interior designer, or engineer - will just race right out to the project as
soon as the contractor hints that construction is done to prepare an exhaustive list of
everything that the contractor did wrong. Unfortunately, most projects follow exactly that
routine! This creates an antagonistic relationship, causes wasted effort, and does not
fulfil contract requirements.
UNDERSTAND THE RULES:
All parties should check contractual requirements for closeout procedures early. Don't
just assume how or when a punchlist will be done. And don't let someone dictate the
process based upon how we have "always done it" or "everyone else does it
that way". Responsibilities are usually clearly spelled out in the agreement between
the design consultant and the owner, which often references the General Conditions of the
Contract or Construction details. If current AIA forms are used, punchlist requirements
(although the word "punchlist" is not used) are in AIA A201-1997, paragraph
9.8.2. Some project requirements may be outlined in customized agreements or general
conditions, may be modified by supplemental conditions, or may not follow the process
outlined in AIA forms.
START EARLY:
Any construction problems should be corrected early on, not left for confrontation in the
closing days. The punchlist is primarily to list problems on the surface of the project.
It cannot replace on-going observation and communication. (The punchlist process is a lot
like taking delivery of a new car - you walk around the car to make sure there are no
problems before you drive it off. If you get home and discover the fender is scratched,
there is going to be an argument. But, you don't need to check that the fender is bolted
to the car. If it falls off later, the dealer has an obligation to fix it.) Care should be
taken to avoid creating an adversarial relationship about the punchlist. The design
consultant should not adopt the mindset that the punchlist is an opportunity to finally
list everything the contractor did wrong through the course of the project.
PLAN AHEAD:
Understand how the contractor plans to finish the job and how the owner will occupy the
building, so that everyone knows how many punchlists will need to be done and at what
times. (At the very end of a project, both tempers and time may be short!) Understand when
the contractor is going to move off the site and when the owner absolutely must move in.
If the schedule is going to require many punchlists, additional compensation to the design
consultant may be required. Clarify everyone's roles and responsibilities.
LET THE CONTRACTOR START IT:
Inspecting and properly completing construction is the contractor's responsibility, not
the design consultant's. The contractor has worked for a long time and many subcontractors
coordinating a complex effort. At any time during the project, the contractor knows what
needs to be fixed and completed, what materials have not yet been delivered, etc. Does it
really make sense that the design consultant should jump in at the last minute and
generate a new list of things the contractor already knows about?
The AIA's General Conditions require the contractor to submit, in writing, a
"comprehensive list of items to be completed or corrected". This has the
important effect of creating a statement that everything else is completed in accordance
with the contract documents. Contractors may claim they can't create a list because
everything really is finished and they simply don't have anything to list. If so, have
them put that in writing. According to the AIA documents, only after receipt of the
contractor's list is the design consultant to perform a verifying inspection.
It can really help to have everyone do punchlist in the same order and format - don't let
a mechanical consultant prepare their list from floors 3 to 1, while the electrical list
is from floors 1 to 3. Communicate to all consultants what the overall process is, and
exactly what they are to produce by when. Look out for them making undocumented
"deals" with subcontractors or preparing their punchlist without following your
procedures.
SUBSTANTIAL COMPLETION:
Don't lose sight of the overall purpose of the punchlist - it is related to substantial
completion, the date when the project, or portions of the project, are complete enough so
that the owner can occupy or use the project or portion for the intended use. (But, the
owner can also move in or use the building before substantial completion.) Read
contractual requirements regarding substantial completion carefully. Know where you are
headed before you begin the overall close out process. The Certificate of Substantial
Completion also establishes responsibilities between the owner and contractor for related
security, maintenance, heat, utilities, and insurance issues. Agree well in advance how
these items are to be handled.
INSPECTION PROCEDURES:
The design consultant should actually carry and use the contractor's list - no matter how
good or bad it is during the walk through. The design consultant can then just verify and
add marginal notes to the contractor's list. (Zoom the contractor's list up on a copier.)
Performing the inspection in this fashion maintains the contractor's format and shows that
the contractor's list was comprehensive (or not).
As the design consultant adds items yet to be completed or fixed, that list should not
separate work by trades or contain assumptions about which subcontractor is to do the
repair - that is the contractor's job. (The contractor may require the plumber to have a
door fixed if the plumber scratched it. Hopefully, the plumber won't actually do the
painting!)
The design consultant should not tell the contractor how to fix the problem, just identify
it. The "means and methods" of repairs should not usually be detailed. The
design consultant may not be able to judge what it takes to fix a problem. If the
contractor fixes something using methods recommended by the consultant and the problem
isn't corrected the consultant may be at fault. So, just state what is wrong - i.e. -
"Door 123 doesn't close properly" instead of "Trim top of door 123".
"East wall is stained" instead of "scrub east wall". Think about
including photographs in the punchlist documentation.
The contractor's project manager or superintendent should participate in the entire
punchlist walk through. If the contractor attends, repairs can start even before the walk
through is finished. Everyone will have seen the same thing and can better deal with any
confusing or complex issues.
If at all possible, conduct the walk through with the owner and get the owner's comments
incorporated. If nothing else, have the owner prepare a list before the walk-through. No
one wants the owner coming up with a new list after everyone else has completed their
reviews and repairs are underway. If the Owner has specialized consultants - such as
security, food service, etc. - make sure they are included in the process.
If the design consultant finds so many things wrong that adding items to the contractor's
list simply doesn't work, chances are that the project is not really "substantially
complete". The contractor either needs to finish construction or prepare a more
comprehensive list. The design consultant shouldn't solve such problems by taking on the
responsibility to do an exhaustive list from scratch. The design consultant can stop the
substantial completion process when an incomplete or massive list is first received from
the contractor or can stop partway through a walk-through when it is discovered the work
really isn't done. If repeated or extensive punchlists are required, the consultant may be
entitled to additional compensation.
After a walk-through (and the same type of review by all disciplines), the lead design
consultant can type up the certificate of substantial completion. Although not
specifically required by the AIA's general conditions, punchlists should be physically
attached to the certificate of substantial completion. That package may be big - the
certificate, the contractor's list, the consultant's additions, the engineers' lists,
etc., but it is worth it to have everything in one place, signed off on by everyone to
document what remains to be done.
The design consultant should resist the urge to tidy up the punchlist into one nice neat
list, even if the contractor has provided something hand-written and a whole pile of
sub-lists have been collected from subconsultants. Retyping takes significant effort, and
likely will delay how quickly the punchlist can be issued and repairs can start. Redoing
the list can also introduce typos, add interpretation, and make the list difficult for the
contractor to follow. A retyped list becomes "the design consultant's list", and
the consultant then is responsible for constant updating and re-issuing. If it stays the
contractor's list, the contractor can keep updating it as items are completed or resolved.
The punchlist is not just a look at the physical building. It should list everything that
still needs to be done to complete an entire contract for construction including
administrative items not complete, such as operation and maintenance manuals, warrantees,
city signoffs, record documents, etc. Review all parts of the specifications and the
submittal log to ensure that all open issues are listed.
Through careful communication and attention to established procedures, the completion of a
construction project can be rewarding and productive instead of rushed, adversarial, and
frustrating for everyone.