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Handover Procedure
Updates
Issue 1
Jan 2010
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Issue 5
July 2012
Issue 6
Jan 2014
Current Issue
Issue 7
November 2014
Nov 2014
Introduction
Trust Wide
Contractors and Estates & Facilities Personnel
Contractor and Construction Based Works on Site
Estates and Facilities Building Design and Projects Manager
Approved
Purpose of this document
This Estates and Facilities Project Completion and Handover Procedure document has been
produced by the Estates and Facilities Directorate of the West Suffolk NHS Foundation Trust
(hereon referred to as the Trust) to advise Contractors* and Designers** and CDM coordinators*** the requirements expected from them while conducting themselves on this and
outlying sites owned and/or managed by the Trust which fall within the remit of the
Construction (Design and Management) Regulations 2007 also known as CDM with regard to
handover of projects.
This Policy and its accompanying documents have been produced in response to Sections 2,
3, 4, 6, 7, 8, 9, 36 and 37 of the Health and Safety at Work Etc. Act 1974, Regulations 3-19 of
the Management of Health and Safety at Work Regulations 1999, and the complete
Construction (Design and Management) Regulations 2007, and its Approved code of
practice (ACoP)
Contractors have a primary duty to comply with the Health and Safety at Work Act, and all
subsidiary legislation, West Suffolk NHS Foundation Trust have a parallel responsibility in
respect of the Health and Safety of their own employees, patients and members of the public.
*Definition of a Contractor:
**Definition of a Designer:
Handover Procedure
West Suffolk Hospital
Content
Guidance Documentation
The Estates and Facilities Project Completion and Handover Procedure Policy is part of a
series of documents covering a wide range of Health, Safety and Welfare issues for the trust,
and is the umbrella document for the Code of Conduct series of documents and provides
details as to where to find specific information.
Estates and Facilities Code of Conduct group of documents
Handover Procedure
West Suffolk Hospital
Introduction
Guidance Documentation
Content
Content
2
3
4
1.0
57
5
5
5
6
7
7
7
8
8
8
2.0
Audit
3.0
Appendices
Appendix A Practical Completion, Handover Requirement (Guidance)
Appendix B Handover Meeting Agenda (Template)
4.0
Reference Material
16
End
17
10- 16
10
15
Handover Procedure
West Suffolk Hospital
1.0
Completion and Handover
When a project nears completion and is to be handed over to the Client it is one of the most
important stages of a construction programme.
Under the Construction (Design and Management) Regulations 2007, the Designer and
Principal Contractor are responsible to ensure all materials, full design, maintenance details,
with amendments, are prepared and documented for the works that have been undertaken.
This will enable the Client to keep or pass on any maintenance and repair information
including electrical and/or mechanical plant for the life of the building to those who may
require the information.
1.1
General Handover Requirements
Two week prior to practical completion the CDM Co-ordinator must receive a draft hard copy
of the Maintenance and Health and Safety Files which have been updated by the Principal
Contractor during the works phase. These Files must have all items and documents as
stated and covered in the Practical Completion Handover Requirement (Guidance) Form
(See Appendix A) or are to be identified as pending. The following persons must check
these files: CDM Co-ordinator, Architect, Design Engineer Mechanical, Design Engineer
Electrical, before being handed back to the Principle Contractor, to amend any comments
and complete any pending items. Only then can it be handed to the Trust as complete.
1.2
Maintenance Manuals
The Maintenance manuals covering the use, installation of the specified materials used within
the structure or installed within the structure (ie plant) should cover information such as any
COSHH assessments for materials, information for cleaning and maintaining surfaces such
as floors, worktops, wall coverings, and should include information regarding the make,
model and manufacturer of all materials/items used to complete the project, and should be
amended if necessary by the principle contractor during the construction period, and made
ready for presenting with the Heath and safety file at project completion to the client.
On completion of the General Handover Requirements in section 1.1 above, the Health and
Safety file along with the projects maintenance manuals are to be handed over to the CDM
Co-ordinator for final assessment and checks, on acceptance of the content of these
documents, a further hard copy and 1 electronic copy (word, PDF and AutoCAD 2011) are
to be passed to the CDM co-ordinator to be presented to the client as completed
documentation for the project, these should be accompanied by a signature form for the
clients representative to sign receipt of all copies of the documents. Further checks to the
documents will be carried out by the Trusts Project Manager for that project, before handing
to the Estates and Facilities Building Design and Projects Manager, for final checks and
logging into the Manuals system. Any request for missing or incomplete information will be
referred to the CDM co-ordinator to gather, and present back to the client within a
reasonable agreed time (normally 2 weeks).
The final documents handed to the client are to be distributed accordingly; one copy will be
handed to the Design Office to keep for reference for any alterations on the building in the
future. The other copy will be handed over to the Operational Estates Manager, enabling the
Works department to make reference for maintenance purpose. As well as the Two hard
copies, One copy is to be provided in electronic format. (see section 1.3 for details of
electronic record drawings). This is to be a complete electronic copy of the hard file and
should be sectionalised to correspond with the hard copy.
By statute (law) the Client has to maintain the file and keep it in a safe place for reference
for the life of the building or plant. The file may then be used to assist the removal or
demolition of the building or plant by knowing what material or form of construction has
taken place.
Handover Procedure
West Suffolk Hospital
1.0
Completion and Handover
1.3
Record Drawings
As part of the Handover pack at the completion of a project or works, the client is to be
presented with electronic copies of drawings and design information. The final electronic
format Drawings are to conform to the following requirements.
All drawings are to be presented in the following format:
Manufacturer :
Autodesk
Product
:
AutoCAD LT
File Format :
DWG
Version
:
2011 or earlier version
All drawings are to have the following Layer Structure:
Site Plan Elements:
0BX-
Note:
Any inserted, embedded items or blocks must be able to be changed over to the layer
system as stated above.
For a Full list of the record drawing layers currently in use refer to Appendix C
Handover Procedure
West Suffolk Hospital
1.0
Completion and Handover
1.4
Pre-Handover Meeting
Prior to the official handover of the Manuals to the client , there should be a pre-handover
meeting arranged, preferable 2weeks prior to handover, to discuss the current content of
the manuals, allowing time for additions, Substitutions or omissions to be made. (See
Appendix B for Handover Meeting Agenda)
1.5
Handover of Manuals to the Client
These must be signed for by the Client (Truss project manager) and a copy of the signature
form passed back to the CDM Co-ordinator and a copy placed in the project file. The copy
handed to the works manager who shall also sign for their copy.
1.6
Induction / Training for Maintenance and Estates Staff
On acceptance of the building, plant, or works the Trusts Project Manager shall arrange a
final tour and training for maintenance staff, with the Trusts Clerk of Works. Any comments
on the design and installation are to be communicated back to the design team. If outside
the brief, these shall be reported to the Estates Manager for consideration.
Tours and Training sessions are to be arranged to cover all estates staff, Infection
Prevention and occupants, staggered over the day, this is to be co-coordinated through the
Clerk of Works.
1.7
Protocol Procedure at Handover
The persons present at handover should be (Project Team):
Project Manager (Client)
Clerk of Works
Project Manager (Framework)
Architect
Design Engineer (Electrical)
Design Engineer (Mechanical)
Design Engineer (Structural)
CDM Co-ordinator
Principal Contractor
Principal Sub-contractors
Estates Manager
Operational Estates Manager
Estates Staff (for training)
The Project Manager is to ensure the items covered by the Practical Completion Handover
Requirements Guidance Form (Appendix A) have been achieved and the building, plant, etc
are in accordance with the signed off brief as accepted by the Project Team at the design
stage. The Project Manager will then be in a position to hand over the building to the Client
for the purpose of any Trust commissioning.
The General Manager, Ward Manager or their representative and the Infection Prevention
Team are invited to attend handovers so they may be briefed on any outstanding items or
matters before bringing the building and plant into use or for commissioning to begin.
To reduce taking up valuable time of Hospital Staff, it is recommended the General Manager
or their representatives attend the handovers 1hr after the scheduled handover start so they
are not waiting unnecessarily for the formalities of the contract procedure to finish.
On acceptance of the building or works the Hospital Staff should be shown around, any
comments on standard of finished items they may give are for the Architect or Supervising
Handover Procedure
West Suffolk Hospital
1.0
Completion and Handover
Officer to consider, any outside the brief are to be noted and reported to the Project
Manager before further action is taken.
At time of handover all outstanding snags must be documented and a guarantee that ALL
works will be completed within an agreed period (normally 2 weeks).
Any items listed in appendix A that are not present or completed at handover, will constitute
a failure to handover, and handover will not be accepted by the Trust.
1.8
On Completion of Handover
On completion of handover the following items can commence / be produced:
The certificate of practical completion be issued
The contractor gives up possession of the site to the client
A proportion of the retention fund is authorised for release, dependant on successful
completion of snagging
Security and Insurance of the site becomes the responsibility of the Trust
Keys and spares are handed over to client and recorded as part of the handover
documentation
The defects liability period commences
1.9
Defects Liability Period
On commencement of the Defects period after agreement of practical completion the
following is to be agreed:
The arrangements agreed between client and contractor for dealing with faults during the
12months following Handover/practical completion which require immediate attention
Records of works completed in the defects liability period are to be recorded, and to include:
The nature of the defect
Any subsequent damage to other plant and systems caused as a result of the defect
Correspondence between the client and the contractor regarding the defect
Dates of all events actions and correspondence
Action taken by the contractor
During month 10 of the defect liability period a list of outstanding defects is to be compiled
by the clients representative and issued as an instruction to the contractor
The remainder of the retention is released when all listed outstanding defects have been
made good, and the 12 month period from handover has lapsed.
1.10 Final Account
The final account involves the following
The final account details the adjustment of all the prime costs and provisional sums, plus all
the variations
A final certificate is issued by the architect when all the listed outstanding defects have been
made good and the final account agreed.
Handover Procedure
West Suffolk Hospital
2.0
CDM Audit
2.0
Audit
The Trust shall audit compliance of this policy. The purpose of the CDM Policies Audit is to
ensure that the Policy is being followed and adhered to.
Audit of the CDM policy will be summarised as part of the Contractors Post Project
Evaluation, and any issues arising from this evaluation will be addressed in an update of this
policy and any other Facilities Policy that it may impact upon. Any finding shall also be
reported to the Estates Development Manger and Estates Manager. A summary of the
report is to be presented to the Health and Safety Committee, and by exception to the
Capital Group as necessary on the conclusion of each financial year.
Handover Procedure
West Suffolk Hospital
3.0
Appendices
Full ___
Partial
Beneficial Occupation
___
___
Checklist
Record Drawing As Fitted / Installed
NO
YES
N/A
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Automatic Doors
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Handover Procedure
West Suffolk Hospital
3.0
Appendices
NO
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YES
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N/A
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Chlorination certificates
___
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Drainage Systems
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Sprinkler Systems
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Earth bonding
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Lift Installation
___
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___
Pharmacy
Estates
Water Pressure test
Ventilation / ductwork
Oxygen
VAC
Med Air 4bar
Med Air 7bar
Entonox
Tests
Padlocks / keys
Cleaning
Balancing
Volume/air movement
Handover Procedure
West Suffolk Hospital
3.0
Appendices
Building
NO
YES
N/A
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CDM - Manuals
Health and Safety File with maintenance manuals.
Complete
Checked by CDM Co-ordinator
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Agreed
N/A
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Mechanical
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Electrical
___
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Handover Procedure
West Suffolk Hospital
3.0
Appendices
Completed
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
...
Handover Procedure
West Suffolk Hospital
3.0
Appendices
RECORD OF HANDOVER
Project Title................................................ Project Number.................................................
Project Manager.. (Trust).(Castons)
Date .(day)(month)(year)..(time)
Full
Partial
Beneficial Occupation
Duty Holders
Project Manager(on behalf of the Trust)
Project Manager....(on behalf of Castons)
Architect......(on behalf of KLH)
Mechanical Engineer.... (on behalf of JSH)
Electrical Engineer (on behalf of JSH)
Structural Engineer..... (on behalf of MLM)
CDM co-ordinator ..(on behalf of CASS)
Principle Contractor..(on behalf of .)
Principle Sub-Contractor (Electrical).....(on behalf of .)
Principle Sub-Contractor (Mechanical).....(on behalf of .)
User Group
Department Head.(on behalf of .)
Estates Manager..(on behalf of .)
Works Manager.(on behalf of .)
Fire Officer.........................(on behalf of the Trust)
Handover Procedure
West Suffolk Hospital
3.0
Appendices
Project Title
Hand-over meeting held on the [insert date] at [insert time] in the [insert venue]
1.
Apologies.
2.
3.
4.
5.
6.
7.
Site Arrangements
Welfare Facilities
Site Compound
Security
Grounds
Temporary Services
Recharges Of Utilities
8.
Contract Documents -
Method Statements
Health & Safety File
Maintenance Manuals
As Fitted Drawings
Test Certificates
9.
10.
11.
12.
13.
Programmed
Actual
- Cleared
- Cleared
- Cleared
- Made Good
- Disconnected
- Final Bills
Handover Procedure
West Suffolk Hospital
3.0
Appendices
Handover Procedure
West Suffolk Hospital
3.0
Appendices
Handover Procedure
West Suffolk Hospital
3.0
Appendices
Existing Buildings
0BX-Existing Buildings Hatch
0BX-Existing Site
0BX-Grid Local
0BX-Grid Ordnance Survey
0BX-LLA Existing Vegetation
0BX-LLA Landmark Trees
0BX-LLA Trees
0BX-LLA Woodland
0BX-North Arrow
0BX-Off Site Areas
0BX-Scale
0BX-Site Boundary
0BX-Survey Station Cords
0BX-Text
0BX-Vehicle Ambulance
0BX-Vehicle Helicopter
BORDER
TITLE
VIEWPORT
Handover Procedure
West Suffolk Hospital
4.0
4.0
Reference Material
Reference Material
There are hundreds of statutory and non-statutory guidance that are required to be complied
with in connection to Health and Safety, Management, NHS and the construction industry.
These Regulations / Guidance and reference materials are detailed in the Estates and
Facilities, Health, Safety and Welfare Policy FP(14)1001 under Reference Material.
Handover Procedure
West Suffolk Hospital
End