Asset Information Handover Guidelines from Planning and Construction to Operations and Maintenance (2024)
Chapter: 6 Challenges in Asset Information Handover
CHAPTER 6
Challenges in Asset Information Handover
There is not an obvious quick fix or “easy button” to ensure that requested and required project closeout information and data from any project (regardless of size or complexity) will be received, let alone received in an electronic, easy-to-use format suitable for how your airport manages its constructed assets. The automation of asset information handover as a process is beginning to become more prevalent within the industry [with BIM and the Construction Operations Building Information Exchange (COBie)], but very few facility owners have defined and successfully implemented processes and procedures that ensure requested and required software-specific documents are received upon completion of every project.
Some primary reasons for asset information data loss during and following design and construction projects, with the process known as project closeout, include
- Lack of standards and procedures
- Procurement and contract terms and conditions
- Project closeout deliverable enforcement
- Appropriate funding
- Stakeholder involvement
- Internal and external document management resources
The key to success lies with the people, the airport’s resources, and accepted and implemented business processes.
Lack of Standards and Procedures
Challenge: When designing projects, airports rely on their design teams to create and present construction documents in accordance with currently accepted architectural and engineering standards and practices. BIM is being used by almost 100% of the architectural/engineering community. BIM is a 3D, model-based, drawing development process that helps architecture, engineering, and even construction companies efficiently plan, design, and construct buildings and infrastructure. Quite frequently, a BIM-developed model is passed from the design team to the construction team for their reference and further development.
Without detailed data standards in their contracts, however, each firm involved in these project phases (e.g., planning, design, and construction), follows its respective internal standards and business processes. This is problematic because in most cases these firms’ internal standards and business processes do not align with what an airport owner requires to operate and maintain the newly constructed assets. Typically, each group involved in the various project phases fails to coordinate with the subsequent or following group regarding the requested and required data during the transition from one phase of the project to the other. Such coordination is necessary for the airport owner to have a chance of obtaining the requested project closeout information.
Solution: Airports, regardless of size, should ensure that their identified project stakeholders, including O&M personnel, have a “seat at the table” from the beginning of every project. This stakeholder group should include staff who understand the existing requirements of maintenance management or enterprise asset management (EAM) system structure relative to asset hierarchy, data attribution, preventive maintenance, warranty, and other associated and required asset data or information. Stakeholder participation in each project will vary. There may be a core group for every project, and others will serve as needed.
In addition, it is suggested that airports develop data standards and, assuming the airport utilizes a software tool for asset or maintenance management, the software system requirements that should be adhered to throughout the planning, design, and construction phases of every project should be outlined. Including adherence to these standards within the design team and construction contracts and subsequently enforcing these standards is the first step for an airport to obtain the data required to operate and maintain project assets in the future. Airports must define within the Division 01 project closeout sections precisely what information is expected and needed to properly care for the constructed asset(s) upon project completion.
If your airport is considering BIM, several standardized documents should be developed in addition to the SOPs for asset information handover. Together, these standardized documents and internal SOPs will outline your expectations for what asset information should be handed over from design and construction teams and how the expected data must be delivered to effectively interface with your existing software tools. Ensure these documents address the following:
- Asset register definitions
- Division 01 project closeout requirements
- Data interoperability roles and responsibilities
- Project and BIM execution plans (project execution plan)
- COBie plan addressing how to set up and create the COBie file
- Processes for how COBie will be imported into an existing CMMS or an EAM system
- BIM commissioning process on how to tag the newly constructed assets and link them within your CMMS/EAM system
Airport stakeholders must understand their roles and responsibilities in the design and construction process, with asset information handover, and the overarching airport goals when it comes to gathering project or asset data. Gathering the data (information) that you need is vital to the successful integration of this newly completed project data into your existing software systems.
Develop a road map of the intended goals and objectives to help each stakeholder understand the scope of services required for project data handoff throughout all phases of a project, from planning to design, design to construction, and ultimately from construction through project closeout, asset information handover, and airport operations. Historically, there have been breaks in these handoffs where information was lost. In some instances, this data has had to be recreated. (Note in Figure 5 that breaks appear between the processes of “plan,” “design,” “build,” and “operate/maintain.”) Effectively transitioning the data from one participating group to another will help optimize the project schedule and even costs if the responsible parties can benefit from one another.
It should be noted that decisions are made throughout each phase of the project life cycle. If decisions are made based on incorrect data, they could compound throughout the remaining life of the project. This would not only create an inconvenience for the airport owner but could also become quite costly.
Asset management should become part of an airport’s staff culture. As part of your asset management program, an understanding of what you own, operate, maintain, and manage, and the
data required to do so will be important. The quality of this data is integral to airport operations as managers must be able to rely upon it. Developing processes and procedures not only in alignment with a more “strategic” asset management program but also for your asset information handover will help staff gain the data needed to support other aspects of their daily roles and business responsibilities.
Data quality is not guaranteed by any construction team, and the drawing and other document files received as part of the asset information handover rarely indicate the exact or final decisions that were made during the construction process. These documents should be reviewed and verified upon receipt by airport staff. The processes used for this review are instrumental to ensuring data accuracy and can range from actual, detailed, on-site field verification to validate equipment nameplate data to a desktop review of document files.
Procurement/Contract Terms and Conditions
Challenge: Construction documents do not define asset information handover requirements.
The contract (construction) documents play an important role in the asset information handover process. Unfortunately, there are very few construction contracts that clearly define requirements for asset information and closeout data for a project or that can satisfactorily enforce these requirements. In some contracts, the requirements that are included provide an ambiguous impression of the airport’s expectation for asset information at project completion or handover. In other contracts, the requested information might appear inapplicable to the project at hand, or the detail required for BIM and similar electronic data deliverables might not be fully understood by the construction team members.
Solution: An airport’s contracting or procurement group must work closely with other project stakeholders, especially the O&M departments, to ensure clear and precise requirements are stipulated in the design and construction contracts, especially in Division 01, for all new projects involving asset creation, demolition, or reuse. Assuming these requirements are outlined in
standardized processes and procedures documents, these documents must then be provided to all parties to help ensure the incorporation of these requirements into the project. For some airports, these documents will be SOP documents. For airports that have developed Division 01 specification sections, these sections must be included in the design and construction documents provided to the construction team. It is further recommended that the airport assign staff to ensure the sections of the specifications have been included, accurately edited to fit the project in question, and then ultimately enforced.
Project Closeout Deliverable Enforcement/Internal or External Data Management Resources
Challenge: Construction team not developing closeout documentation.
In almost all cases, the contract spells out retainage or some level of financial penalty for not completely delivering the project, but if the construction team has not been keeping up with this closeout requirement, the retainage might be insufficient to ensure that the construction team complies.
Challenge: Inadequate resources.
Even if asset information handover requirements are specified in a construction contract in the specification sections, many airports do not have the resources or time to ensure that the information requested is being delivered as requested or that the project closeout submittals, data, and documents being provided are accurate.
Solution: Airport organizations should consider assigning individuals to be responsible for oversight during all phases of project delivery. These individuals must become engaged at the onset of every project to establish regular conversations about the required asset information and when such asset data should be delivered. Closeout discussions should begin in pre-construction meetings, and each line item should be reviewed in every subsequent progress meeting as a reminder. Should it be determined that the asset information (e.g., data) does not meet contracted requirements, then associated payments to the construction team should be withheld until such time as the asset information is deemed acceptable and delivered as required.
Challenge: Airport stakeholders don’t receive asset information at closeout.
One possible result of inadequate asset information handover procedures is that the deliverables are received, but they do not get to the airport stakeholder that requires the information. The stakeholders involved with finance, operations, maintenance, and asset management need certain data/information on a project to perform their jobs effectively.
Solution: The airport must ensure that there is adequate airport staff or contracted third-party consultant staff responsible for oversight of asset information handover and project closeout to manage these deliverables. These individuals should be aware of where (to which stakeholder) the submittals should go, or if the submittals are filed in a central repository like a document management system or associated with an EAM system, these individuals should know which stakeholders need to be informed of the delivery of the documentation.
Appropriate Funding
Challenge: The funding allocated to a project (or for staff resources) is not always adequate to ensure accurate internal asset information handover, data capture, and quality control. Some airports operate with a very lean staff. For these airports, even if hard copy or electronic information
is delivered during project closeout, the lack of staff to save and distribute documents can lead to documents being misplaced. Often, final as-built documents are either not delivered or incompletely delivered because airports are not staffed to ensure that such as-builts represent the assets an airport will soon be operating and that the construction team has complied with contracted project closeout requirements.
Solution: Airports should define their internal standards and operating procedures and ensure these are communicated internally and to third-party design and construction teams. To do so successfully, an airport must align its staff resources to monitor the collection, distribution, and storage of asset closeout information. This requires funding for the staff needed to conduct this oversight. Alternatively, airports might consider (but this still requires funding) hiring third-party consulting firms to fulfill this role—reviewing documents that the design and construction teams are assembling for asset information handover at project closeout. Regardless of whether airport staff or a third-party firm conducts this oversight, funding must be available to support it.
Stakeholder Involvement
Challenge: Often airport stakeholders do not understand how important acquiring accurate project closeout information and data is when they initiate a new project. Typically, requirements for defining or specifying the required product and asset information and associated data are not specifically outlined in a contract, even though stakeholders know what information they might want or need to take care of an asset. Airport stakeholders need to know and document which assets are important and what data and information are needed about these assets so that the required information is specified in the project contract.
Solution: Ensure your airport stakeholders have a seat at the table from the beginning of every project. These individuals must understand what a project will be creating, and who (which role) will be ultimately responsible for its operation, maintenance, and future management as a constructed asset. Stakeholders must be involved or should not complain that they didn’t know they would be responsible for operating and maintaining a new asset.
Beginning early in a new project, in the project planning stage, it is important to communicate with internal stakeholders and ensure that proper funding is appropriated so that the required information and electronic data will be obtained upon project completion. All stakeholders should discuss the project and their respective requirements and understand what might lie ahead. This becomes especially critical with a major capital program such as a new terminal building. Developing internal SOPs that define roles and responsibilities and illustrate how information should flow will help with stakeholder engagement.
Document Management Resources
Challenge: Airports don’t always have a set of processes in place to systematically archive asset information handover documents once they are received. Individuals who want to access archived documents cannot find the documents they need quickly or easily.
Solution: An airport needs to understand what types of documents are important and have procedures in place to receive the asset information handover (e.g., project closeout) deliverables. It is equally important that there is a method for storing asset information so that it will not be lost in a “black hole” but will be retrievable in the future. Ideally, an airport should have a document management system that works in tandem with an existing CMMS/EAM system linking the documents to the applicable assets. Airports that have yet to implement a CMMS type of software tool should develop a standard naming convention and file folder classification
structure so that project closeout documents can be easily retrieved and viewed without users needing to know project numbers or even the year the project was completed. Much like developing the asset information handover SOP, this process of document management—of where and how the information will be stored—is important. Once you decide upon these parts of this process, educate your staff to ensure they are aware of how to retrieve files. If an airport does not plan for asset information handover and does not make the asset information readily available to staff, information management can become a problem that has a huge impact on future projects and the business of managing the built environment. Maintenance staff needs to know what is installed and where. Having the ability to access this asset information for other operational business activities can impact your bottom line. Not having asset information or not having asset information readily available are big issues to overcome. If no easy-to-use document management process is in place, you could lose access to critical pieces of historical information.
