Attachment_Q_-_DGS_Project_Turnover_Protocol_–_2016.pdf

GOVERNMENT OF THE

DISTRICT OF COLUMBIA

Revision 1.1 July 17, 2017 (Pages 18 & 19 added)

Revision 1.2 Feb. 05, 2018 (FTM changed)

1. INTRODUCTION:

The Turnover Protocol is the process for transfer of a construction project from the Capital Construction Division (Construction) to the Facilities & Maintenance Division (Facilities) of the District of Columbia’s Department of General Services (DGS).

The following Step by Step Procedures, and associated documents, provide the process to:

a) Allow Facilities input into the design process,

b) Provide Facilities with prior knowledge of upcoming revisions and additions to their portfolio, and

c) Facilitate timely transfer of the documents required by Facilities to adequately maintain the facility, immediately the project is turned over to them.

The process also allows for the collection of project documents required to be placed in DGS archiving system for future use and reference.

The two principal contacts for the Turnover Protocol are currently:

Construction Turnover Manager (CTM):

Robbie Stewart robbie.stewart@dc.gov 202-481-3440 (office) 202-735-6857 (cell)

Facilities Turnover Manager: (FTM)

Vaughn Wallace vaughn.wallace@dc.gov

2. STEP BY STEP PROCEDURE

TURNOVER PROTOCOL - STEP BY STEP PROCEDURE

STEP TITLE DESCRIPTION TURNOVER

DOCUMENTS

DESIGN PHASE

1 Invite Construction

Turnover Manager to Design Kickoff Meeting.

PM shall invite Turnover Managers to the Design Kick–Off Meeting to familiarize themselves with the anticipated scope and schedule. FTM will provide lessons learned from previous projects, any preferences regarding the building systems and institutional knowledge of the facility. CTM will advise on latest Division 1 specifications to be used for project. Project Manager (PM) will advise the Turnover Managers of the anticipated document review schedule.

Lessons Learned & Recommendations (Provided by Facilities, Agency Dependent).

2 Opportunity to review A/E submittals- Schematic Documents.

PM will provide CTM with an electronic copy of Schematic Design Documents for distribution to appropriate Facilities staff for review and comment.

(not more than ten workings days review time).

CTM will collate and provide comment to PM.

Turnover Managers shall be invited to the design review meeting.

Review Comment Form

3 Opportunity to review A/E submittals- Design Development Documents.

PM will provide CTM wilth an electronic copy of Design Development Documents for distribution to appropriate Facilities staff for review and comment.

(not more than ten workings days review time). PM will also provide a response to the previous comments. CTM will collate and provide comments to PM. Turnover Managers shall be invited to the design review meeting.

Review Comment Form

4 Opportunity to review A/E submittals- Construction Documents.

PM will provide CTM with an electronic copy of proposed Construction Documents for distribution to appropriate Facilities staff for review and comment.

(not more than ten workings days). PM will also provide a response to the previous comments. CTM will collate and provide comment to PM. Turnover Managers shall be invited to the design review meeting.

Review Comment Form

CONSTRUCTION PHASE

5 Construction Kickoff meeting.

PM shall invite Turnover Managers to the Construction Kick–Off Meeting. FTM shall be provided with a copy of the contract drawings, specifications and construction schedule. Turnover Managers shall be made aware of the Progress Meeting schedule.

Update 04/18/16 1 of 3

DOCUMENTS

6 Pre Close-In Walkthrough.

At appropriate times during construction, Project Manager shall invite Turnover Managers to a walkthrough of the project. This will allow Facilities staff to observe and familiarize themselves with the as-built condition of building systems, prior to close-in, and comment on any noted concerns. Client agency staff should also be invited to these walk-throughs.

7 Notify Turnover Managers of Commissioning Schedule.

Once active commissioning is scheduled FTM shall be advised. This will allow Facilities to observe the commissioning, to the extent they determine applicable, based on the systems involved in the project. PM should provide the completed Equipment List at this time.

Equipment List

8 Schedule Closeout Conference

PM and contractor shall schedule Project Closeout Conference with sufficient time to prepare for requesting Substantial Completion. (see specification section 013100) CTM shall provide the Turnover Checklist and discuss the items applicable to the project.

Turnover Checklist Base

9 Schedule Training Sessions.

Contractor and PM, in coordination with Turnover Managers, shall schedule the training sessions required by the contract documents. Provide Turnover Managers with a minimum of five working days notice (10 preferred) to allow Facilities to schedule the correct personnel. Record all training sessions in accordance with specification section 017900.

10 Pre-Substantial Completion Walkthrough.

PM shall invite the FTM to the inspection. (Following the contractors written request for Substantial Completion in accordance with specification section 017700)

Request for Substantial Completion Letter

11 Process Certificate of Substantial Completion.

PM shall review the documents provided by the Contractor, mark up the Pre-Substantial Completion Section of Turnover Checklist and provide to CTM for verification. PM and CTM shall process the Certificate of Substantial Completion.

1. Certificate of Substantial Completion

2. Turnover Checklist (Pre-Substantial Completion Section)

12 Process Certificate of final Completion.

PM shall review the documents provided by the Contractor, mark up the Pre-Final Completion section of the Turnover Checklist and provide to CTM for verification. PM will not process the Certificate of Final Completion (final Payment) until CTM advises all requirements have been met.

Update 04/18/16 2 of 3

Marked up Turnover Checklist (Pre-Final Completion Section)

DOCUMENTS

POST-CONSTRUCTION PHASE

13 Confirm Second

Season HVAC Commissioning done.

Sign and date relevant box in the Post-Final Completion section of the checklist and forward to

CTM.

Marked up Turnover Checklist (Post-Final Completion Section)

14 Confirm miscellaneous Post- Final Completion items are done.

Once items are done, sign and date relevant box in the Post-Final Completion section of the Turnover Checklist. Forward to CTM.

Marked up Turnover Checklist (Post-Final Completion Section)

15 One Year Warranty Expiration Walkthrough.

PM shall schedule this walkthrough, invite the Turnover Managers and client agency representatives. Once the generated punch list is complete, sign and date relevant box in the Post- Final Completion section of the Turnover Checklist and forward to CTM.

Marked up Turnover Checklist (Post-Final Completion Section)

16 Final LEED Documentation Completion.

Once LEED certification is complete, sign and date the relevant box in the Post-Final Completion section of the Turnover Checklist. Forward a copy of certification to CTM.

Marked up Turnover Checklist (Post-Final Completion Section)

Update 04/18/16 3 of 3

3. TURNOVER RELATED DOCUMENTS

Project: Date:

Reviewer: Review Stage:

ITEM

DRAWING/

SECTION

TOPIC COMMENT RESPONSE FOLLOW UP

TURNOVER PROTOCOL

REVIEW AND COMMENT FORM

Updated 06/22/16 Page 1 of 1

DGS CAPITAL CONSTRUCTION/FACILITIES MANAGEMENT TURNOVER PROTOCOL FORM UPDATE 11/23/15

MEP ‐ Equipment Listing

Agency

NOTE:

Facility

Address

Equipment Type Manufacturer Model No. Serial No. Refrigerant RPM Voltage AMPS Horse Power Installation Date BTU Fuel Type Filter Size Size/Capacity Room Number Floor

Number Label

PLUMBING

HVAC

ELECTRICAL

If in doubt whether on not to include a piece of equipment, incude anything that has a serial number.

Anticipated Date of Substantial Completion:

Pre-Substantial Completion Note

DGS PM

CHECK

Date Complete Comments A B C D

2.1

2.2

2.3

2.3

2.3

2.3

2.3

2.4

2.3

2.5

2.6

2.7

2.8

2.8

2.9

2.10

2.11

2.8

2.801 77 00

Proposed schedule of maintenance

Project contact information list.

Equipment schedule (in excel) 01 78 23

Equipment Label schedule, if applicable. 01 78 23

Operation Certificates & Permits

Inspection Approval Card

Boiler inspection (Green Stickers)

Occupancy Load Certficates posted 01 77 00

Commisioning / HVAC balancing complete

All training completed

Emergency evacuation plans (completed)

Final cleaning completed

01 78 23

GOVERNMENT OF THE DISTRICT OF COLUMBIA

DEPARTMENT OF GENERAL SERVICES

CONSTRUCTION / FACILITIES DIVISIONS

TURNOVER CLOSEOUT CHECK LIST

Activity

Initials

SPEC

SECTION

Project Name:

Project Manager:

Distribution

01 77 00

Elevator (conveying system) inspection 01 77 00

01 77 00

Health Inspection

Other operator certificates (per project)

01 77 00

01 77 00

Certificate of Occupancy

01 77 00

01 77 00

O & M manuals submitted

Keys: permanent cores and keys to COTR

Punch list with all material items resolved.

01 91 13

01 79 00

01 78 23

01 50 00

Fire sprinkler and fire alarm certification

Verified Received by:

Name:

Facilities Turnover Manager Date form update 2/1/2016 1250 U STREET, NW ● 4TH FLOOR ● WASHINGTON, D.C. 20009 Office:(202)481-3440 ● Main: (202)724-4400 Page 1 of 4

GOVERNMENT OF THE DISTRICT OF COLUMBIA

DEPARTMENT OF GENERAL SERVICES

CONSTRUCTION / FACILITIES DIVISIONS

TURNOVER CLOSEOUT CHECK LIST

Project Name:

Project Manager:

Documents from GC Note

DGS PM

CHECK

Date Complete Comments A B C D

3.1

3.2

3.3

3.4

3.2

3.5

3.6

3.6.1

3.6.2

3.7

3.2

3.2

3.2

3.2

3.8

3.8

3.8

3.8

3.8

3.8

3.8

3.8

3.8

3.8

3.9

3.10

3.2

3.11

3.12

3.2

3.13

3.14

01 77 00

Waste Removal, Recycling & Utilities

01 77 00

DateFacilities Turnover Manager

Name:

Verified Received by:

01 50 00Mold prevention certification

SPEC

SECTION

Pre-Final Completion Initials Distribution

Maintenance Agreements

Drawings (hard copies & PDF and CAD files) 01 78 39

Warranty information / documents

Valid Bonds & Insurance (post-construction)

01 78 70

Elevator (conveying system) certification

01 77 00

Termite pre-treatment report

Emergency evacuation plans (posted).

Environmental, Health & Safety documents.

Removal of all temporary facilitites. 01 50 00

Final Property Survey

LEED, Preliminary Construction Review

As-built documents.

Training video submitted 01 79 00

Final meter reading for utilitites 01 50 00

Fuel Tanks Filled

Pest Control Inspection Field Report 01 50 00

Punch list with all items resolved. 01 77 00

01 78 61

Environmental Reports (Phase 1, 2, etc.)

01 77 00

Attic stock, parts and equipment list

01 78 39

01 77 00

UST/Contaminated Soil Closure Report

SWM approval

MSDS for finishes & materials incorporated.

Hazardous Materials Manifest (if not in reports)

Lead Paint Closure Report

Asbestos Closure Report

Activity

Specifications

01 78 70

Final Commissioning report.

01 77 00

01 77 00

01 77 00

Permanent utility meters installed

Valve Plan

Dedication Plaque Posted

Tags, labels, plaques (if applicable) Meter plan

Office:(202)481-3440 ● Main: (202)724-4400 Page 2 of 4

DEPARTMENT OF GENERAL SERVICES

CONSTRUCTION / FACILITIES DIVISIONS

TURNOVER CLOSEOUT CHECK LIST

Project Name:

Project Manager:

Documents from GC Note

DGS PM

CHECK

Date Complete Comments A B C D

4.1

4.1

4.2

4.2

4.2

4.2

A.

B.

C.

D.

One hard copy to the Facilities. Location to be co-ordinated with Facilities.

One electronic copy of schedule to Facilities Turnover Manager, through Construction Turnover Manager. Materials and equipment to facility at location agreed with DCPS/DGS Facilities.

3.1. Valid Bonds and Insurance: Confirm contractor has complied with the contract requirements by initializing in the “PM Check” column.

Mark N/A if not applicable.

3.2. Confirm complete by initializing in the “PM Check” column and dating in the “Date complete” column.

3.3. Warranty Information/Documents:

3.3.1. All warranties shall start on the date Substantial Completion is determined.

3.3.2. Special warranties, those extending past the General Contractors standard one year warranty, must not be addressed solely to the

General Contractor. They must also be addressed to the benefit of the District.

identifying the piece of equipment, the designation, the room and the label location.

2.8. Confirm complete by initializing in the “PM Check” column and dating in the “Date complete” column.

2.9. Project Contact Information Sheet: Provide an electronic copy at this stage. Include at front of the warranty binder at final completion.

2.10. O&M Manuals Submitted:

2.10.1. Manuals are required at Substantial Completion as the Owner will be responsible for maintenance as of that date.

2.10.2. O&M Manuals shall be organized in the same order as the project specification sections. Provide electronic files divided by specification division and with filenames starting with the specification section. This will allow for ease of archiving and retrieval.

2.11. Proposed Schedule of Maintenance: The O&M manuals shall include a written schedule of maintenance.

3. FINAL COMPLETION

2. SUBSTANTIAL COMPLETION

2.1. Certificate of Occupancy: Provide an electronic copy. Provide partial if this Turnover is for a particular phase of the project.

2.2. Occupancy Load Certificates: Confirm these have been posted.

2.3. Other Inspections: Provide copies of final inspections and approvals as applicable to project.

2.4. Emergency Evacuation Plans: Confirm these are prepared and ready for posting. They must be posted at time of occupancy.

2.5. Punch List with all material items resolved: Provide a copy of the consolidated punch list. At Substantial Completion all material punch list items have to be completed. Material punch list items are those that would restrict the Districts full intended use of the facility.

2.6. Equipment Schedule: Provide an equipment schedule in accordance with the example attached.

2.7. Equipment Label Schedule: If the specifications require equipment to be labeled for ease of identification, provide a schedule

1. GENERAL NOTES

1.1. PM to initial and date (when completed) against each item applicable to the project.

1.2. PM to note “N/A’ against each item not applicable to the project.

1.3. For each phase, all documents are to be collected by PM and turned over to Turnover Manager at one time.

1.4. When submitting each phase, don't leave a box in the ‘PM Check’ column blank. Either initial as done, mark N/A, or provide a comment.

1.5. Distribution Columns will be filled in by Construction Turnover Manager.

Facilities Turnover Manager Date

Name:

One hard copy and one electronic copy to Facilities Turnover Manager, through Construction Turnover Manager One electronic copy to Facilities Turnover Manager, through Construction Turnover Manager.

Verified Received by:

Distribution

LEED EA Credit 5 verification.

Second season HVAC commissioning completed.

Initials

Activity

SPEC

SECTION

Pre 1 year warranty expiration inspection.

Elevator inspection report (one year)

Post-Final Completion

Fire Alarm inspection report (one year)

Infrared testing of electrical system (6 months)

Office:(202)481-3440 ● Main: (202)724-4400 Page 3 of 4

DEPARTMENT OF GENERAL SERVICES

CONSTRUCTION / FACILITIES DIVISIONS

TURNOVER CLOSEOUT CHECK LIST

Project Name:

Project Manager:

3.13. Final Property Survey: Provide in PDF format if required by Contract Documents or Surveyors office.

3.14. Waste Removal and Recycling: Confirm systems set up and coordinated with Sustainability. If a Landlords responsibility mark N/A.

4. POST-FINAL COMPLETION

4.1. Confirm complete by initializing in the “PM Check” column and dating in the “Date Complete” column.

4.2 If required by contract documents, confirm complete by initializing in the “PM Check” column and dating in the “Date complete” column.

Mark N/A if not applicable.

3.7. LEED Preliminary Construction Review: Confirm information has been submitted by initializing in the PM Check column. Mark N/A if not applicable.

3.8. Environmental, Health & Safety Documents: Provide all applicable documents in electronic format for archiving. Mark N/A if not applicable. Do not leave blank.

3.9. Final Meter Reading for Utilities: Confirm final readings have been taken and responsibility transferred to the District. If a Landlords responsibility mark N/A.

3.10. Permanent Meters installed: Confirm no temporary meters remain in use.

3.11. Training Videos Submitted: Submit electronic copies of all training sessions on CD’s, or flash drive.

3.12. Final Commissioning Report: Provide in electronic and hard copy format.

Completion unless otherwise agreed to in writing by the COTR. Agreements must be written to the benefit of the District. The scope of work must be clearly stated, in the agreement, to allow the Facilities Maintenance staff to confirm the work is being completed.

3.5. Attic Stock: Confirm all attic stock has been provided by initializing in the PM Check column. Provide an itemized list, with quantities, of all materials, parts and equipment.

3.6. As Built Documents:

3.6.1. Drawings: Provide hard copy of red line as-builts. Provide electronic PDF files by discipline. Provide CAD files, including all required

XRef files.

3.6.2. Specifications: Provide an electronic copy of the complete set of project specifications, amended to reflect any changes occurring during the construction phase.

3.3.3. Provide warranties in a separate binder and electronic file, regardless of whether or not provided in the O&M’s.

3.4. Maintenance Agreements: If the project includes Maintenance Agreement(s) these agreements shall start at the date of Substantial

Office:(202)481-3440 ● Main: (202)724-4400 Page 4 of 4

REQUEST FOR SUBSTANTIAL COMPLETION

[Date]

Capital Construction Services Department of General Services 1250 U Street, NW, 4th Floor Washington D.C. 20009

Attention: _____________________________[COTR]

Reference: _____________________________ [project name]

Dear Sir/Madam, ____________________________________ [contractor] hereby requests an inspection for determination of date of Substantial Completion for the above referenced project, or portion hereof as detailed below.

[insert description of partial area] The following documents are attached:

Certificate of Occupancy.

Other final inspections, operating certificates, and similar releases, permitting District unrestricted use of Work and access to services and utilities. [list] Draft copies of warranties, workmanship bonds, maintenance service agreements, final certifications, and similar documents, including a warranty contact list.

Comprehensive Punch List, as approved by COTR, with all material items completed.

Schedule of Attic Stock, including all tools, spare parts, extra materials, and similar items, as required by Specification Section 017861.

Operation and Maintenance Manuals in accordance with specification section 017823.

Equipment list in spreadsheet format, including equipment label information.

Closure reports for environmental abatement work performed by the contractor. (list) Draft commissioning report of systems, subsystems, and equipment in accordance with Section

01 91 13, including letter from Commissioning Agent certifying that all material issues have been resolved and systems are fully functional.

Additionally we advise the following:

The following utility meter numbers need to be transferred to District responsibility as of date of Substantial Completion

PEPCO _____________________________________

Washington Gas _____________________________________ DC Water. _____________________________________ Other [specify] _____________________________________

We have contacted and advised the door hardware manufacturer to have the permanent keys and cores delivered directly to you prior to date of Substantial Completion.

All fuel oil tanks have been filled. They will be topped off on the day designated for Substantial Completion.

All training required by the Contract Documents has been completed.

Please advise when the inspection will be conducted.

Sincerely

[Signature and printed name]

CERTIFICATE OF SUBSTANTIAL COMPLETION

Certificate of Substantial Completion Page 1 of 2

(Use this form if DGS PM is a DGS employee. If DGS PM is a contractor use alternate form)

PROJECT NAME: ___________________________________________________________________

CONTRACTOR: ___________________________________________________________________

PROJECT No.: - - -

COMPLETE PROJECT.

PARTIAL – List areas/phase

COTR to complete Section 1 or Section 2

SECTION 1

As requested by the Contractor, the COTR has inspected the project and the submitted close-out documents.

The following items must be completed or corrected prior to certifying the Date for Substantial Completion.

ITEM DESCRIPTION COMPLETE

Once the above noted items are complete, submit written request for re-inspection.

COTR and printed name Date

Certificate of Substantial Completion Page 2 of 2

SECTION 2

As requested by the Contractor, the COTR has inspected the project and the submitted close-out documents and recommends the Project, or Specified area of the Project, be accepted as Substantially Complete at ______________ (time) on _______________, 20__. (date)

COTR and printed name Date

Construction Turnover Manager and printed name Date

Cluster Leader and printed name Date

The Project, or specified area of the Project, are accepted as Substantially Complete at ______________ (time) on _______________, 20__. (date)

All warranties will start the day of Substantial Completion, with the exception of those items remaining on the attached punch list, which will start as of the date of Final Completion. The failure to include an item on the punch list does not alter the responsibility of the Contractor to complete all the Work in accordance with the Contract Documents, including authorized changes thereof. The Contractor shall complete or correct the work on the attached punch list by ____/____/____. If the list of items is not completed within the time allotted the District has the right to be compensated for the delays and/or complete the work with the help of an independent contractor at the expense of the retained project funds.

If the retained project funds are insufficient to cover the delay/completion damages, the district shall be promptly reimbursed for the balance of the funds needed to compensate the District, either directly or by claim against the Performance Bond.

Certificate of Substantial Completion (DGS PM is Contractor) Page 1 of 2

(Use this form if DGS Project Manager is not a DGS direct employee)

PROJECT NAME: _____________________________________________________________

CONTRACTOR: ___________________________________________________________________

PROJECT No.: - - -

COMPLETE PROJECT.

PARTIAL – List areas/phase

DGS PM to complete Section 1 or Section 2

SECTION 1

As requested by the Contractor, the DGS PM has inspected the project and the submitted close-out documents.

The following items must be completed or corrected prior to certifying the Date for Substantial Completion.

ITEM DESCRIPTION COMPLETE

Once the above noted items are complete, submit written request for re-inspection.

DGS PM and printed name Date

Certificate of Substantial Completion (DGS PM is Contractor) Page 2 of 2

SECTION 2

As requested by the Contractor, the DGS PM has inspected the project and the submitted close-out documents and recommends the Project, or Specified area of the Project, be accepted as Substantially Complete at ______________ (time) on _______________, 20__. (date)

DGS PM and printed name Date

Construction Turnover Manager and printed name Date

Cluster Leader (COTR) and printed name Date

The Project, or specified area of the Project, are accepted as Substantially Complete at ______________ (time) on _______________, 20__. (date)

All warranties will start the day of Substantial Completion, with the exception of those items remaining on the attached punch list, which will start as of the date of Final Completion. The failure to include an item on the punch list does not alter the responsibility of the Contractor to complete all the Work in accordance with the Contract Documents, including authorized changes thereof. The Contractor shall complete or correct the work on the attached punch list by ____/____/____. If the list of items is not completed within the time allotted the District has the right to be compensated for the delays and/or complete the work with the help of an independent contractor at the expense of the retained project funds.

If the retained project funds are insufficient to cover the delay/completion damages, the district shall be promptly reimbursed for the balance of the funds needed to compensate the District, either directly or by claim against the Performance Bond.