GOVERNMENT OF THE
DISTRICT OF COLUMBIA
Projects Turnover Protocol
Prepared by Capital Construction Division
2024
Revision 2024.0
Revision 2024. 1
3/1/24
3/8/24 - Mod. CTM info
Revision 2023.0
ReRevision 2023.0vision 2023.0
Sonya
Woodall
Digitally signed by
Sonya Woodall
Date: 2024.03.08
13:44:51 -05'00'
1.
INTRODUCTION:
The Turnover Protocol is the process for transfer of a construction project from the
Capital Construction Services Division (CCS) to the Facilities & Maintenance
Division (FMD) 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 FMD input into the design process,
b)
Provide FMD the ability to amend their personnel, equipment and
budgets to reflect the upcoming changes to their maintenance
responsibilities, and
c)
Facilitate timely transfer of the documents required by FMD to
adequately maintain the facility, immediately the project is turned
over to them.
The principal co
ntact for the Turnover Protocol is the Construction Turnover Manager (CTM),
Construction Punch list Manager (CPM) and the Facilities Turnover Manager: (FTM)
The current CTM is:
The current FTM is:
Mr. Henry Miller
[email protected]
Office – (202) 698-7912
Cell
- (240) 216-2317
Mrs. Sonya Woodall
[email protected]
Office – 202-545-3032
Cell – 202-437-6518
The current CPM is:
Vacant
Office –
Cell -
The Turnover Protocol is an Internal DGS process that flows between the Capital Construction
PM, the CTM, the FTM, and FMD (or other responsibly agencies facility management
department).
The Turnover Protocol applies to all Capital Construction Projects regardless of client agency,
funding source, funding amount, or scope. The extent of involvement will be determined by
the CTM based on the scope of the project and whether maintenance will be by DGS-FMD or
others.
The Turnover Protocol is not Project Close-Out. Close-Out is between the contractor and the
DGS-PM team. The two processes are intertwined but the goals are different.
2.
STEP BY STEP PROCEDURE
The following Step-by-Step procedure should be followed as described in the
“Description” column using the forms and documents noted in the “Documents”
column, copies of which are attached. Clarifications on procedures are contained in the
Appendices, also attached, and referenced in the Step-by- Step procedures. If you are
unclear as to the intent of any of the steps, or how to process the information, please
contact the Construction Turnover Manager noted in the introduction section above.
TURNOVER PROTOCOL - STEP BY STEP PROCEDURE
STEP TITLE DESCRIPTION
TURNOVER
DOCUMENTS
APPEN-
DICES
1 Invite Construction
Turnover Manager to
Design Kickoff Meeting.
DGS Project Manager (DGS-PM) shall invite
Turnover Manager to the Design Kick–Off
Meeting.
FTM may provide lessons learned from previous
projects, any preferences regarding the building
systems, and institutional knowledge of the
facility. PM should advise the Turnover Manager
of the anticipated design document review
schedule.
Lessons Learned &
Recommendations
(Provided by
Facilities, Agency
Dependent).
2 Opportunity to review
A/E submittals-
Schematic Documents.
As soon as available the DGS-PM will forward a
ProjectTeam Action Item to Turnover Manager
advising documents are ready for review.
Review time will be 10 working days (no exceptions)
Comments to be noted directly on documents in
ProjectTeam or in Review Comment Form. CTM will
collate and provide comments to PM.
Turnover Manager shall be invited to the design
review meeting, if one is held.
Review Comment
Form
3 Opportunity to review
A/E submittals- Design
Development
Documents.
As soon as available the DGS-PM will forward a
ProjectTeam Action Item to Turnover Manager
advising documents are ready for review. DGS-PM
shall include responses to comments from previous
review.
Review time will be 10 working days (no exceptions)
Comments to be noted directly on documents in
ProjectTeam or in Review Comment Form. CTM will
collate and provide comments to PM.
Turnover Manager shall be invited to the design
review meeting, if one is held.
Review Comment
Form
4 Opportunity to review
A/E submittals-
Construction
Documents.
As soon as available the DGS-PM will forward a
ProjectTeam Action Item to Turnover Manager
advising documents are ready for review. DGS-PM
shall include responses to comments from previous
review.
Review time will be 10 working days (no exceptions)
Comments to be noted directly on documents in
ProjectTeam or in Review Comment Form. CTM will
collate and provide comments to PM.
Turnover Manager shall be invited to the design
review meeting, if one is held.
Review Comment
Form
DESIGN PHASE
Update 06/02/23 5
TURNOVER PROTOCOL - STEP BY STEP PROCEDURE
STEP TITLE DESCRIPTION
TURNOVER
DOCUMENTS
APPEN-
DICES
5 Construction Kickoff
meeting.
DGS-PM shall invite Turnover Manager to the
Construction Kick–Off Meeting. FTM shall be
provided with the construction schedule. GC shall
advise Progress Meeting schedule
6 Pre Close-In
Walkthrough.
At appropriate times during construction, DGS-PM
shall invite Turnover Manager to a walkthrough of
the project to 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.
A.
7 Notify Turnover
Manager of
Commissioning
Schedule.
Once active commissioning is scheduled FTM shall
be advised, so Facilities can observe per their
requirements. DGS-PM should provide the
completed Equipment List at this time.
Equipment List
B.
8 Schedule Closeout
Conference
On larger projects, DGS-PM shall schedule a
Project Closeout Conference when the DGS-PM
Team deem it adventagous.
Invitee's should include FTM, CTM, A-E, Client
Agency Rep.and, at GC's discretion, major sub-
contractors. Schedule with sufficient time to help
GC prepare for requesting Substantial Completion.
Turnover Checklist
Base
9 Schedule Training
Sessions.
DGS-PM shall invite Turnover Manager to all
training sessions required by the contract
documents, (or requested by FTM based on scope
of work). Provide Turnover Manager with a
minimum of five working days’ notice to allow
Facilities to schedule the correct personnel. All
training sessions shall be recorded. Include sign-in
sheet
A.
C.
10 Pre-Substantial
Completion Final
Punch List Walk
DGS-PM shall invite the Turnover Manager and
Punch list Manager. (Following the contractors
written request for Substantial Completion in
accordance with specification section 017700)
Request for
Substantial
Completion Letter
A.
11 Process Certificate of
Substantial
Completion.
DGS-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. DGS-PM and
CTM shall process the Certificate of Substantial
Completion.
Certificate of
Substantial
Completion
D.
E.
F.
G.
H.
12 Process Final
Completion
Documents
DGS-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.
G.
H.
I.
CONSTRUCTION PHASE
Update 03/08/24 5
TURNOVER PROTOCOL - STEP BY STEP PROCEDURE
STEP TITLE DESCRIPTION
TURNOVER
DOCUMENTS
APPEN-
DICES
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. The following are
examples of Post-Final Completion Items which
may or may not be applicable depending on the
specifics within the project specifications. If service
visits are required provide copies of the work
tckets to the Turnover Manager for record.
Marked up Turnover
Checklist (Post-
Final Completion
Section)
H
14a Door Hardware
Maintenance
Typically a 6 month maintenance agreement ,
including quarterly preventative maintenance.
14b Kitchen Equipment
Typically a follow up demonstration at three months.
14c Elevator Maintenance
Typically provided for the same duration as the
specified warranty term.
14d HVAC Water
Treatment
In a hydronic system, typically a one year
maintenance agreement included for water
treatment, including chemicals supply.
14e
Infrared Inspection
Typ. at 2 & 11 months after Substantial Completion.
14f Lighting Controls
Manufacturers optimization visit included for the
Lighting Control System, to be conducted six
months after Substantial Completion.
14g Telephone & Data
One year maintenance agreement, including four
quarterly inspections and service calls.
14h Video Surveillance
Annual remote and on-site service and
maintenance, including all software patches and
upgrades.
14i Access Controls
System
Occupancy adjustment included , to be scheduled
six months after Substantial Completion.
14j Vegetated Roof
Assembly
Typically two year maintenance agreement.
15 One Year Warranty
Expiration
Walkthrough.
PM shall schedule this walkthrough, invite the
Turnover Manager 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)
J.
POST-CONSTRUCTION PHASE
Update 06/02/23 5
H.
H
H
H
H
H
H
H
H
H
H
3. TURNOVER RELATED DOCUMENTS
The CTM will create a submittal file (01 7700 01.0 DGS Turnover Documents) in
ProjectTeam that includes the following forms for your use.
1. Design Review Comment Form
2. Request
for Substantial Completion.
3. Equipment List.
4. Turnover Checklist.
5. Contact List.
6. A/E
Sign-off.
7. Client Agency Acknowledgement.
8. Certificate of Substantial
Completion.
9. 11
Month Warranty Walk Tracker
Form Rev. 1.0 06/01/23
REQUEST FOR SUBSTANTIAL COMPLETION
[Date]
Capital Construction Services
Department of General Services
3924 Minnesota Ave. NE
Washington DC 20019-2661
Attention: _____________________________[DGS-PM]
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 have been uploaded to ProjectTeam in the
Submittals form:
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 the DGS-PM, 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 tag/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. _____________________________________
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]
DGS CAPITAL CONSTRUCTION/FACILITIES MANAGEMENT TURNOVER PROTOCOL FORM
Equipment List
Agency
NOTES:
Facility
Address
Equipment Type
(Common Name)
Manufacturer Model No. Serial No. Refrigerant RPM Voltage Amps Phases Horse Power Installation Date BTU Fuel Type Filter Size Size/Capacity Room Number
Floor
Number
Tag/
Label
PLUMBING
1
2
3
4
5
6
7
8
9
HVAC
1
2
3
4
5
6
7
8
9
ELECTRICAL
1
2
3
4
5
6
7
8
9
OTHER
1
2
3
4
5
6
7
8
9
<Insert DGS's Client Agency>
<Insert Facility Name>
<Insert project address>
1. If in doubt whether on not to include a piece of equipment,
include anything that has a serial number.
2. Do n
ot alter this form, other than adding lines as necessary.
PHYSICAL TAG/LABEL INFO
DGS Turnover Protocol Equipment List rev. 11/16/23 Page 1 of 1
Anticipated Date of Substantial Completion:
Pre-Substantial Completion As of
DGS PM
INITIAL
Date
Complete
Comments
Reference
Note
2.1
2.2
2.2
2.2
2.2
2.4
2.5
2.6
2.7
2.6
2.8
2.9
2.10
2.6
2.6
01 77 00
Proposed schedule of maintenance
Contact List.
Equipment schedule (in excel)
01 78 23
Operation Certificates & Permits
All DOB Final Approvals
Boiler inspection (Green Stickers)
Commisioning / HVAC balancing complete
All training completed
Final cleaning completed
01 78 23
Cx deficiency log items resolved.(See Reference
Note)
Verified Received by:
Name:
01 79 00
01 78 23
01 50 00
Facilities Turnover Manager
GOVERNMENT OF THE DISTRICT OF COLUMBIA
DEPARTMENT OF GENERAL SERVICES
CONSTRUCTION / FACILITIES DIVISIONS
TURNOVER CLOSEOUT CHECK LIST
Activity
SPEC
SECTION
Agency - Facility - Project - Year
DGS PM
Intial S.C. Date
Project Name:
Project Manager:
01 77 00
Elevator (conveying system) inspection
01 77 00
Other operator certificates (per project)
01 77 00
Certificate of Occupancy
01 77 00
01 77 00
O & M manuals submitted
Keys: permanent cores and keys to DGS
Punch list
(with only minor items remaining)
01 91 13
form update 06/01/23
3924 MINNESOTA AVE. NE ● WASHINGTON, D.C. 20009
Office:(202)545-3032 ● Main: (202)724-4400
Page 1 of 4
Anticipated Date of Substantial Completion:
GOVERNMENT OF THE DISTRICT OF COLUMBIA
DEPARTMENT OF GENERAL SERVICES
CONSTRUCTION / FACILITIES DIVISIONS
TURNOVER CLOSEOUT CHECK LIST
Agency - Facility - Project - Year
DGS PM
Intial S.C. Date
Project Name:
Project Manager:
As of
DGS PM
INITIAL
Date
Complete
Comments
Reference
Note
3.1
3.3
3.4
3.2
3.5
3.6
3.6.1
3.6.2
3.2
3.2
3.8
3.7
3.9
3.2
3.11
3.12
3.13
01 77 00
Facilities Turnover Manager
Name:
Verified Received by:
Training recordings submitted
SPEC
SECTION
Pre-Final Completion
Activity
01 79 00
Final meter reading for utilitites
01 50 00
Fuel Tanks Filled
Final Commissioning report.
Drawings (PDF and CAD files)
01 78 39
Warranties
01 78 70
Elevator (conveying system) certificate
Final Property (wall check) Survey
01 77 00
Attic stock, parts and equipment list
01 78 39
DOEE (SWM) approval
MSDS for finishes & materials incorporated.
Specifications
01 78 70
As-built documents.
Environmental, Health & Safety documents.
Maintenance Agreements
Valve Plan
Tags, labels, plaques (if applicable)
Meter plan
Punch list with all items resolved.
01 77 00
01 78 61
form update 06/01/23
3924 MINNESOTA AVE. NE ● WASHINGTON, D.C. 20009
Office:(202)545-3032 ● Main: (202)724-4400
Page 2 of 4
Anticipated Date of Substantial Completion:
GOVERNMENT OF THE DISTRICT OF COLUMBIA
DEPARTMENT OF GENERAL SERVICES
CONSTRUCTION / FACILITIES DIVISIONS
TURNOVER CLOSEOUT CHECK LIST
Agency - Facility - Project - Year
DGS PM
Intial S.C. Date
Project Name:
Project Manager:
As of
DGS PM
INITIAL
Date
Complete
Comments
Reference
Note
4.1
4.1
4.1
4.1
4.1
4.1
Second season HVAC commissioning completed.
Completion unless otherwise agreed to in writing by the Contracting Officer. 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. Also, include stored location.
3.6. As Built Documents:
3.2. Confirm complete by initializing in the “PM Check” column and dating in the “Date complete” column.
3.3. Warranties:
3.3.1. All warranties shall start on the date Substantial Completion as noted on the EXECUTED Certificate of Substantial Completion.
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 written to the benefit of the District (or Owner).
3.4. Maintenance Agreements: If the project includes Maintenance Agreement(s) these agreements shall start at the date of Substantial
2.7 For Substantial Completion all Cx deficiency log items should be resolved. Any remaining minor items must be added to the punch list.
2.6. Confirm complete by initializing in the “PM Check” column and dating in the “Date complete” column.
2.8. Contact List: Provide list of contractors by trade. Contact details should be those for warranty calls, not the necessarily the construction contact.
2.9. O&M Manuals Submitted:
2.9.1. Manuals are required at Substantial Completion as the District will be responsible for maintenance as of that date.
2.9.2. O&M Manuals shall be organized in the same order as the project specification sections. Provide files divided by
specification division and with filenames starting with the specification section.
2.10. Proposed Schedule of Maintenance: The O&M manuals shall include a written schedule of maintenance.
3. PRE-FINAL COMPLETION
3.1. Elevator certificate: Provide copy of certificate (The one that is typically displayed in the elevator)
2. PRE-SUBSTANTIAL COMPLETION
2.1. Certificate of Occupancy: Conditional may be acceptable if allowed by construction contract.
2.2. Other Inspections: Provide copies of final inspections and approvals as applicable to project.
2.3. Emergency Evacuation Plans: Confirm these are prepared and posted. They must be posted prior to occupancy.
2.4. Punch List (with only minor items remaining): 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. Also see note 2.7 below
2.5. Equipment Schedule: Provide a completed equipment schedule (base form provided in ProjectTeam).
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.
Facilities Turnover Manager
Name:
Verified Received by:
Elevator inspection report (one year)
Fire Alarm inspection report (one year)
Infrared testing of electrical system (6 months)
Activity
SPEC
SECTION
Any other Post-Final contract requirements (list),
following are examples.
Post-Final Completion
Pre 1 year warranty expiration inspection.
form update 06/01/23
3924 MINNESOTA AVE. NE ● WASHINGTON, D.C. 20009
Office:(202)545-3032 ● Main: (202)724-4400
Page 3 of 4
Anticipated Date of Substantial Completion:
GOVERNMENT OF THE DISTRICT OF COLUMBIA
DEPARTMENT OF GENERAL SERVICES
CONSTRUCTION / FACILITIES DIVISIONS
TURNOVER CLOSEOUT CHECK LIST
Agency - Facility - Project - Year
DGS PM
Intial S.C. Date
Project Name:
Project Manager:
3.8. Provide copy of DOEE Final Approval letter for SWM.
3.13. Final Property (wall check) Survey: Provide in PDF format if required by Contract Documents or Surveyors office.
4. POST-FINAL COMPLETION
4.1 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. 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 Recordings Submitted: Submit electronic copies of all training sessions, in ProjectTeam.
3.12. Final Commissioning Report: Provide in electronic in ProjectTeam.
3.6.1. Drawings: Provide electronic PDF files by discipline and CAD (or BIM) 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.
form update 06/01/23
3924 MINNESOTA AVE. NE ● WASHINGTON, D.C. 20009
Office:(202)545-3032 ● Main: (202)724-4400
Page 4 of 4
A/E SIGN OFF FOR SUBSTANTIAL COMPLETION
TURNOVER PROTOCOL
Page 1 of 1 A/E Sign Off Form
Doc rev. 1.2 (06/01/23)
PROJECT NAME:
<Exactly as written in construction contract
>
CONTRACTOR: <Exactly as written in construction contract>
CONTRACT No.: <Exactly as written in construction contract, including Task Order No.>
COMPLETE PROJECT.
PARTIAL – List areas/phase
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
We ___________________________ have reviewed the complete project, or partial project as noted above,
Architect/Engineer (Firm Name)
and to the best of our knowledge, information and belief, have found the Work to be in accordance with the
Contract Documents, except as noted on the attached punch list.
We also confirm we have reviewed the closeout documents required for substantial completion (as detailed
in the Turnover Protocol “Request for Substantial Completion” letter) and found the closeout documents to
be in accordance with the Contract Documents.
___________________________________________________ ____________________________
A/E Signature and printed name and title
Date
Note: The above does not, in any way, designate the date of Substantial Completion as pertains to the
contract between the Contractor/Construction Manager/Design Builder and the District.
CLIENT AGENCY ACKNOWLEDGEMENT
TURNOVER PROTOCOL Page 1 of 1
Client Agency Form
Doc. Rev. 1.0 (06/01/23)
CONTRACT NAME:
CONTRACT No.:
CLIENT AGENCY:
CONTRACTOR:
<Exactly as written in construction contract>
<Exactly as written in construction contract>
_________________________________________________________________
<Exactly as written in construction contract>
COMPLETE PROJECT.
PARTIAL – List areas/phase
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
__________________________ (Client Agency) acknowledges receipt of the following close-out/turnover
documents for the above referenced project.
Certificate of Occupancy/Building final Inspection.
Operation and Maintenance Manuals
As-Built Drawings (pdf & AutoCad)
Warranties,
Maintenance service agreements, (List)
Project Contact List
Schedule of Attic Stock.
Equipment list.
Closure reports for environmental abatement work.
Commissioning report (Draft, final to follow)
________________________________________
________________________________________
___________________________________________________ ____________________________
Client Agency Contact and printed name Date
(for non-DGS maintained facilities)
CERTIFICATE OF SUBSTANTIAL COMPLETION
Page 1 of 2
CONTRACT NAME: __________________________________________________________
CONTRACTOR: __________________________________________________________
CONTRACT No.: - - -
COMPLETE PROJECT.
PARTIAL – List areas/phase
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
DGS-PM to complete Section 1 or Section 2
SECTION 1 - Substantial Completion Request Rejected
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
1
2
3
4
5
6
7
8
9
10
11
12
Once the above noted items are complete, submit written request for re-inspection.
____________________________
__________________________________________________
DGS-PM and printed name
Certificate of Substantial Completion (rev. 060123)
Date
Certificate of Substantial Completion (rev. 060123) Page 2 of 2
CERTIFICATE OF SUBSTANTIAL COMPLETION
SECTION 2 - Substantial Completion Request Accepted
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
____________________________
__________________________________________________
Executive Program Manager and printed name
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.
4. APPENDICE (CCS PM’s)
A. TURNOVER MEETING REQUIREMENTS
Regarding scheduling contract and Turnover Protocol required meetings
commissioning, training sessions, pre-close-in walk-throughs, punchlist, etc.), DGS
Facilities have requested the following time frames be used to the greatest extent
possible. This is required to accommodate their mechanics work schedules.
• Mechanical equipment training/commissioning: 7a.m. start, conclusion by noon.
• Electrical & Plumbing equipment training/commissioning: 9a.m. start,
conclusion by 2p.m.
• Pre-close-in walkthroughs, punchlists: 9a.m. start, conclusion by noon.
• If multiple trades involved provide individual start times for each trade.
Per the Turnover Protocol these sessions must be scheduled a minimum of 5 working
days in advance, to allow Facilities to rework their personnel schedules accordingly.
Invites should be sent to both the CTM and the FTM. FTM will distribute to the appropriate
personnel within FMD.
Invites shall include a) specific meeting location, easily identifiable to someone not familiar
with the current site conditions and b) advice on the site-specific PPE requirements.
B. EQUIPMENT LIST
Have GC/CMAR/D-B complete the form and upload it to ProjectTeam just prior to the start of
Functional Testing in the Commissioning process. Send a forced notification to CTM & FTM, as
soon as uploaded. Do not allow the GC/CMAR/D-B to modify the document in any way, other
than adding additional lines as required. Equipment Tag/Label information must be the
information that’s on the physical tag, not the information on the equipment schedule in the
construction drawings, and each tag must be unique. (Reference the requirements in the
specifications, typically sections 220553, 230553, 260553.)
C. TRAINING RECORDINGS
Recordings shall be professional in nature. Not recorded by a random individual on their
cellphone. Please be aware of background noise, especially around mechanical equipment. Please
keep files to a maximum of 2GB, breaking into parts if necessary. When a commissioning agent
is employed on the project, training must not be conducted until the Cx advises the equipment is
ready for training.
D. A/E SIGN OFF FOR SUBSTANTIAL COMPLETION
On projects where you have an A/E, either as part of a D-B team or providing Title II services,
use the A/E Sign-Off form to have the A/E certify the work has been completed in
accordance
with the design and that the close-out documents have been reviewed and comply with the project
specifications.
Tick either the “Complete Project” box or the “Partial” box, as appropriate. If a Partial
Turnover, include a clear description of the area being turned over. Attach marked up plans
(with system demarcation points highlighted) as necessary.
E. CONTACT LIST
Contact list must be provided with the pre-substantial completion package. Contact list for
Turnover purposes should include the GC/DB and all first-tier sub-contractors. It should be
organized by trade (or specification division), not by company name. The contact information
should be the correct information for warranty calls, not necessarily the on-site or construction
contacts, as many larger companies have designated warranty departments. An appropriate
contact list base is provided in this package.
F. PROCESSING CERTIFICATE of SUBSTANTIAL
COMPLETION
Per standard Division 1 specification requirements, Contractor shall submit a written
request for Substantial Completion, 10 days prior to when they anticipate being
substantially complete. At that time, they must provide all the close-out documents
required for substantial completion. See the “Request for Substantial Completion”
document, in the documents section of this manual, which the contractor can use for this
purpose. It also provides a checklist of the items typically required.
Once received, the DGS-PM should review the project conditions and the documents
provided and either reject the request or recommend acceptance.
If rejecting the request, you can use Section 1 of the Certificate of Substantial Completion to list
the deficiencies and officially reject the request.
If recommending acceptance, complete the relevant parts of Section 2 of the CofSC per the
following:
When you have all the docs required by the first page of the Turnover Checklist complete the
Complete the first page of the Turnover Checklist and attach to the CofSC, as page 3.
1. Attach the punchlist as of your proposed Substantial Completion date, as page 4, (only if
there are any outstanding items). Remember to include any outstanding Cx Issue Log items in
the Punchlist.
2. Input your proposed Substantial Completion date in the space provided in the second from
last paragraph of the second page.
3. In the last paragraph on the second page, in the space provided, add the date by which you
want the contractor to complete the punchlist. (if none insert N/A)
4. Also, on the second page, electronically sign the document on the “DGS PM” line. Do not
sign the first page.
5. Forward to the CTM, as a Project Team Action Item.
G. CLIENT AGENCY ACKNOWLEDGEMENT
On a project where CCS is responsible for managing the construction, but another agency is
responsible for maintenance, the turnover documents should be provided to that agency. Have
the agency complete the Client Agency Acknowledgement form and return a copy to the CTM.
H. PROJECTTEAM TRANSMITTAL PROCESSING
For each phase of Turnover, once the DGS-PM has reviewed and accepted the documents, create
a transmittal in ProjectTeam. Transmittal line items shall mimic the Turnover Checklist activity
line items.
Please reference the ProjectTeam Quick Reference Guide on process on creating a transmittal
Link: projectteam.com/dgs/home.html
Once the transmittal has been created forward a ProjectTeam Action Item to CTM.
I. TURNOVER FINAL SIGN-OFF
Once the Final Completion documents have been received and accepted by the CTM the CTM will
provide a Turnover Final Sign-Off which must be included in the PM’s package for release of
retainage submitted to the Deputy Director. To provide this sign-off, the following must have
occurred: -
a. all required turnover documents must have been provided to the CTM.
b. Any post-substantial completion maintenance included in the construction contract must
be covered by a Maintenance Agreement between the sub-contractor providing that
maintenance and the District and must be executed by an officer of the sub-contractor.
c. If DGS-FMD is not providing ongoing maintenance the Client Agency Acknowledgement
must be provided.
J. WARRANTY WALK
The purpose of the “One Year Warranty Walkthrough” is to identify any items that should have
been called in as warranty issues by the client or DGS-FMD, but have not been for any particular
reason. Therefore, at the walkthrough we need the following:
1.
an on-site representative from the client to point out any issues they may have,
2.
an on-site representative from Facilities to do the same,
3.
the DGS PM to determine, and document, which issues are covered by the
construction contract (and therefore warranty issues), which issues are user wear and
tear/damage/lack of maintenance (not warranty issues), and which are not within the
scope of the construction contract (not warranty issues),
4.
the contractor, to be aware of any warranty issues identified and to make sure they are
taken care of by the relevant subcontractors before the warranty expires.
You can use the use the “Warranty Walk-through Check List” included in this protocol to track any
issues found.
5. APPENDICE (FMD Staff)
.