Stage 6
Handover and Close Out
Chapter overview
The RIBA Plan of Work 2013 makes it very clear that careful attention needs to be given to the handover of the project. The Handover Strategy needs to be planned from the start and developed as the project progresses to ensure there is a well-organised and properly planned handover.
While processes for organised handover have been available for many years, there has been reticence to develop them and use them to their full potential. Formalised handover techniques have been used in the public sector to good effect, and larger clients have also driven this approach. While these have concentrated on building performance primarily from an environmental perspective, there is clearly equal benefit for health and safety too.
For projects in the mainstream there is the issue of cost – Who pays for the additional resources needed? – and some concerns over liability if faults are found. There is no doubt that to implement a good handover process and apply proper management at this stage will cost more than simply adopting the ‘finish and forget’ approach often seen.
For the project to be properly finished, delivered and operating as designed, there needs to be a clear and organised completion, with the whole project team involved. The provision of clear information at handover is essential, especially for operational matters. The owners and users of the building must be involved in this process, to ensure they thoroughly understand their facility.
Increasingly, clients require buildings to perform as designed. Therefore, a system for measuring the performance of the building in operation has to be part of delivery. The issue of liability if performance is not as designed is complex and of concern to many designers. Until better and more accurate delivery and verification is commonplace, the legal issues around this subject will remain unresolved.
However, the increasing digitalisation of the construction industry is bringing with it reliable data, enabling construction based on robust information and allowing systems to be fully tested in the virtual world, prior to handover. This brings new hope that, in future, close out and handover will mean something reliable and positive. Structured information exchanges, as required in government projects, will also aid this outcome.
UK Government projects may require an Information Exchange if BIM is being used.
The key coverage in this chapter is as follows:
At this stage, the Handover Strategy needs to be applied thoroughly. The handover process needs to take owners and occupiers through the complete range of issues and information pertaining to the completed building. It is important to recognise that the team will have been working on the project for a considerable time, in some cases years, and so may easily overlook obvious issues or not realise that details they take for granted might not be readily understandable by other people. It is also important to take full advantage of the Stage 5 preparations.
Introduction
What are the Core Objectives of this stage?
The Core Objectives of the RIBA Plan of Work 2013 at Stage 6 are:
The Core Objectives at this stage require that the Handover Strategy is applied in full. The Project Information must be given to the building’s owner and occupier in a managed and controlled manner, and the close out of items must ensure that any remaining risks are properly controlled.
Any Post-occupancy Evaluation processes are set up at this point, so that Feedback can be generated for the benefit of any future projects.
The handover
Handover can be stressful. There always seem to be issues that crop up at the last minute, demanding time and resources to resolve. It is therefore essential that everything that can be prepared in advance has been prepared. The structure of the RIBA Plan of Work 2013 encourages and supports this approach.
All paperwork that can be prepared in advance should be drawn up, checked and made ready, particularly test certificates, verification information, formal approvals, materials checklists and record data. All of these will have an element of health and safety, even if not immediately obvious.
Before handover
In the run up to handover, a number of things must have been agreed by the project team:
- the timetable for handover
- who will be involved in undertaking what actions
- what sign-offs are needed, who will give them and how they will be recorded
- what happens if things go wrong, ie put an agreed plan B in place
- who needs to be informed of what – perhaps not all information is needed by everyone.
Check and review
Before handover takes place, take a step back and ensure that all elements of the Handover Strategy are covered.
After handover, take time to look back and review and reflect on all the actions taken. Hold debriefs with the design team and, preferably, the whole project team. Above all, look at the lessons learned and capture the important points in a file for use at Stage 0 of the next project.
Health and safety at handover
At this stage, health and safety activities mainly relate to the handing over of information to the building’s users and owners. For the most part, the information will have been prepared as part of the ongoing design process. Therefore, apart from ensuring it is up to date, there should be no need to produce health and safety information exclusively for this stage.
The information to be handed over needs to be logical and clear and prepared to a high professional standard, and should cover the following issues:
-
The health and safety file
The health and safety file should be virtually complete and taking key contacts through its contents should be a high priority. The core information in the file will give most of the information needed by owners and occupants (see page 149: Stage 4 for details of the contents), including clear information regarding any issues that have not been designed out (residual risks).
-
Emergency information
The fire and emergency procedures.
-
Regulations and compliance
Any information required to comply with the CDM regulations, town planning and Building Regulations.
-
Cleaning and maintenance
The general access, cleaning and maintenance provisions, clearly laid out in a separate document.
-
Building facilities and characteristics
The overall building design, facilities and general construction principles. This should also identify any unusual issues in respect of demolition, or that need to be considered if alterations are carried out in the future.
Also helpful is an explanation of all the information sources and where to find specific points. The use of digital data and BIM methodologies will create opportunities for this information to be more easily accessible and allow a variety of formats to be used.
The workplace regulations
Under the workplace regulations and CDM regulations, there are two critical considerations to be addressed at handover. The design team, especially the principal designer, need to:
- review the completed building and ensure that, so far as is reasonably practicable, all aspects of the regulations have been addressed, and
- ensure that the building’s owners and occupiers are aware of their responsibilities under the workplace regulations.
Close out tasks
As part of the Handover Strategy, the closing out tasks need to be undertaken in a managed and logical format. There are key areas that need to be sequenced and addressed as the project nears handover. Activities that can involve a high degree of risk include:
- site security
- traffic management
- high-level cleaning and commissioning
- removal of temporary structures, services or plant
- transfer from construction safety systems to permanent systems, eg fire alarm
- ownership, authority and insurance verifications.
For many projects it will be necessary to carry out an examination of the building. The degree of involvement of the design team in this process will vary depending on the size and complexity of the project and the contract structure. For some projects, the verification of the building will rest entirely with the construction team, while on others the design team and the construction team will both be involved. In some cases, the client will also want their team to be part of the process. Whoever is conducting the inspection, they should follow some straightforward principles:
There are always some elements that are difficult to close out prior to handover. The Handover Strategy should define exactly what will be fully complete and what will not. Sometimes, systems will need fine tuning, which can only be done during occupation. The aim should be to ensure that as much of the project as possible is fully complete and working. This in itself may give rise to hazards that have to be controlled. For example, will the building’s final cleaning system be used for the pre-handover clean? If not, what temporary provisions are in place and are they safe? The ‘As-constructed’ Information must continue to be updated during this stage, to ensure it properly represents the building as it was when finally handed over. It will comprise a mixture of ‘as-built’ information from specialist subcontractors and the ‘final construction issue’ information from design team members. The client may also wish to undertake an ‘as-built’ survey at this stage, using new surveying technologies to bring a further degree of accuracy to this information. Some of the information will be sensitive, such as details of security systems, key codes and mastering, operations of safety critical systems projects, so information security will be an important consideration. The information should continue to be updated in response to ongoing client Feedback and maintenance or operational developments.
Handover inspection
Completeness at handover
‘As-constructed’ Information
Operation and maintenance information
All aspects of the completed building should be able to be operated, maintained and cleaned safely or with minimum risk. Clear guidance needs to be prepared to ensure that those taking on the ‘In Use’ building operations can do so safely.
All in-use activities should be covered in the operation and maintenance (O&M) information handed over at this stage. This will derive directly from the Maintenance and Operational Strategy devised initially during Stage 2: Concept Design. This information needs to be comprehensive and well organised. Increasingly, this is prepared in an electronic format, allowing easy search and smart indexing, so that information can be found quickly. It is essential this information is accurate and reflects exactly what is needed.
The information in the health and safety file should be entirely separate. However, good practice would be to include the health and safety information in the O&M manuals as well. This allows it to be seen in the context of the other in-use activities.
Developments in BIM will allow a full set of graphical digital and contract information to be handed over along with comprehensive operating guidance. This will offer the prospect of creating a fully detailed information set, usable from every perspective.
During the handover phase, clear guidance on the following areas should be provided, whether in the O&M manuals or via a programme of user training:
-
External areas and features
Safe access to all areas should be identified, permitting safe operation. High-level lighting, security fences and powered gates, landscape features (especially those involving water) and retaining walls should all have well-considered, safe explanations for normal operational use and maintenance.
-
External facades
The handover should include a full demonstration, or training in the case of complex systems, as set out and described in the Maintenance and Operational Strategy. The O&M manual should include full information.
-
Roofs and terraces
Safe access is always needed to these areas, whether for general maintenance or for occasional repairs. The approach is the same as for facades and should be described in the O&M information.
-
High-level services, signs and features
It is important that items such as these are not overlooked, and that adequate guidance is provided in the O&M manuals. A whole-team approach is needed to ensure that all situations have been covered. Commonly overlooked elements include aerials, sensors and lightning protection systems.
-
Internal high-level areas
Any high-level interior areas need to have their own cleaning and maintenance systems. These need to be fully demonstrated during handover.
-
Internal cleaning
Internal cleaning and maintenance systems need to be fully itemised in the documentation, and any difficult, unusual or complex areas highlighted.
-
Services and plant areas
Many of these systems, especially on larger, more complex buildings, have significant health and safety operating issues. Handover information and training needs to be clear regarding these, including safe operation of all services and machinery. It also needs to identify procedures during emergency operation and a cascade of risk control in abnormal conditions. The actual services and electrical and mechanical plant will have their own specialist commissioning and operating manuals, but the design team will still have to provide information on plant access, escape routes and emergency systems.
Having a clear statement of intent, covering things such as hours of operation, can be helpful. At some time in the future the client may well want to operate the building for longer, but they need to be made aware that this may have safety implications, eg for security lighting. Such changes can contribute to a reduction in personal safety for the building’s occupants. Consultation during this phase – such as within a ‘soft landings’ process (see below) – between the client and the design team may well identify these issues and generate a plan for their resolution.
Soft Landings
Soft Landings is an approach developed by BSRIA that focuses on the most beneficial approach to handover and occupation of a new building. It also aims to ensure that as much as possible is learned from the initial handover so that future projects will benefit, effectively analysing the project to create a better briefing for the next one.
The UK Government has developed the Government Soft Landings (GSL) methodology (based on the BSRIA Soft Landings principles) for use on government projects.
The GSL methodology analyses the building under the following areas:
-
Functionality and effectiveness
Meeting the needs of the occupiers and providing an effective and productive working environment.
-
Environment
Meeting government performance targets in energy efficiency, water usage and waste production.
-
Facilities management
A clear, cost-efficient strategy for managing the operations of the building.
-
Commissioning, training and handover
Delivering and handing over the building and supporting the needs of the end users.
The GSL methodology uses good practice processes and principles that can be recommended for all projects. Both approaches are aligned with the use of BIM, both in the handover and post-occupancy phases.
Soft Landings 
BSRIA Soft Landings can be found at: [email protected]
Government Soft Landings to be found at: www.bim-level2.org
Review of Project Performance
Post-occupancy Evaluation is generally carried out during the In Use stage (see page 200: Stage 7), but it can be conducted immediately after handover (or during an extended handover period) to assess whether the initial Project Performance is as planned.
Some performance information will not be available at this stage (eg a full year’s operation will be required to assess annual maintenance programmes), but based on Feedback from the building’s users or the project team, the evaluation might identify some health and safety issues that can be acted upon immediately.
The Handover Strategy should include a system for dealing with such issues, based on a risk hierarchy:
- Life threatening – hopefully very rare
- Highly dangerous – there is an immediate threat that an accident will occur unless action is taken
- Dangerous – can be controlled or managed, eg by placing a cordon around the problem, allowing remedial action to be undertaken safely
- Unanticipated risk – can be approached by safeguarding the issue, then working through a remedial plan.
The strategy should include procedures for dealing with such issues and identify who will be responsible for their resolution.
Project Information update
It can be a challenge to keep the Project Information updated at this stage, which is particularly important when computer-aided facilities management systems are adopted. However, it is important to make sure that the core information requirements are in place and updated. This will be made easier if the information has been updated regularly during the project.
The client must have a comprehensive set of information that is up to date and can be used to drive the operation of the building through its entire life. The design team and construction team can then have confidence that they have done their best to ensure that all aspects of the project are understood and can be operated efficiently and safely.
Once the project is handed over, clients and owners take over elements of the information. They can instigate changes and, as a result, the level of technical robustness can vary considerably. This may mean records start to deteriorate in accuracy, which will ultimately devalue the confidence that can be placed in them. Fortunately, many clients are coming to realise this approach is short-sighted. Increasingly, if they are in possession of accurate information at handover, they will make a real effort to ensure this continues throughout the building’s life.
One of the significant advantages of a BIM approach is that if the model data is kept up to date, the model can continue to be used to plan and manage safe, efficient and proportionate maintenance.
Tips for a successful handover 
- The handover must be organised and controlled.
- Ensure the team receiving the building are advised of health and safety first.
- Make a final check on the health and safety information prior to handover.
- Ensure any last-minute changes are identified.
- Do not be pressured into signing off safety-deficient systems.
- Make occupants aware of health aspects of the design.
Information Exchanges
Information Exchanges required for Stage 6 are as follows:
- at stage completion: updated ‘As-constructed’ Information
- for UK Government projects: an output of Project Information is required.
Chapter summary 6
The handover and close out of any project is a challenging stage. A lot of tasks need to be managed to ensure a completed building is ready for handover, and there are many issues that can result in health and safety problems, so having a clear, methodical approach is important.
On many projects, the majority of the handover process is undertaken by the contractor. If the design team is still involved, they need to liaise closely with the contractor. It is also helpful for the client and those occupying or using the building to be involved.
Having a full handover meeting, with representation from all the project team members (the design team, the contractor and the client), can be very successful in ensuring there is full exchange of information. This should take place on site, with a formal meeting covering all the relevant issues followed by an instructional tour of the building. A series of meetings might be required on large projects, or the client may seek a full assessment of the building in use.