Attachment 5 - Tech-012 Handover Process for Works Projects V0.1.pdf

DIO SD TFM-USF TECH-012 August 2014

DIO SD TFM-USF TECH012, V0.1 dated Aug 14

DIO SD TFM-USF Handover Process for Works Projects

1.0 Applicability

This Supporting Document applies to all DIO SD TFM-USF staff and all staff of the FSC 2, CPM & Discrete commissions.

This Supporting Document has been co-ordinated with USAFE Regional Civil

Engineer for issue as a joint Supporting Document.

2.0 Status

This Supporting Document is Mandatory in DIO SD TFM-USF.

This is to ensure that a uniform approach to the management of project handover is adopted throughout the MOD estate occupied by United States Forces, (USF).

3.0 Purpose

The purpose of this Supporting Document is to set out various procedures to ensure that all parties involved with the handover of project works meet their obligations in a uniform and consistent manner across the MOD estate occupied by USF.

The aim is to provide best practice by the introduction of a framework of procedures, forms and guidance in a handover booklet to improve the handover process and instigate a generic process for project works that can be utilised to the benefit of all parties.

4.0 Requirement

4.1 : Background

The handover process is applicable to all DIO SD TFM-USF (DIO-USF) works and involves the process by which projects move from construction through handover to Base maintenance and operation responsibility, (Civil Engineering or equivalent). The inclusion of the entire handover process in one Supporting Document will enable ease of implementation.

4.2 : Contents

Cover

Introduction Roles & Responsibilities Handover Process Handover Procedures Design Review or Site Inspection Notification Procedure http://deintranet-ebms.de.r.mil.uk/qmap/tech-012%20cover.doc

Schedule Of Maintainable Assets & Planned Maintenance Strategy Procedure Snagging Procedure Real Property Procedure Facility Management Manual Procedure Defect Liability Notification Procedure Notification of Asset Change Procedure

5.0 Further Assistance

Further assistance may be obtained from DIO-USF Handover Process Manager.

Further assistance may also be obtained from DIO-USF Information Manager.

6.0 Pro-formas & Other References

Pro-formas & other references are provided within the document structure.

Introduction

The Handover Booklet consists of a framework of procedures that combine to form the DIO-USF project handover process. The process shall be followed by those involved in the management of all DIO-USF works projects. The booklet has been introduced as a DIO-USF supporting document and is to be implemented into the following :

DIO-USF Estate Business Management System (EBMS) Programme and Project Delivery (PPD) Commissions Discrete Commissions

DEFCON 2000

USF Base Standards (where applicable)

The supporting document should be used to access all forms and related guidance on the respective procedure. Basic guidance is included on each form, to assist completion. Separate detailed guidance is provided for each procedure and shall be followed by those undertaking projects for DIO-USF.

It is advised that the project team ensure they are familiar with the handover process, procedures, roles and responsibilities at an early stage in the life of the project.

In order to achieve continuous improvement, suggestions for change/development of the handover process shall be recorded on Form DIO SD TFM-USF 149. This is to ensure identification of issues raised, originator, date received and action taken by the Handover Process Manager. Feedback will be reviewed on a formal basis at pre-determined frequencies through out the year.

The completed Form DIO SD TFM-USF 149 should be sent to the Handover

Process Manager at DIO-USF HQ. The originator shall receive feedback on any action taken. Approved development to the Handover Process shall be formally introduced by amendment to the documents on DIO-USF EBMS and where applicable issue of new documents.

Form DIO SD TFM-USF 149 can be accessed at Section 4.2, above.

Back To Contents

ROLES & RESPONSIBILITIES

The roles and responsibilities detailed below provide basic guidance to duties of key personnel involved in the project process. Some of the responsibilities detailed involve actions both during the design & construction stage and liability period. These duties required vital input to ensure a successful handover.

Key Players

The following key players having responsibilities within the handover process are identified below, followed by their key responsibilities :

Defence Infrastructure Organisation Project Sponsor (DIO PS) – located at

Base or HQ, is the DIO-USF representative who has personal delegation for the project.

(A) Co-ordinates, monitors and verifies all activities.

(B) Accepts from PM and issues to US PM completed Form DIO SD TFM-USF

140.

(C) Accepts from PM and issues to US PM completed Form DIO SD TFM-USF

148.

(D) Accepts from PM and issues to US PM final FM Manual.

(E) Accepts from PM and issues to US PM Final DD 1354.

(F) Manages FM Manual review process pre-handover.

(G) Monitors close out of liability and latent defects.

Project Manager (PM) – is the DIO-USF representative employed / contracted to manage the whole project process, under the control of the DIO Project Sponsor and is termed the Commercial Project Manager, (CPM), when contracted for this specific role.

(A) Manages all project activities.

(B) Design review and site inspections.

(C) Action against design and site comments.

(D) Second snag.

(E) Certifies commissioning to his satisfaction, (PM / CofW).

(F) Initial documents check, (PM / CofW).

(G) Approves Asset Schedule Part A & B.

(H) Reviews handover documentation and approves completeness.

(I) Co-ordinates training requirements.

(J) Co-ordination and close out of snagging items.

(K) Co-ordination and close out of Defect Liability Notices.

(L) Provides Defect Liability file.

(M) Issues draft, interim and final Real Property Form.

Base Civil Engineer (BCE) / Public Works Officer (PWO) – is the USF representative at Base who provides staff to carry out the role of USF Project Manager for Base managed projects.

USF Project Manager (US PM) – is the USF representative located at Base or http://deintranet-ebms.de.r.mil.uk/qmap/0140.xls http://deintranet-ebms.de.r.mil.uk/qmap/0140.xls http://deintranet-ebms.de.r.mil.uk/qmap/0148.doc

HQ ‘A7CW’, who is personally delegated the project.

(A) Introduction of Planned Maintenance Strategy.

(B) Co-ordinates activities with local maintenance organisation.

(C) Formal snag and handover acceptance with MO.

(D) Issues Defect Liability Notices and monitors progress in conjunction with

PM.

Maintenance Organisation (MO) – is the organisation responsible for the day to day maintenance and will normally involve a joint responsibility between Defence Infrastructure Organisation and Civil Engineering, (or equivalent), as detailed within the site specific Base Facility Management Arrangement, (BFMA).

(A) Completion of Form DIO SD TFM-USF 153 following review of designs and site visits.

(B) Update of FMIS database on receipt of Form DIO SD TFM-USF 140.

(C) Nominates personnel requiring training.

(D) Agree format of initial draft and provides final review for acceptance of FM

Manual.

(E) Manages FM Manual, (Access control, maintain changes / updates), post-handover.

Principal Construction Contractor – is the organisation contracted to carry out the project construction and / or design, this being dependant on the form of contract, (traditional or design & build).

(A) Completion of Schedule of Assets, (Design & Construction).

(B) Completion of Facility Management Manual.

(C) Independent first snag and corrections.

(D) Systems run-in, maintenance and maintenance records.

(E) Training for maintenance organisation personnel, (production of training schedule).

(F) Produces project / facility documents in addition to FM Manual requirements.

(G) Reports on progress of Schedule of Maintainable Assets, (SMA), FM

Manual and snag list.

(H) Actions and remedials.

(I) Actions Defect Liability Notices.

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HANDOVER PROCESS

It is the Project Manager’s responsibility to ensure all project staff carry out their functions in conjunction with the Maintenance Organisation staff and in compliance with the procedures and guidance detailed within the Handover Booklet to effect the satisfactory transfer of the complete project / contract to the Customer at the Handover meeting.

Provision Of Advanced Information

The provision of timely new works information required by the MO is vital to ensure a successful take over of the project on handover. Maintainable asset information is required well in advance of handover to enable development, implementation and funding of a maintenance regime which, if not implemented, can result in delayed maintenance to essential equipment; this in turn has been found to create problems including early failure of plant and equipment, difficulties obtaining warranty cover and latent defect rectification. The required advanced information is to be written into the contract preliminaries as part of the requirements of the 100% design.

The PM is responsible for providing the MO with advanced information at various stages within the project. This begins with the provision of Part A of Form DIO SD TFM-USF 140, to be submitted to the MO at the 100% design stage complete with Form DIO SD TFM-USF 148. The MO then has a responsibility to complete Form DIO SD TFM-USF 148 to ensure they have a maintenance strategy and funding on project handover. The Contractor has responsibility to maintain Part B of Form DIO SD TFM-USF 140 through the construction stage for issue to the PM at the start of the commissioning stage.

The PM has responsibility to formally review the progress of Form DIO SD TFM- USF 140 throughout the project by inclusion within the agenda for both the design and construction progress meetings. The PM approves Form DIO SD TFM-USF 140 Parts A & B and issues to the DIO PS at the start of the commissioning stage.

Other advanced information includes the issue of the draft Facility Management

Manual at the start of the commissioning stage, the draft Real Property Form DD 1354 at the 100% design stage with the interim DD 1354 issued at the pre-handover stage.

Base Staff Involvement During The Project Process

Base Maintenance Organisation involvement within any work projects is vital and input from key players must be provided to ensure successful project completion and handover. To ensure Base staff has an input into the design, construction and commissioning stages a proactive approach by the project team is required ensuring appropriate action of Base staff’s comments. Failure to involve Base personnel can result in missed opportunities to share experience and knowledge in construction issues, maintainability, compliance with Base Standards and local requirements which are all vital to the success of the project.

It should also be recognised that DIO-USF HQ Operation & Maintenance

Division have an important role and shall be included in viewing designs to ensure vital specialist areas such as high voltage electrical distribution, petroleum installations, pressure systems, explosive storage areas, gas and fire systems are in accordance with MOD requirements.

A lack of consultation with these personnel may affect the project’s success and functionality post-handover. Form DIO SD TFM-USF 153 is to be utilised by the project team to ensure Base comments, project team responses and actions are tracked through out the design and construction stages.

Site Control, Commissioning & Running-In Period

Control of the quality of work, assurance that all works comply with design criteria and contract requirements are vital to project success and the functionality of the facility post-handover. Appropriate resources to ensure supervision and control are necessary during the construction stage.

During the commissioning activities the Clerk of Works, (CoW), or the competent person appointed to witness the commissioning are to have a continuous presence on site. On large projects, where it is unreasonable to expect all commissioning tests will be witnessed, the process followed by the CoW / PM should be to select a percentage of tests for witnessing. This is achieved by the CoW / PM applying knowledge of the installation works through the production of a risk assessment that should be developed prior to start of commissioning.

The risk assessment and percentage to be witnessed must be reviewed and agreed by the project team, PM and MO. Commissioning certificates shall be signed only for those tests actually witnessed. Other commissioning certificates produced shall clearly identify when they have not been witnessed. All commissioning should be open to observation from the Base Maintenance Organisation.

A formal running-in period of all plant, equipment and systems between commissioning and handover shall be instigated. The Contractor will be required to provide maintenance to manufacturer’s instructions as a minimum from system / plant 'start up’ through to handover.

This shall include a risk assessment of the maintenance requirements that are inherent due to system operation and will include, where relevant, the control of Legionella in accordance with the current approved code of practice, (ACOP), and any other health, safety and environmental requirements that will need to be monitored once the facility / utility systems are in operation.

The Contractor is to present a maintenance programme to the project team including the MO for agreement prior to the running of any plant or equipment.

On handover the Contractor shall provide records of maintenance carried out for inclusion in the FM Manual.

To assist these stages the Energy Management Control System, (EMCS), where available, shall be formally introduced as a proving tool for commissioning and running-in period.

The EMCS is to be viewed by the Base MO in conjunction with the CoW during a specifically arranged demonstration on completion of commissioning and should include a percentage of operational checks, with printouts produced from the EMCS being inserted into the handover manuals.

A running-in period should be determined during design on a case by case basis. The agreed period shall be formally included in the contract preliminaries.

The PM is to make arrangements with the MO to agree a programme to inspect works during the construction stage, to assist in becoming familiar with layout and operation of plant and equipment.

The PM will provide a commissioning schedule to advise the MO of dates of all commissioning / acceptance tests so that the MO may attend.

A series of training presentations will also be necessary for the MO and other relevant personnel who will be required to operate & maintain the facility / utility.

The PM is responsible for ensuring the Contractor provides an agreed training schedule and undertakes that training prior to the pre-handover date. The PM will have specified these requirements in the Contract documentation.

The PM and MO shall undertake a formal pre-handover inspection in order to identify and resolve potential items which might prejudice a harmonious handover and the agreement to the handover / acceptance date.

Prior to handover, the PM must confirm in writing that all the handover documentation has been checked and is acceptable with the requirements of the works Contract.

During the Contract period, the PM in consultation with the DIO PS and US PM are to regularly advise the MO of the anticipated completion of works. At the completion of works, the PM will issue Form DIO SD TFM-USF 137.

During the period prior to handover, the PM and MO should work closely together to ensure contractual defects are identified and rectified and that all the documentation required for the completion of the FM Manual are both provided and agreed as acceptable.

Final Inspection & Review

It is the responsibility of the project team to comply with the snagging procedure prior to the proposed handover. The PM should arrange for a formal final inspection of the works by all the stakeholders including the MO, US PM, BCE representative, customer representatives, Fire Officer, building control and safety specialist prior to the pre-handover meeting.

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A definitive defects list, (items requiring attention / completion before work would be acceptable), should be agreed by all parties.

The PM shall convene a pre-handover meeting with the MO to agree contractual take over of the works and resolve final difficulties or problems.

The DIO PS will arrange for full conditional acceptance of the works for maintenance with the MO by issuing DIO Ops SDUK- USF Form 139 and agree who is responsible for defects arising during the liability period.

The MO will satisfy themselves that the complete FM Manual is available and any necessary Contractor maintenance records, schedules and log books are presented to an acceptable standard. The US PM and BCE representative will complete Form DIO SD TFM-USF 139.

Handover Meeting

The meeting is chaired by the PM and includes the US PM, BCE representative, MO, DIO PS, customer representatives and Principal Construction Contractor.

The PM will confirm final agreed defects list and provide an agreed timetable for its execution. The US PM will certify full or qualified acceptance of the works by ensuring Part II of Form DIO SD TFM-USF 139 has been signed. This is to include the attached interim DD 1354.

The PM will issue Form DIO SD TFM-USF 130, complete with a presentation of a Through Life Cost Plan on confirmation that the MO will take over responsibility for the works from the Contractor. The US PM is to arrange for Part III of Form DIO SD TFM-USF 139 to be signed.

Form DIO SD TFM-USF 141 shall be completed by the DIO PM and accepted by the MO. The PM and MO will formally hand the completed works to the customer.

On completion of formal handover the DIO PS will issue Form DIO SD TFM-

USF 138 to the US PM.

Planned / Partial Completion Of Works

Where works are to be subject to a phased completion of partial occupation the

PM should make this clear in Part I of Form DIO SD TFM-USF 139. Each phase should be treated separately for handover purposes and the responsibility of the Contractor clearly identified, (e.g. liability for maintenance). These procedures must be applied to each part of the building to be occupied on partial occupation. An interim DD 1354 must also be issued for each phase.

Review Of Responsibilities

The success of the Handover procedure is dependant on the individual parties involved fulfilling their responsibilities as set out herewith.

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The PM has responsibility to ensure a clean efficient handover to both the MO for day to day maintenance and the customer for occupation and use.

Prior to handover, the PM should ensure the MO, US PM and customer are fully aware of any outstanding defects and that all necessary inspections and tests have been completed and documentation prepared.

The PM should arrange adequate time before the handover meeting for all defects noted to be rectified.

The PM has a duty to invite the MO to review works during the construction period, carry out inspections and witness tests during commissioning. The inspections must be in agreement with the project team and noted by the Contractor for site access.

The MO should always be in a position to accept the works for day to day maintenance prior to the handover meeting as all shortcomings should be resolved by the PM in conjunction with the DIO PS prior to the handover meeting.

The objective is to achieve zero defects at handover, however the MO should not refuse to accept works on the basis of outstanding minor defects liable to be remedied by the Contractor under the terms of the Contract, provided that these items are fully documented on the defects list attached to Form DIO SD TFM- USF 130 and they do not pertain to Life, Health & Safety matters or effect the application of plant / system operation or maintenance and are considered by the PM and MO to be of minor nature.

Acceptance of defects at handover will also depend on the ‘quantity’ of minor snags remaining, acceptance of which shall be the responsibility of the project team in agreement with the MO. The defects list should indicate mutually agreed dates for rectification but none the less shall be finalised within two weeks of handover.

Provision Of The Facility Management (FM) Manual

The PM is responsible for obtaining from the Contractor for use by the MO the

FM Manual for each new / refurbished facility or installation. Prior consultation with the MO and compliance with the FM Manual procedure will ensure satisfactory preparation and handover of the manual.

The FM Manual shall contain all necessary information for proper operation, maintenance and repair of each building, installation and /or utility. It the responsibility of the PM to formally review the progress of the FM Manual throughout the construction stage by inclusion within the agenda for the construction progress meetings ensuring the presentation of a draft FM Manual at the start of the commissioning stage to enable feedback by the project team and MO to assist completion.

The FM Manual will be passed to the MO at the handover meeting with all outstanding issues complete. An electronic copy is to be provided, where required by Base Standards, no later than two weeks after handover. Form DIO http://deintranet-ebms.de.r.mil.uk/qmap/0130.doc http://deintranet-ebms.de.r.mil.uk/qmap/0130.doc http://deintranet-ebms.de.r.mil.uk/qmap/0141.doc

SD TFM-USF 141 will record the documents issued. It is incumbent on the PM to ensure all necessary documentation is stipulated within the Contract documentation.

On completion of handover, Civil Engineering, (or equivalent), shall undertake the responsibility for the management of the FM Manual ensuring storage, control and update.

Real Property Form DD 1354

The PM will arrange for the preparation and issue of a draft, interim and final DD

1354, with the interim being attached to Part II of Form DIO SD TFM-USF 139.

It is the responsibility of the PM to prepare Form DD 1354 and issue it to Real Property. The PM will ensure compliance with the Real Property procedure.

Defects Liability

The MO and US PM are to agree the defect response procedure for the liability period on project initiation, indicating appropriate response times, site access and points of contact. The procedure is to be presented to the DIO PS for inclusion within the project brief. The DIO PS and PM are to ensure these requirements are included within the contract preliminaries.

The PM will continue to be responsible for post-handover defects during the liability period and will arrange for resolution and collation, providing feedback in collaboration with the MO by use of the Defects Liability Notice Form DIO SD TFM-USF 151 . The PM is to issue a defects liability file for inclusion with the FM Manual on agreed completion and signing of Form DIO SD TFM-USF 131.

Product warranties which exceed the liability period shall be separately identified within the FM Manual.

The defects liability period will normally run for twelve months from the completion date shown on Form DIO SD TFM-USF 130. During the liability period, the PM will continue to convene regular meetings and inspections with the project team and MO in order to establish progress on outstanding defects.

The date of the first meeting shall be agreed at the handover meeting. At the end of the liability period, the PM shall convene a meeting to determine whether the Contractor has discharged all outstanding responsibilities.

If acceptable the PM will issue Form DIO SD TFM-USF 131. If there are outstanding defects that continue to cause problems, the PM will inform the Contractor in writing that the listed defects are to be rectified to PM satisfaction within one month. Where this can not be achieved, the PM shall consider completion by an alternative means and contra-charge the Contractor where applicable. The PM’s objective is to provide a defects-free facility / utility in order to ease the MO’s maintenance responsibility

Where defects appear after expiry of the liability period, and the MO have judged the defect to be a latent defect the MO - in conjunction with the DIO PS and US PM - will determine responsibility and act accordingly so that latent defects are dealt with expeditiously. It is the responsibility of the project team and the MO to comply with the defects liability procedure.

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HANDOVER PROCEDURES

Early Planning For Handover

Planning for a successful project handover should start at the design stage with the following considerations :

(A) Will the project lead to specialist maintenance requirements?

(B) Will contracted maintenance support be required by the Maintenance

Organisation, (MO)?

(C) Consult maintenance staff over design to ensure maintainability and, where appropriate, standardisation with existing systems, (Form DIO SD TFM-USF 153).

(D) Will there be a need to train maintenance personnel on the installations prior to handover, (training schedule)?

(E) Should Contractor maintenance be included in the construction contract?

(F) Contract phasing requirements should specify a minimum “running-in” period from equipment / system start up through to handover complete with an agreed Contractor maintenance programme.

(G) Contract phasing shall allow for an adequate commissioning period.

(H) Familiarisation period for the MO prior to handover.

(I) Have base standardisation and compatibility plans been considered in the design, (Form DIO SD TFM-USF 153)?

(J) Roles and responsibilities of all personnel involved in the handover process to be clarified within contract documentation.

(K) At completion of design, Part A of Form DIO SD TFM-USF 140 will be completed and issued to the MO together with Form DIO SD TFM-USF 148. This will provide early information on the maintainable assets to be included in the project so that a maintenance strategy can be prepared well in advance of handover.

(L) At the start of commissioning, the draft DD 1354 and draft FM Manual shall be provided and issued to the US PM for review by Civil Engineering.

Handover Procedures

Works projects will vary in their contractual application, complexity of M&E systems and construction schedules. The Handover Booklet brings together a framework of procedures that shall be followed as the process for all DIO-USF works projects. These procedures can only be adapted by the project team under circumstances where the procedures can not be followed.

It is essential that where procedures have had to be adapted it is defined in the contract documentation and agreed with the organisation who will be accepting the project for day to day maintenance.

Where deviation from the Handover procedures is felt necessary it is vital that the DIO PS provide feedback to the Handover Process Manager using Form DIO SD TFM-USF 149 to ensure review / revision of the Handover Booklet.

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The key aspects of the handover procedures are designed to achieve the following :

(A) Clarify responsibilities of all key participants.

(B) Completion of M&E commissioning in advance of handover to allow time for a “running-in” period to prove system functionality.

(C) Record Contractor maintenance during running in and commissioning.

(D) Involve the Maintenance Organisation, (MO), within the project process.

(E) Allow sufficient time for maintenance staff to be trained and to familiarise themselves with the new installations.

(F) Provide a formal procedure for the snagging process, defining responsibilities for carrying out initial and final snagging.

(G) Allow sufficient time for carrying out remedial works prior to handover.

(H) Allow sufficient time for checking documentation prior to handover.

(I) Ensure monitoring of progress and submission of the schedule of maintainable assets.

(J) Ensure monitoring of progress and submission of the Facility Management

Manual.

(L) Ensure timely and accurate completion of the DD 1354 Real Property form.

(M) Provide a formal procedure for response and repair of defects during the project liability period.

Further information and interpretation of each of the main tasks or milestones is provided below. This should be read in conjunction with the formal procedures and guidance provided for each process.

(A) Completion of Design: A milestone applied on achievement of the approved

100% design stage. Submission of Form DIO SD TFM-USF 140 Part A, Form DIO SD TFM-USF 148 and draft DD 1354 is required to achieve this milestone.

(B) Substantial B&CE Completion: Normally the starting point of the handover process and the date specified on the preliminary notice of completion as the starting milestone for the handover process. To achieve this milestone the project needs to be weathertight with all internal trades finished to the extent that M&E systems can now be operated and commissioned in a condition that replicates the final building configuration. All internal finishes are complete and significant dust and dirt generating operations will have also been completed.

Ongoing B&CE works will be limited to remedials.

(C) Start of M&E Commissioning: A milestone applied to ensure issue of completed Form DIO SD TFM-USF 140 Parts A & B and draft Facility Management Manual.

(D) Contractor Snagging: Initial snagging must be carried out through the contractors own QA procedures. The list prepared by the Contractor will include a timescale for all remedials. Handover process snagging procedure is to be followed.

(E) Formal DIO Snagging: Carried out by DIO or the PSP / FSC / PM Clerks of Works. This stage will commence upon presentation of the contractor’s own snagging list. The inspection will confirm the Contractor’s list and add any additional snags as found to the list. Handover process snagging procedure is to be followed.

(F) Combined Authority Inspection: Carried out by DIO and USF appointed http://deintranet-ebms.de.r.mil.uk/qmap/0140.xls representatives (PM, US PM and MO). Final consolidated snag list produced.

(G) Remedials: Ongoing task carried out by Contractor. This will address the snags raised both in the Contractor’s list and any other items found in the DIO / USF inspection. A daily report will be provided to the PM on progress against this list. If additional works have been requested by USF these will be recorded on a separate list with target completion dates.

(H) M&E Running-in Period: Shall commence on completion of commissioning.

This period is defined in the contract documentation and is designed to prove functionality and reliability of the M&E systems. Contractor is responsible for all maintenance tasks during this period and will replace all consumables, (drive belts, filters, etc.), with new just prior to handover. All Contractor maintenance records for this period are to be provided as part of the FM Manual.

(I) Training of Maintenance Staff: Allows for familiarisation and Contractor delivered training to the MO, (CELF or contract maintenance personnel). DIO & USF training requirements should be agreed with the project team at an early stage and should include the presentation of a training schedule by the Principal Contractor at the progress meetings leading up to pre-handover. Specific requirements should be included in the contract preliminaries. The schedule should follow a structured training methodology. This schedule can then be used for advanced discussions with all relevant stakeholders at 'red zone' or similar meetings and shall include competency training for AP's and skilled maintenance personnel to ensure plant operational risks are reduced to a minimum. All training must have been completed before project handover.

(J) Fire Officer Inspection : Fire certification inspections carried out by Defence Fire and Rescue Management Organisation (DFRMO) and Base Fire Officers.

This stage does not start until the Contractor has confirmed satisfactory completion of commissioning of all fire detection, extinguishing and emergency lighting systems, in writing.

(K) Issue Draft FM Manual: Contractor issues draft FM Manual to include all relevant information as identified on Form DIO SD TFM-USF 141 with the exception of commissioning and test certification that is still to be completed.

Where necessary, these shall be identified as ‘to follow’ within the FM Manual.

Contractor is to issue the final FM Manual at pre-handover stage and is to include all revisions from the MO and project team reviews. Handover procedure for compiling the FM Manual shall be followed. Initial check of above documentation shall be carried out by the PM and nominated Planning Supervisor.

(L) Base MO documents check: Review of draft FM Manual by USF.

(M) Document corrections : Contractor carries out amendments to FM Manual documents

(N) Pre-Handover Meeting : Issue consolidated snag list following all inspections, to allow an assessment and validation of the proposed handover date. Final FM Manual to be issued to DIO PS and MO complete with the FM Manual snag list to enable review and agreement, (FM Manual procedure to be followed). The objective shall be to achieve zero snags at handover.

(O) Handover Meeting : Physical completion and contractual acceptance of project, (or facility in case of phased handover), from Principal Contractor on Form DIO SD TFM-USF 130, which is a milestone. Review of outstanding snags.

Acceptance of facility by USF on Form DIO SD TFM-USF 139 and acceptance of documentation on Form DIO SD TFM-USF 141 for the FM Manual and interim DD 1354. Issue of Form DIO SD TFM-USF 138.

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(P) Liability Period : Project team to agree roles and responsibilities prior to handover. Defects identified on Form DIO SD TFM-USF 130 to be agreed and programmed for completion. Procedure for Contractor / DIO PM defect response and repair to be agreed, (client requirements to be defined on project initiation and detailed in Contract documentation). Defects Liability procedure to be followed.

Sequence of Tasks

A Generic Programme Chart can be accessed at Section 4.2, above. This identifies the sequence of tasks that shall be followed, The time scales are purely indicative as these will need to be agreed on a project by project basis

DESIGN REVIEW OR SITE INSPECTION NOTIFICATION

PROCEDURE

NB There is no Flow Chart for this Procedure.

Form DIO SD TFM-USF 153 has been introduced to assist in communication between the project team and Base personnel / Civil Engineering and provide a formal process for managing project issues raised by the MO from design reviews, site inspections and FM Manual review.

The form shall be used by the organisation that has the responsibility of reviewing project designs and / or carrying out site inspections during the construction and commissioning stages and / or snagging inspections. Items requiring comment are to be entered in the column headed ‘drawing and / or section / paragraph number site details’ to identify the subject being reviewed.

This form shall also be used to formally record issues identified during site visits and issues identified from the review of the FM Manual, to ensure feedback and action from the project team. Once comments have been entered and project details completed the date is to be entered and the form sent by the MO to the USF PM who retains a copy and forwards the original to the DIO PS.

The Project team have responsibility of acknowledgment and the PM and DIO

PS shall provide responses to all comments made by entering relevant feedback within the Action Taken / PM Response column complete with the date and details of where any amendments have taken place for example ‘added at clause 1.2.2’ or ‘Item accepted and amended on drawing 65078/A1’.

US PM passes SMA Part A & PMS to Civil Engineering (CE)

Maintenance Section for completion

(7)

DIO PS issues Part A SMA & PMS to US Project

Manager (US PM) (6)

PM approves completed PMS

Part 2 (11)

Principal Contractor submits completed

Part B to PM for review

(10)

Progress review of SMA at Construction progress meetings

(9)

Principal Contractor completes SMA Part

B through Construction Stage

(8)

DIO PS completes PMS Part 1

(5)

100% DESIGN APPROVAL

PMS Procedure Complete

Schedule of Maintainable Assets (SMA) Procedure Flow Chart

DIO Project Sponsor

(DIO PS)

Receives completed Part A from PM

(4)

Designer submits Part A to Project Manager

(PM) for review (3)

Progress review of SMA at Design

Progress Meetings (2)

Designer completes SMA Part A through

Design Stages (1)

PART A - DESIGN SCHEDULE

DIO PS receives completed Part 2 from PM (12)

DIO PS formally issues the complete

SMA to US PM (13)

US PM passes completed SMA to Base for maintenance action & FMIS update.

(14)

PART B - INSTALLATION SCHEDULE

COMMISSIONING STAGE START

Base to secure funding and establish maintenance regime

(15)

PMS Procedure Start

Planned Maintenance Strategy (PMS) Procedure Flow Chart

DIO PS

completes PMS

Part 1 (1)

DIO PS formally issues SMA Part A & PMS to

US PM

(3)

US PM issues PMS complete with SMA Part A to

CE Maintenance Section (4)

CE Maintenance Section completes PMS

Part 2 and passes to Operations Flight Chief

(5)

Operations Flight Chief completes PMS Part 3

(Approved ?)

(6)

Send to CE Customer Services to raise Work

Order (7)

Return to CE Maintenance Section for review (8)

DIO PS attaches completed SMA Part A to the PMS

(2)

Yes

No

PMS & SMA passed to Operations

Manager for costing (9)

Start of PMS Procedure

DIO SD TFM-USF TECH – 012 January 2014

Schedule Of Maintainable Assets & Planned Maintenance Strategy Procedure

The above flow-charts and following guidance notes provide details of the procedure to be adopted when completing the schedule of maintainable assets and planned maintenance strategy form for both HQ and Base run projects.

Schedule Of Maintainable Assets (SMA) Procedure

Form DIO SD TFM-USF 140 shall be used for recording details of all maintainable assets that are to be installed, (Part A - Design Schedule), and have been installed, (Part B - Installation Schedule), following completion of works on a new or refurbished facility / utility. The completed SMA is intended to provide Base Civil Engineering, (CE), with the necessary information to immediately introduce a planned maintenance regime when Base responsibility commences at project handover.

The SMA is to exist as an electronic document until issue of Part A at the 100% design stage and the completion of the asset schedule, (Part A & Part B), at the start of the commissioning stage.

Guidance for column entry can be found by scrolling across the red information flags at the top of each column.

(1) Part A is the design schedule of maintainable assets. It is the designer's responsibility to fully complete Part A with the information of assets to be installed.

(2) Part A shall be formally presented by the Designer at each progress meeting during the design stage for review by the project team.

(3) At the start of the 100% design stage the Designer shall submit Part A to the

Project Manager, (PM). PM is to review and approve the form for satisfactory completion.

(4) The DIO Project Sponsor, (DIO PS), receives the approved SMA Part A from the PM.

(5) The DIO PS completes Part 1 of the PMS detailing all relevant project information.

(6) On completion of the 100% design approval, the DIO PS shall formally issue the SMA complete with the PMS to the US Project Manager, (US PM).

(7) US PM forwards the SMA Part A, (to include an electronic copy), complete with PMS to the CE Maintenance Section, (or equivalent), to instigate the planned maintenance strategy.

(8) SMA Part B is the installation schedule of maintainable assets. The PM shall issue Part B of the SMA to the Principal Contractor who is responsible for continuous entry during the construction stage.

(9) SMA Part B shall be formally presented by the Principal Contractor at each progress meeting during the construction stage for review by the project team.

(10) The Contractor shall ensure on completion Part B is formally issued to the

PM for review prior to the start of the commissioning stage.

(11) The PM shall review Part B of the SMA for satisfactory completion and approval.

(12) The PM shall issue the approved SMA, (Part A & Part B), to the DIO PS on or before the start of the commissioning stage.

(13) At the start of the commissioning stage the DIO PS shall formally issue the completed SMA (Part A & Part B) to the US PM.

The US PM shall forward the SMA to the Base Focal Point who is to ensure CE

Operation Flight Chief, (or equivalent), and DIO Maintenance Engineering FMIS Manager, (or equivalent), receive a copy to enable instigation of the planned maintenance regime at project handover and update of the FMIS database.

To ensure commencement of the planned maintenance regime at project handover, Base CE shall utilise the SMA to initiate a maintenance strategy and secure funding.

Planned Maintenance Strategy (PMS) Procedure

Form DIO SD TFM-USF 148 is intended for use by Base CE, in conjunction with Part A of the SMA, to assist in determining and formally instigating a strategy for planned maintenance of all assets detailed on Part A of the SMA. This also includes obtaining an estimate of cost and initial funding.

(1) On receipt of the completed SMA Part A at the 100% design approval, the

DIO PS shall complete section one of the PMS detailing all relevant project information.

(2) DIO PS shall attach the PMS to Part A of the SMA.

(3) On completion of the 100% design approval, DIO PS shall formally issue the

PMS and SMA Part A to the US PM.

(4) US PM shall forward the PMS complete with the SMA Part A to Base CE

Maintenance Section, (or equivalent), to instigate the planned maintenance strategy.

(5) CE Maintenance Section completes Part 2 of the PMS by detailing the proposed planned maintenance strategy for the assets / systems detailed on Part A of the SMA, examples of possible strategies for instigating the maintenance being :

(i) Civil Engineering Labour Force, (or equivalent).

(ii) DIO contract, (total facility, total M&E or Engineering Services), via the Facility

Support Contract 1, (FSC1).

(iii) Part CELF, part DIO contract.

On completion, the form is passed to the CE Operation Flight Chief, (or equivalent) for approval.

(6) CE Operations Flight Chief approves or does not approve the proposed maintenance strategy.

(7) On approval, the PMS is passed to CE Customer Services, (or equivalent), to raise appropriate work orders

(8) Where the maintenance strategy is not approved this is returned to CE

Maintenance Section for review and resubmission.

(9) Civil Engineering / DIO Operations Section, (or equivalent), provides initial cost estimates for the planned maintenance regime and return to CE Customer Service for funding.

Relationship Between PMS & SMA Procedures

The PMS and SMA procedures have been developed to assist Base Civil

Engineering in finalising the maintenance regime, obtaining funding and allocating resources to facilitate maintenance action at project handover.

The Planned Maintenance Strategy procedure shall begin at stage (5) of the

SMA procedure and shall complete prior to the commencement of stage (9).

Snagging Procedure

Contractors ongoing QA and Clerk of Works (CoW) checks (1)

Contractor offers completed works to CoW for their inspection (2)

CoW / PM agrees list of snags with contractor

(3)

PM / DIO PS / US PM

assess suitability of works for formal authority snag

(5)

Contractor remedials to items as identified

(4)

Random Authority desnag check prior to the handover meeting

(9)

Handover Meeting. Snag status reviewed. Handover achieved if satisfactory (10)

Pre-Handover Meeting.

Agree final snag list and issue to Contractor (7)

Final desnag by CoW and up date of ‘Pre-Handover’ snag list (8)

Combined Authority snag, with Base representatives, CE and DIO. (6)

Snagging Procedure

The above flow-chart and following guidance notes provide details of the procedure to be adopted when carrying out snagging during the Handover period for both HQ and Base run projects

(1) The Contractor and Clerk of Works, (CoW), to carry out ongoing inspection and work acceptance as part of their quality control procedures. CE / DIO to carry out inspections throughout construction stage.

(2) Contractor on completion of own snagging presents the facility to the PM /

CoW for formal snagging.

(3) CoW / PM completes snagging list with the Contractor and collectively agrees realistic target for clearance of identified snags.

(4) Contractor carries out remedials as agreed.

(5) Snag lists reviewed by project team to assess suitability for formal authority snag. Where confidence exists that the works will be in a satisfactory state of completion a pre-inspection will be scheduled. Snag list to be in 3 sections :

(i) Outstanding items that will not prevent Handover.

(ii) Outstanding items that have Life Health & Safety implications and must be completed prior to Handover.

(iii) Additional / late works that are to be completed.

(6) A combined Authority snag is carried out with Base representative CE & DIO to include MO, US PM, CPM BCE representative, Customer representative, DFRMO Officer, Building Control and safety specialist. Final snag list is produced and issued immediately to the Contractor.

(7) At the pre-handover meeting a review of consolidated snag list is carried out and agreed. Final snag list is agreed and issued immediately to the Contractor for programme of completion. Proposed handover meeting date confirmed.

(8) As identified snags are remedied to the CoW’s satisfaction the snag list is updated, (reduced). If snags are not cleared satisfactorily the PM may advise of deferred handover date. Minimum of one week notice required for revised Handover.

(9) A random selection of the CoW ‘closed’ snags from the authority snag list are inspected by the USF representatives, usually either the day before or before the Handover meeting.

(10) The objective is to achieve zero snags at handover. Should minor snags exist, these may be accepted where they do not include Life, Health & Safety issues, acceptance will also depend on the quantity of minor snags presented.

Final acceptance for handover shall be determined and agreed by the project team and MO. When agreed handover documentation is to be signed.

Real Property Procedure

Project Manager (PM) provides DD1354 proforma as part of the RTA package (1)

Draft DD1354 shall be signed in acceptance by the Base

(3)

PM to produce the ‘Draft’ DD 1354 at 100% design

(2)

PM issues ‘Interim’ DD 1354 at pre-handover stage & phased / partial handover (4)

‘Interim’ DD 1354 shall be forwarded to the CE Real Property

Manager at the applicable Base (5)

For MILCON or NATO projects) copy should be sent to A7CWF, Chief Finance (6)

Review comments returned to DIO PS for action by PM.

(7)

‘Interim’ DD 1354 shall be formally issued at handover stage (8)

‘Final’ DD 1354 shall be issued on agreement of final account

(9)

Completed Final DD 1354 shall be issued to Base CERP and copied to BCE.

(10)

Real Property Procedure

The above flow-chart and following guidance notes provide details of the procedure to be adopted when completing and issuing the draft, interim and final DD 1354 for a particular establishment.

The issuing of the DD 1354 establishes ownership from the USAF point of view and permits the Base Civil Engineer, (BCE), to maintain and spend money on the new / refurbished facility / utility. Until this document is completed the facility / utility even though in use does not officially belong to USAFE and can not be entered upon the USAFE Real Property Records.

Non-registration of property on the HQ USAFE Real Property Estate Records jeopardises the allocation of any new construction programmed for the Base concerned. Therefore the DD 1354 is a most important document.

The Civil Engineering Real Property Office, (CERPO), is responsible for recording real property adjustments. In the United Kingdom, Defence Infrastructure Organisation administers construction contracts for MOD installations. To determine estimated costs, the construction agent, (Defence Infrastructure Organisation), is to provide an interim DD 1354, (Transfer and Acceptance of Military Real Property), to the Civil Engineering Squadron, (CES), with all relevant data for review no later than 30 days before the final inspection, (pre-handover meeting).

The Real Property Accountable Officer, (RPAO), is required to capitalise the maintainable assets from the construction contracts. Real Property utilise Form DD 1354 to record estimated facility costs which is to be carried out no later than 10 days after pre-handover meeting.

DD 1354’s received late or inadequately completed result in delays sending records to USAFE and possible loss of funding for the following financial year.

Form DD 1354 is to be prepared by the PM at three stages of the project :

(A) Design completion.

(B) Physical completion at the time of formal acceptance inspection.

(C) Together with the issue of the final account.

If beneficial occupancy, associated demolition or phased handovers occur prior to final acceptance of a newly constructed facility, ‘interim’ Form DD 1354’s shall be required at each occurrence.

For NATO conjunctive projects, separate Form DD 1354’s will be required for those assets funded by NATO to those…