Asset Information Handover Guidelines from Planning and Construction to Operations and Maintenance (2024)
Chapter: Appendix C: Sample Document Language
APPENDIX C
Sample Document Language
Development of an asset management program in support of the airport’s expectations for a seamless asset information handover upon project closeout will help ensure all stakeholders understand the importance of such documents for future reference and use during operations and maintenance activities. Asset management as a program concept is a set of interrelated processes and procedures developed in support of the airport organization’s operations, maintenance, and asset management objectives. The development of a policy is not mandatory; however, should management elect to develop one outlining the airport’s objectives, it will support the staff’s understanding of the overall importance of asset information handover processes and procedures upon actual closeout of every project. Example language for a policy statement follows.
Example Policy Statement Language
The (NAME OF AIRPORT POSITION RESPONSIBLE FOR POLICY-MAKING) is committed to sustainably managing its existing infrastructure and facilities at (NAME OF AIRPORT) and proactively planning for future growth. We utilize a systematic approach to managing the physical or constructed assets at this airport to cost-effectively maintain a safe and efficient airport operation. (NAME OF AIRPORT)’s executive leadership, senior management, and key personnel recognize the importance of asset management and have adopted this policy to offer guidelines for the coordination and collaboration necessary to achieve organizational objectives.
Current best asset management practices include implementation of an Asset Management Program where capital assets are inventoried, monitored, and managed over time to ensure the longevity and sustained viability of the assets as components of an effectively functioning system. Therefore, (NAME OF AIRPORT)’s Asset Management Program must maintain accurate records of its physical or constructed assets whose value and useful life meet the definition for capital assets. This policy establishes our commitment to ensure compliance with government regulations, accounting industry standards, an accurate reporting of physical or constructed assets, all while upholding our organizational objectives in alignment with industry best practices. To meet these objectives, we will be an organization that (LIST GOALS THAT WILL HELP MEET IDENTIFIED OBJECTIVES, SOME SUGGESTIONS):
- Aligns its asset management initiatives with the goals and objectives of the airport.
- Identifies needs and costs to support asset management initiatives.
- Utilizes an Enterprise Asset Management System (software tools) to manage asset information.
- Maintains an accurate inventory of its managed assets.
- Develops and follows processes and procedures that outline expectations for planning, design, and construction projects and the resulting operations and maintenance requirements of the newly created assets.
- Provides adequate staffing and training to perform preventive maintenance activities that help ensure airport operations; safe, adequate facilities; and reliable service to airport stakeholders and customers.
- Establishes strategic plans for managing asset information.
- Identifies opportunities for maintenance optimization and alternatives for capital infrastructure improvement needs.
- Evaluates total cost to acquire, develop, operate, maintain, renew/replace, and dispose of assets to be used as criteria for decision making.
- Demonstrates fiscal responsibility through prioritization of improvement projects.
Example Division 01 Project Closeout Information
The following is a list of suggested items and activities typically associated with the project closeout specifications process:
- Complete as-built drawings
- Complete set of technical specifications and marked-up as-built documents (also referred to as “record” documents)
- Operations and maintenance manuals in electronic format
- Warranties
- Project submittals and shop drawings
- Commissioning and systems testing reports
- Inspection reports
- Executed substantial/final completion forms
- Leadership in Energy and Environmental Design (LEED) documentation
- Testing and balancing report
- Other as requested by the owner
The following paragraphs and sentences are offered as a reference, to support development specific to an internal set of specifications for projects and related asset information handover process and procedure documents. Single paragraphs like those that follow will not constitute a process or procedure specific to asset information handover requirements. The overall process could be comprised of a multitude of standalone documents that address various components of the process of ensuring that your airport stakeholders’ needs are appropriately addressed within design and construction projects.
FOREWORD TO THE DIVISION 01 SECTIONS
The Division 01 GENERAL REQUIREMENTS sections are not fixed documents. These specification sections are guides that are not only intended to be edited for specific project requirements but can also be periodically updated to incorporate changes over time in general and specific procedures.
The “name of airport” sections have been developed to correspond, where practical, in subject matter, title, and section number with copyrighted issues of the “cite source of the master specifications subscription service, if one has been utilized” Division 01 sections, as published by “more specific information to inform the reader of the specifications sections source.” Although much of the language and format is intentionally the same, the “source of subscription specifications (assuming used)” Division 01 sections cannot be used directly for “airport name” contracts without extensive and repetitive editing instructions, including basic contract provisions contained in the “airport name” procurement processes and contract clauses and terminology.
GENERAL COORDINATION
An effort has been made to not repeat requirements included in the construction contract clauses although, in some cases, such a requirement may be repeated to the extent required to establish a context for the subject matter in the specifications section. An effort has been made to avoid provisions that conflict directly with the requirements of the construction contract clauses and with what is generally included in related bidding and contracting (procurement) documents. Because the content of these bidding and contracting documents sections can be very broad, conflicting requirements that may result should be deleted from the Division 01 specifications sections.
EDITING INSTRUCTIONS FOR DIVISION 01 SECTIONS
DIVISION 01 GENERAL REQUIREMENTS specifications include several basic sections and optional specifications sections. Those specific to asset information handover as a procedure are typically outlined within the 01 70 00 series of sections for project Execution and Closeout Requirements.
Basic sections are intended to be used for most construction contracts and will address such topics as:
- Summary (of Work)
- Price and Payment Procedures
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Administrative Requirements
- Construction Progress Documentation
- Submittal Procedures
- Quality Requirements
- Temporary Facilities and Controls
- Product Requirements
- Execution and Closeout Requirements
These titles are representative of specifications section topics that should be included in most projects and prepared in coordination with conditions of the contract. Additional Division 01 specifications sections should be edited and become a part of the project as specific project conditions require or apply. These “name of airport” guide specifications sections are intended to be continuously reviewed and revised and users’ technical comments are appreciated.
What is important to asset information handover success will be how and what is stipulated within the Execution and Closeout Requirements specifications sections and whether your airport staff appropriately manages these requirements throughout every phase of design and construction. Some construction contracts include requirements for maintenance contracts for the new asset. If this is the case, closeout submittals should address your requirements for maintenance contracts, including the length of the contract, contract information, and other relevant details. Closeout submittals also address the operations and maintenance data required for airport staff to know how to properly operate and maintain the newly constructed assets, and numerous other documents that, as the owner of the newly constructed assets, an airport owner will need and want to know. Should you already have a computerized maintenance management system (CMMS) implemented, there should be, as part of these closeout requirements, a requirement for the construction team to provide you with the asset data needed to populate the CMMS.
Example Division 01—General Requirements Project Closeout Specification Language
The following examples of project closeout specifications section text are offered for reference. Note that portions of the text are contained within quotation marks and should be edited to appropriately reflect your airport’s situation. These paragraphs are not intended to be all-encompassing but should be considered as your airport develops a similar standard specifications section. If you have experienced a successful project and delivery of requested operation and maintenance data, it is recommended that the specifications section outlining that project’s closeout submittals be reviewed for applicability and possible future use. The first series of paragraphs are specific to operations and maintenance data submittals. It has been assumed that the CSI specifications format standard is understood by the reader.
These paragraphs are based on the premise of using an owner-contractor general agreement, general conditions, and associated documents that delineate contractual requirements for the project. The intent of any Division 01 specifications section is to supplement such contractual requirements. Those responsible for developing the sections of the specifications should edit this example text taking into account the contractual requirements and understand that the following paragraph text could repeat or contradict statements described elsewhere in the project procurement documents. Specifications writers should coordinate such sections and statements on a project-by-project basis.
The following example text addresses hard-copy deliverables as well as electronic files for those airports that still prefer the hard-copy approach.
SECTION 01 78 23 OPERATION AND MAINTENANCE DATA
PART 1 GENERAL
1.1 SUMMARY
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This Section includes administrative and procedural requirements for preparing operation and maintenance manuals, including the following:
- Emergency manuals.
- Operation manuals for systems, subsystems, and equipment.
- Maintenance manuals for the care and maintenance of [products, materials, and finishes] [systems and equipment].
- See Divisions 02 through 49 Sections for specific operation and maintenance manual requirements for the Work in those Sections.
1.2 SUBMITTALS
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Submit operation and maintenance manuals indicated. Provide content for each manual as specified in individual Specification Sections, and as reviewed and approved at the time of Section submittals. Submit reviewed manual content formatted and organized as required by this Section.
- Owner will comment on whether content of operation and maintenance submittals is acceptable.
- Where applicable, clarify and update reviewed manual content to correspond to revisions and field conditions.
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Format: Submit operations and maintenance manuals in the following format:
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PDF electronic file. Assemble each manual into a composite electronically indexed file. Submit on digital media acceptable to Owner.
- Name each indexed document file in composite electronic index with applicable item name. Include a complete electronically linked operation and maintenance directory.
- Enable inserted reviewer comments on draft submittals.
- Submit [three] paper copies. Owner will return [two] copies.
- Correct or modify each manual to comply with Owner’s comments. Submit [3] copies of each corrected manual within [15] days of receipt of Owner’s comments.
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PDF electronic file. Assemble each manual into a composite electronically indexed file. Submit on digital media acceptable to Owner.
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Final Manual Submittal: Submit one copy of each manual in final form prior to requesting inspection for Substantial Completion and at least [15] days before commencing demonstration and training. Owner will return copy with comments.
- Correct or revise each manual to comply with Owner’s comments. Submit copies of each corrected manual within [15] days of receipt of comments and prior to commencing demonstration and training.
1.3 FORMAT OF OPERATION AND MAINTENANCE MANUALS
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Manuals, Electronic Files: Submit manuals in the form of a multiple file composite electronic PDF file for each manual type required.
- Electronic Files: Use electronic files prepared by manufacturer where available. Where scanning of paper documents is required, configure scanned file for minimum readable file size.
- File Names and Bookmarks: Bookmark individual documents based on file names. Name document files to correspond to system, subsystem, and equipment names used in manual directory and table of contents. Group documents for each system and subsystem into individual composite bookmarked files, then create composite manual, so that resulting bookmarks reflect the system, subsystem, and equipment names in a readily navigated file tree. Configure electronic manual to display bookmark panel on opening file.
The following specifications section text covers requirements for operation and maintenance information in support of an airport owner-operated CMMS. This text should be adapted to the current software asset attribute requirements.
SECTION 01 78 23.16 OPERATION AND MAINTENANCE INFORMATION
PART 1 GENERAL
1.1 SECTION INCLUDES
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Administrative and procedural requirements for preparing operation and maintenance manuals and operations and maintenance support information, including the following:
- Operation and maintenance documentation directory.
- Emergency manuals.
- Operation manuals for systems, subsystems, and equipment.
-
- Product maintenance manuals.
- Systems and equipment maintenance manuals.
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Operations and maintenance support information, including:
- Detailed as-built information describing efficient, economical, and safe operation, maintenance, and repair of the facility in a format suitable for import into Owner’s computerized maintenance management system.
- Development of a plan to determine priority and criticality assigned to systems and equipment being delivered as part of the Work.
1.2 CLOSEOUT SUBMITTALS
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Operations and Maintenance Support Information Submittal:
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Preliminary Submittal:
- Provide two electronic, PDF file formatted and bookmarked copies to Owner. Include cover sheets, table of contents, and other materials to demonstrate proposed physical arrangement of manuals and quality.
- Provide completed Microsoft Excel spreadsheet with required information available to date as an example.
- Present submittal in sufficient detail to evaluate data collection and organization and to allow Owner to test data import into CMMS.
- Owner will return one copy to Contractor with review comments for preparation of Prefinal Submittal.
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Submittal includes, as minimum, available information for:
- Facility Operation and Maintenance Documentation Directory Part I.
- Primary Systems Information Part II: Provide at least one system essentially complete and remaining systems 50 percent complete.
- Product Data Part III: Minimum two divisions in accordance with CSI MasterFormat.
- MS Excel spreadsheet completed with information for Parts I, II, and III.
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Prefinal Submittal:
- Provide two electronic copies to Owner; include copy of preliminary submittal review comments along with Contractor’s response to each item.
- Owner will return one copy to Contractor with review comments for preparation of final submittal and will keep one in order to operate and maintain facility through submission of final submittal.
- Ensure Prefinal Submittal includes required information available at time of submission.
- Provide Microsoft Excel table completed with required information available at time of submission, to Owner in order for Owner to import electronic information into CMMS test system. Provide detailed trial plan to ensure that such data will be compatible with Owner CMMS. Owner comments may include issues or problems discovered during data import and validation. Owner will provide Contractor comments and suggested remedies at various times prior to Substantial Completion.
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Final Submittal:
- Provide two electronic copies to Owner; include copies of submittal review comments along with Contractor’s response to each item.
- Provide two sets of electronically formatted information on DVD and USB that incorporate previous review comments. Prefinal Submittal review comments may include problems discovered during Owner review and validation. Owner comments will be provided to Contractor at various times before and after Substantial Completion.
- Include copy of Prefinal Submittal review comments with appropriate response to each item.
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Submittal Schedule: Submit facility operation and support information for Owner approval as follows:
- Preliminary: When construction is approximately 50 percent complete.
- Prefinal: 30 days prior to Substantial Completion.
- Final: 30 days after Substantial Completion.
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Preliminary Submittal:
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Manual Content: Operations and maintenance manual content is specified in individual Specification Sections to be reviewed at the time of Section submittals. Submit reviewed manual content formatted and organized as required by this Section.
- Architect [and Commissioning Authority (CxA)] will comment on whether content of operations and maintenance submittals are acceptable.
- Where applicable, clarify and update reviewed manual content to correspond to revisions and field conditions.
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Format: Submit operations and maintenance manuals in electronic format:
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PDF Files: Provide PDF files duplicating hard-copy submittal information using Adobe Acrobat most recent version. Create PDF file from native software application (e.g., MS Excel).
- Assemble each manual into a composite electronically indexed (bookmarked) PDF file by Part I, II, or III, and identify entries in table of contents. Submit on digital media acceptable to Project Manager.
- Name each indexed document file in composite electronic index with applicable item name. Include complete electronically linked operation and maintenance directory.
- Enable inserted reviewer comments on draft submittals.
- Word for Windows: Provide narrative information in Microsoft Word for Windows, latest version.
- AutoCAD: Provide drawings and plans prepared in AutoCAD format, latest version. Name and index files for identification and update as directed by Owner.
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PDF Files: Provide PDF files duplicating hard-copy submittal information using Adobe Acrobat most recent version. Create PDF file from native software application (e.g., MS Excel).
- Initial Manual Submittal: Submit draft copy of each manual at least 30 days before commencing demonstration and training. Architect [and CxA] will comment on whether general scope and content of manual are acceptable.
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Final Manual Submittal:
- Submit each manual in final form prior to requesting inspection for Substantial Completion and at least 15 days before commencing demonstration and training. Architect [and CxA] will return copy with comments.
- Correct or revise each manual to comply with Architect’s [and CxA’s] comments. Submit copies of each corrected manual within 15 days of receipt of Architect’s [and CxA’s] comments and prior to commencing demonstration and training.
- Operation and Maintenance Support Information CMMS Electronic Data Files: Provide files on USB and DVD labeled appropriately as to content or as directed by Project Manager. Provide data in Microsoft Excel, latest version, format, data table structure as provided and as follows. Data shall be importable into Owner’s CMMS.
| Building Equipment Field Name | Field Type | Value to Enter |
|---|---|---|
| AssetId | Text, varchar | See format below* |
| SerialNum | Text, varchar | Product Serial Number |
| SpecName | Text, varchar | Project Name |
| Condition | Text, varchar | Use accompanying Selection List: Building Equipment Condition |
| AssetName | Text, varchar | Manufacturer’s product name |
| BarCode | Bar code number | Bar Code Number |
| Image | jpeg | Filename of Product Photo with Assetid |
| SpecId | Text, varchar | CSI section number / MasterFormat |
| SpecClass | Text, varchar | Use accompanying Selection List: Building System |
| Brand | Text, varchar | Manufacturer |
| ModelNum | Text, varchar | Product Model Number |
| Description | Text, varchar | Product Description |
| AcqDate | Date (mm/dd/yyyy) | Date purchased |
| ActInstall | Date (mm/dd/yyyy) | Date Installed |
| Active Start Date | Date (mm/dd/yyyy) | Date of Acceptance |
| LifeExpectancy | Number, integer | Duration in Years, Months |
| LifePercentage | Number, percentage | 100% if new |
| ReplaceCost | Number, US Dollars | Estimate to remove and replace |
| PurchaseCost | Number, US Dollars | Purchase cost |
| PONum | Text, varchar | PO Number |
| PODate | Date (mm/dd/yyyy) | PO Date |
| *Example Asset ID Format: 0086-HVAC-001 | ||
| Bldg LocID from Building Data: 0086B002 | ||
| Spec Abbreviation: HVAC | ||
| Asset Sequential Number: 001 | ||
| Equipment Warranty Field Name | Field Type | Value to Enter |
|---|---|---|
| Equipment Asset ID | Text, varchar | ID of Equipment asset covered, from Equipment List |
| Name | Text, varchar | Name/type of warranty coverage |
| Warranty Type | Text, varchar | Use accompanying Selection List: Warranty Type |
| Description | Text, varchar | Text description of warranty |
| Effecti veStart | Date (mm/dd/yyyy) | Start date of warranty period |
| EffectiveEnd | Date (mm/dd/yyyy) | Expiration date of warranty |
| Notification Lead Time | Duration | Months or days prior to expiration for notification |
| Warranty Vendor | Text, varchar | Name of Manufacturer or Vendor responsible |
| Cost | Number, Integer | Cost associated with Warranty coverage or inspection |
| Preventive Maintenance Field Name | Field Type | Value to Enter |
|---|---|---|
| LocID | Text, varchar | Bldg LocID from Building Data table |
| AssetId | Text, varchar | Equipment Asset ID from Building Equipment list |
| PM Name | Text, varchar | Descriptive name for planned maintenance activity |
| PM Schedule Type | Text, varchar | Use accompanying Selection List: PM Schedule Type |
| Procedures | Text, varchar | List in individual line items the maintenance procedures |
Many airports overlook this part of the asset information handover process. Project closeout and understanding how design and construction projects are created and finalized are of great importance to the end airport user, operators, and maintainers. Project closeout, however, can become a burden if not planned carefully in advance with appropriate business processes and procedures in place that are supported by management and enforced by airport stakeholders.
Successful asset information handover hinges on prior planning and stakeholder involvement; development of processes and procedures; and follow through and assurances that the construction is complete as intended, the project closeout submittals have been provided and are accurate, and airport staff have been adequately trained to understand the newly created assets. An example outline of the asset information handover process and example standard operating procedure language follow.
Example Asset Information Handover Process Outline
Goal/Objectives
Overview
Creation, Modification, and Retirement of Assets
Assuming tracked somewhere, explain how this communication should occur.
Stakeholder Involvement and Support
- Pre-Construction Meeting
- Post-Award Kickoff Meeting
- During Construction Coordination Meetings
- Asset Information Handover (Project Closeout) Meeting
Roles and Responsibilities
- Stakeholder 1
- Stakeholder 2
Asset Attribution
- Floor Coverings, Wall Surfaces, and Ceiling Surfaces (what might you want to know about these finishes?)
- Windows (e.g., type, manufacturer, product name)
- Roofing (e.g., product, manufacturer, local supplier)
- Fire Protection (e.g., product, manufacturer, local supplier)
- HVAC (e.g., product, manufacturer, local supplier)
- Plumbing (e.g., product, manufacturer, local supplier)
- Electrical (e.g., product, manufacturer, local supplier)
- Lighting (e.g., product, manufacturer, local supplier)
- Equipment List (e.g., product, manufacturer, local supplier)
- Utility Distribution (e.g., domestic water, sanitary, storm)
Collecting Asset Data
Definitions and Glossary
Example Asset Information Handover Language
STANDARD OPERATING PROCEDURE TEXT FOR ASSET INFORMATION HANDOVER
The “name of airport” owns a combination of tangible resources (e.g., land, buildings, equipment, and other physical objects) and intangible resources (e.g., brand value, intellectual property). Tangible resources can be viewed as a group of components (e.g., stairs, hydrants, panels, chillers) working together as systems (e.g., heating system, baggage-conveying system, electrical distribution system). These valuable tangible resources include assets that are of high value and typically have long design lives. This procedure establishes guidelines for the appropriate transfer of information between the project teams and the airport stakeholders resulting from the creation, commissioning, decommissioning, and modification of constructed assets. These airport stakeholders play a role in the use, maintenance, planning, and management of airport resources and have a vested interest in the transition from a project to asset ownership.
Each time an asset is scheduled to be purchased, sold, created, constructed, significantly modified, demolished, decommissioned, or otherwise retired, information pertinent to this asset activity and its impact on the CMMS shall be issued by the responsible project team. The CMMS must be updated to include asset additions and deletions (demolished assets) such that the CMMS remains updated and accurate throughout design and construction.
Note that how this information is appropriately communicated internally is not addressed in the standard operating procedure (SOP). It could be yet another internal procedure document with a form that is emailed between stakeholders, stored on an internal website (like a SharePoint site), provided at specific project meetings, or something similar. Consider how this key information about facility assets, equipment items, various components, and other critical asset systems that the airport manages and maintains is shared across stakeholder groups.
Your airport might want to implement building information modeling (BIM) as part of design and construction; if so, you will need to develop a BIM project execution plan (PxP) for your airport, to be implemented with each new project. Such a PxP will serve as just another SOP for use in supporting a successful asset information handover.
Building Information Modeling and Construction Operations Building Information Exchange
Another potential position is that of a BIM manager who should be responsible for facilitating and coordinating design, construction, operations, and maintenance activities and for ensuring compliance with contractual requirements spelled out in other documents. Airport staff could serve in multiple roles based on project size and complexity. When it comes to BIM, such a manager would be responsible for the coordination of BIM-specific efforts during the design phase and throughout the construction phase and scheduling review meetings with stakeholders throughout all phases of a project.
But what about the Construction Operations Building Information Exchange (COBie)? This is a relatively new concept, approximately 20 years in the making, that addresses how to manage asset information and is closely aligned with BIM. COBie aims to help organizations electronically record project data (information) including numerous documents and files typically associated with project closeout submittal deliverables such as warranties, spare parts lists, and operations and maintenance manuals, everything that is important to a successful asset information handover. Requiring and implementing COBie as part of a project requires serious participation and potentially additional staff to ensure data accuracy. There will be individuals responsible for the coordination of COBie integration in the BIM as submitted by each design team BIM discipline. The data will need to be verified and checked to ensure it coordinates with the airport’s CMMS asset attribute needs.
Embracing BIM (and COBie) as part of asset information handover requires staff who understand what information is required for future ownership, operations, maintenance, and management of the assets. This staff should also understand the impacts of design and construction decisions as these are addressed in real-time. Significant interaction with each stakeholder regarding the deliverable criteria set forth in the BIM PxP and the specifications will have to occur, including but not limited to interaction and communication with all airport stakeholders and direct interaction with the design and construction teams.
Understanding the overall responsibilities and goals of your airport and when data and information should be gathered and submitted is vital to a successful asset information handover process, regardless of whether BIM and COBie data are a part of the equation.
